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Teutonic/Teutons refers mostly and typically to what ancient race of people?
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Germanic People - Tribes and Races
The History of The Term Germanic
Various etymologies for Latin Germani are possible. As an adjective, germani is
simply the plural of the adjective germanus (from germen, "seed" or "offshoot"),
which has the sense of "related" or "kindred" or "authentic". According to Strabo,
the Romans introduced the name Germani, because the Germanic tribes were the
authentic Celts (γνησίους Γαλάτας; gnisíous Galátas). Alternatively, it may refer
from this use based on Roman experience of the Germanic tribes as allies of the Celts.
The ethnonym seems to be attested in the Fasti Capitolini inscription for the year 222,
DE GALLEIS INSVBRIBVS ET GERM(aneis), where it may simply refer to "related"
peoples, namely related to the Gauls. Furthermore, since the inscriptions were
erected only in 17 to 18 BCE, the word may be a later addition to the text. Another
early mentioning of the name, this time by Poseidonios (writing around 80 BCE), is
also dubious, as it only survives in a quotation by Athenaios (writing around 190
CE); the mention of Germani in this context was more likely inserted by Athenaios
rather than by Poseidonios himself. The writer who apparently introduced the name
"Germani" into the corpus of classical literature is Julius Caesar. He uses Germani
in two slightly differing ways: one to describe any non-gaulic peoples of Germania,
and one to denote the Germani Cisrhenani, a somewhat diffuse group of peoples in
north-eastern Gaul, who cannot clearly be identified as either Celtic or Germanic.
In this sense, Germani may be a loan from a Celtic exonym applied to the Germanic
tribes, based on a word for "neighbour". Tacitus suggests that it might be from a
tribe which changed its name after the Romans adapted it, but there is no evidence
for this. The suggestion deriving the name from Gaulish term for "neighbour" invokes
Old Irish gair, Welsh ger, "near", Irish gearr, "cut, short" (a short distance), from
a Proto-Celtic root *gerso-s, further related to ancient Greek chereion, "inferior"
and English gash. The Proto-Indo-European root could be of the form *khar-, *kher-,
*ghar-, *gher-, "cut", from which also Hittite kar-, "cut", whence also Greek character.
Apparently, the Germanic tribes did not have a self-designation ("endonym") that
included all Germanic-speaking people but excluded all non-Germanic people. Non-
Germanic peoples (primarily Celtic, Roman, Greek, the citizens of the Roman Empire),
on the other hand, were called *walha- (this word lives forth in names such as Wales,
Welsh, Cornwall, Walloons, Vlachs etc.). Yet, the name of the Suebi - which designated
a larger group of tribes and was used almost indiscriminately with Germani in Caesar
- was possibly a Germanic equivalent of the Latin name (*swē-ba- "authentic").
The Term of Teutonic or Deutsch
Trying to identify a contemporary vernacular term and the associated nation
with a classical name, Latin writers from the 10th century onwards used the
learnèd adjective teutonicus (originally derived from the Teutones) to refer
to East Francia ("Regnum Teutonicum") and its inhabitants. This usage is
still partly present in modern English; hence the English use of "Teutons"
in reference to the Germanic peoples in general besides the specific tribe
of the Teutons defeated at the Battle of Aquae Sextiae in 102 BCE.
The generic *þiuda- "people" occurs in many personal names such as Thiud-reks
and also in the ethnonym of the Swedes from a cognate of Old English Sweo-ðēod
and Old Norse: Sui-þióð (see e.g. Sö Fv1948;289). Additionally, þiuda- appears
in Angel-ðēod ("Anglo-Saxon people") and Gut-þiuda ("Gothic people"). The
adjective derived from this noun, *þiudiskaz, "popular", was later used with
reference to the language of the people in contrast to the Latin language
(earliest recorded example 786). The word is continued in German Deutsch
(meaning German), English "Dutch", Dutch Duits and Diets (the latter referring
to Dutch, the former meaning German) and Swedish/Danish/Norwegian tysk
(meaning German).
The Classification of The Germanic Race
By the 1st century CE, the writings of Caesar, Tacitus and other
Roman era writers indicate a division of Germanic-speaking peoples
into tribal groupings centred on:
*......... the rivers Oder and Vistula/Weichsel (East Germanic tribes),
*................................................... the lower Rhine river (Istvaeones),
* ................................................................the river Elbe (Irminones),
* ...................................Jutland and the Danish islands (Ingvaeones).
The Sons of Mannus, Istvaeones, Irminones, and Ingvaeones are collectively
called West Germanic tribes. In addition, those Germanic people who remained
in Scandinavia are referred to as North Germanic. These groups all developed
separate dialects, the basis for the differences among Germanic language down
to the present day. Detail of the Uppland Rune Inscription 871 (12th century)
The division of peoples into West Germanic, East Germanic, and North Germanic
is a modern linguistic classification. Many Greek scholars only classified
Celts and Scythians in the Northwest and Northeast of the Mediterranean and this
classification was widely maintained in Greek literature until Late Antiquity.
Latin-Greek ethnographers (Tacitus, Pliny the Elder, Ptolemy, and Strabo)
mentioned in the first two centuries the names of peoples they classified as
Germanic along the Elbe, the Rhine, and the Danube, the Vistula and on the Baltic
Sea. Tacitus mentioned 40, Ptolemy 69 peoples. Classical ethnography applied the
name Suebi to many tribes in the first century. It appeared that this native name
had all but replaced the foreign name Germanic. After the Marcomannic wars the
Gothic name steadily gained importance. Some of the ethnic names mentioned by the
ethnographers of the first two centuries on the shores of the Oder and the Vistula
(Gutones, Vandali) reappear from the 3rd century on in the area of the lower Danube
and north of the Carpathian Mountains. For the end of the 5th century the Gothic
name can be used - according to the historical sources - for such different peoples
like the Goths in Gaul, Iberia and Italy, the Vandals in Africa, the Gepids along the
Tisza and the Danube, the Rugians, Sciri and Burgundians, even the Iranian Alans.
These peoples were classified as Scyths and often deducted from the ancient Getae
(most important: Cassiodor / Jordanes, Getica around 550).
The Bronz Age
Regarding the question of ethnic origins, evidence developed by archaeologists
and linguists suggests that a people or group of peoples sharing a common
material culture dwelt in a region defined by the Nordic Bronze Age culture
between 1700 BCE and 600 BCE. The Germanic tribes then inhabited southern
Scandinavia and Schleswig, but subsequent Iron Age cultures of the same region,
like Wessenstedt (800 to 600 BCE) and Jastorf, are also in consideration. The
change of Proto-Indo-European to Proto-Germanic has been defined by the first
sound shift (or Grimm's law) and must have occurred when mutually intelligible
dialects or languages in a Sprachbund were still able to convey such a change
to the whole region. So far it has been impossible to date this event conclusively.
The precise interaction between these peoples is not known, however, they are tied
together and influenced by regional features and migration patterns linked to
prehistoric cultures like Hügelgräber, Urnfield, and La Tene. A deteriorating climate
in Scandinavia around 850 BCE to 760 BCE and a later and more rapid one around 650
BCE might have triggered migrations to the coast of Eastern Germany and further towards
the Vistula. A contemporary northern expansion of Hallstatt drew part of these peoples
into the Celtic hemisphere, including nordwestblock areas and the region of Elp culture
(1800 BCE to 800 BCE). At around this time, this culture became influenced by Hallstatt
techniques of how to extract bog iron from the ore in peat bogs, ushering in the
The Pre-Roman Iron Age
Archeological evidence suggests a relatively uniform Germanic people were located at about 750 BCE from the Netherlands to the Vistula and in Southern Scandinavia. In the west the coastal floodplains were populated for the first time, since in adjacent higher grounds the population had increased and the soil became exhausted. At about 250 BCE, some expansion to the south had occurred and five general groups can be distinguished: North Germanic in southern Scandinavia, excluding Jutland; North Sea Germanic, along the North Sea and in Jutland; Rhine- Weser Germanic, along the middle Rhine and Weser; Elbe Germanic, along the middle Elbe; and East Germanic, between the middle Oder and the Vistula. This concurs with linguistic evidence pointing at the development of five linguistic groups, mutually linked into sets of two to four groups that shared linguistic innovations.
This period witnessed the advent of Celtic culture of Hallstatt and La Tene signature in previous Northern Bronze Age territory, especially to the western extends. However, some proposals suggest this Celtic superstrate was weak, while the general view in the Netherlands holds that this Celtic influence did not involve intrusions at all and assume fashion and a local development from Bronze Age culture. It is generally accepted such a Celtic superstratum was virtually absent to the East, featuring the Germanic Wessenstedt and Jastorf cultures. The Celtic influence and contacts between Gaulish and early Germanic culture along the Rhine is assumed as the source of a number of Celtic loanwords in Proto-Germanic.
Frankenstein and Rowlands (1978), and Wells (1980) have suggested late Hallstatt trade contact to be a direct catalyst for the development of an elite class that came into existence around northeastern France, the Middle Rhine region, and adjacent Alpine regions (Collis 1984:41), culminating to new cultural developments and the advent of the classical Gaulish La Tene Culture The development of La Tene culture extended to the north around 200 to 150 BCE, including the North German Plain, Denmark and Southern Scandinavia:
"In certain cremation graves, situated at some distance from other graves, Celtic metalwork appears: brooches and swords, together with wagons, Roman cauldrons and drinking vessels. The area of these rich graves is the same as the places where later (the first century CE) princely graves are found. A ruling class seems to have emerged, distinguished by the possession of large farms and rich gravegifts such as weapons for the men and silver objects for the women, imported earthenware and Celtic items."
The first Germani in Roman ethnography cannot be clearly identified as either Germanic or Celtic in the modern ethno-linguistic sense, and it has been generally held the traditional clear cut division along the Rhine between both ethnic groups was primarily motivated by Roman politics. Caesar described the Eburones as a Germanic tribe on the Gallic side of the Rhine, and held other tribes in the neigh bourhood as merely calling themselves of Germanic stock. Even though names like Eburones and Ambiorix were Celtic and, archeologically, this area shows strong Celtic influences, the problem is difficult. Some 20th century writers consider the possibility of a separate "Nordwestblock" identity of the tribes settled along the Rhine at the time, assuming the arrival of a Germanic superstrate from the 1st century BCE and a subsequent "Germanization" or language replacement through the "elite-dominance"model. However, immigration of Germanic Batavians from Hessen in the northern extent of this same tribal region is, archeologically speaking, hardly noticeable and certainly did not populate an exterminated country, very unlike Tacitus suggested. Here, probably due to the local indigenous pastoral way of life, the acceptance of Roman culture turned out to be particularly slow and, contrary to expected, the indigenous culture of the previous Eburones rather seems to have absorbed the intruding (Batavian) element, thus making it very hard to define the real extents of the pre-Roman Germanic indigenous territories.
Germanic expansions during early Roman times are known only generally, but it is clear that the forebears of the Goths were settled on the southern Baltic shore by 100 CE. The early Germanic tribes are assumed to have spoken mutually intelligible dialects, in the sense that Germanic languages derive from a single earlier parent language. No written records of such a parent language exists. From what we know of scanty early written material, by the fifth century CE the Germanic languages were already "sufficiently different to render communication between the various peoples impossible". Some evidence point to a common pantheon made up of several different chronological layers. However, as for mythology only the Scandinavian one (see Germanic mythology) is sufficiently known. Some traces of common traditions between various tribes are indicated by Beowulf and the Volsunga saga. One indication of their shared identity is their common Germanic name for non-Germanic peoples, *walhaz (plural of *walhoz), from which the local names Welsh, Wallis, Walloon and others were derived. An indication of an ethnic unity is the fact that the Romans knew them as one and gave them a common name, Germani (this is the source of our German and Germanic, see Etymology above), although it was well known for the Romans to give geographical rather than cultural names to peoples. The very extensive practice of cremation deprives us of anthropological comparative material for the earliest periods to support claims of a longstanding ethnic isolation of a common (Nordic) strain.
By the late 2nd century BCE, Roman authors recount, Gaul, Italy and Hispania were invaded by migrating Germanic tribes. This culminated in military conflict with the armies of the Roman Republic, in particular those of the Roman Consul Gaius Marius. Six decades later, Julius Caesar invoked the threat of such attacks as one justification for his annexation of Gaul to Rome. As Rome expanded to the Rhine and Danube rivers, it incorporated many Celtic societies into the Empire. The tribal homelands to the north and east emerged collectively in the records as Germania. The peoples of this area were sometimes at war with Rome, but also engaged in complex and long-term trade relations, military alliances, and cultural exchanges with Rome as well. The Cimbri and Teutoni incursions into Roman Italy were thrust back in 101 BCE. These invasions were written up by Caesar and others as presaging of a Northern danger for the Roman Republic, a danger that should be controlled. In the Augustean period there was - as a result of Roman activity as far as the Elbe River - a first definition of the "Germania magna": from Rhine and Danube in the West and South to the Vistula and the Baltic Sea in the East and North.
Caesar's wars helped establish the term Germania. The initial purpose of the Roman campaigns was to protect Transalpine Gaul by controlling the area between the Rhine and the Elbe. In 9 CE a revolt of their Germanic subjects headed by the supposed Roman ally, Arminius, (along with his decisive defeat of Publius Quinctilius Varus and the destruction of 3 Roman legions in the surprise attack on the Romans at the Battle of the Teutoburg Forest) ended in the withdrawal of the Roman frontier to the Rhine. At the end of the 1st century two provinces west of the Rhine called Germania inferior and Germania superior were established. Important medieval cities like Aachen, Cologne, Trier, Mainz, Worms and Speyer were part of these Roman provinces.
The Migration Period
During the 5th century CE, as the Western Roman Empire lost military strength and political cohesion, numerous Germanic peoples, under pressure from population growth and invading Asian groups, began migrating en masse in far and diverse directions, taking them to Great Britain and as far south through present day Continental Europe to the Mediterranean and northern Africa. Over time, this wandering meant intrusions into other tribal territories, and the ensuing wars for land escalated with the dwindling amount of unoccupied territory. Wandering tribes then began staking out permanent homes as a means of protection. Much of this resulted in fixed settlements from which many, under a powerful leader, expanded outwards. A defeat meant either scattering or merging with the dominant tribe, and this continual process of assimilation was how nations were formed. In Denmark the Jutes merged with the Danes, in Sweden the Geats merged with the Swedes. In England, the Angles merged with the Saxons and other groups (notably the Jutes), as well as possibly absorbing a number of natives, to form the Anglo-Saxons.
A direct result of the Roman retreat was the disappearance of imported products like ceramics and coins, and a return to virtually unchanged local Iron Age production methods. According to recent views this has caused confusion for decades, and theories assuming the total abandonment of the coastal regions to account for an archaeological time gap that never existed have been renounced. Instead, it has been confirmed that the Frisian graves had been used without interruption between the 4th and 9th century CE and that inhabited areas show continuity with the Roman period in revealing coins, jewellery and ceramics of the 5th century. Also, people continued to live in the same three-aisled farmhouse, while to the east completely new types of buildings arose. More to the south, in Belgium, archeological results of this period point to immigration from the north.
The Germanic Peoples Role in the Fall of Rome
Some of the Germanic tribes are frequently credited in popular depictions of the decline of the Roman Empire in the late 5th century. Professional historians and archaeologists have since the 1950s shifted their interpretations in such a way that the Germanic peoples are no longer seen as invading a decaying empire but as being co-opted into helping defend territory the central government could no longer adequately administer. Individuals and small groups from Germanic tribes had long been recruited from the territories beyond the limes (i.e., the regions just outside the Roman Empire), and some of them had risen high in the command structure of the army. Then the Empire recruited entire tribal groups under their native leaders as officers. Assisting with defense eventually shifted into administration and then outright rule, as Roman government passed into the hands of Germanic leaders. Odoacer, who deposed Romulus Augustulus, is the ultimate example.
The presence of successor states controlled by a nobility from one of the Germanic tribes is evident in the 6th century - even in Italy, the former heart of the Empire, where Odoacer was followed by Theodoric the Great, king of the Ostrogoths, who was regarded by Roman citizens and Gothic settlers alike as legitimate successor to the rule of Rome and Italy.
The Early Middle Ages
The transition of the Migration period to the Middle Ages proper takes place over the course of the second half of the 1st millennium. It is marked by the Christianization of the Germanic peoples and the formation of stable kingdoms replacing the mostly tribal structures of the Migration period. In continental Europe, this is the rise of Francia in the Merovingian period, eclipsing lesser kingdoms such as Alemannia. In England, the Wessex hegemony as the nucleus of the unification of England, Scandinavia is in the Vendel period and enters the extremely successful Viking Age, with expansion to Britain, Ireland and Iceland in the west and as far as Russia and Greece in the east. The various Germanic tribal cultures begin their transformation into the larger nations of later history, English, Norse and German, and in the case of Burgundy, Lombardy and Normandy blending into a Romano-Germanic culture.
A main element uniting Germanic societies is kingship, in origin a sacral institution combining the functions of military leader, high priest, lawmaker and judge. Germanic monarchy was elective, the king was elected by the free men from among elegible candidates of a family (OE cynn) tracing their ancestry to the tribe's divine or semi-divine founder. In early Germanic society, the free men of property each ruled their own estate and were subject to the king directly, without any intermediate hierarchy as in later feudalism. Free men without landed property could swear fealty to a man of property who as their lord would then be responsible for their upkeep, including generous feasts and gifts. This system of sworn retainers was central toearly Germanic society, and the loyalty of the retainer to his lord was taken to replace his family ties.
Early Germanic law reflects a hierarchy of worth within the society of free men, reflected in the differences in weregild. Among the Anglo-Saxons, a regular free man (a ceorl) had a weregild of 200 shillings (i.e. solidi or gold pieces), classified as a twyhyndeman "200-man" for this reason, while a nobleman commanded a fee of six times that amount (twelfhyndeman "1200-man"). Similarly, among the Alamanni the basic weregild for a free men was 200 shillings, and the amount could be doubled or trebled according to the man's rank. Unfree serfs did not command a weregild, and the recompense paid in the event of their death was merely for material damage, 15 shillings in the case of the Alamanni, increased to 40 or 50 if the victim had been a skilled artisan.
The social hierarchy is not only reflected in the weregild due in the case of the violent or accidental death of a man, but also in differences in fines for lesser crimes. Thus the fines for insults, injury, burglary or damage to property differ depending on the rank of the injured party. They do not usually depend on the rank of the guilty party, although there are some exceptions associated with royal privilege. Free women did not have a political station of their own but inherited the rank of their father if unmarried, or their husband if married. The weregild or recompense due for the killing or injuring of a woman is notably set at twice that of a man of the same rank in Alemannic law.
All freemen had the right to participate in general assemblies or things, where disputes between freemen were addressed according to customary law. The king was bound to uphold ancestral law, but was at the same time the source for new laws for cases not addressed in previous tradition. This aspect was the reason for the creation of the various Germanic law codes by the kings following their conversion to Christianity: besides recording inherited tribal law, these codes have the purpose of settling the position of the church and Christian clergy within society, usually setting the weregilds of the members of the clerical hierarchy parallel to that of the existing hierarchy of nobility, with the position of an archbishop mirroring that of the king.
In the case of a suspected crime, the accused could avoid punishment by presenting a fixed number of free men (their number depending on the severity of the crime) prepared to swear an oath on his innocence. Failing this, he could prove his innocence in a trial by combat. Corporeal or capital punishment for free men does not figure in the Germanic law codes, and banishment appears to be the most severe penalty issued officially. This reflects that Germanic tribal law did not have the scope of exacting revenge, which was left to the judgement of the family of the victim, but to settle damages as fairly as possible once an involved party decided to bring a dispute before the assembly.
Traditional Germanic society is gradually replaced by the system of estates and feudalism characteristic of the High Middle Ages in both the Holy Roman Empire and Anglo-Norman England in the 11th to 12th centuries, to some extent under the influence of Roman law as an indirect result of Christianization, but also because political structures had grown too large for the flat hierarchy of a tribal society. The same effect of political centralization takes hold in Scandinavia slightly later, in the 12th to 13th century (Age of the Sturlungs, Consolidation of Sweden, Civil war era in Norway), by the end of the 14th century culminating in the giant Kalmar Union. Elements of tribal law, notably the wager of battle, nevertheless remained in effect throughout the Middle Ages, in the case of the Holy Roman Empire until the establishment of the Imperial Chamber Court in the beginning German Renaissance. In the federalist organization of Switzerland, where cantonal structures remained comparatively local, the Germanic thing survived into the 20th century in the form of the Landsgemeinde, albeit subject to federal law.
The Material Culture
Germanic settlements were typically small, rarely containing much more than ten households, often less, and were usually located at clearings in the wood. Settlements remained of a fairly constant size throughout the period. The buildings in these villages varied in form, but normally consisted of farmhouses surrounded by smaller buildings such as granaries and other storage rooms. The universal building material was timber. Cattle and humans usually lived together in the same house.
Although the Germans practiced both agriculture and husbandry, the latter was extremely important both as a source of dairy products and as a basis for wealth and social status, which was measured by the size of an individual's herd. The diet consisted mainly of the products of farming and husbandry and was supplied by hunting to a very modest extent. Barley and wheat were the most common agricultural products and were used for baking a certain flat type of bread as well as brewing beer. The fields were tilled with a light-weight wooden plow, although heavier models also existed in some areas. Common clothing styles are known from the remarkably well-preserved corpses that have been found in former marshes on several locations in Denmark, and included woolen garments and brooches for women and trousers and leather caps formen. Other important small-scale industries were weaving, the manual production of basic pottery and, morerarely, the fabrication of iron tools, especially weapons.
Julius Caesar describes the Germans in his Commentarii De Bello Gallico, though it is still a matter of debate if he refers to Northern Celtic tribes or clearly identified German tribes."[The Germans] have neither Druids to preside over sacred offices, nor do they pay great regard to sacrifices. They rank in the number of the gods those alone whom they behold, and by whose instrumentality they are obviously benefited, namely, the sun, fire, and the moon; they have not heard of the other deities even by report. Their whole life is occupied in hunting and in the pursuits of the military art; from childhood they devote themselves to fatigue and hardships. Those who have remained chaste for the longest time, receivethe greatest commendation among their people; they think that by this the growth is promoted, by this the physical powers are increased and the sinews are strengthened. And to have had knowledge of a woman before the twentieth year they reckon among the most disgraceful acts; of which matter there is no concealment, because they bathe promiscuously in the rivers and [only] use skins or small cloaks of deer's hides, a large portion of the body being in consequence naked.
They do not pay much attention to agriculture, and a large portion of their food consists in milk, cheese, and flesh; nor has any one a fixed quantity of land or his own individual limits; but the magistrates and the leading men each year apportion to the tribes and families, who have united together, as much land as, and in the place in which, they think proper, and the year after compel them to remove elsewhere. For this enactment they advance many reasons-lest seduced by long-continued custom, they may exchange their ardor in the waging of war for agriculture; lest they may be anxious to acquire extensive estates, and the more powerful drive the weaker from their possessions; lest they construct their houses with too great a desire to avoid cold and heat; lest the desire of wealth spring up, from which cause divisions and discords arise; and that they may keep the common people in a contented state of mind, when each sees his own means placed on an equality with [those of] the most powerful."
While the Germanic peoples were slowly converted to Christianity by varying means, many elements of the pre-Christian culture and indigenous beliefs remained firmly in place after the conversion process, particularly in the more rural and distant regions. The Ostrogoths, Visigoths, and Vandals were Christianized while they were still outside the bounds of the Empire; however, they converted to Arianism rather than to orthodox Catholicism, and were soon regarded as heretics. The one great written remnant of the Gothic language is a translation of portions of the Bible made by Ulfilas, the missionary who converted them. The Lombards were not converted until after their entrance into the Empire, but received Christianity from Arian Germanic groups.
The Franks were converted directly from paganism to Catholicism without an intervening time as Arians. Several centuries later, Anglo-Saxon and Frankish missionaries and warriors undertook the conversion of their Saxon neighbours. A key event was the felling of Thor's Oak near Fritzlar by Boniface, apostle of the Germans, in 723. Eventually, the conversion was forced by armed force, successfully completed by Charlemagne, in a series of campaigns (the Saxon Wars), that also brought Saxon lands into the Frankish empire. Massacres, such as the Bloody Verdict of Verden, were a direct result of this policy. In Scandinavia, Germanic paganism continued to dominate until the 11th century in the form of Norse paganism, when it was gradually replaced by Christianity.
The Germanic tribes of the Migration period had settled down by the Early Middle
Ages, the latest series of movements out of Scandinavia taking place during the
Viking Age. The Goths and Vandals were linguistically assimilated to their Latin
(Italo-Western Romance) substrate populations (with the exception of the Crimean
Goths, who preserved their dialect into the 18th century). Burgundians and
were assimilated into both Latin (French & Italian) and Germanic populations.
The Viking Age Norsemen split into an Old East Norse and an Old West Norse group, which
further separated into Icelanders, Faroese and Norwegians on one hand, and Swedes and
Danes on the other. Politically, the union between Norway and Sweden was dissolved in
1905, and the Republic of Iceland was established in 1944. In Great Britain, Germanic
people coalesced into the Anglo-Saxon or English people between the 8th and 10th centuries.
The Viking Age
Norsemen split into an Old East Norse and an Old West Norse group, which further separated into Icelanders, Faroese and Norwegians on one hand, and Swedes and Danes on the other. Politically, the union between Norway and Sweden was dissolved in 1905, and the Republic of Iceland was established in 1944. In Great Britain, Germanic people coalesced into the Anglo-Saxon or English people between the 8th and 10th centuries..
The various Germanic Peoples of the Migrations period eventually spread out over a vast expanse stretching from contemporary European Russia to Iceland and from Norway to North Africa. The migrants had varying impacts in different regions. In many cases, the newcomers set themselves up as over-lords of the pre-existing population. Over time, such groups underwent ethnogenesis, resulting in the creation of new cultural and ethnic identities (such as the Franks and Galloromans becoming French). Thus many of the descendants of the ancient Germanic Peoples do not speak Germanic languages, as they were to a greater or lesser degree assimilated into the cosmopolitan, literate culture of the Roman world. Even where the descendants of Germanic Peoples maintained greater continuity with their common ancestors, significant cultural and linguistic differences arose over time; as is strikingly illustrated by the different identities of Christianized Saxon subjects of the Carolingian Empire and Pagan Scandinavian Vikings.
More broadly, early Medieval Germanic peoples were often assimilated into the walha substrate cultures of their subject populations. Thus, the Burgundians of Burgundy, the Vandals of n Andalusia and the Visigoths of western France and eastern Iberia all lost their Germanic identity and became part of Latin Europe. Likewise, the Franks of Western Francia form part of the ancestry of the French people. Examples of assimilation during the Viking Age include the Norsemen settled in Normandy and on the French Atlantic coast, and the societal elite in medieval Russia among whom many were the descendants of Slavified Norsemen (a theory, however, contested by some Slavic scholars in the former Soviet Union, who name it the Normanist theory).
Conversely, the Germanic settlement of Britain resulted in Anglo-Saxon, or English, displacement of and/or cultural assimilation of the indigenous culture, the Brythonic speaking British culture causing the foundation of a new Kingdom, England. As in what became England, indigenous Brythonic Celtic culture in some of the south-eastern parts of what became Scotland (approximately the Lothian and Borders region) and areas of what became the Northwest of England (the kingdoms of Rheged, Elmet, etc) succumbed to Germanic influence c.600-800, due to the extension of overlordshipand settlement from the Anglo-Saxon areas to the south. Between c. 1150 and c. 1400 most of the Scottish Lowlands became English culturally and linquistically through immigration from England, France and Flanders and from the resulting assimilation of native Gaelic-speaking Scots. The Scots language is the resulting Germanic language still spoken in parts of Scotland and is very similar to the speech of the Northumbrians of northern England. Between the 15th and 17th centuries Scots spread into Galloway,Carrick and parts of the Scottish Highlands, as well as into the Northern Isles. The latter, Orkney and Shetland, though now part of Scotland, were nominally part of the Kingdom of Norway until the 15th century. A version of the Norse language was spoken there from the Viking invasions until replaced by Scots. Portugal and Spain also had some measure of Germanic settlement, due to the Visigoths, the Suebi (Quadi and Marcomanni) and the Buri, who settled permanently. The Vandals (Silingi and Hasdingi) were also present, before moving on to North Africa. Many words of Germanic origin entered into the Spanish and Portuguese languages at this time and many more entered through other avenues (often French) in the ensuing centuries (see: List of Spanish words of Germanic origin and List of Portuguese words of Germanic origin).
Italy has also had a history of heavy Germanic settlement. Germanic tribes such as the Visigoths, Vandals, and Ostrogoths had successfully invaded and sparsely settled Italy in the 5th century. Most notably, in the 6th century, the Germanic tribe known as the Lombards entered and settled primarily in the area known today as Lombardy. The Normans also conquered and ruled Sicily and parts of southern Italy for a time. Crimean Gothic communities appear to have survived intact until the late 1700's, when many were deported by Catherine the Great. Their language vanished by the 1800's.
The territory of modern Germany was divided between Germanic and Celtic speaking groups in the last centuries BCE. The parts south of the Germanic Limes came under limited Latin influence in the early centuries CE, but were swiftly conquered by Germanic groups such as the Alemanni after the fall of the Western Roman Empire. After the disappearance of Germanic ethnicities (tribes) in the High Middle Ages, the cultural identity of Europe was built on the idea of Christendom as opposed to Islam (the "Saracens", and later the "Turks"). The Germanic peoples of Roman historiography were lumped with the other agents of the "barbarian invasions", the Alans and the Huns, as opposed to the civilized "Roman" identity of the Holy Roman Empire.
The Renaissance revived interest in pre-Christian Classical Antiquity and only in a second phase in pre-Christian Northern Europe. Early modern publications dealing with Old Norse culture appeared in the 16th century, e.g. Historia de gentibus septentrionalibus (Olaus Magnus, 1555) and the first edition of the 13th century Gesta Danorum (Saxo Grammaticus), in 1514. Authors of the German Renaissance such as Johannes Aventinus discovered the Germanii of Tacitus as the "Old Germans", whose virtue and unspoiled manhood, as it appears in the Roman accounts of noble savagery, they contrast with the decadence of their own day. The pace of publication increased during the 17th century with Latin translations of the Edda (notably Peder Resen's Edda Islandorum of 1665). The Viking revival of 18th century Romanticism finally establishes the fascination with anything "Nordic". The beginning of Germanic philology proper begins in the early 19th century, with Rasmus Rask's Icelandic Lexicon of 1814, and was in full bloom by the 1830s, with Jacob Grimm's Deutsche Mythologie giving an extensive account of the reconstructed Germanic mythology and his Deutsches Wörterbuch of Germanic etymology.
The development of Germanic studies as an academic discipline in the 19th century ran parallel to the rise of nationalism in Europe and the search for national histories for the nascent nation states developing after the end of the Napoleonic Wars. A "Germanic" national ethnicity offered itself for the unification of Germany, contrasting the emerging German Empire with its neighboring rivals, the Welsche French Third Republic and the "Slavic" Russian Empire. The nascent German ethnicity was consequently built on national myths of Germanic antiquity, in instances such ast the Walhalla temple and the Hermann Heights Monument. These tendencies culminated in Pan-Germanism, the Alldeutsche Bewegung aiming for the political unity of all of German-speaking Europe (all Volksdeutsche) into a Teutonic nation state. Contemporary Romantic nationalism in Scandinavia placed more weight on the Viking Age, resulting in the movement known as Scandinavism. The theories of race developed in the same period identified the Germanic peoples of the Migration period as members of a Nordic race expanding at the expense of an Alpine race native to Central and Eastern Europe.
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Germanic
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From the Greek words for empty tomb, what sort of monument exists in many cities to commemorate lives lost, especially in the 1st and 2nd World Wars?
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The World
The World
Richard Anthony
The terms 'world' and 'earth' have completely different meanings. Our Lord certainly made the distinction between 'world' and 'earth' when he said, "I have overcome the world" in John 16:33. It would be meaningless if he had said, "I have overcome the earth."
When you see the term "world" in scripture, it very rarely refers to the "earth." The "earth" (land, region, territory, country) is usually translated from Greek word #1093, ge. But "world" does not usually refer to any physical land, it mostly refers to the ungodly.
A lot of people aren't aware of this, but the eptimology of the term "world" comes from the Old English word "werold." This comes from an Old High German word, "Weralt." And this comes from an early West Germanic composition of two words: "wera" which means "man," and the Indo-European base "alth" which comes from the Latin "altus", meaning "old."
Thus, the meaning of the ancient word World is: "The Old Man." (Old English word is "werold." Broken down individually, "were" means man, and "old" means old).
When we are talking about God's Kingdom, we are talking about the new life, the new man, those who are born again; and when we talk about the world, we are talking about the old life, the old man, those who are not born again.
What Does The World Mean?
The term "world" in the New Testament books is translated from three different Greeks words.
15 times from Greek word #3625, oikoumene which refers to the first century Roman Empire (Luke 2:1; 4:5; 21:26).
128 times from Greek word #165, aion, which means "an age" (Matthew 12:32).
187 times from Greek word #2889, kosmos, which refers to the "ungodly" most of the time (1 John 2:15-16). Occasionally, it can refer to the material universe or the earth (Act 17:24), and sometimes it refers to all men (John 3:16).
This article will concern itself with the most common word, 'kosmos' and its most common defintion.
In the Greek, you find the word 'kosmos,' which appears 187 times in the New Testament books. It means the world. When was the last time you heard a pastor who practices the Christian religion tell you about the world? They use the word all the time, but they never define what it is. Similar to when so many do a sermon on 'love' and never define what 'love' is. Well, this is what 'the world' means:
According to Strong's Concordance, it means, "An apt and harmonious arrangement or constitution, order, government. The inhabitants of the earth, men, the human race. The ungodly multitude; the whole mass of men alienated from God, and therefore hostile to the cause of Christ. World affairs, the aggregate of things earthly. The whole circle of earthly goods, endowments riches, advantages, pleasures, etc., which although hollow and frail and fleeting, stir desire, seduce from God and are obstacles to the cause of Christ."
According to E.W. Bullinger's A Critical Lexicon and Concordance to the English and Greek New Testament, it additionally means, "Thus kosmos denotes the order of the world, the ordered universe, the ordered entirety of God's creation, but considered as separated from God. The abode of humanity. That order of things in which humanity moves, or of which man is the center."
According to Vines Expository Dictionary of New Testament Words, it additionally means, "inalienation from and opposition to God."
According to Vincent's Word Studies of the New Testament, kosmos means, "The order of things which is alienated from God, as manifested in and by the human race: humanity as alienated from God, and acting in opposition to Him. The sum-total of human life in the ordered universe, considered apart from, and alienated from, and hostile to God, and of the earthly things which seduce from God."
And according to Webster's New Twentieth Century Dictionary, Unabridged (1969), p. 2108. , it means, "any sphere of human activity; ... the inhabitants of the earth in general; humanity; mankind; the human race; that which pertains to the earth or to the present state of existence only; the concerns of this life as distinguished from those of the life to come; that portion of mankind which is devoted to worldly or secular affairs."
Note that the word �world� usually relates to �humans,� not to the bondservants of Christ. One cannot be both human and a servant of Christ as far as Law is concerned. This is because, in Law, the law of humans and the Law of the bondservants of Christ are not the same thing. The law of humans comes from men while the Law of the bondservants of Christ comes from God. The sphere in which humans function is the world, while that of the follower of Christ is the earth, �For the earth is the Lord�s and the fullness thereof" (1 Corinthians 10:26,28).
Thus, the source, cause, and origin of law defines its nature and use. Or, as the law says, �the source of the right ... determines the governing law" (See Handbook of the Law of Federal Courts, page 392).
So, anything that's ordered or created by man is not of God!
Hosea 8:6, "...the workman made it; therefore it is not God."
Isaiah 17:7-8, "At that day shall a man look to his Maker, and his eyes shall have respect to the Holy One of Israel. And he shall not look to the altars, the work of his hands, neither shall respect that which his fingers have made..."
The way out of the world is to shed all the things of the world.
If you are doing the lawful service of God, but, at the same time, are partaking of the things of the world (which God condemns), even man's law recognizes that the bad will destroy the good:
Where lawful services are blended with such as are forbidden, the whole being a unit and indivisible, the bad destroys the good. Trist v. child, 21 Wall. 452 (1874).
That's why the Creator told Adam and Eve to eat of every tree that is in the garden, except that of the tree of the knowledge of good and evil! You see, if someone gives you a glass of pure crystal clear sweet water, that's good. But if you put a few drops of poison into it, that's bad. And the bad makes the whole thing bad. And therefore the tree of the knowledge of good and evil is all bad, because poison will kill you, it takes time. Good and evil mixed together is not good, it is sinful.
You cannot take something unclean and mix it with the clean, and call it clean; it becomes unclean and remains unclean (Matthew 23:25-26).
What the scripture says about "The World"
James 4:4, "...know ye not that the friendship of the world is enmity with God? whosoever therefore will be a friend of the world is the enemy of God. "
1 John 2:15-16, "Love not the world , neither the things that are in the world. If any man love the world, the love of the Father is not in him. For all that is in the world, the lust of the flesh, and the lust of the eyes, and the pride of life, is not of the Father, but is of the world."
1 John 5:19, "...the whole world lieth in wickedness."
1 John 5:4, "For whatsoever is born of God overcometh the world: and this is the victory that overcometh the world, even our faith."
Romans 12:2, "And be not conformed to this world:"
Romans 16:17, "Now I beseech you, brethren, mark them which cause divisions and offences contrary to the doctrine which ye have learned; and avoid them."
John 7:7, "The world�the works thereof are evil."
John 14:17, "Even the Spirit of truth; whom the world, cannot receive, because it seeth him not, neither knoweth him:"
John 15:19, "If ye were of the world, the world would love his own: but because ye are not of the world, but I have chosen you out of the world, therefore the world hateth you."
John 17:9, "...I pray not for the world."
John 17:14, "...and the world, hath hated them, because they are not of the world, even as I am not of the world."
1 Corinthians 3:19, "For the wisdom of this world is foolishness with God."
2 Corinthians 6:14,17 "Be ye not unequally yoked together with unbelievers: for what fellowship hath righteousness with unrighteousness? and what communion hath light with darkness? Wherefore come out from among them, and be ye separate, saith the Lord, and touch not the unclean thing; and I will receive you."
1 Corinthians 10:21, "Ye cannot drink the cup of the Lord, and the cup of devils: ye cannot be partakers of the Lord's table, and of the table of devils."
1 Timothy 6:3-5, "If any man�consent not to wholesome words, even the words of our Lord Jesus Christ, and to the doctrine which is according to godliness�from such withdraw thyself."
2 Timothy 3:2-5, "For men shall be lovers of their own selves, covetous, boasters, proud, blasphemers, disobedient to parents, unthankful, unholy, Without natural affection, trucebreakers, false accusers, incontinent, fierce, despisers of those that are good, Traitors, heady, highminded, lovers of pleasures more than lovers of God; Having a form of godliness, but denying the power thereof: from such turn away."
Proverbs 4:14-15, "Enter not into the path of the wicked, and go not in the way of evil men. Avoid it, pass not by it, turn from it, and pass away."
Luke 16:15, "...that which is highly esteemed among men is abomination in the sight of God. "
1 Samuel 16:7, "...man looketh on the outward appearance, but the LORD looketh on the heart."
Matthew 4:8-10, "Again, the devil taketh him up into an exceeding high mountain, and sheweth him all the kingdoms of the world, and the glory of them; And saith unto him, All these things will I give thee, if thou wilt fall down and worship me. Then saith Jesus unto him, Get thee hence, Satan: for it is written, Thou shalt worship the Lord thy God, and him only shalt thou serve."
Revelation 18:4, "...Come out of her, my people, that ye be not partakers of her sins, "
James 1:27, "Pure religion and undefiled before God and the Father is this, To visit the fatherless and widows in their affliction, and to keep himself unspotted from the world."
1 Corinthians 2:6, "Howbeit we speak wisdom among them that are perfect: yet not the wisdom of this world..."
1 John 4:5, "They are of the world: therefore speak they of the world�"
John 14:30, "Hereafter I will not talk much with you: for the prince of this world cometh, and hath nothing in me."
1 John 4:4, "Ye are of God, little children, and have overcome them: because greater is he that is in you, than he that is in the world."
John 16:33, "These things I have spoken unto you, that in me ye might have peace. In the world ye shall have tribulation: but be of good cheer; I have overcome the world."
Your Questions Answered
How can the Bible say God made the World (Acts 17:24) and loves the world (John 3:16) on the one hand, and then turn around and tell us not to love the world (1 John 2:15) on the other? Is this a contradiction in the Bible?
Answer: No, but it does need some explanation. The Bible uses the word "world" in three different ways. First, it can mean the material universe or earth which God created. This is how the word is used in Act 17:24. Second, it can mean the world of mankind, as in John 3:16. God loves all people. Third, it can mean the affairs and things of ungodly men. This is how the word is used in 1 John 2:15-16, and this is the primary meaning of the word "world" throughout the New Testament.
Conclusion
It is God's Will that His children be not mingled among the heathen and unbelievers. When His children look to the authority of "human beings" to do the things they do, and when they look to ungodly human governments for their welfare, safety and authority, then God will make those ungodly leaders to rule over His children; God will give them over to their hands, and they will be subject to them, and their enemies will oppress them:
Psalms 106:34-44, "They did not destroy the nations, concerning whom the LORD commanded them: But were mingled among the heathen, and learned their works. And they served their idols: which were a snare unto them...Thus were they defiled with their own works, and went a whoring with their own inventions. Therefore was the wrath of the LORD kindled against his people, insomuch that he abhorred his own inheritance. And he gave them into the hand of the heathen; and they that hated them ruled over them. Their enemies also oppressed them, and they were brought into subjection under their hand. Many times did he deliver them; but they provoked him with their counsel, and were brought low for their iniquity. Nevertheless he regarded their affliction, when he heard their cry:"
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i don't know
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Hemostasis/haemostasis is what in relation to bloodflow?
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Hemostasis - definition of hemostasis by The Free Dictionary
Hemostasis - definition of hemostasis by The Free Dictionary
http://www.thefreedictionary.com/hemostasis
(hē′mə-stā′sĭs, hē-mŏs′tə-) also he·mo·sta·sia (hē′mə-stā′zhə, -zhē-ə, -zē-ə)
n.
1. The stoppage of bleeding or hemorrhage.
2. The stoppage of blood flow through a blood vessel or body part.
he•mo•sta•sis
1. the stoppage of bleeding.
2. the stoppage of the circulation of blood in a part of the body.
3. stagnation of blood in a part.
[1835–45]
hemostasis, haemostasis
the stoppage of bleeding or cessation of the circulation of the blood; stagnation of the blood in a part of the body. Also hemostasia, haemostasia.
haemostasia , haemostasis , hemostasia
surgical operation , surgical procedure , surgical process , surgery , operation - a medical procedure involving an incision with instruments; performed to repair damage or arrest disease in a living body; "they will schedule the operation as soon as an operating room is available"; "he died while undergoing surgery"
stop , stoppage - the act of stopping something; "the third baseman made some remarkable stops"; "his stoppage of the flow resulted in a flood"
Translations
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Stoppage
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What is the fastest animal alive?
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Hemostasis - definition of hemostasis by The Free Dictionary
Hemostasis - definition of hemostasis by The Free Dictionary
http://www.thefreedictionary.com/hemostasis
(hē′mə-stā′sĭs, hē-mŏs′tə-) also he·mo·sta·sia (hē′mə-stā′zhə, -zhē-ə, -zē-ə)
n.
1. The stoppage of bleeding or hemorrhage.
2. The stoppage of blood flow through a blood vessel or body part.
he•mo•sta•sis
1. the stoppage of bleeding.
2. the stoppage of the circulation of blood in a part of the body.
3. stagnation of blood in a part.
[1835–45]
hemostasis, haemostasis
the stoppage of bleeding or cessation of the circulation of the blood; stagnation of the blood in a part of the body. Also hemostasia, haemostasia.
haemostasia , haemostasis , hemostasia
surgical operation , surgical procedure , surgical process , surgery , operation - a medical procedure involving an incision with instruments; performed to repair damage or arrest disease in a living body; "they will schedule the operation as soon as an operating room is available"; "he died while undergoing surgery"
stop , stoppage - the act of stopping something; "the third baseman made some remarkable stops"; "his stoppage of the flow resulted in a flood"
Translations
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i don't know
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The word harem, referring to a women's part of a dwelling, and especially to its female occupants, originated in which ethnic people?
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Chinese Religions: An Overview
The End of Empire and Postimperial China
Bibliography
[This article provides an introduction to the rise and development of various religious movements, themes, and motifs over time. Its emphasis is on historical continuities and on the interaction of diverse currents of Chinese religious thought and practice from the prehistoric era to the present].
The study of Chinese religion presents both problems and opportunities for the general theory of religion. It is therefore instructive, before embarking on a historical survey, to outline a theoretical approach that will accomodate the wide variety of beliefs and practices that have traditionally been studied under the rubric of religion in China.
One indicator of the problematic nature of the category "religion" in Chinese history is the absence of any pre-modern word that is unambiguously associated with the category. The modern Chinese word zongjiao was first employed to mean "religion" by late 19th-century Japanese translators of European texts. Zongjiao (or shky in Japanese) is a compound consisting of zong (sh), which is derived from a pictogram of an ancestral altar and most commonly denotes a "sect," and jiao (ky), meaning "teaching." (The compound had originally been a Chinese Buddhist term meaning simply the teachings of a particular sect.) Zongjiao/shky thus carries the connotation of "ancestral" or sectarian teachings. The primary reference of this newly-coined usage for shky in the European texts being translated was, of course, Christianity. And since Christianity does in fact demand exclusive allegiance and does emphasize doctrinal orthodoxy (as in the various credos), zongjiao/shky is an apt translation for the concept of religion that takes Christianity as its standard or model.
Part of the problem arising from this situation is that Chinese (and Japanese) religions in general do not place as much emphasis as Christianity does on exclusivity and doctrine. And so Chinese, when asked to identify what counts as zongjiao in their culture, are often reluctant to include phenomena that Westerners would be willing to count as religion, because the word "religion" - while notoriously difficult to define - does not carry the same connotations as zongjiao.
Before the adoption of zongjiao, jiao itself ("teaching") came closest, in usage, to the meaning of "religion." Since at least the Ming dynasty (1368-1644), the standard rubric for discussing the religions of China was san jiao, or the "three teachings," referring to Confucianism, Daoism, and Buddhism. Yet this is problematic too, as it excludes what today is usually called "popular religion" (or "folk religion"), which throughout Chinese history has probably accounted for more religious behavior than the "three teachings" combined. This exclusion is more than a matter of usage: jiao does not apply well to popular religion beause popular religion is strongly oriented toward religious action or practice; it has very little doctrine and, apart from independent sects, no institutionally-recognized canonical texts in which doctrines would be presented.
Although constituting a standard chapter in modern Western surveys of Chinese religion, Confucianism is very often described as something other than a religion in the strict (yet poorly defined) sense. There was a time in Western scholarship when Buddhism was occasionally described in similar fashion, although outside the most conservative theological frameworks that is no longer the case. But the status of Confucianism, even in academic circles focused on Chinese religion, is still disputed.
The problematic nature of Confucianism vis-à-vis religion is the most compelling reason to suggest at the outset a conceptual framework in which all the varieties of Chinese religion can be understood. In effect this is a "definition" of religion, although it should not be considered an exclusive definition. It is, instead, one way of conceptualizing religion that is well-suited to its subject - i.e. that makes particularly good sense of Chinese religion - and that sheds light not only on the non-controversial forms of Chinese religion but also on those forms that might be excluded by some definitions. But it should be acknowledged that, since religion is a multi-dimensional set of complex human phenomena, no single definition (short of a laundry list of common characteristics) should be expected to capture its essence. Indeed, perhaps religion has no essence.
The concept of religion that will be presumed here is that religion is a means of ultimate transformation and/or ultimate orientation. This is an elaboration of a definition proposed by the Buddhologist Frederick Streng, who suggested that religion is "a means to ultimate transformation" (Streng, p. 2). "Ultimate transformation" implies (1) a given human condition that is in some way flawed, unsatisfactory, or caught in a dilemma; (2) a goal that posits a resolution of that problem or dilemma; and (3) a process leading toward the achievement of the goal. This formula is well-suited to Chinese religions because the concept of transformation (hua) is in fact a highly significant element in Confucian, Daoist, and Chinese Buddhist thought and practice. The qualifier "ultimate" means that the starting point, process, and goal are defined in relation to whatever the tradition in question believes to be absolute or unconditioned. "Ultimate orientation" introduces an aspect of Mircea Eliade's theory of sacred space and sacred time: spatial orientation to an axis mundi or "sacred pole," a symbolic connection between heaven and earth; or temporal orientation marked in reference to periods of sacred ritual time, such as annual festivals. This addition to Streng's definition accounts for certain popular practices that are not conceived in terms of ultimate transformation. Much of the contemporary practice of Chinese popular religion - such as worship and sacrifice for such mundane ends as success in school or business - can be explained in terms of ultimate orientation. And Confucianism, the most problematic strand of Chinese religion, can clearly be seen as a "means of ultimate transformation" toward the religious goal of "sagehood" (sheng), a term whose religious connotations are suggested, for example, by the use of the same word to translate the Jewish and Christian "Holy Scriptures" (shengjing).
The geographic scope of Chinese religions extends from mainland China to Taiwan, Singapore, Southeast Asia, and scattered Chinese communities throughout the world. Although religion in the Peoples Republic of China on the mainland was harshly suppressed from the 1950s through the 1970s, and indeed almost disappeared during that period, there has been considerable (although not untroubled) revitalization since the early 1980s. Our discussion of religion in Chinese history up to the middle of the twentieth century will be limited to mainland China; only after that point will it extend to the rest of the Chinese world, with a focus on Taiwan.
Contemporary Chinese religion is the product of continuous historical development from prehistoric times. In that period the area of present-day China was inhabited by a large number of tribal groups. In around 5000 B.C.E. several of these tribes developed agriculture and began to live in small villages surrounded by their fields. Domesticated plants and animals included millet, rice, dogs, pigs, goats, sheep, cattle, and silkworms. The physical characteristics of these early agriculturalists were similar to those of modern Chinese. The archaeological record indicates gradual development toward more complex technology and social stratification. By the late Neolithic period (beginning around 3200 B.C.E.) there were well-developed local cultures in several areas that were to become centers of Chinese civilization later, including the southeast coast, the southwest, the Yangze River valley, the northeast, and the northern plains. The interaction of these cultures eventually led to the rise of literate, bronze-working civilizations in the north, the Xia (before 1500 B.C.E.) and Shang (c. 1500-1050 B.C.E.). The existence of the Xia kingdom is attested in early historical sources that have otherwise been shown to accord with archaeological discoveries. However, archaeologists are still debating whether the Xia period constituted a state-level "dynasty," as it has traditionally been described. The Shang has been archaeologically verified, beginning with the excavation of one of its capitals in 1928.
There is some evidence for prehistoric religious activities, particularly for a cult of the dead, who were often buried in segregated cemeteries, supine, with heads toward a single cardinal direction. In some sites houses and circles of white stones are associated with clusters of graves, while in others wine goblets and pig jaws are scattered on ledges near the top of the pit, perhaps indicating a farewell feast. There seems to have been a concern for the precise ordering of ritual acts, perhaps an early version of the importance of universal order or pattern in later Chinese cosmology. In the Wei River area, secondary burial was practiced, with bones from single graves collected and reburied with those of from twenty to eighty others. Grave offerings are found in almost all primary burials, with quantity and variety depending on the status of the deceased; tools, pottery vessels, objects of jade and turquoise, dogs, and, in some cases, human beings. Jade, in particular - a substance that does not break down and requires extraordinary skill and effort to carve with the simplest of tools - was associated with high-status burials and perhaps symbolized the eternity of the afterlife. The bi (a flat disk with a central hole) and cong (a tube, square on the outside and circular inside) were jade mortuary objects - apparently not used in life - whose meanings have not been determined. The bodies and faces of the dead were often painted with red ochre, a symbol of life. All of these practices constitute the prehistoric beginnings of Chinese ancestor worship. Other evidence for prehistoric religion includes deer buried in fields and divination through reading cracks in the dried shoulder bones of sheep or deer. This form of divination, attested in what is now northeast China by 3560-3240 B.C.E., is the direct antecedent of similar practices in historical times. Buried deer suggest offerings to the power of the soil, a common practice in later periods.
Early Historical Period
The early historical period (Shang and Zhou kingdoms) saw the development of many of the social and religious beliefs and practices that continue to this day to be associated with the Chinese. Although obvious links with the earlier period persist, it is with the emergence of these kingdoms that the religious history of the Chinese properly begins.
The Shang. The formation of the Shang kingdom was due to technological innovation such as bronze casting, and to the development of new forms of social and administrative control. Extant evidence provides information about the religion of the Shang aristocracy, characterized in the first place by elaborate graves and ceremonial objects for the dead. Grave offerings include decapitated human beings, horses, dogs, large numbers of bronze vessels, and objects of jade, stone, and shell. Some tombs were equipped with chariots hitched to horses. These tomb offerings indicate a belief that afterlife for members of the royal clan was similar to that of their present existence, but in a heavenly realm presided over by the Shang high god Di ("Lord") or Shangdi ("Lord on High").
The major sources for our understanding of Shang religion are inscriptions on oracle bones and in bronze sacrificial vessels. From these we learn that the most common recipients of petition and inquiry were the ancestors of the royal clan. These deified ancestors were believed to have powers of healing and fertility in their own right, but also could serve as intermediaries between their living descendants and more powerful gods of natural forces and Shangdi. Ancestors were ranked by title and seniority, with those longest dead having the widest authority. Since they could bring harm as well as aid to their descendants, it was necessary to propitiate the ancestors to ward off their anger as well as to bring their blessing. Nature deities named in the inscriptions personify the powers of rivers, mountains, rain, wind, and other natural phenomena. Shangdi, whose authority exceeded that of the most exalted royal ancestor, served as a source of unity and order. [See Shangdi.]
To contact these sacred powers the Shang practiced divination and sacrificial rituals, usually closely related to each other. In divination, small pits were bored in the backs of turtle plastrons or the shoulder blades of oxen or sheep. Heated bronze or wooden rods were placed in these impressions, causing the bones to crack with a popping sound. Diviners then interpreted the pattern of the cracks on the face of the bone, perhaps combined with the sound of the popping, to determine yes or no answers to petitions. The subjects of divination include weather, warfare, illness, administrative decisions, harvests, royal births (with the preference for sons that was to continue throughout Chinese history already present) and other practical issues, but the most frequent type of inquiry was in reference to sacrifices to ancestors and deities. Sacrifices to ancestors and spirits residing above consisted mainly of burning meat and grain on open air altars; gods of the earth were offered libations of fermented liquors, and those of bodies of water given precious objects such as jade. Sacrificial animals included cattle, dogs, and sheep. Human beings were sacrificed during the funeral rituals of kings, presumably to serve them in the afterlife. At least one powerful woman was also buried with human sacrifices, in addition to thousands of precious objects (bronze and jade objects, cowrie shells). This was Fu Hao (Lady Hao), the wife of King Wuding, around 1200 B.C.E., who apparently commanded an army during her lifetime and was given sacrifices after her death.
The Shang had a ten-day week, and the titles of the deified royal ancestors corresponded to the day on which sacrifice was made to them. Thus their personal characteristics were less significant than their seniority and their place in the ritual cycle. In the sacrifices themselves what was most important was the proper procedure; the correct objects offered in the right way were believed to obligate the spirits to respond. Thus, in Shang sacrifice we already see the principle of reciprocity, which has remained a fundamental patten of interaction throughout the history of Chinese religions. In Shang theology the king played the role of intermediary between the human and heavenly realms. He was responsible for maintaining harmonious relations with his ancestors, Di, and the other deities, and so ensuring their blessings on the realm. The considerable expenditures of time and resources devoted to sacrifice and divination in the Shang court suggest that the authority of the king depended in part on his role as the pivot between heaven and earth.
The Zhou. There are many references in Shang oracle bone texts to a people called Zhou who lived west of the Shang center, in the area of modern Shanxi Province. The Zhou, who were considered to be an important tributary state, were at first culturally and technologically inferior to the Shang, but learned rapidly and by the eleventh century B.C.E. challenged the Shang for political supremacy. The final Zhou conquest took place in about 1050 B.C.E.. Remnants of the Shang royal line were allowed to continue their ancestral practices in the small state of Song, in exchange for pledging loyalty to the Zhou.
The Zhou system of government has been loosely called "feudal," but it differed from European feudalism in that the peasants were not legally bound to the land, and the local lords (gong, or "dukes") owed allegiance to the central king (wang) based not on law but on bonds of kinship. The king directly ruled only a small territory around the capital city, Chang'an, which was located in the Wei River valley near present-day Xi'an. He controlled an army, which frequently was joined by armies of the various dukes. The Zhou kings were the first to call themselves "Son of Heaven" (Tianzi), a term that continued to be applied to the later emperors of China up to the early 20th century. Corollary to their identity as Son of Heaven, they alone had the right and responsibility to make annual sacrifices to Heaven. This too was a practice that lasted until the 20th century.
The Zhou dynasty lasted, nominally, almost 800 years, making it the longest-lasting dynasty in world history. But in fact their power and their territory remained intact only until 771 B.C.E., when the king was assassinated and the capital was moved eastward to the more easily defended Luoyang. The periods corresponding to these two capitals are called Western Zhou (1050-771) and Eastern Zhou (771-221). The Eastern Zhou was a period of increasing fragmentation, and is further divided into the Spring and Autumn period (722-476) and the Warring States period (475-221). The former is named after a chronicle of the state of Lu, in contemporary Shandong Province, covering these years and traditionally attributed to Confucius (Lu was Confucius's home state). The latter period, as the name implies, saw almost constant warfare, as the last seven major states (formerly Zhou fiefdoms) battled it out until only one was left standing, the Qin.
The Western Zhou period, especially the periods of the earliest kings, was regarded by later Chinese thinkers as a golden age of enlightened, benevolent rule by sage-kings. They especially revered the first two kings, Wen and Wu (whose names mean "culture" and "military," respectively), and King Wu's brother, the Duke of Zhou, whose "fief" was the state of Lu (later to be Confucius' home state). But it was the Eastern Zhou, the period of political disintegration, that witnessed the origins of classical Chinese civilization. It was during this era - sometimes called the Period of the Hundred Philosophers - that Confucianism, Taoism, and many other schools of thought began.
Unlike the sources available to us regarding Shang religion, which are limited to oracle bones and inscriptions on bronze ritual vessels, there are enough Zhou sources to allow us say something about the religion of common people as well that of the aristocracy. Both commoners and elite believed in gods, ghosts, ancestors, and omens (the significance to human beings of unusual phenomena in nature) and practiced divination, sacrifice, and exorcism. The common ground shared by the elite and the common people was much more extensive than their differences, which for the most part were differences in emphasis and interpretation. These distinctions begin to emerge in the Western Zhou and become clearer in the Eastern Zhou or Classical period.
The early Zhou elite, as might be expected, were chiefly concerned with their aristocratic ancestors, the powerful ruling gods, and political matters, while the common people had more interaction with lower gods, demons, and ghosts that inhabited the world and generally made trouble for people. The Zhou ancestors were believed to reside in a celestial court presided over by Tian, "Heaven," the Zhou high god, similar to Shangdi in scope and function although less personalized. The ancestors had power to influence the prosperity of their descendants, their fertility, health, and longevity. Through ritual equation with deities of natural forces the ancestors could also influence the productivity of clan lands. In addition, royal ancestors served as intermediaries between their descendants and Tian. [See Tian.]
Ancestral rituals took the form of great feasts in which the deceased was represented by an impersonator, usually a grandson or nephew. In these feasts the sharing of food and drink confirmed vows of mutual fidelity and aid. The most important ancestor worshiped was Hou Ji, who was both legendary founder of the ruling house and the patron of agriculture. As was true for the Shang, Zhou rituals were also directed toward symbols of natural power such as mountains and rivers; most significant natural phenomena were deified and worshipped. The proper time and mode of such rituals were determined in part by divination, which in the Zhou involved both cracking bones and turtle plastrons and the manipulation of dried stalks of the yarrow or milfoil plant. Divination was also employed in military campaigns, the interpretation of dreams, the siting of cities, and in many other situations involving important decisions.
Milfoil divination became the method at the core of the Zhouyi, or Changes of Zhou, a divination manual that acquired philosophical commentaries and became known as the Yijing, or Scripture of Change, part of the earliest Confucian canon. The Yijing classifies human and natural situations by means of sixty-four sets of six horizontal lines (hexagrams), each of which is either broken or solid. The solid lines represent qian or Heaven, the creative or initiating force of nature, while the broken lines represent kun or earth, which receives and completes. The permutations of these fundamental principles, according to early Chinese cosmology, constitute the patterns or principles of all possible circumstances and experiences. Through ritual manipulation involving chance divisions the milfoil stalks are arranged in sets with numerical values corresponding to lines in the hexagrams. One thereby obtains a hexagram that reflects one's present situation; additional line changes indicate the direction of change, and thus a potential outcome. Contemplation of these hexagrams clarifies decisions and provides warning or encouragement.
The Yijing is essentially a book of wisdom for personal and administrative guidance, used since at least the seventh century B.C.E.. However, from the sixth century B.C.E. on commentaries were written to amplify the earliest level of the text, and by the first century C.E. there were seven such levels of exposition, some quite philosophical in tone. The Scripture of Change was believed to reflect the structure of the cosmic order and its transformations, and hence became an object of reverent contemplation in itself. Its earliest levels antedated all the philosophical schools, so it belonged to none, though the Confucians later claimed it as sacred scripture. The polarity of qian and kun provided a model for that of yang and yin, first discussed in the fourth century B.C.E.. The Yijing's sometimes obscure formulations gave impetus to philosophical speculations throughout the later history of Chinese thought.
A third focus of Zhou worship, in addition to ancestors and nature gods, was the she, a sacred earth mound located in the capital of each state and in at least some villages. The state she represented the sacred powers of the earth available to a particular domain, and so was offered libations upon such important occasions in the life of the state as the birth of a prince, ascension to rule, and military campaigns. Beside the earth mound stood a sacred tree, a symbol of its connection to the powers of the sky. The she was an early form of the shrine to the earth-god, or tudigong, which is a prominent part of Chinese popular religion today.
The early Zhou aristocracy carried out sacrificial rituals to mark the seasons of the year and promote the success of farming. These sacrifices, performed in ancestral temples, were offered both to the high god Tian and to ancestors. These and other Zhou rituals were elaborate dramatic performances involving music, dancing, and archery, concluding with feasts in which much wine was consumed.
The most distinctive early Zhou contribution to the history of Chinese religions was the theory of tianming, the "mandate of Heaven," first employed to justify the Zhou conquest of the Shang and attributed to the Duke of Zhou. According to this theory, Heaven as a high god wills order and peace for human society. This divine order is to be administered by virtuous kings who care for their subjects on Heaven's behalf. These kings are granted divine authority to rule, but only so long as they rule well. If they become indolent, corrupt, and cruel, the "mandate of Heaven" can be transferred to another line. This process can take a long time and involve many warnings to the ruler in the form of natural calamities and popular unrest. Those who heed such warnings can repent and rehabilitate their rule; otherwise, the mandate can be claimed by one who promises to restore righteous administration. In practice it is the victors who claim the mandate, as did the founding Zhou kings, on the grounds of the alleged indolence and impiety of the last Shang ruler. The idea of the mandate of Heaven has gripped the Chinese political imagination ever since. It became the basis for the legitimacy of dynasties, the judgment of autocracy, and the moral right of rebellion. This status it owed in part to its support by Confucius and his school, who saw the mandate of Heaven as the foundation of political morality. The corollary notion that Heaven has a moral will was the first formulation of what later became a foundation principle of Confucian thought: that human moral values are ground in the natural world.
Commoners during the Zhou period had less reason to trust in the moral will of Heaven, as the lives they led were more subject to hardships imposed by capricious natural phenomena than those of the ruling elite. The Scripture of Odes (Shijing), for example, contains the following verse that probably reflects the feelings of common people:
Great Heaven, unjust,
Is sending down these exhausting disorders.
Great Heaven, unkind,
Is sending down these great miseries (trans. Poo, p. 37).
While such sentiments were undoubtedly not limited entirely to the common people, they are strikingly at odds with the concept of a moral, just Heaven. Commoners' beliefs were closely tied to the agricultural cycle and the negative or dangerous spiritual forces inhabiting the world. In contrast to the more abstract Heaven, these forces took the form of an astonishing variety of gods, demons, and spirits. These included the gods of particular mountains, rivers, and seas (usually depicted in hybrid animal or animal-human forms), earth gods (tu shen), a sacred serpent, a thorn demon, a water-bug god, hungry ghosts, and the high god, called Shang Di (High Lord, the same term used during the Shang dynasty), Shang Huang (High Sovereign), or Shang Shen (High God). With the possible exception of the high god, these deities were not immortal. Nor were they concerned with human morality; unlike Tian, they responded only to properly-performed sacrifices. Sacrifice by commoners was generally performed for personal and familial welfare, unlike the predominant concerns among the elite for affairs of state.
When the early Zhou political and social synthesis began to deteriorate in the eighth century and competing local states moved toward political, military, and ritual independence, rulers from clans originally enfeoffed by Zhou kings also lost their power, which reverted to competing local families. This breakdown of hereditary authority led to new social mobility, with status increasingly awarded for military valor and administrative ability, regardless of aristocratic background. There is some evidence that even peasants could move about in search of more just rulers. These political and social changes were accompanied by an increase in the number and size of cities, and in the circulation of goods between states. But as warfare increased throughout this period, commoners were repeatedly conscripted into various armies, playing havoc with local agricultural economies (not to mention social morale and family life) as able-bodied men were forcibly taken away from their fields. There were numerous shifting alliances among the powerful states (as the former fiefdoms could now be called), and gradually their number decreased as the most powerful gobbled up the weaker ones. During the final century or so of the Warring States period, some of the dukes began calling themselves kings (wang), usurping the title reserved for the central monarch under the Zhou system.
This time of social mobility and political chaos was a fertile period in the history of Chinese religion and philosophy. There began to appear a new class of intellectual elite, who would eventually produce the texts that formed the foundations of the classical tradition. The intellectuals, like the ruling elite, were interested in the abstract notion of a moral Heaven, although they understood it less as a doctrine of political legitimation and more as a religious basis for a system of ethical thought and practice. The ruling elite, on the other hand -- finding that the need for legitimation of their military takeover of the Shang (now over two hundred years in the past) was not as pressing as it once had been - seem to have lost interest in the idea and concentrated more on the older systems of worship of royal ancestors and spirits of nature. These older rituals became more elaborate and were focused on the ancestors of the rulers of the states rather than on those of the Zhou kings.
Some intellectuals in this era were led to question the power of the gods. In theory, the loss of a state was ultimately due to ritual negligence by the ruler, while the victors were supposed to provide for sacrifices to the ancestors of the vanquished. But in practice, many gods charged with protection were deemed to have failed while their desecrators flourished. The worldviews of the elite and the commoners were not radically distinct: the panoply of spiritual beings was known to all, and to the extent that members of the elite had family roots in the agricultural tradition, they too engaged in the ritual forms of propitiation of and communication with the various gods, ghosts, and spirits. The religious worldview was a continuous whole, in which differences in emphasis corresponded to differences in the immediate concerns and interests of its participants.
By the sixth century a more rationalistic perspective developed in the minds of many intellectuals, accompanied by a turning away from gods and spirits to the problems of human society and governance. The collapse of the Zhou system persuaded the majority of intellectuals that there was a critical need for a new political and ideological foundation for the state. There were, essentially, two aspects to the intellectual problem posed by the Zhou breakdown: theoretical and practical. The theoretical problem stemmed from the doctrine of the Mandate of Heaven: if Heaven indeed has (or is) a moral will, and if Heaven has the power to influence human events by replacing evil rulers with good ones, how can such violence and suffering continue? [See Theodicy.] This question and the question of the nature and origin of evil (usually posed as the question of human nature), became central to the Confucian tradition by the end of the Zhou period. The practical problem, which on the whole received more attention than the theoretical one, was simply: how are social and political order and harmony to be restored? What is the proper role of government in human life, and how should society and government be organized and run? How can rulers discharge their moral responsibilities to their people and to Heaven? How can they maintain their legitimacy in light of the Mandate of Heaven?
Confucius. It was in this context that we find the beginnings of Chinese philosophy. Confucius (c. 551-479 B.C.E.) was born in the small state of Lu, near the present city of Qufu, in present-day Shandong province. His given name was Kong Qiu; as an adult he was commonly known as Kong Zhongni, although many called him by the honorific name Kongzi, or Master Kong. "Confucius" is a Latinized name invented by 17th-century Jesuit missionaries in China, based on a very rarely-used honorific name, Kongfuzi. Lu was a state in which the old Zhou cultural traditions were strong but that was buffeted both by repeated invasions and by local power struggles. Confucius's goal was the restoration of the ethical standards, just rule, and legitimate government -- the Dao or "Way" -- of the early Zhou period as he understood them. The models for the restoration of the Dao were the founding kings of the Zhou dynasty, who had ruled with reverence toward their ancestors and kindness toward their people, ever fearful of losing Heaven's approval. These models had mythic force for Confucius, who saw himself as their embodiment in his own age.
The sources from which the Way of the ancient kings could be learned were ritual, historical, literary, and oracular texts, some of which later came to be known as the Five Scriptures (wu jing). ("Five Classics" is the usual translation, but they certainly were regarded by Confucius and his followers as sacred texts, so "scriptures" is more accurate.) In addition to the Yijing, the divination text discussed above, they included the Shijing (Scripture of Odes), a collection of folk and aristocratic songs allegedly collected by Confucius; the Shujing (Scripture of Documents), purporting to consist of official documents from the ancient Xia dynasty (still historically undocumented) up through the Shang and early Zhou dynasties; the Chunqiu (Spring and Autumn), the terse history of Confucius's home state of Lu; and the Liji (Record of Ritual), which describes not only the formal rituals of the early Zhou, but also the modes of behavior, customs, dress, and other aspects of the lives of the early kings. A sixth one, the Yuejing (Scripture of Music), is no longer extant but sections of it survive in the Liji.
Although several parts of the Five Scriptures were later attributed to Confucius, it is not likely that he wrote anything that survives. The best source of his teachings is the Lunyu (Analects), a collection of his sayings recorded by his disciples after his death. Since the compilation of this text continued for over a century, much of it is not historically reliable. Nevertheless, throughout Chinese history until recent times it has been regarded as the definitive teachings of Confucius, so in terms of its influence on Chinese culture it can be read as a whole.
Confucius believed that society could be transformed by the moral cultivation of those in power, because virtue (de) has a natural transformative effect on others. This inner moral power or potential was "given birth to" or generated in the individual by Heaven, and it was this that Heaven responded to, not merely the outward show of ritual or the exercise of force. Thus government by virtue - i.e. by setting a moral example - was actually more effective in the long run than government by force or the strict application of law and punishment. De had earlier referred simply to the power of a ruler to attract and influence subjects, so in this and several other respects Confucius's innovation was to moralize a concept that hitherto had been ethically neutral. The moral perfection of the individual and the perfection of society were coordinate goals, for the moral perfection of the self required a morally supportive social environment, in the form of stable and loving families, opportunities for education, and good rulers to serve as models. Society as a whole could best be perfected from the top down, and in terms of the political situation it was most important to establish a government staffed by virtuous men (women did not serve in government). For these reasons Confucius directed his teaching toward local rulers and men whose goal was to serve in government. Literacy was a major component of the moral cultivation that he taught, and so he did not bring his message to the masses, the great majority of whom at that time were illiterate.
He gathered a small group of disciples whom he taught to become junzi ("superior men"), men of ethical sensitivity and historical wisdom who were devoted to moral self-cultivation in preparation to become humane and able government officials. The term junzi had originally referred to hereditary nobility, but Confucius used it to mean a kind of moral nobility. Likewise, he expanded the meaning of li, or "ritual," to mean proper behavior and a kind of reverent seriousness in one's every action. [See Li.] The highest virtue was ren, "humanity" or "humaneness," which Confucius understood to be the perfection of being human. Ren described the inner moral character that was necessary in order for one's outward behavior, or li, to be authentic and meaningful. Confucius regarded ren as a nearly transcendental quality that only the mythic sages of the past had actually attained, although later Confucians claimed it was attainable by anyone.
Thus Confucius initiated a new level of ethical awareness in Chinese culture and a new form of education, education in what he believed were universal principles for mature humanity and civilization. He assumed that the criteria for holding office were intelligence and high moral principles, not hereditary status, and so further undermined the Zhou feudal system that was crumbling around him. His ethical teachings were intended to describe the "Way" (dao) of the superior or morally noble person, a way that originated in the will of Heaven for its people. Although this Way had been put into practice by the glorious founders of the Zhou dynasty, it was not presently being practiced. The absence of the Way was manifested by widespread conflict and a breakdown of ritual and propriety (li), indicating not only a breach in the social order but also in the cosmic order. Ritual or ritual propriety, therefore, was not merely a means of enforcing social order, nor was Confucius's innovation a turn from religion to philosophy; rather it was a philosophical deepening of a fundamentally religious worldview. Despite the fact that he urged his followers to pay more attention to human affairs than to the worship of the variety of traditional spiritual beings, he denied neither their existence nor the importance of worshipping ancestors. He redirected the religious sense of awe and reverence that had traditionally been focused on the realm of gods and spirits to the human, social and political sphere. [See the biography of Confucius.]
The followers of Confucius came to be known as ru or "scholars," signifying their relationship with the literary tradition. They were in a sense custodians of and experts in the literate cultural tradition (wen), especially in the areas of court ritual, official protocol, and history. By the fourth and third centuries B.C.E. other schools of thought were developing. They included a school of natural philosophy based on the concept of the yin (dark, quiescent) and yang (light, active) phases of qi (psycho-physical substance); an early form of Daoism (Taoism); a school of Legalism that taught the strict application of law and punishment as the solution to the era's disorder; a school based on the investigation of names and their meanings; and several others. In the culture at large religious beliefs and activities continued unabated; divination and rituals accompanied every significant activity, and a quest for personal immortality was gaining momentum. One of the new schools of thought that reflected this common concern for religion was that of Mozi.
Mozi. Mozi (Master Mo, fifth century B.C.E.), a thinker from an artisan background, was a thorough-going utilitarian who taught that the fundamental criterion of value was practical benefit to all. He was from Confucius's home state of Lu and was educated in the emerging Confucian tradition, but turned against what he perceived to be its elitism and wasteful concern with elaborate rituals. In his ethical teaching Mozi reinterpreted along utilitarian lines such Confucian principles as righteousness and filial reverence, focusing on the theme of universal love without familial and social distinctions. He also attracted a group of disciples whom he sent out to serve in various states in an attempt to implement his teachings.
For the history of Chinese religions the most significant aspect of Mozi's thought is his concern to provide theological sanctions for his views. For Mozi, Tian, or Heaven, is an active creator god whose will or mandate extends to everyone; what Heaven wills is love, prosperity, and peace for all. Heaven is the ultimate ruler of the whole world; Tian sees all, rewards the good, and punishes the evil. In this task it is aided by a multitude of lesser spirits who are also intelligent and vital and who serve as messengers between Tian and human beings. Mozi advocated that since this is the nature of divine reality, religious reverence should be encouraged by the state as a sanction for moral order.
To protect himself from intellectual skeptics Mozi at one point allowed that even if deities and spirits do not exist communal worship still has social value. Although his whole attempt to argue for belief in Heaven on utilitarian grounds could be understood as a last stand for traditional religion within a changing philosophical world, there is no reason to doubt that Mozi himself believed in the gods. [See Moism and the biography of Mozi.]
The fourth century B.C.E. was a period of incessant civil war on the one hand and great philosophical diversity on the other. A variety of thinkers arose, each propounding a cure for the ills of the age, most seeking to establish their views by training disciples and attaining office. Some advocated moral reform through education, others authoritarian government, laissez faire administration, rationalized bureaucracy, agricultural communes, rule in accord with the powers of nature, or individual self-fulfillment. Religious concerns were not paramount for these thinkers; indeed, for some they do not appear at all. The two traditions of this period that do warrant discussion here are the Confucian, represented by Mengzi (Mencius, c. 371-289 B.C.E.), and that of the mystically inclined individualists, traditionally known as the Daoists.
Mengzi. Master Meng, whose given name was Meng Ke, was a teacher and would-be administrator from the small state of Zou who developed Confucius's teachings and placed them on a much firmer philosophical and literary base. Mengzi was concerned to prepare his disciples for enlightened and compassionate public service, beginning with provision for the physical needs of the people. He believed that only when their material livelihood is secure can the people be guided to higher moral awareness. This hope for moral transformation is grounded in Mengzi's conviction that human nature contains the potential for goodness. What is needed are rulers who nourish this potential as "fathers and mothers of the people." These teachings Mengzi expounded courageously before despotic kings whose inclinations were quite otherwise.
Tian or Heaven, for Mencius, is an expression of the underlying moral structure of the world, so that in the long run "those who accord with Heaven are preserved, and those who oppose Heaven are destroyed." Heaven's will is known through the assent or disapproval of the people -- a proto-democratic aspect of Mencius's thought. The human mind possesses an innate potential for moral awareness, a potential bestowed by Heaven at birth, so that "to understand human nature is to understand Heaven" and "to preserve one's mind and nourish one's nature is to serve Heaven." This potential is more than mere possibility; it is comprised of innate and concrete emotional dispositions which, when nourished or developed, become the core virtues of humanity (ren), rightness or appropriateness (yi), propriety (li), and moral wisdom (zhi). This natural course of human development, rather than a static essence, is what constitutes human nature for Mencius. In cultivating our moral capacities we become fully human and actualize the moral potential of the cosmos. But this process requires a supportive, nourishing environment: a loving and supportive family, opportunities for education, and a humane government.
As had Confucius, Mengzi assumed that ancestor veneration was a basic requirement of civilized life, but neither thinker emphasized such veneration as much as did later texts like the Xiaojing, the Scripture of Filiality (third century B.C.E.). And while Confucius had relied largely upon the power of the cultural tradition - in particular the words and examples of the ancient sages preserved in the Five Scriptures - to serve as agents of individual and social transformation, Mencius's theory could be characterized as a developmental moral psychology. Mengzi represents both a further humanization and a further spiritualization of the Confucian tradition, and his emphasis on the powers of human nature did much to shape the religious sensibilities of Chinese philosophy. In a third century B.C.E. text closely associated with the Mencian school, the Zhongyong ( "The Mean in Practice" or "Centrality and Commonality"), these tendencies were developed to a point not seen again until the eleventh and twelfth century revival of Confucianism:
Only that one in the world who is most perfectly authentic is able to give full development to his nature. Being able to give full development to his nature, he is able to give full development to the nature of other human beings and, being able to give full development to the nature of other human beings, he is able to give full development to the natures of other living things. Being able to give full development to the natures of other living things, he can assist in the transforming and nourishing powers of Heaven and Earth; being able to assist in the transforming and nourishing powers of Heaven and Earth, he can form a triad with Heaven and Earth.
[See the biography of Mengzi.]
Xunzi. The third most important Confucian philosopher before the Han dynasty (202 B.C.E.-220 C.E.) was Xunzi (Xun Qing, d. 215 B.C.E.), a scholar from the state of Zhao who held offices for a time in the larger states of Qi and Chu. Xunzi's thought was influenced by several of the traditions that had developed before his time, including those of the Logicians, Daoists, and Legalists. Xunzi agreed with the Legalist emphasis on the need for strong centralized rule and a strict penal code. He also shared their low estimate of human nature, which in his view tended toward selfishness and competition. Nonetheless, Xunzi believed that human attitudes and behavior are perfectible by dint of much discipline and effort, so his differences with Mencius on this point are those of degree. Both thinkers claimed that the ordinary person can become a "sage" (shengren), one who fully exemplifies the virtue of humanity (ren). But for Mencius this was a developmental process, while for Xunzi it was a transformation (hua) requiring the external leverage, so to speak, of past sages.
Xunzi's chief contribution was his reinterpretation of Tian as the order of nature, an order that has no consciousness and is not directly related to human concerns. This interpretation is parallel to the views of the Laozi (Daodejing) and Zhuangzi texts concerning the cosmic "Way" (Dao). Xunzi was concerned to separate the roles of heaven, earth, and man, with human attention directed toward ethics, administration, and culture. In this context rituals such as funeral rites are valuable channels for emotions, but have no objective referent; their role is social and psychological, not theological. Ignorant "petty people" who literally believe in the efficacy of rain dances and divination are to be pitied; for the gentleman such activities are "cultural adornment."
Xunzi thus gave impetus to the skeptical tradition in Chinese thought that began before Confucius and was reinforced by later thinkers such as Wang Chong (c. 27-96 C.E.). Xunzi's teachings at this point provided a theoretical basis for a rough bifurcation between elite and popular attitudes toward religion and for sporadic attempts to suppress "excessive cults." Xunzi's epistemology also set up the intellectual framework for a critique of heresy, conceived as inventing words and titles beyond those employed by general consensus and sanctioned by the state. These themes had important implications for the remainder of Chinese history, including official attitudes toward religion today. [See the biography of Xunzi.]
Early Daoist thought. The earliest extant writings focused on the mysterious cosmic "Way" (dao) that underlies all things are the first seven chapters of the extant Zhuangzi, a text attributed to a philosopher named Zhuang Zhou of the fourth century B.C.E., and one section of the Guanzi, another fourth-century text. Zhuang Zhou, or Zhuangzi (Master Zhuang), was convinced that the world in its natural state is peaceful and harmonious, a state exemplified by the growth of plants and the activities of animals. Disorder is due to human aggression and manipulation, a tendency that finds as much expression in Confucian and Moist moralizing as in cruel punishments and warfare. Such moralizing in turn is rooted in a false confidence in words, words that debators use to express their own limited points of view and thus to dichotomize our understanding of the world. Indeed, all perspectives are limited and relative, conditioned by the interests and anxieties of species, social positions, and individuals. The answer to this problem is to understand and affirm the relativity of views, and thus harmonize them all. This the sage does by perceiving the constant rhythms of change within all life and identifying with them. In his view all dichotomies are unified; hence there is no need for struggle and competition. The sage intuits the Dao within and behind all things, and takes its all-embracing perspective as his own. This perspective allows him to achieve a state of emotional equanimity, which even a serious illness or the death of a loved-one cannot disturb. Indeed, such events illustrate the ultimate truth of the Way - change and transformation - and can therefore provide opportunities to rejoice in one's participation in what is fundamentally real. [See the biography of Zhuangzi.]
The Guanzi is a long, composite text attributed to a famous statesman of the seventh century B.C.E., but it was probably written or compiled from the fourth to the second centuries B.C.E., and its actual authors are unknown. Its earliest sections focuses on the cosmological and physiological bases of self-transformation according to the Way, using such concepts as qi (the psycho-physical substance of all things), jing (life-giving essence), and shen (spirit), all of which remained central to the Daoist religion in its later development.
The best-known book devoted to discussing the Dao behind all things is the early third-century B.C.E. Daodejing (The Way and Its Power), also known as the Laozi, after its reputed author, a mythical sage known simply as the "Old Master," said to have been an older contemporary of Confucius. The Laozi discusses the Way in more direct, metaphysical terms than does the Zhuangzi, all the while protesting that such discussion is ultimately futile. Here we are told that the Dao is the source of all things, "the mother of the universe," the ineffable cosmic womb out of which all emerges. The Dao also "works in the world," guiding all things in harmonious development and interaction. As both source and order of the world the Dao serves as a model for enlightened rulers who gain power by staying in the background and letting their people live spontaneously in response to their own needs. The Dao is the vital force of life perceived at its utmost depth; it works mysteriously and imperceptibly and yet there is nothing it does not accomplish. Its symbols are water rather than rock, valleys rather than hills, the female rather than the male. Although its perspective is profound, its author intended this book to be a handbook of wise and successful living, living characterized by a natural, spontaneous action that does not prematurely wear itself out. [See Dao and De.]
These texts were the sources of a persistent tradition of naturalistic mysticism in the history of Chinese religions. They were the inspiration for much poetry, romantic philosophy, and meditation, all intended as a corrective for the bustle and competition of life, a means to peace of mind, and a clarification and broadening of perspective. They describe the enlightened person as living peacefully and long because he does not waste his vital powers on needless contention and aggression. In the Laozi, for example, we are told that "He who knows when to stop is free from danger; therefore he can long endure" (chap. 44), and that one who is "a good preserver of his life" cannot be harmed, "because in him there is no room for death" (chap. 50). Although in some passages of the Zhuangzi an enlightened perspective leads to acceptance of death, a few others provide poetic visions of immortals, those who have transcended death by merging with the Dao. One of the terms Zhuangzi uses for these individuals is zhenren, "perfected people," a term that later became important in the fully-developed Daoist religion that took shape after the second century C.E.. These indications of immortality in the earliest Daoist texts provided the chief point of contact between the classical tradition and those who sought immortality by more direct means, including later practitioners of Daoist religion.
The quest for immortality. An explicit concern for long life (shou) had already appeared on early Zhou bronzes and in poems in the Scripture of Odes. Beginning in the eighth century B.C.E. we find terms expressing a hope for immortality, such as "no death," "transcending the world," and "becoming an immortal." By the fourth century B.C.E. there is evidence of an active quest for immortality through a variety of means, including exercises imitating the movements of long-lived animals, diets enforcing abstinence from grains, the use of food vessels inscribed with characters indicating longevity, the ingestion of herbs and chemicals, and petitions for the aid of immortals residing in mountains or distant paradises. It was in this context that Chinese alchemy began. The alchemical quest became the most dramatic form of the quest to transcend death, growing in popularity during the Qin (221-207 B.C.E.) and Western Han (202 B.C.E.-9 C.E.) dynasties.
The goal of all these practices was to return the body to its original state of purity and power with its yin and yang forces vital and in proper balance. [See Yin-yang Wuxing.] The fact that some of the compounds used were poisonous did not deter the experimenters; those who died were believed by devotees to have transferred themselves to another plane of existence, that of the immortals (xian). [See Xian.] All this effort and expense were considered necessary because in ancient China the person was understood to be a psycho-physical whole, composed throughout of one vital substance, qi, in different modes and densities. [See Qi.] Corresponding to the yin and yang phases of qi there were thought to be two "souls," the po and hun, respectively. The po, associated with the gross physical body, would ideally remain with the body after death, or would descend to a murky underworld, the Yellow Springs. The hun, associated with the more intelligent and spiritual aspect of the person, would rise up to heaven and would retain its integrity only as long as it was ritually acknowledged and "nourished" through ancestor worship.
These forms of continuation after death were perceived by some to be tenuous and limited, so they attempted to make the entire person/body immortal by transforming its substance. There was no doctrine of an eternal, immaterial soul to fall back on as in India or the Hellenistic world, so the only alternative was physical immortality. In China this tradition continued to develop through the Eastern (Latter) Han dynasty (25-220 C.E.) and produced texts of its own full of recipes, techniques, and moral exhortations. As such, it became one of the major sources of the Daoist religion that emerged in the second century C.E.. [See Alchemy, article on Chinese Alchemy, and Soul, article on Chinese Concepts.]
Spirit mediums. The other important expression of Chinese religious consciousness before the Han dynasty was shamanism, which most commonly took the form of deities and spirits possessing receptive human beings. Spirit mediums both female and male are mentioned in discussions of early Zhou religion as participants in court rituals, responsible for invoking the descent of the gods, praying and dancing for rain, and for ceremonial sweeping to exorcise harmful forces. They were a subordinate level of officially accepted ritual performers, mostly women, who spoke on behalf of the gods to arrange for sacrifices. In conditions of extreme drought they could be exposed to the sun as an inducement to rain. Female mediums were called wu, a word etymologically related to that for dancing; male mediums were called xi. In the state of Chu, south of the center of Zhou culture, there were shamans believed able to practice "magic flight," that is, to send their souls on journeys to distant realms of deities and immortals. [See Flight.]
Han historical sources indicate that by the third century B.C.E. there were shamans all over China, many of whom were invited by emperors to set up shrines in the capital. This was done in part to consolidate imperial control, but also to make available fresh sources of sacred power to support the state and heal illness. Sporadic attempts were also made by officials to suppress shamanism. These began as early as 99 B.C.E. and continued in efforts to reform court rituals in 31-30 B.C.E., and to change local practices involving human sacrifice in 25 C.E.. However, it is clear that shamanism was well established among the people and continued to have formal influence at court until the fifth century C.E.. Shamans were occasionally employed by rulers to call up the spirits of royal ancestors and consorts and incidents of court support continued into the eleventh century. Owing in part to the revival of Confucianism in that period, in 1023 a sweeping edict was issued that all shamans be returned to agricultural life and their shrines be destroyed. Thus, the gradual Confucianization of the Chinese elite led to the suppression of shamanism at that level, but it continued to flourish among the people, where its activities can still be observed in China, Taiwan, and other Chinese communities. [See Shamanism, overview article.]
The Beginnings of Empire
In the fifth century B.C.E. the disintegration of the Zhou feudal and social order quickened under the pressure of incessant civil wars. The larger states formed alliances and maneuvered for power, seeking hegemony over the others, aiming to reunify the area of Zhou culture by force alone. In 256 B.C.E. the state of Qin, under the influence of a ruthlessly applied ideology of laws and punishments suggested in the fourth century B.C.E. by Shang Yang, one of the founders of the Legalist school, eliminated the last Zhou king and then finished off its remaining rivals. Finally, in 221 the state of Qin became the empire of Qin (221-207 B.C.E.), and its ruler took a new title, "First Emperor of Qin" (Qin shi huangdi). With this step China as a semicontinental state was born. There were many periods of division and strife later, but the new level of unification achieved by the Qin was never forgotten, and became the goal of all later dynasties.
The Qin emperors attempted to rule all of China by the standards long developed in their own area; laws, measurements, written characters, wheel tracks, thought, and so forth were all to be unified. Local traditions and loyalties were still strong, however, and Qin rule remained precarious. After the emperor died in 209 he was replaced by a son who proved unequal to the task. Rebellions that broke out in that year severely undermined Qin authority and by 206 one of the rebel leaders, a village head named Liu Bang, had assumed de facto control of state administration. In 202 Liu Bang was proclaimed emperor of a new dynasty, the Han (202 B.C.E.-220 C.E.), built upon Qin foundations but destined to last, with one interregnum, for over four hundred years.
The Qin. The Qin was noteworthy both for its suppression of philosophy and its encouragement of religion. The Legalist tradition dominant in the state of Qin had long been hostile to the Confucians and Moists, with their emphasis on ethical sanctions for rule. For the Legalists the only proper standard of conduct was the law, applied by officials concerned with nothing else, whose personal views were irrelevant as long as they performed their task. The only sanctions the state needed were power and effective organization. Not long after Qin became an empire it attempted to silence all criticism based on the assumption of inner standards of righteousness that were deemed to transcend political power and circumstance. In 213 B.C.E. the court made it a capital offence to discuss Confucian books and principles and ordered that all books in private collections be burned, save those dealing with medicine, divination, and agriculture, as well as texts of the Legalist school. In this campaign, several scores of scholars were executed, and a number of philosophical schools were eliminated as coherent traditions, including the Moists and the Dialecticians. In the early Han dynasty both Daoist philosophy and Confucianism revived, and Legalism continued to be in evidence in practice if not in theory, but the golden age of Chinese philosophy was over. A unified empire demanded unified thought, a dominant orthodoxy enforced by the state. From this perspective variety was a threat, and furthermore, there were no independent states left to serve as sanctuaries for different schools. To be sure, China continued to produce excellent scholars and philosophers, and Buddhism contributed an important body of new material, but most of the issues debated in later Chinese philosophy had already been articulated before the Han. The task of philosophy was now understood to be the refinement and application of old teachings, not the development of new ones. [See Legalism and the biography of Han Feizi.]
Qin policy toward religion, by contrast, encouraged a variety of practices to support the state. To pay homage to the sacred powers of the realm and to consolidate his control, the First Emperor included worship at local shrines in his extensive tours. Representatives of regional cults, many of them spirit mediums, were brought to the court, there to perform rituals at altars set up for their respective deities. The Qin expanded the late Zhou tendency to exalt deities of natural forces; over one hundred temples to such nature deities were established in the capital alone, devoted to the sun, moon, planets, several constellations, and stars associated with wind, rain, and long life. The nation was divided into sacred regions presided over by twelve mountains and four major rivers, with many lesser holy places to be worshiped both by the people and the emperor. Elaborate sacrifices of horses, rams, bulls, and a variety of foodstuffs were regularly offered at the major sites, presided over by officials with titles such as Grand Sacrificer and Grand Diviner. Important deities were correlated with the Five Phases (wuxing), the modes of interaction of natural forces, the better to personify and control these powers.
A distinctive feature of Qin religion was sacrifices to four "Supreme Emperors" responsible for natural powers in each of the four quarters. Only the Emperor could worship these deities, a limitation true as well for two new rites he developed in 219, the feng and shan sacrifices. These were performed on sacred Mount Tai, in modern Shandong province, to symbolize that the ruler had been invested with power by Heaven itself. Another driving force behind Qin encouragement of religious activities was the first Emperor's personal quest for immortality. We are told that in this quest he sent groups of young people across the China Sea to look for such islands of the immortals as Penglai.
The Han. The defeat of Qin forces in the civil wars leading up to the founding of the Han dynasty deposed Legalist political thought along with the second and last Qin emperor. It took several decades for the new Han dynasty to consolidate its power. Since the Legalists had developed the most detailed policies for administering an empire, many of these policies were followed in practice in modified form.
Some early Han scholars and emperors attempted to ameliorate royal power with a revival of Confucian concern for the people and Daoist principles of noninterference (wuwei). For example, a palace counselor named Jia Yi (200-168 B.C.E.) echoed Mencius in his emphasis that the people are the basis of the state, the purpose of which should be to make them prosperous and happy, so as to gain their approval. A similar point of view is presented in more Daoist form in the Huainanzi, a book presented to the throne in 139 B.C.E. by a prince of the Liu clan who had convened a variety of scholars in his court. This book discusses the world as a fundamentally harmonious system of resonating roles and influences. The ruler's job is to guide it, as an experienced charioteer guides his team. [See the biography of Liu An.]
Both Jia Yi and the Huainanzi assume that the rhythms that order society and government emanate from the cosmic Dao. The ruler's task is to discover and reinforce these rhythms for the benefit of all. This understanding of a Daoist "art of rulership" is rooted in the teachings of the early Daoist texts discussed above (Zhuangzi, Guanzi, and Laozi), which in the early Han were called the Huang-Lao school, the tradition of the Yellow Emperor and Laozi. Four other Huang-Lao texts were rediscovered in 1973 at Mawangdui, in a tomb sealed in 168 B.C.E.. This early form of Daoism, which was adopted by the early Han emperors, is concerned with the Dao as the creative source of both nature and man, their patterns of order, and the ontological basis of law and administration. Here we see an attempt to apply Daoist philosophical principles to the ordering of society by blending them with Legalist ideas. [See Huanglao Jun.]
Some Confucian books had escaped the flames of 213 B.C.E., and those that did not were reconstructed or written anew, with little but the old titles intact. By this time scholars such as Xunzi had already incorporated the best thought of their day into fundamentally Confucian expositions that advocated a strong centralized state and an ethical teaching enforced by law. This expanded interpretation of Confucius's teachings served his followers well in the early Han. They occupied the middle ground between Legalism and Daoist laissez-faire. There was room in their perspective for political power, criminal law, advocacy of benevolent rule, moral suasion, religious rituals, and personal ethical development, all supported by a three-century tradition of training disciples to study sacred texts and emulate the models they provided. In addition, the philosopher Dong Zhongshu (c. 179-104 B.C.E.) incorporated into Confucianism the theories of Zou Yan and the "Naturalists," who in the fourth century B.C.E. had taught that the world is an interrelated organic whole that operates according to the cosmic principles of yin-yang and wuxing (Five Phases). [See the biography of Zou Yan.] The Huainanzi had already given this material a Daoist interpretation, stressing the natural resonance between all aspects of the universe. In the hands of Dong Zhongshu this understanding became an elaborate statement of the relationship of society and nature, with an emphasis on natural justification for hierarchical social roles, focused on that of the ruler. [See the biography of Dong Zhongshu.]
Dong Zhongshu provided a more detailed cosmological basis for Confucian ethical and social teachings and made it clear that only a unified state could serve as a channel for cosmic forces and sanctions. Dong was recognized as the leading scholar of the realm, and became spokesman for the official class. At his urging, the sixth Han emperor, Wudi (r. 140-87 B.C.E.), shifted his allegiance from Huang-Lao Daoism to Confucianism. In 136 B.C.E. the Confucian classics were made the prescribed texts studied at the imperial academy. Texts of other schools including the Daoist theories of administration noted above, were excluded. This meant in effect that Dong Zhongshu's version of Confucianism became the official state teaching, a status it retained throughout the Han dynasty. So it was that the humble scholar of Lu, dead for over three hundred years, was exalted as patron saint of the imperial system, a position he retained until 1911. State-supported temples were established in Confucius's name in cities all over the land, and his home at Qufu became a national shrine. In these temples, spirit tablets of the master and his disciples (replaced by images from 720 to 1530) were venerated in elaborate and formal rituals. As the generations passed, the tablets of the most influential scholars of the age came to be placed in these temples as well, by imperial decree, and so the cult of Confucius became the ritual focus of the scholar-official class. [See Confucian Thought, article on The State Cult.]
Dong Zhongshu's incorporation of yin-yang thought into Confucian philosophy had the unfortunate effect of legitimating and accentuating what was already a patriarchal social system. The root meanings of yin (dark) and yang (light) were not gendered, but neither did they necessarily imply a complementarity of equals. The predominant interpretation of the yin-yang polarity throughout Chinese history (with a few texts like the Laozi as prominent exceptions) understood the relationship as a hierarchical complementarity, with yin as quiescent and sinking and yang as active and rising. The general preference for yang over yin, combined with the patriarchal association of women with yin and men with yang, provided philosophical justification for the subservience of women to men. Educated women as well as men accepted this as a fact of nature. Ban Zhao (45-114 C.E.), the most famous female intellectual in Chinese history, wrote an influential book called "Lessons for Women" (Nujie), which emphasized the propriety of women's humility and subservience, although her support of education for girls could, in its context, be considered a "feminist" position. In general, Confucians believed that women could become Sages, but only by perfecting the virtues of the "woman's Way" as wives and mothers.
Han state rituals were based upon those of Qin, but were greatly expanded and more elaborate. The first emperor, Gaozu, instituted the worship of a star god believed to be associated with Houji, the legendary founder of the Zhou royal line. Temples for this deity were built in administrative centers around the realm, where officials were also instructed to worship gods of local mountains and rivers. Gaozu brought shamans to the palace and set up shrines for sacrifices to their regional deities. He also promoted the worship of his own ancestors; at his death temples in his honor were built in commanderies throughout the empire.
These efforts to institute an imperial religious system supported by officials at all levels were energetically continued by Emperor Wu, during whose fifty-four-year reign the foundations of imperial state religion were established for Chinese history into the twentieth century. The emperor's religious activities were in turn supported by the philosophy of Dong Zhongshu, with its emphasis on the central cosmic role of the ruler. Emperor Wu revived the jiao or suburban sacrifice at the winter solstice to express imperial support for the revival of life forces. [See Jiao.] He also began to worship Taiyi, the "Supreme One," a star deity most noble in the heavens, an exalted version of a Zhou god. Taiyi was coequal with Heaven and earth, a symbol of both cosmic power and the emperor's status. In the period 112-110 B.C.E. Emperor Wu renewed the feng and shan sacrifices at Mount Tai, the sacred mountain of the east, a key place of direct communication with Heaven for the sake of the whole realm. In 109 B.C.E. he ordered that a ming tang ("hall of light") be built at the foot of Mount Tai as a temple where all the major deities of China could assemble and be worshiped. Emperor Wu also toured the realm, sacrificing at important shrines along the way, all to express his religious convictions and assert his authority.
Detailed instructions for these Han rituals were provided by handbooks of ritual and etiquette such as the Liji (Record of Ritual), the present version of which was compiled in the second century B.C.E. but includes earlier material as well. Here we find descriptions of royal rituals to be performed at the solstices and the equinoxes, as well as instructions for such matters as the initiation ("capping") of young men and the veneration of ancestors. The emphasis throughout is on the intimate correlations of nature and society, so that social custom is given cosmic justification. The Liji complements Dong Zhongshu's philosophy by extending similar understandings to the social life of the literate elite. In this context periodic rituals served as concentrated reminders of the cosmic basis of the whole cultural and political order. Thus did the imperial ruling class express its piety and solidify its position.
It should be noted, however, that the old Zhou concept of the "mandate of Heaven" continued to influence Han political thought in a form elaborated and attenuated at the same time. Particularly in the writings of Dong Zhongshu, evidence for divine approval or disapproval of the ruler was discerned in natural phenomena, such as comets or earthquakes, interpreted as portents and omens. In accord with this belief, officials were appointed to record and interpret portents and to suggest appropriate responses, such as changes in ritual procedure and the proclamation of amnesties. The developing tradition of political portents recognized the importance of divine sanctions but provided a range of calibrated responses that enabled rulers to adjust their policies rather than face the prospect of rejection by Heaven. The "mandate of Heaven" in its earlier and starker form was evoked chiefly as justification for rebellion in periods of dynastic decay. Nonetheless, portent theory in the hands of a conscientious official could be used in attempts to check or ameliorate royal despotism, and hence was an aspect of the state religious system that could challenge political power as well as support it.
The Han emperor Wu devoted much effort to attaining immortality, as had his Qin predecessor. As before, shamans and specialists in immortality potions were brought to court, and expeditions were sent off to look for the dwelling places of those who had defeated death. The search for immortality became quite popular among those who had the money and literacy to engage in it. In part this was due to the transformation of the Yellow Emperor (Huangdi) into the patron deity of immortality, the earliest popular saving deity of this type in China. This transformation, fostered by magicians or "technique specialists" (fangshi) at Emperor Wu's court, included stories that the Yellow Emperor had ascended to Heaven with his whole retinue, including a harem of over seventy. [See Fangshi and Huangdi.]
A more common expression of hope for some sort of continuity after death may be seen in tombs of Han aristocrats and officials, many of which were built as sturdy brick replicas of houses or offices, complete with wooden and ceramic utensils, attendants, and animals, as well as food, drugs, clothing, jade, bamboo books, and other precious objects. To a large extent this was a modification of Shang and Zhou traditions. However, in a few Han tombs there were tightly sealed coffins filled with an embalming fluid in which even the skin and flesh of the bodies have been preserved. An elaborate silk banner has been found on top of one of these coffins, from the southern state of Chu, painted with a design evidently intended to guide the occupant to a paradise of the immortals, perhaps that of the Queen Mother of the West, Xi Wang Mu.
Another destination for the dead was an underworld that was a Han elaboration of the old myth of the Yellow Springs, a shadowy place beneath the earth referred to as early as the eighth century B.C.E.. From the Han period, there are tomb documents by which living officials transferred the dead in their jurisdiction to those of their counterparts in the underworld. There are also references to a realm of the dead inside Mount Tai. The god of this mountain keeps registers of the lifespans of all, and death may be referred to as "to return to the Eastern Peak." By the third and fourth centuries C.E. it was believed that there was a subterranean kingdom within Mount Tai, where judges decided the fate of the dead. These alternative beliefs represent the state of Chinese understandings of afterlife before Buddhist impact. [See Afterlife, article on Chinese Concepts.]
What came to be called the Former Han dynasty ended in 8 C.E. when the throne was occupied by a prime minister named Wang Mang (r. 9-23 C.E.), who established a Xin ("new") dynasty that was to last for fourteen years. Wang's chief contribution to the history of Chinese religions was his active promotion of prognostication as a way of understanding the intimate relationship between Heaven and the court. In 25 C.E. Liu Xiu (r. 25-57), a member of the Han royal line, led a successful attack on Wang Mang and reestablished the (Latter) Han dynasty. Like Wang Mang, he actively supported prognostication at court, despite the criticism of rationalist scholars such as Huan Tan (43 B.C.E.-28 C.E.), who argued that strange phenomena were a matter of coincidence and natural causes rather than messages from Heaven.
A related development was controversy between two movements within Confucian scholarly circles, the so-called New Text school of the Former Han, and a later rationalistic reaction against it, the Old Text school. The New Text school developed out of Dong Zhongshu's concern with portents. Its followers wrote new commentaries on the classics that praised Confucius as a superhuman being who predicted the future hundreds of years beyond his time. By the end of the first century B.C.E. this interpretation of the sage in mythological terms was vigorously resisted by an Old Text school that advocated a more restrained and historical approach. These two traditions coexisted throughout the remainder of the Han dynasty, with the New Text scholars receiving the most imperial support through the first century C.E.. After Huan Tan the best known rationalist was Wang Chong, whose Lunheng (Balanced Essays) fiercely criticizes religious opinions of his day, including prognostication and belief in spirits of the dead. Although Wang Chong was not well known by his contemporaries, his thought was rediscovered in the third century and established as a key contribution to the skeptical tradition in Chinese philosophy. [See the biography of Wang Chong.] An important religious legacy of the New Text school was the exalted interpretation of Confucius as a semidivine being, which was echoed in later popular religion. Its concern with portents and numerology also influenced Daoism.
We have noted the appearance of the Yellow Emperor as a divine patron of immortality, and as a representative of a new type of personified saving deity with power over a whole area of activity. In the latter half of the Han dynasty the number and popularity of such deities increased, beginning with the cult of the Queen Mother of the West (Xi Wang Mu). She was associated with the Kunlun mountains in the northwest where she presided over a palace and received a royal visitor, King Mu of the Zhou dynasty, whom she predicted would be able to avoid death. In 3 B.C.E. Hsi Wang Mu's promise of immortality to all became the central belief of an ecstatic popular cult in her name that swept across North China. Although this movement abated in a few months, the Queen Mother herself is commonly portrayed in Latter Han iconography. Kunlun is described as the center pillar of the world, from where she controls cosmic powers and the gift of immortality. This goddess has continued to have an important role in Chinese religion until the present day. [See Xi Wang Mu.]
Mountain-dwelling immortals constituted another source of personal deities in this period. These beings were believed to descend to aid the ruler in times of crisis, sometimes with instructions from the Celestial Emperor (Tiandi), sometimes themselves identified with the "perfect ruler" who would restore peace to the world. By the second century C.E. the most important of these figures was Laozi, the legendary author of the Daodejing, who appears as a deity called Huang Laojun (Yellow Lord Lao) or Taishang Laojun (Most High Lord Lao). [See Huang Laojun.] By this time Laozi had been portrayed for centuries in popular legend as a mysterious wise man who disappeared without a trace. We have seen that the book in his name contains passages that could be interpreted as support for the immortality cult, and by the first century he was referred to as an immortal himself. In an inscription of 165 C.E. Laozi is described as a creator deity, equal in status to the sun, moon, and stars. A contemporary text assures his devotees that he has manifested himself many times in order to save mankind, that he will select those who believe in him to escape the troubles of the age, and that he will "shake the Han reign." [See the biography of Laozi.] It is this messianic theme that provided the religious impetus for two large popular religious movements in the late second century C.E. that were important sources of later Daoist religion and the popular sectarian tradition. These movements were the Tianshi Dao (Way of the Celestial Masters) in the west and the Taiping Dao (Way of Great Peace) in the north.
The Way of the Celestial Masters began with a new revelation from the Most High Lord Lao to a man named Zhang Daoling in 142 C.E.. In this revelation Zhang was designated as the first "Celestial Master" and was empowered to perform rituals and write talismans that distributed this new manifestation of the Dao for the salvation of humankind. Salvation was available to those who repented of their sins, believed in the Dao, and pledged allegiance to their Daoist master. The master in turn established an alliance between the gods and the devotee, who then wore at the waist a list or "register" of the names of the gods to be called on for protection. The register also served as a passport to heaven at death. Daoist ritual consists essentially of the periodic renewal of these alliances by meditative visualization, ritual confession and petition, and sacrificial offering of incense and sacred documents. Daoist texts are concerned throughout for moral discipline and orderly ritual and organization.
Under Zhang Daoling's grandson, Zhang Lu, the Way of the Celestial Masters established a theocratic state in the area of modern Sichuan Province with an organization modeled in part on Han local administration. The administrative units or "parishes" were headed by "libationers," some of whom were women, whose duties included both religious and administrative functions. Their rituals included reciting the Laozi, penance to heal illness, and the construction of huts in which free food was offered to passers-by. Converts were required to contribute five pecks of rice, from which the movement gained the popular name of "The Way of Five Pecks of Rice" (Wudoumi Dao). In 215 Zhang Lu pledged allegiance to a Han warlord (Cao Cao), whose son founded the new state of Wei in 220. The members of the sect were required to disperse their self-governing community in Sichuan, but they were allowed to continue their activities and taught that Wei had simply inherited divine authority from the Celestial Master Zhang and his line. By the fourth century the Celestial Masters developed more elaborate collective rituals of repentance, retrospective salvation of ancestors, and the strengthening of vital forces through sexual intercourse. Eventually all branches of Daoism traced their origins to the Way of the Celestial Masters. [See the biographies of Zhang Daoling and Zhang Lu.]
We know less about the practices of the Way of Great Peace because it was destroyed as a coherent tradition in the aftermath of a massive uprising in 184 C.E.. Its leader, also named Zhang (Zhang Jue, d. 184 C.E.), proclaimed that the divine mandate for the Han rule, here symbolized by the wood (green) phase (of the Five Phases), had expired, to be replaced by the earth phase, whose color is yellow. Zhang Jue's forces thus wore yellow cloths on their heads as symbols of their destiny, and hence the movement came to be called the Yellow Scarves (often misleadingly translated as "Yellow Turbans"). The Han court commissioned local governors to put down the uprising, which was soon suppressed with much bloodshed, although remnants of the Yellow Scarves continued to exist until the end of the century. [See the biography of Zhang Jue.]
The Yellow Scarves are better understood as a parallel to the Celestial Master sect rather than as connected to it, although the two movements shared some beliefs and practices, particularly healing through confession of sins. The Way of Great Peace employed a scripture known as the Taipingjing (Scripture of Great Peace), which emphasizes the cyclical renewal of life in the jiazi year, the beginning of the sixty-year calendrical cycle. Both sects were utopian, but the Yellow Scarves represent a more eschatalogical orientation. In retrospect, both of these groups appear as attempts to reconstruct at a local level the Han cosmic and political synthesis that was collapsing around them, with priests taking the place of imperial officials.
The most important legacy of the late Han popular religious movements was their belief in personified divine beings concerned to aid humankind, a belief supported by new texts, rituals, and forms of leadership and organization. This belief was given impetus by the expectation that a bearer of collective salvation was about to appear in order to initiate a new time of peace, prosperity, and long life. From the third century on this hope was focused on a figure called Li Hong, in whose name several local movements appeared, some involving armed uprisings. This eschatological orientation was an important dimension of early Daoism, which at first understood itself as a new revelation, intended to supplant popular cults with their bloody sacrifices and spirit mediums.
In addition to such organized movements as the Yellow Scarves, Han popular religion included the worship of local sacred objects such as trees, rocks, and streams, the worship of dragons (thought to inhabit bodies of water), the belief that spirits of the dead have consciousness and can roam about, and a lively sense of the power of omens and fate. By the third century there are references to propitiation of the spirits of persons who died violent deaths, with offerings of animal flesh presided over by spirit mediums.
Fengshui ("wind and water"), or geomancy, also developed during the Han as a ritual expression of the yin/yang and five-phases worldview. It is the art of locating graves, buildings, and cities in auspicious places where there is a concentration of the vital energies (qi) of earth and atmosphere. It is believed that the dead in graves so located will bless their descendants. The earliest extant fengshui texts are attributed to famous diviners of the third and fourth centuries. Chinese religion was thus developed at a number of levels by the time Buddhism arrived, although Buddhism offered several fresh interpretations of morality, personal destiny, and the fate of the dead.
The Period of Disunion
By the time the first Buddhist monks and texts appeared in China around the first century C.E., the Han dynasty was already in decline. At court, rival factions competed for imperial favor, and in the provinces restless governors moved toward independence. Political and military fragmentation was hastened by the campaigns against the Yellow Scarves uprising, after which a whole series of adventurers arose to attack each other and take over territory. In the first decade of the third century three major power centers emerged in the north, southeast, and southwest, with that in the north controlling the last Han emperor and ruling in his name. By 222 these three centers each had declared themselves states, and China entered a period of political division that was to last until late in the sixth century. In this time of relatively weak central government control, powerful local clans emerged to claim hereditary power over their areas.
The Beginnings of Buddhism in China. With the gradual expansion of Buddhism under the patronage of the Kushan rulers (in present-day northwest India, Pakistan and Afghanistan) into the oasis states of Central Asia, and with the corresponding expansion of Chinese influence into this same region, it became inevitable that Buddhism would be introduced into East Asia. Over a thousand-year period from the beginning of the common era until the close of the first millennium the opportunities for cultural exchange with South and West Asia afforded by the so-called Silk Route - actually a whole network of trade routes throughout Asia and connecting it with Europe -- nourished vibrant East Asian Buddhist traditions. These began with earnest imitation of their Indian antecedents and culminated in the great independent systems of thought that characterize the fully developed tradition: Huayan, Tiantai, Jingtu, and Chan.
From about 100 B.C.E. on it would have been relatively easy for Buddhist ideas and practices to come to China with foreign merchants, but the first reliable notice of it in Chinese sources is dated 65 C.E.. In a royal edict of that year we are told that a prince administering a city in what is now northern Jiangsu Province "recites the subtle words of Huang-Lao, and respectfully performs the gentle sacrifices to the Buddha." He was encouraged to "entertain upasakas and sramanas," Buddhist lay devotees and initiates. In 148 C.E. the first of several foreign monks, An Shigao, settled in Luoyang, the capital of the Latter Han. Over the next forty years he and other scholars translated about thirty Buddhist scriptures into Chinese, most of them from pre-Mahayana traditions, emphasizing meditation and moral principles. However, by about 185 three Mahayana Prajñaparamita (Perfection of Wisdom) texts were translated as well.
A memorial dated 166, approving Buddhist "purity," "emptiness," nonviolence, and control of sensual desires, further informs us that in that year the emperor performed a joint sacrifice to Laozi and the Buddha. In 193/194 a local warlord in what is now Jiangsu erected a Buddhist temple that could hold more than three thousand people. It contained a bronze Buddha image before which offerings were made and scriptures were read. During ceremonies in honor of the Buddha's birthday thousands came to participate, watch, and enjoy free food and wine. Thus, by the end of the second century there were at least two centers of Buddhist activity, Luoyang in the north and an area in the southeast. At court Buddhist symbols were used in essentially Daoist rituals, but in the scriptures the novelty and difference of Buddhism were made clear in crude vernacular translations. Such novelty appears in injunctions to eliminate desires, to love all beings equally, without special preference for one's family, and to regard the body as transitory and doomed to decay, rather than an arena for seeking immortality.
Although early sources mention terms for various clerical ranks, rules for monastic life were transmitted in a haphazard and incomplete fashion. Monks and nuns lived in cloisters that cannot properly be called monasteries until a few centuries later. Meanwhile, leadership of the Chinese clergy was provided first by Central Asian monks, then by naturalized Chinese of foreign descent, and by the fourth century, by Chinese themselves. Nuns are first mentioned in that century as well.
The movement of Buddhism to China, one of the great cultural interactions of history, was slow and fortuitous, carried out almost entirely at a private level. The basic reason for its eventual acceptance throughout Chinese society was that it offered several religious and social advantages unavailable to the same extent in China before. These included a full-time religious vocation for both men and women in an organization largely independent of family and state, a clear promise of life after death at various levels, and developed conceptions of paradise and purgatory, connected to life through the results of intentional actions (karma). Many women found Buddhism an attractive alternative to the "woman's Way" supported by Confucianism, with its limited options for fulfillment as wives and mothers. Buddhism also offered the worship of heroic saviors in image form, supported by scriptures that told of their wisdom and compassion. For ordinary folk there were egalitarian moral principles, promises of healing and protection from harmful forces, and simple means of devotion; for intellectuals there were sophisticated philosophy and the challenge of attaining new states of consciousness in meditation, all of this expounded by a relatively educated clergy who recruited, organized, translated, and preached.
In the early fourth century North China was invaded by the nomadic Xiongnu, who sacked Luoyang in 311 and Chang'an in 316. Thousands of elite families fled south below the Yangze River, where a series of short-lived Chinese dynasties held off further invasions. In the North a succession of kingdoms of Inner Asian background rose and fell, most of which supported Buddhism because of its religious appeal and its non-Chinese origins. The forms of Buddhism that developed here emphasized ritual, ideological support for the state, magic protection, and meditation
It was in the South, however, that Buddhism first became a part of Chinese intellectual history. The Han imperial Confucian synthesis had collapsed with the dynasty, a collapse that encouraged a quest for new philosophical alternatives. Representatives of these alternatives found support in aristocratic clans, which competed with each other in part through philosophical debates. These debates, called qingtan, or "pure conversation," revived and refined a tradition that had been widespread in the period of the so-called Hundred Philosophers (sixth and fifth centuries B.C.E.), a tradition with precise rules of definition and criteria for victory. By the mid-third century these debates revolved around two basic perspectives, that of rather conservative moralists called the "school of names" (mingjiao) and that of those advocating "spontaneous naturalism" (ziran). By the early fourth century Buddhist monks were involved in these debates, supported by sympathetic clans, advocating a middle ground between the conservatives and libertarians, spiritual freedom based on ethical discipline. Although Buddhism was still imperfectly understood, it had gained a vital foothold.
Chinese intellectuals first attempted to understand Buddhism through its apparent similarities to certain beliefs and practices of Daoism and immortality cults. Thus, bodhisattvas and Buddhas were correlated with sages and immortals, meditation with circulation of the vital fluids, and nirvana with wuwei, spontaneous, non-intentional action. However, Indian Buddhism and traditional Chinese thought have very different understandings of life and the world. Buddhist thought is primarily psychological and epistemological, concerned with liberation from samsara, the world perceived as a realm of suffering, impermanence, and death. For the Chinese, on the other hand, nature and society are fundamentally good; our task is to harmonize with the positive forces of nature, and enlightenment consists of identifying with these forces, rather than in being freed from them. The interaction of these worldviews led Chinese Buddhists to interpret psychological concepts in cosmological directions. For example, the key Mahayana term "emptiness" (sunyata in Sanskrit, kong in Chinese) refers primarily to the interdependence of all things -- i.e. their lack of any independent nature or being - and to the radically objective and neutral mode of perception that accepts the impermanence and interdependence of things without trying to control them or project onto them human concepts and values. Indeed, the first discussions of this term used it as a logical tool to destroy false confidence in philosophical and religious concepts, particularly earlier Buddhist ones. All concepts, according to this doctrine, are mutually contradictory and refer to nothing substantial; hence they are "empty." In China, however, "emptiness" immediately evoked discussion about the origin and nature of the phenomenal world. "Emptiness" was equated with "non-being" (wu), the fecund source of existence, and "vacuity" (xu), the absence of concrete existence or cognitive preconception, both of which are prominent concepts in the Laozi. As their understanding of Buddhism deepened, Chinese thinkers became more aware of the epistemological force of the term "emptiness," but continued to see it primarily as a problem in interpreting the world itself. In that respect it was somewhat consistent with certain Confucian and Daoist ideas, such as the notion that persons and things are defined by their relationships with others or their positions in the overall pattern of things -- the Dao.
Buddhist thought was already well developed and complexly differentiated before it reached China. Likewise, Chinese culture, religion, and philosophy were mature and highly developed when Buddhism entered China. So the story of Buddhism in China was a case of two mature cultural systems, with some rather fundamental linguistic and social differences, interacting and transforming each other. But at first the Chinese knew of Buddhism only through scriptures haphazardly collected, in translations of varying accuracy, for very few Chinese learned Sanskrit. Since all the sutras claimed to be preached by the Buddha himself, they were accepted as such, with discrepancies among them explained as deriving from the different situations and capacities of listeners prevailing when a particular text was preached. In practice, this meant that the Chinese had to select from a vast range of data those themes that made the most sense in their pre-existing worldview. For example, as the tradition develops we find emphases on simplicity and directness, the universal potential for enlightenment, and the Buddha mind as source of the cosmos, all of them prepared for by similar ideas in indigenous thought and practice.
The most important early Chinese Buddhist philosophers, organizers, and translators were Daoan (312-385), Huiyuan (334-417), and Kumarajiva (334-413), each of whom contributed substantially to the growth of the young "church." Daoan was known principally for his organizational and exegetical skills and for the catalog of Buddhist scriptures he compiled. His disciple Huiyuan, one of the most learned clerics in South China, gathered a large community of monks around him and inaugurated a cult to Amitabha, a popular Buddha. Kumarajiva, the most important and prolific of the early translators, was responsible for the transmission of the Madyamika (Sanlun) tradition to China. His lectures on Buddhist scripture in Chang'an established a sound doctrinal basis for Mahayana thought in the Middle Kingdom. Another formative early figure was Daosheng (d. 434 C.E.), a student of Kumarajiva. He is known for his emphasis on the positive nature of nirvana, his conviction that even non-believers have the potential for salvation, and his teaching of instantaneous enlightenment. Like the concept of emptiness, these ideas resonated well with certain Confucian and Daoist concepts, such as the goodness of human nature in Mencius and the Daoist notion of spontaneity. Such themes helped lay the foundation for Chan (Jpn., Zen) Buddhism in the seventh and eighth centuries. [See the biographies of Daoan, Huiyuan, Kumarajiva, and Daosheng.]
The history of monastic Buddhism was closely tied to state attitudes and policies, which ranged from outright suppression to complete support, as in the case of Emperor Wu of the Liang dynasty (r. 502-549), who abolished Daoist temples and built Buddhist ones, and three times entered a monastery himself as a lay servitor. [See the biography of Liang Wudi.] However, by the fifth century Buddhism was becoming well established among people of all classes, who, to gain karmic merit, donated land and goods, took lay vows, served in monasteries, and established a variety of voluntary associations to copy scriptures, provide vegetarian food for monks and nuns, and carve Buddha images. The most important image-carving projects were at Yungang in Shanxi and Longmen in Honan, where huge figures, chiefly those of Sakyamuni and Maitreya, were cut into cliffs and caves. Such major projects of course also involved large-scale official and clerical support.
It was in the fifth century as well that Chinese Buddhist eschatology developed, based in part on predictions attributed to the Buddha that a few hundred years after his entry into nirvana the Dharma (the Buddha's teachings) would lose its vigor, morals would decline, and ignorant, corrupt monks and nuns would appear. In addition, from its inception as a full-fledged religion in the second century Daoism had proclaimed itself to be the manifestation of a new age of cosmic vitality, supported by pious devotees, "seed people." A combination of these motifs led to the composition in China of Buddhist scriptures saying that since the end of the age had come, more intense morality and piety were required of those who wished to be saved. These texts also promised aid from saving bodhisattvas such as Maitreya, the next Buddha-to-be. In some cases the apocalyptic vision of these texts inspired militant utopian movements, led by monks, but with lay membership. By the early seventh century a few of these groups were involved in armed uprisings in the name of Maitreya, which led eventually to a decline in official support for his cult, although he remained important in popular sectarian eschatology. [See Millenarianism, article on Chinese Millenarian Movements, and Maitreya.]
The first important school of Buddhist thought developed in China was the Tiantai, founded by the monk Zhiyi (538-597). This school is noted for its synthesis of earlier Buddhist traditions into one system, divided into five periods of development according to stages in the Buddha's teaching. According to Tiantai, the Buddha's teachings culminated in his exposition of the Lotus Sutra, in which all approaches are unified. Zhiyi also systematized the theory and practice of Mahayana meditation. His most important philosophical contribution was his affirmation of the absolute Buddha mind as the source and substance of all phenomena. In Zhiyi's teaching the old Madhyamika logical destruction of dualities is replaced by a positive emphasis on their identity in a common source. So, in impeccably Buddhist language, he was able to justify the phenomenal world, and thus to provide an intellectual foundation for much of the later development of Buddhism in China. [See Tiantai and the biography of Zhiyi.]
In 581 China was reunified by the Sui dynasty (581-618) after three and a half centuries of political fragmentation. The Sui founder supported Buddhism, particularly the Tiantai school, as a unifying ideology shared by many of his subjects in both North and South. After four decades of rule the Sui was overthrown in a series of rebellions, to be replaced by the Tang (618-907). Although the new dynasty tended to give more official support to Confucianism and Daoism, Buddhism continued to grow at every level of society.
The Rise of Daoist Religion. By the fourth century Daoism was characterized by a literate and self-perpetuating priesthood, a pantheon of celestial deities, complex rituals, and revealed scriptures in classical (literary) Chinese. Although the first elements of this tradition appeared in the second century popular movements discussed above, the tradition underwent further development at the hands of gentry scholars versed in philosophy, ethical teachings, and alchemy. These scholars saw themselves as formulators of a new, more refined religion superior to the popular cults around them. This new system was led by priests who, though not officials, claimed celestial prerogatives.
Daoism is fundamentally rooted in the concept of qi, the psycho-physical-spiritual substance out of which nature, gods, and humans evolve. The source and order of this vital substance is the Dao, the ultimate power of life in the universe. The gods are personified manifestations of qi, symbolizing astral powers of the cosmos and organs of the human body with which they are correlated. Under the conditions of ordinary existence qi becomes stale and dissipated, so it must be renewed through ritual and meditative processes that restore its primal vitality. Some of these practices consist of visualizing and calling down the cosmic gods to reestablish their contact with their bodily correlates. In this way the adept ingests divine power and so recharges his bodily forces for healing, rejuvenation, and long life. In others, the substances of the human body - jing (life-giving "essences," such as sexual fluids), qi ("vital breath," in a more specific sense than the general qi of which all things are composed), and shen (spirit) - are manipulated and purified through visualization and meditation. Physical exercises and dietary practices (such as abstinence from grains, which are thought to contain the dark yin power of the earth) are also parts of the Daoist regimen. The general aim of these practices is to enhance spiritual and physical health. Accomplished practice results in the purification of the psycho-physical being into the embryo of a new, immortal self. Rituals are also performed for an entire community; Daoist masters can release their cosmic power through ritual actions that revive the life forces of the community around them.
When the Celestial Master sect was officially recognized by the state of Wei (220-266) in the early third century its leadership was established in the capital, Luoyang, north and east of the old sect base area in modern Sichuan. In the North remnants of the Yellow Scarves still survived, and before long the teachings and rituals of these two similar traditions blended together. A tension remained, however, between those who saw secular authority as a manifestation of the Way and those determined to bring in a new era of peace and prosperity by militant activity. Uprisings led by charismatic figures who claimed long life and healing powers occurred in different areas throughout the fourth century and later.
Meanwhile, in the southeast another tradition emerged that was to contribute to Daoism, a tradition concerned with alchemy, the use of herbs and minerals to attain immortality. Its chief literary expression was the Baopuzi (The Master Who Embraces Simplicity) written by Ge Hong in about 320. Ge Hong collected a large number of alchemical formulas and legends of the immortals, intended to show how the body can be transformed by the ingestion of gold and other chemicals and by the inner circulation of the vital qi, special diets, and sexual techniques, all reinforced by moral dedication. Ge Hong's concerns were supported by members of the old aristocracy of the state of Wu (222-280) whose families had moved south during the Latter Han period. [See the biography of Ge Hong.]
When the northern state of Jin was conquered by the Xiongnu in 316, thousands of Jin gentry and officials moved south, bringing the Celestial Master sect with them. The eventual result was a blending of Celestial Master concern for priestly adminstration and collective rituals with the more individualistic and esoteric alchemical traditions of the southeast. Between the years 364 and 370 a young man named Yang Xi claimed to receive revelations from "perfected ones" (zhenren, a term from the Zhuangzi) or exalted immortals from the Heaven of Supreme Purity (Shangqing). These deities directed Yang to make transcripts and deliver them to Xu Mi (303-373), an official of the Eastern Jin state (317-420) with whom he was associated. Yang Xi believed his new revelations to be from celestial regions more exalted than those evoked by the Celestial Master sect and Ge Hong. The Perfected Ones rewrote and corrected earlier texts in poetic language, reformulated sexual rites as symbols of spiritual union, and taught new methods of inner cultivation and alchemy. These teachings were all presented in an eschatological context, as the salvation of an elect people in a time of chaos. They prophesied that a "lord of the Way, [a] sage who is to come" would descend in 392. Then the wicked would be eliminated and a purified terrestrial kingdom established, ruled over by such pious devotees as Xu Mi, now perceived as a priest and future celestial official. It is perhaps not accidental that these promises were made to members of the old southern aristocracy whose status had recently been threatened by the newcomers from the north. [See Zhenren.]
Xu Mi and one of his sons had retired to Maoshan, a mountain near the Eastern Jin capital (modern Nanjing); hence the texts they received and transcribed came to be called those of a Maoshan "school." In the next century another southern scholar, Tao Hongjing (456-536), collected all the remaining manuscripts from Yang Xi and the Xu family and edited them as the Zhen'gao (Declarations of the Perfected). With this the Maoshan/Shangqing scriptures were established as a foundation stone of the emerging Daoist canon. [See the biography of Tao Hongjing.]
In the meantime another member of Ge Hong's clan had written a scripture in about 397, the Lingbaojing (Scripture of the Sacred Jewel), which he claimed had been revealed to him by the spirit of an early third-century ancestor. This text exalted "celestial worthies" (tianzun), who were worshiped in elaborate collective rituals directed by priests in outdoor arenas. The Lingbaojing established another strand of Daoist mythology and practice that was also codified in the South during the fifth century. Its rituals replaced those of the Celestial Master tradition, while remaining indebted to them. Lingbao texts were collected and edited by Lu Xiujing (406-477), who wrote on Daoist history and ritual. [See the biography of Lu Xiujing.]
Daoism was active in the North as well, in the Northern Wei kingdom (386-534), which established Daoist offices at court in 400. In 415 and 423 a scholar named Kou Qianzhi (d. 448) claimed to have received direct revelations from Lord Lao while he was living on a sacred mountain. The resulting scriptures directed Kou to reform the Celestial Master tradition; renounce popular cults, messianic uprisings, and sexual rituals; and support the court as a Daoist kingdom on earth. Kou was introduced to the Wei ruler by a sympathetic official named Cui Hao (d. 450) in 424 and was promptly appointed to the office of "Erudite of Transcendent Beings." The next year he was proclaimed Celestial Master, and his teachings "promulgated throughout the realm." For the next two decades Kou and Cui cooperated to promote Daoism at the court. As a result, in 440 the king accepted the title Perfect Ruler of Great Peace, and during the period 444 to 446 proscribed Buddhism and local "excessive cults." Although Cui Hao was eventually discredited and Buddhism established as the state religion by a new ruler in 452, the years of official support for Daoism clarified its legitimacy and political potential as an alternative to Confucianism and Buddhism. [See the biography of Kou Qianzhi.]
The Consolidation of Empire: Seventh to Fourteenth Century
The Chinese religious traditions that were to continue throughout the rest of imperial history all reached maturity during the Tang (618-907) and Song (960-1279) periods. These traditions included Buddhism, Daoism, Neo-Confucianism, Islam, and popular religion in both its village and sectarian forms. It was in these centuries as well that other foreign religions were practiced for a time in China, particularly Manichaeism, Nestorian Christianity, and Judaism (at least one Jewish community continued to flourish until the mid-nineteenth century). Rituals performed by the emperor and his officials continued to be elaborated, with many debates over the proper form and location of altars and types of sacrifices to be offered. During the Tang dynasty, cults devoted to the spirits of local founders and protectors were established in many cities. These city gods (chenghuang shen) were eventually brought into the ranks of deities to whom official worship was due.
Manichaeism, Nestorian Christianity, Judaism, and Islam. The area of the Tang dynasty rivaled that of the Han, with western boundaries extending far into Central Asia. This expansion encouraged a revival of foreign trade and cultural contacts. Among the new foreign influences were not only Buddhist monks and scriptures but also the representatives of other religions. There is evidence for Zoroastrianism in China by the early sixth century, a result of contacts between China and Persia that originated in the second century B.C.E. and were renewed in an exchange of envoys with the Northern Wei court in 455 and around 470. [See Zoroastrianism.]
A foreign tradition with more important influence on the history of Chinese religions was Manichaeism, a dynamic missionary religion teaching ultimate cosmic dualism founded by a Persian named Mani (216-277?). The first certain reference to Manichaeism in a Chinese source is dated 694, although it may have been present about two decades earlier. As was true with Zoroastrianism, Manichaeism in its early centuries in China was primarily practiced by foreigners, although its leaders soon composed catechisms and texts in Chinese stressing the congruence of their teachings with Buddhism and Daoism. In 755 a Chinese military commander named An Lushan led a powerful rebellion that the Tang court was able to put down only with the help of foreign support. One of these allies was the Uighur, from a kingdom based in what is now northern Mongolia. In 762 a Uighur army liberated Luoyang from rebel forces, and there a Uighur kaghan (king) was converted to Manichaeism. The result was new prestige and more temples for the religion in China.
However, in 840 the Uighurs were defeated by the Kirghiz, with the result that the Chinese turned on the religion of their former allies, destroyed its temples, and expelled or executed its priests. Nonetheless, at least one Manichaean leader managed to escape to Quanzhou in Fujian Province on the southeast coast. In Fujian the Manichaeans flourished as a popular sect until the fourteenth century, characterized by their distinctive teachings, communal living, vegetarian diet, and nonviolence. They were called the Mingjiao ("religion of light"). They disappeared as a coherent tradition as a result of renewed persecutions during the early Ming dynasty (1368-1644). Several Manichaean texts were incorporated into the Daoist and Buddhist canons, and it is likely that Manichaean lay sects provided models for similar organizations that evolved out of Buddhism later. Manichaean dualism and demon exorcism may have reinforced similar themes in Daoism and Buddhism as they were understood at the popular level. [See Manichaeism, overview article.]
According to a stone inscription erected in Chang'an (present-day Xian) in 781, the first Nestorian missionary reached China in 635 and taught about the creation of the world, the fall of humankind, and the birth and teaching of the Messiah. The ethics and rituals described are recognizably Christian. Chinese edicts of 638 and 745 refer to Nestorianism, which appears to have been confined to foreign communities in large cities on major trade routes. In 845 Nestorianism was proscribed along with Buddhism and other religions of non-Chinese origin, but it revived in China during the period of Mongol rule in the thirteenth and fourteenth centuries. In 1289 the court established an office to supervise Christians, and a 1330 source claims that there were more than thirty thousand Nestorians in China, some of them wealthy and in high positions, no doubt a result of the Mongol policy of ruling China in part with officials of foreign origin. In this period the church was most active in eastern cities such as Hangzhou and Yangzhou. The Nestorians were expelled from China with the defeat of the Mongols in the mid-fourteenth century, and no active practitioners were found by the Jesuits when they arrived about two hundred years later. So the first Christian contact with China expired, leaving no demonstrable influence on Chinese religion and culture. [See Nestorianism.]
There is no certainty regarding the date of Judaism's entrance into China. Two of the four surviving commemorative stelae from the synagogue in Kaifeng trace it to the Han dynasty, suggesting that the emigration might have followed the destruction of the Jerusalem Temple in 70 C.E. But most scholars today agree that it was more likely during the Tang that Jewish merchants from Persia or Bukhara first settled in Kaifeng, on the Yellow River in Honan province. Other pre-modern Jewish communities existed in Ningbo, Hangzhou, Yangzhou, and Guangzhou, al probably established by merchants arriving by sea, but the Kaifeng community was the most successful. Kaifeng was the capital of the Northern Song dynasty (960-1127), and at some point during that period the emperor received representatives of the Jewish community at court and bestowed upon them Chinese surnames, one of which was his own (Zhao). In 1163, under the Jurchen Jin dynasty that had conquered northern China, the Jews built their first synagogue, with approval from the government. Over the ensuing centuries the synagogue was destroyed by floods, rebuilt, and expanded several times. [See Judaism in Asia and Sub-Saharan Africa.]
The Chinese first learned of Islam in 638 from an emissary of the last Sasanid king of Persia, who was seeking their aid against invading Arab armies. This the Chinese refused, but a number of Persian refugees were admitted a few years later after the Sasanid defeat and allowed to practice their Zoroastrian faith. In the early eighth century Arab armies moved into Central Asia, and in 713 ambassadors of Caliph Walid were received at court in Chang'an, even though they refused to prostrate themselves before the emperor. However, in 751 a Chinese army far to the west was defeated in the Battle of Talas by a combination of Central Asian states with Arab support. This defeat led to the replacement of Chinese influence in Central Asia with that of the Arabs and the decline of Buddhism in that area in favor of Islam. In 756 another caliph sent Arab mercenaries to aid the Chinese court against An Lushan; when the war ended many of these mercenaries remained, forming the beginning of Islamic presence in China, which by the late twentieth century totaled about thirty million people, one of the five basic constituencies of the People's Republic. The eighth-century Arab population was augmented by Muslim merchants who settled in Chinese coastal cities, for a time dominating the sea trade with India and Southeast Asia.
The major influx of Muslim peoples occurred during the Yuan dynasty (1271-1368) when the land routes across Central Asia were secure and the Mongols brought in large numbers of their non-Chinese subjects to help administer China. It was in this period that Islam spread all over China and established major population bases in the western provinces of Yunnan and Gansu. Here their numbers increased through marriage with Chinese women and adoption of non-Muslim children, all converted to Islam. Although the result was a dilution of Arab physical characteristics, the use of the Chinese language, and the adoption of some Chinese social customs, for most the Islamic core remained. Muslims did not accept such dominant Chinese traditions as ancestor worship and pork eating, and kept their own festival calendar. In part this resistance was due to the tenacity of their beliefs, in part to the fact that their numbers, mosques, and essentially lay organization permitted mutual support.
Muslims in China have always been predominantly Sunni, but in the sixteenth century Sufism reached China through Central Asia. By the late seventeenth century Sufi brotherhoods began a reform movement that advocated increased use of Arabic and a rejection of certain Chinese practices that had infiltrated Islam, such as burning incense at funerals. Sufism also emphasized ecstatic personal experience of Allah, the veneration of saints, and the imminent return of the Mahdi, who would bring a new age, this last theme due to Shi`i influence as well.
These reformist beliefs, coupled with increased Chinese pressure on Islam as a whole, led eventually to a powerful uprising in Yunnan between 1855-1873, an uprising allowed to develop momentum because of old ethnic tensions in the area and the distraction of the Chinese court with the contemporary Taiping Rebellion (1851-1864). The Yunnan rebellion was eventually put down by a combination of Chinese and loyalist Muslim forces, and the Muslims resumed their role as a powerful minority in China, called the Hui people.
The chief role of Islam in China was as the religion of this minority group, although in some twentieth-century popular texts it was recognized as one of the "five religions" whose teachings were blended into a new synthetic revelation, along with Confucianism, Daoism, Buddhism, and Christianity. Another aspect of Islam's historical impact was to sharply reduce Chinese contact with India and Central Asia after the eighth century, and thus to cut off the vital flow of new texts and ideas to Chinese Buddhism. And since the 1980s, mostly in the Uighur Autonomous Region of Xinjiang, there has been increasing pressure, fueled by Islamic militancy, for independence from the People's Republic of China.
Tang Buddhism. The first Tang emperor, Gaozu (r. 618-626) approved of a plan to limit both Daoist and Buddhist temples. His son Taizong (r. 626-649) agreed with the Daoist contention that the imperial family was descended from Laozi, whose legendary surname was also Li; however, Taizong also erected Buddhist shrines on battlefields and ordered monks to recite scriptures for the stability of the empire. Buddhist philosophical schools in this period were matters of both belief and imperial adornment, so, to replace the Tiantai school, now discredited on account of its association with the Sui dynasty, the Tang court turned first to the Faxiang or Weishi ("consciousness only") school, an idealist teaching known in Sanskrit as Yogacara or Vijñanavada. [See Yogacara.] Some texts of this tradition had been translated earlier by Paramartha (499-569), but it came to be thoroughly understood in China only after the return of the pilgrim Xuanzang in 645 from his sixteen year-long overland journey to India. Xuanzang was welcomed at court and provided with twenty-three scholar-monks from all over China to assist in translating the books he had brought back. The emperor wrote a preface for the translation of one major Vijñanavada text, and his policy of imperial support was continued by his son Gaozong(r. 649-683). [See the biography of Xuanzang.]
However, the complex psychological analysis of the Vijñanavada school, coupled with its emphasis that some beings are doomed by their nature to eternal rebirth, were not in harmony with the Chinese worldview, which had been better represented by Tiantai. Hence, when imperial support declined at Gaozong's death in 683, the fortunes of the Faxiang school declined as well, despite the excellent scholarship of Xuanzang's disciple Kuiji (632-682). [See the biography of Kuiji.] At the intellectual level it was replaced in popularity by the Huayan ("flower garland") school as formulated by the monk Fazang (643-712). This school, based on a sutra of the same name (Skt., Avatamsaka), taught the emptiness and interpenetration of all phenomena in a way consonant with old Chinese assumptions. Furthermore, in Huayan teaching the unity and integration of all things is symbolized by a Buddha called Vairocana who presides over his Pure Land in the center of an infinite universe. [See Mahavairocana.] However dialectically such a symbol might be understood by Buddhist scholars, at a political and popular level it was appropriated more literally as a Buddhist creator deity. [See Huayan and the biography of Fazang.]
It is no accident that the Huayan school was first actively supported by Empress Wu Zhao (Wu Zetian, r. 690-705) who took over the throne from her sons to set up her own dynasty, the Zhou. Since Confucianism did not allow for female rulers, Empress Wu, being a devout Buddhist, sought for supporting ideologies in that tradition, including not only Huayan but also predictions in obscure texts that the Buddha had prophesied that several hundred years after his death a woman would rule over a world empire. Monks in Wu Zetian's entourage equated her with this empress and further asserted that she was a manifestation of the future Buddha Maitreya.
When Empress Wu abdicated in 705 her son continued to support the Huayan school, continuing the tradition of close relationship between the court and Buddhist philosophical schools. However, during this period Buddhism continued to grow in popularity among all classes of people. Thousands of monasteries and shrines were built, supported by donations of land, grain, cloth, and precious metals, and by convict workers, the poor, and serfs bound to donated lands. Tens of thousands of persons became monks or nuns, elaborate rituals were performed, feasts provided, and sermons preached in both monastery and marketplace. Buddhist observances such as the Lantern Festival, the Buddha's birthday, and the Ghost Festival became universally practiced, while pious lay societies multiplied for carving images and inscriptions and disseminating scriptures. Wealthy monasteries became centers of money lending, milling, and medical care, as well as hostels for travelers and retreats for scholars and officials. In high literature the purity of monks and monasteries was admired, while in popular stories karma, rebirth, and purgatory became unquestioned truths. The state made sporadic attempts to control this exuberance by licensing monasteries, instituting examinations for monks, and issuing ordination certificates, but state control was limited and "unofficial" Buddhist practices continued to flourish.
An important factor in this popularity was the rise of two more simple and direct forms of Chinese Buddhism, much less complex than the exegetical and philosophical schools that were dominant earlier. These were the Pure Land (Jingtu) school, devoted to rebirth in Amitabha's paradise, and the Chan ("meditation") school, which promised enlightenment in this life to those with sufficient dedication. These traditions were universalist and nonhierarchical in principle, yet came to have coherent teachings and organizations of their own appealing to a wide range of people. Both should be understood as products of gradual evolution in the seventh and eighth centuries, as a positive selection from earlier teachings, particularly Tiantai, and as a reformist reaction against the secularization of the Tang monastic establishment.
By the third century C.E. texts describing various "pure realms" or "Buddha lands" had been translated into Chinese, and some monks began to meditate on the best known of these "lands," the Western Paradise of the Buddha Amitabha. [See Pure and Impure Lands and Amitabha.] In the fourth century Zhi Dun (314-366) made an image of Amitabha and vowed to be reborn in his paradise, as did Huiyuan in 402. [See the biography of Huiyuan.] These early efforts concentrated on visualization of Buddha realms in states of meditative trance. [See Nianfo.] However, in two Pure Land sutras describing Amitabha and his realm devotees are assured that through a combination of ethical living and concentration on this Buddha they will be reborn at death in his realm, owing to a vow he had made aeons ago to create out of the boundless merit he had accumulated on the long path to Buddhahood a haven for sentient beings. This promise eventually led some monks to preach devotion to Amitabha as an easier way to salvation, available to all, through a combination of sincere thinking on the Buddha and the invocation of his name in faith. To strengthen their proclamation, these monks argued that in fact Amitabha's Pure Land was at a high level, beyond samsara (the cycle of rebirth), and thus functionally equivalent to nirvana for those less philosophically inclined.
Philosophers of the fifth and sixth centuries such as Sengzhao and Zhiyi discussed the Pure Land concept as part of larger systems of thought, but the first monk to devote his life to proclaiming devotion to Amitabha as the chief means of salvation for the whole of society was Tanluan (476-542), a monk from North China where there had long been an emphasis on the practical implementation of Buddhism. Tanluan organized devotional associations whose members both contemplated the Buddha and orally recited his name. It was in the fifth and sixth centuries as well that many Chinese Buddhist thinkers became convinced that the final period of Buddhist teaching for this world cycle was about to begin, a period (called in Chinese mofa, the Latter Days of the Law) in which the capacity for understanding Buddhism had so declined that only simple and direct means of communication would suffice. [See Mappo and the biographies of Sengzhao and Tanluan.]
The next important preacher to base his teachings solely on Amitabha and his Pure Land was Daochuo (562-645). It was he and his disciple Shandao (613-681) who firmly established the Pure Land movement and came to be looked upon as founding patriarchs of the tradition. Although both of these men advocated oral recitation of Amitabha's name as the chief means to deliverance, such recitation was to be done in a concentrated and devout state of mind and was to be accompanied by confession of sins and the chanting of sutras. They and their followers also organized recitation assemblies and composed manuals for congregational worship. Owing to their efforts, Pure Land devotion became the most popular form of Buddhism in China, from whence it was taken to Japan in the ninth century. Pure Land teachings supported the validity of lay piety as no Buddhist school had before, and hence both made possible the spread of Buddhism throughout the population and furthered the development of independent societies and sects outside the monasteries. [See Jingtu and the biographies of Daochuo and Shandao.]
The last movement within orthodox Buddhism in China to emerge as an independent tradition was Chan (Jpn., Zen), characterized by its concentration on direct means of individual enlightenment, chiefly meditation. Such enlightenment had always been the primary goal of Buddhism, so in a sense Chan began as a reform movement seeking to recover the experiential origins of its tradition. Such a reform appeared all the more necessary in the face of the material success of Tang Buddhism, with its ornate rituals, complex philosophies, and close relationships with the state. Chan evolved out of the resonances of Mahayana Buddhism with the individualist, mystical, and iconoclastic strand of Chinese culture, represented chiefly by the philosophy of the Laozi and Zhuangzi, especially the latter. This philosophy had long advocated individual identification with the ineffable foundations of being, which cannot be grasped in words or limited by the perspectives of traditional practice and morality. Such identification brings a new sense of spiritual freedom, affirmation of life, and acceptance of death. The importance of meditation had long been emphasized in Chinese Buddhism, beginning with Han translations of sutras describing the process. The Tiantai master Zhiyi discussed the stages and positions of meditation in great detail in the sixth century. Thus, it is not surprising that by the seventh century some monks appeared who advocated meditation above all, a simplification parallel to that of the Pure Land tradition.
The first references to a "Chan school" appeared in the late eighth century. By that time several branches of this emerging tradition were constructing genealogies going back to Sakyamuni himself; these were intended to establish the priority and authority of their teachings. The genealogy that came to be accepted later claimed a lineage of twenty-eight Indian and seven Chinese patriarchs, the latter beginning with Bodhidharma (c. 461-534), a Central Asian meditation master active in the Northern Wei kingdom. Legends concerning these patriarchs were increasingly elaborated as time passed, but the details of most cannot be verified. [See the biography of Bodhidharma.] The first Chinese monk involved whose teachings have survived is Daoxin (580-651), who was later claimed to be the fourth patriarch. Daoxin specialized in meditation and monastic discipline, and studied for ten years with a disciple of the Tiantai founder, Zhiyi. He is also noted for his concern with image worship and reciting the Buddha's name to calm the mind.
One of Daoxin's disciples was Hongren (601-674), who also concentrated on meditation and on maintaining "awareness of the mind." His successor was Faru (d. 689), whose spiritual heir in turn was Shenxiu (d. 706), who had also studied with Hongren. Shenxiu was active in North China, where he was invited to court by the Empress Wu and became a famous teacher. In the earliest and most reliable sources Hongren, Faru, and Shenxiu are described as the fifth, sixth, and seventh Chan patriarchs, with Faru eventually omitted and replaced in sixth position by Shenxiu. However, in the early eighth century this succession, based in the capitals of Luoyang and Chang'an in the North (and hence retrospectively referred to as the "Northern school"), was challenged by a monk named Shenhui (670-762), who had studied for several years with a teacher named Huineng (638-713) in a monastery in Guangdong Province in the South. Shenhui labored for years to establish a new form of Chan, a "Southern school," centered on recognizing the Buddha nature within the self, and thus less concerned with worship, scripture study, and prescribed forms of meditation.
Shenhui's most lasting achievement was the elevation of his teacher Huineng to the status of "sixth patriarch," displacing Shenxiu. This achievement was textually established through the composition of a book entitled The Platform Sutra of the Sixth Patriarch (platform here means the high chair on which the abbot sits while giving Dharma talks) in about 820 by members of Shenhui's school. Portions of this book are very similar to the teachings of Shenhui, who did not cite any writings by Huineng although he was no doubt influenced by his study with him. In the Platform Sutra Huineng is portrayed as a brilliant young layman of rustic background who, despite the fact that he is only a kitchen helper in the monastery, confounds Shenxiu and is secretly given charge of the transmission by Hongren, the fifth patriarch. This book teaches instantaneous enlightenment through realization of inner potential, while criticizing gradualist approaches that rely on outer forms such as images and scriptures. As such it is an important source of the Chan individualism and iconoclasm well known (and often exaggerated) in the West. [See Chan and the biography of Huineng.]
Although Buddhism flourished at all levels of Chinese society in the Tang period, an undercurrent of resentment and hostility toward it by Confucians, Daoists, and the state always remained. Han Yu (768-824), one of China's great writers, campaigned against Buddhist influence and argued for a revival of the teachings of Confucius and Mencius. This hostility came to a head in the mid-ninth century, strongly reinforced by the fact that Buddhist monasteries had accumulated large amounts of precious metals and tax exempt land. From 843 to 845 Emperor Wuzong (r. 840-846), an ardent Daoist, issued decrees that led to the destruction of 4,600 monasteries and 40,000 temples and shrines, and the return of 260,500 monks and nuns to lay life. Although this suppression was ended in 846 by Wuzong's successor, monastic Buddhism never fully regained its momentum. Nonetheless, Buddhist ideas, values, and rituals continued to permeate Chinese society through the influence of the Chan and Pure Land schools, which survived the 845 persecution because of widespread support throughout the country.
Tang Daoism. Daoism continued to develop during the Tang period, in part because it received more support from some emperors than it had under the Sui. As noted earlier, Taizong claimed Laozi as a royal ancestor, and in 667 the Emperor Gaozong (r. 649-683) conferred on Laozi the title of emperor, thus confirming his status. Empress Wu, Gaozong's wife, swung the pendulum of support back to Buddhism, but Daoism was favored in later reigns as well and reached the high point of its political influence in the Tang with the suppression of Buddhism and other non-Chinese religions in the 840s.
The most important Daoist order during the Tang was that based on Maoshan in Jiangsu, where temples were built and reconstructed, disciples trained, and scriptures edited. Devotees on Maoshan studied Shangqing scriptures, meditated, practiced alchemy, and carried out complex rituals of purgation and cosmic renewal, calling down astral spirits and preparing for immortality among the stars. These activities were presided over by a hierarchical priesthood, led by fashi, "masters of doctrine," the most prominent of whom came to be considered patriarchs of the school.
Daoism in the Song and Yuan Periods. The old Tang aristocracy had begun to lose its power after the An Lushan rebellion in the eighth century. The turmoil of the ninth and tenth centuries sealed its fate and helped prepare the way for a more centralized state in the Song, administered by bureaucrats who were selected through civil service examinations. This in turn contributed to increased social mobility, which was also enhanced by economic growth and diversification, the spread of printing, and a larger number of schools. These factors, combined with innovations in literature, art, philosophy, religion, science, and technology have led historians to describe the Song period as the beginning of early modern China. It was in this period that the basic patterns of life and thought were established for the remainder of imperial history.
During the tenth through thirteenth centuries Daoism developed new schools and texts and became more closely allied with the state. The Song emperor Chenzong (r. 990-1023) bestowed gifts and titles on a number of prominent Daoists, including one named Zhang from the old Way of the Celestial Masters, based on Mount Longhu in Jiangxi Province. This led to the consolidation of the Zhengyi (Orthodox Unity) sect led by hereditary Celestial Masters. The other official Daoist ordination centers in this period were those at Maoshan and the Lingbao center in Jiangsu.
A century later, during the reign of Emperor Huizong (r. 1101-1126), the most famous imperial patron of Daoism, three new Daoist orders appeared, one with a popular base in southeastern Jiangxi, another a revival of Maoshan teachings, and the third the Shenxiao Fa (Rites of the Divine Empyrean), initiated by Lin Lingsu, who was active at court from 1116 to 1119. Lin's teachings were presented in a new, expanded edition of a fourth-century Lingbao text, the Durenjing (Scripture of Salvation). The scripture proclaimed that a new divine emperor would descend to rule in 1112, thus bestowing additional sacred status on Huizong. This liturgical text in sixty-one chapters promises salvation to all in the name of a supreme celestial realm, a theme welcome at a court beset with corruption within and foreign invaders without. The Jiangxi movement, called Tianxin (Heart of Heaven) after a star in Ursa Major, was most concerned with the ritual evocation of astral power to exorcise disease-causing demons, particularly those associated with mental illness. The first edition of its texts was also presented to Huizong in 1116.
In 1126 the Song capital Kaifeng was captured by the Jurchen, a people from northeastern Manchuria who, with other northern peoples, had long threatened the Song. As a result the Chinese court moved south across the Yangze River to establish a new capital in Hangzhou, thus initiating the Southern Song period (1127-1279). During this period China was once again divided north and south, with the Jurchen ruling the Jin kingdom (1115-1234). It was here in the north that three new Daoist sects appeared, the Taiyi (Grand Unity), the Dadao (Great Way), and the Quanzhen ( Complete Perfection). The Taiyi sect gained favor for a time at the Jin court because of its promise of divine healing. Dadao disciples worked in the fields, prayed for healing rather than using charms, and did not practice techniques of immortality. Both groups were led by a succession of patriarchs for about two hundred years, but failed to survive the end of the Yuan dynasty. Both included Confucian and Buddhist elements in a Daoist framework.
The Quanzhen sect was founded in similar circumstances by a scholar named Wang Zhe (1113-1170), but continues to exist. Wang claimed to have received revelations from two superhuman beings, whereupon he gathered disciples and founded five congregations in northern Shandong. After his death seven of his leading disciples continued to proclaim his teachings across North China. One of them was received at the Jin court in 1187, thus beginning a period of imperial support for the sect that continued into the time of Mongol rule, particularly after another of the founding disciples visited Chinggis Khan at his Central Asian court in 1222. [See the biography of Wang Zhe.]
In its early development the Daoist quest for personal immortality employed a combination of positive ritual techniques: visualization of astral gods and ingestion of their essence, internal circulation and refinement of qi, massage, ingesting elixirs of cinnabar, mica, or gold in suspension, all accompanied by taboos and ethical injunctions. During the Song and Yuan periods, the ingestion of elixirs, called waidan (external alchemy), was replaced by forms of meditation and visualization in which the bodily substances and meditative exercises were expressed in alchemical terms. This new form of practice, called neidan (internal alchemy), is well expressed in the writings of Zhang Boduan (983-1082). Under Confucian and Chan influence the Quanzhen school further "spiritualized" the terminology of these older practices, turning its physiological referents into abstract polarities within the mind, to be unified through meditation. Perhaps in part because of this withdrawal into the mind, Quanzhen was the first Daoist school to base itself in monasteries, although celibacy to maintain and purify one's powers had been practiced by some adepts earlier, and some Daoist monasteries had been established in the sixth century under pressure from the state and the Buddhist example.
The Quanzhen sect reached the height of its influence in the first decades of the thirteenth century, and for a time was favored over Chinese Buddhism by Mongol rulers. Buddhist leaders protested Daoist occupation of their monasteries and eventually regained official support after a series of debates between Daoists and Buddhists at court between 1255 and 1281. After Buddhists were judged the winners, Khubilai Khan ordered that the Daoist canon be burned and Daoist priests returned to lay life or converted to Buddhism. In the fourteenth century the Quanzhen sect merged with a similar tradition from South China, the Jindandao (Golden Elixir Way) also devoted to attaining immortality through cultivating powers or "elixirs" within the self. The name Quanzhen was retained for the monastic side of this combined tradition, whereas the Jindandao continued as a popular movement that has produced new scriptures and sects since at least the sixteenth century. The older Daoist schools continued to produce new bodies of texts from the eleventh century on, all claiming divine origin, and powers of healing, exorcism, and support for the state.
The Revival of Confucianism. Confucianism had remained a powerful tradition of morality, social custom, and hierarchical status since the fall of the Han, but after the third century it no longer generated fresh philosophical perspectives. There were a few Confucian philosophers such as Wang Tong (584?-617), Han Yu, and Li Ao (fl. 798), but from the fourth through the tenth century Buddhism and Daoism attracted a great many intellectuals; the best philosophical minds, in particular, were devoted to Buddhism. However, in the eleventh century there appeared a series of thinkers determined to revive Confucianism. In this task they were inevitably influenced by Buddhist theories of mind, enlightenment, and ethics; indeed, most of these men went through Buddhist and Daoist phases in their early years and were "converted" to Confucianism later. Nonetheless, at a conscious level they rejected Buddhist "emptiness," asceticism, and monastic life in favor of a positive metaphysics, ordered family life, and concern for social and governmental reform. With a few exceptions the leaders of this movement, known in the West as Neo-Confucianism, went through the civil service examination system and held civil or military offices.
Early Neo-Confucianism had both rationalistic and idealistic tendencies; the aim of both was to actualize the inherent Sagehood of every human being by realizing and acting upon the ultimate principle (li) of the natural/moral order. The more rationalist school believed that this order or principle was present in humans as their fundamental, metaphysical nature (xing), but that the physical nature of the mind (xin) obscured the metaphysical nature and hindered our awareness of it. This line of thinking was developed by Cheng Yi (1033-1107) and Zhu Xi (1130-1200) and became known as the Cheng-Zhu school. The idealistic approach, which later became known as the Lu-Wang school after Lu Jiuyuan (1139-1193) and Wang Yangming (1472-1529), said that the fundamental natural/moral order was fully present to awareness in the active, functioning mind, and so did not require intellectual learning to be known. Thus both schools focused on the mind; their differences concerned whether li was already present in the mind and needed only to be acted upon, or whether it first had to be intellectually induced through the rational investigation of human nature and the natural world. Interaction between these poles provided the impetus for new syntheses until the seventeenth century. But Zhu Xi's version - synthesizing the teachings of not only Cheng Yi but also his brother Cheng Hao (1032-1085), their former teacher Zhou Dunyi (1017-1073), their uncle Zhang Zai (1020-1077), and their friend Shao Yong (1011-1077) - was made the basis of the civil service examinations in 1313, and hence came to have a powerful influence throughout literate society that lasted until the examination system was abolished in 1905. [With the exception of Shao Yong, all of the thinkers mentioned above are the subject of independent entries.]
In the history of Chinese religions, the impact of Neo-Confucianism is evident at different levels. The intellectual and institutional success of this movement among the Chinese elite led many of them away from Buddhism and Daoism toward a reaffirmation of the values of family, clan, and state. While the elite were still involved in such popular traditions as annual festivals, geomancy, and funeral rituals, the rational and nontheistic orientation of Neo-Confucianism tended to inhibit their participation in ecstatic processions and shamanism. These tendencies meant that after the eleventh century sectarian and popular forms of religion were increasingly denied high level intellectual stimulation and articulation. Indeed, state support for a new Confucian orthodoxy gave fresh impetus to criticism or suppression of other traditions. Another long term impact of Neo-Confucianism was the Confucianization of popular values, supported by schools, examinations, distribution of tracts, and lectures in villages. This meant that from the Song dynasty on the operative ethical principles in society were a combination of Confucian virtues with Buddhist karma and compassion, a tendency that became more widespread as the centuries passed.
All of these developments were rooted in the religious dimensions of the Neo-Confucian tradition, which from the beginning was most concerned with the moral transformation of self and society. This transformation was to be carried out through intensive study and discussion, self-examination, and meditation, often in the social context of public and private schools and academies, where prayers and sacrificial offerings to former Confucian "sages and worthies" accompanied study and discussion. Through the process of self-cultivation one could become aware of the patterns of moral order within the mind and in the cosmos, an insight that itself became a means of clarifying and establishing this cosmic order within society. So Confucianism became a more active and self-conscious movement than it ever had been before. [See Confucian Thought, article on Neo-Confucianism.]
Song Buddhism. Song Buddhist activities were based on the twin foundations of Chan and Pure Land, with an increasing emphasis on the compatability of the two. Although the joint practice of meditation and invocation of the Buddha's name had been taught by Zhiyi and the Chan patriarch Daoxin in the sixth and seventh centuries, the first Chan master to openly advocate it after Chan was well established was Yanshou (904-975). This emphasis was continued in the Yuan (1271-1368) and Ming (1368-1644) dynasties, so that by the late traditional period meditation and recitation were commonly employed together in monasteries as two means to the same end of emptying the mind of self-centered thought.
During the Song dynasty Buddhism physically recovered from the suppression of the ninth century, with tens of thousands of monasteries, large amounts of land, and active support throughout society. By the tenth century the Chan school was divided into two main branches, both of which had first appeared earlier, the Linji (Jpn., Rinzai), emphasizing gongan practice and dramatic and unexpected breakthroughs to enlightenment in the midst of everyday activities, and the Caodong (Jpn., St), known for a more gradual approach through seated meditation, or zuochan (Jpn., zazen). [See the biography of Linji.] The most prominent Song representative of the Linji lineage was Dahui Zonggao (1089-1163), a popular preacher to laypeople as well as a meditation master. In the Caodong lineage the most prominent teacher was Hongzhi Zhengjue (1091-1157), who taught meditation as "silent illumination" (mozhao).
Although the Tang dynasty has traditionally been called the "Golden Age" of Chan Buddhism, it was actually during the Song that Chan became firmly established and developed the styles today associated with it. Notwithstanding its often colorful and iconoclastic teaching methods, Chan has always been characterized by disciplined communal living in monasteries, centered on group meditation but with a strong emphasis on traditional Buddhist ethics. The hallmarks of Chan monasticism have traditionally been ascribed to Baizhang Huaihai (749-814). These include the rejection of a central Buddha hall containing images in favor of a Dharma hall, where the abbot would lecture and conduct services; a Sangha or monks' hall with platforms along the sides for sleeping and meditation; private consultations with the abbot; and shared responsibility for manual labor, including agricultural work to reduce dependence on outside donations with the reciprocal obligations they involved. Evaluating this traditional view, historians have noted that the earliest extant text containing Baizhang's rules dates from the late tenth century, and the earliest extant detailed code of monastic conduct is dated 1103 or 1104; thus we have Song dynasty texts purporting to describe Tang dynasty monasteries. Research has also found that the allegedly unique features of Chan monasteries were also found in Tiantai monasteries, and that the claim of a distinct style dating back to the Tang, a style actually common to the majority of monasteries, served as support for the Song policy by which all publicly supported monasteries were designated as Chan and their abbacies restricted to monks in a Chan lineage. This policy took effect during the Northern Song. After Chan thus became the "established" sect, agricultural labor was reduced as Chan monasteries received donations of land and goods from wealthy patrons.
During the Song Chan produced new genres of Buddhist literature that eventually became more central to its teaching than the older Mahayana sutras. The "recorded sayings" (yulu) of patriarchs and abbots with their disciples were an adaptation of an older Chinese form whose most notable example was the Analects (Lunyu) of Confucius. From these were extracted shorter sayings and conversations demonstrating the struggle to attain enlightenment These records, codified as "public cases" (Chin., gongan; Jpn., kan), were meditated upon by novices as they sought to experience reality directly. And "Lamp Records" (denglu) were compilations of specific lineages of masters and disciples, demonstrating what Chan teachers called the "mind-to-mind transmission" that connected them with Sakyamuni Buddha. This doctrine also supported the Chan claim to represent a more authentic form of Buddhism than the other major Chinese schools (Tiantai, Huayan, and Pure Land), each of which focused on a particular sutra (the Lotus, the Avatamsaka or Huayan, and the three Pure Land sutras, respectively). Thus Chan Buddhism constructed what we might call a mythic history of itself that had important "political" ramifications.
One of the most important developments in Song Buddhism was the spread of lay societies devoted to good works and recitation of the Buddha's name. These groups, usually supported by monks and monasteries, ranged in membership from a few score to several thousand, including both men and women, gentry and commoners. In the twelfth century these societies, with their egalitarian outreach and congregational rituals, provided the immediate context for the rise of independent popular sects, which in turn spread throughout China in succeeding centuries. The Song associations were an organized and doctrinally aware means of spreading Buddhist ideas of salvation, paradise and purgatory, karma, and moral values to the population at large, and so contributed to the integration of Buddhism with Chinese culture.
Popular Religion. The other major tradition that took its early modern shape during the Song period was popular religion, the religion of the whole population other than orthodox Daoist priests, Buddhist monks, Confucian scholars, and state officials in their public roles (although elements of popular religion overlapped with these more specialized vocations). Zhou and Han sources note a variety of religious practices current throughout the population, including ancestor worship, sacrifices to spirits of sacred objects and places, belief in ghosts, exorcism, divination, and the activities of spirit mediums. Many of these practices began in prehistoric times and formed the sea out of which more structured and focused traditions gradually emerged, traditions such as the state cult, Confucian philosophy, and Daoist religion. Each of these emerging traditions was associated with social elites who had to define themselves as different from their peasant and artisan surroundings. In the process they often came to criticize or even suppress cults active among common folk devoted to local spirits and concerned primarily with efficacious response to immediate needs. Since the Chinese state had always claimed religious prerogatives, the most important factor was official authorization by some level of government. Unauthorized cults were considered "excessive," beyond what elite custom and propriety admitted. Nonetheless, such distinctions were of importance primarily to the more self-conscious supporters of literate alternatives; to their less theologically inclined peers, "popular religion" was a varied set of customs that reflected the way the world was.
Popular religious practices were diffused throughout the social system, based in family, clan, and village, at first devoted only to spirits with limited and local powers. By the Han dynasty personified deities of higher status appeared, along with organized sects such as the Way of the Celestial Masters, with ethical teachings and new myths of creation and world renewal, all reinforced by collective rituals. These developments were produced by literate commoners and minor officials at an intermediate level of education and status, and show remarkable resemblance to the first records of such middle-class thought in the writings of Mozi, six hundred years earlier. This level of Chinese religious consciousness was strongly reinforced by Mahayana bodhisattvas, images, offering rituals, myths of purgatory, and understandings of moral causation. By the fourth century, Daoist writers were developing elaborate mythologies of personified deities and immortals and their roles in a celestial hierarchy.
During the Song period all these various strands came together to reformulate popular religion as a tradition in its own right, defined by its location in the midst of ordinary social life, its pantheon of personified deities, views of afterlife, demonology, and characteristic specialists and rituals. Its values were still founded on pragmatic reciprocity, but some assurances about life after death were added to promises for aid now.
This popular tradition is based on the worship or propitiation of gods, ghosts, and ancestors. The boundaries between these categories are somewhat fluid. Under ideal circumstances when a person dies the hun, or yang soul, rises to heaven and becomes an ancesor (zu or zuxian) and the po or yin soul remains with the body in the earth - provided that the death was normal, the body was buried in a proper funeral, and subsequent memorial services or ancestral sacrifices were properly made by blood or ritually adopted descendants. If these conditions are not met, either the hun or the po (depending on local beliefs) can become a ghost (gui). Ghosts can be ritually adopted or -- in the case of unmarried women -- posthumously married, thereby becoming ancestors; they can even be enshrined and worshipped as minor gods. Although scholars differ on whether the propitiation of ancestors should be called worship or veneration (since they are not gods), the basic ritual actions performed for gods and ancestors (burning incense, praying, offering food or "spirit money") are virtually identical. The status of the particular recipient is indicated by certain variations, such as offering uncooked food for a god but cooked food for an ancestor; cooked food implies a meal being shared, and ordinary people do not presume to invite gods into their homes for meals. Phenomenologically, the difference between a god and an ancestor is that the former has more numinous power (ling), and can therefore exert influence on a wider circle of the living than his or her own family. [See Ancestors, article on Ancestor Cults.]
Beyond the household popular religion is practiced at shrines for local earth-gods and at village or city neighborhood temples. Temples are residences of the gods, where they are most easily available and ready to accept petitions and offerings of food and incense. Here too, the gods convey messages through simple means of divination, dreams, spirit mediums, and spirit writing. Great bronze incense burners in temple courtyards are the central points of ritual communication, and it is common for local households to fill their own incense burners with ashes from the temple. All families residing in the area of the village or the city neighborhood are considered members of the temple community.
Most of the deities characteristic of this tradition are human beings deified over time by increasing recognition of their efficacy and status. Having once been human they owe their positions to veneration by the living and hence are constrained by reciprocal relationships with their devotees. Many of the deities of popular religion are responsible for specific functions such as providing rain or healing diseases, while others are propitiated for a wide variety of reasons - sometimes simply for general good fortune, or to maintain a harmonious relationship with the unseen world. Under Daoist influence the pantheon came to be organized in a celestial hierarchy presided over by the Jade Emperor, a deity first officially recognized as such by the Song emperor Zhenzong in the beginning of the eleventh century. The Jade Emperor is called Yuhuang dadi (Jade Emperor Great Lord) or Yuhuang shangdi (Jade Emperor High Lord) -- the latter incorporating the name of the high god of the Shang dynasty. [See Yuhuang.]
Gods are symbols of order, and many of the gods of Daoism and popular religion are equipped with weapons and troops. Such force is necessary because beneath the gods is a vast array of demons, hostile influences that bring disorder, disease, suffering, and death. Although ultimately subject to divine command, and in some cases sent by the gods to punish sinners, these demons are most unruly, and often can be subdued only through repeated invocation and strenuous ritual action. It is in such ritual exorcism that the struggle between gods and demons is most starkly presented. Most demons, or gui, are ghosts, or the spirits of the restless dead who died unjustly, or whose bodies are not properly cared for; they cause disruption to draw attention to their plight. Other demons represent natural forces that can be perceived as hostile, such as mountains and wild animals. Much effort in popular religion is devoted to dealing with these harmful influences.
There are three different types of leadership in this popular tradition--hereditary, selected, and charismatic--although of course in any given situation these types can be mixed. Hereditary leaders include the fathers and mothers of families who carry out ancestor worship in the clan temple and household, and sect leaders who inherit their positions. Hereditary Daoist priests also perform rituals for the community. Village temples, on the other hand, tend to be led by a village elder selected by lot, on a rotating basis. Charismatic leaders include spirit mediums, spirit writers, magicians, and healers, all of whom are defined by the recognition of their ability to bring divine power and wisdom directly to bear on human problems.
Popular religion is also associated with a cycle of annual festivals, funeral rituals, and geomancy (feng-shui). Popular values are sanctioned by revelations from the gods and by belief in purgatory, where the soul goes after death, there to be punished for its sins according to the principle of karmic retribution. There are ten courts in purgatory, each presided over by a judge who fits the suffering to the crime. Passage through purgatory can be ameliorated through the transfer of spirit money by Buddhist or Daoist rituals. When its guilt has been purged, the soul advances to the tenth court, where the form of its next existence is decided. This mythology is a modification of Buddhist beliefs described in detail in texts first translated in the sixth century.
The Period of Mongol Rule. The Mongols under Chinggis Khan (1167-1227) captured the Jin capital of Yanjing (modern Beijing) in 1215 and established the Yuan dynasty (1271-1368). From China they ruled their vast domain, which extended all the way to central Europe. For the next several decades the "Middle Kingdom" was the eastern end of a world empire, open as never before to foreign influences. In the realm of religion these influences included the Nestorians, a few Franciscan missionaries in the early fourteenth century, the growth of the Jewish community in Kaifeng, and a large number of Tibetan Buddhist monks.
The first Mongol contact with Chinese Buddhism was with Chan monks, a few of whom attained influence at court. In the meantime, however, the Mongols were increasingly attracted by the exorcistic and healing rituals of Tantric Buddhism in Tibet, the borders of which they also controlled. In 1260 a Tibetan monk, 'Phags-pa (1235-1280), was named imperial preceptor, and soon after chief of Buddhist affairs. Tibetan monks were appointed as leaders of the samgha all over China, to some extent reviving the Tantric (Zhenyan) school that had flourished briefly in the Tang. [See Zhenyan.]
By the early fourteenth century another form of popular religion appeared, the voluntary association or sect that could be joined by individuals from different families and villages. These sects developed out of lay Buddhist societies in the twelfth century, but their structure owed much to late Han religious associations and their popular Daoist successors, Buddhist eschatological movements from the fifth century on, and Manichaeism. By the Yuan period the sects were characterized by predominantly lay membership and leadership, hierarachical organization, active proselytism, congregational rituals, possession of their own scriptures in the vernacular, and mutual economic support. Their best known antecedent was the White Lotus sect, an independent group founded by a monk named Mao Ziyuan (1086-1166). Mao combined simplified Tiantai teaching with Pure Land practice, invoking Amitabha's saving power with just five recitations of his name. After Mao's death the sect, led by laymen who married, spread across south and east China. In the process it incorporated charms and prognostication texts, and by the fourteenth century branches in Guangxi and Honan were strongly influenced by Daoist methods of cultivating the internal elixirs. This led to protests from more orthodox leaders of the Pure Land tradition, monks in the east who appealed to the throne that they not be proscribed along with the "heretics." This appeal succeeded, and the monastic branch went on to be considered part of the tradition of the Pure Land school, with Mao Ziyuan as a revered patriarch.
The more rustic side of the White Lotus tradition was prohibited three times in the Yuan, but flourished nonetheless, with its own communal organizations and scriptures and a growing emphasis on the presence within it of the future Buddha Maitreya. During the civil wars of the mid-fourteenth century this belief encouraged full-scale uprisings in the name of the new world Maitreya was expected to bring. The Ming founder Zhu Yuanzhang (1328-1398) had for a time been an officer in one of the White Lotus armies, but after his victory tried to suppress the sect. It continued to multiply nonetheless, under a variety of names.
The first extant sectarian scriptures, produced in the early sixteenth century, indicate that by that time there were two streams of mythology and belief, one more influenced by Daoism, the other by Buddhism. The Daoist stream incorporated much terminology from the Golden Elixir school (Jindandao), and was based on the myth of a saving mother goddess, the Eternal Venerable Mother, who is a modified form of the old Han-dynasty Queen Mother of the West, a figure mentioned in Quanzhen teachings as well. The Buddhist stream was initiated by a sectarian reformer named Luo Qing (1443-1527), whose teachings were based on the Chan theme of "attaining Buddhahood through seeing one's own nature." Luo criticized the White Lotus and Maitreya sects as being too concerned with outward ritual forms, but later writers in his school incorporated some themes from the Eternal Mother mythology, while other sectarian founders espousing this mythology imitated Luo Qing's example of writing vernacular scriptures to put forth their own views. These scriptures, together with their successors, the popular spirit-writing texts of the nineteenth and twentieth centuries, constitute a fourth major body of Chinese sacred texts, after those of the Confucians, Buddhists, and Daoists.
The number of popular religious sects increased rapidly during the sixteenth and seventeenth centuries, all part of the same general tradition but with different founders, lines of transmission, texts, and ritual variations. Such groups had been illegal since the Yuan and some resisted prosecution with armed force or attempted to establish their own safe areas. In a few cases sect leaders organized major attempts to overthrow the government and put their own emperor on the throne, to rule over a utopian world in which time and society would be renewed. However, for the most part the sects simply provided a congregational alternative to village popular religion, an alternative that offered mutual support and assurance and promised means of going directly to paradise at death without passing through purgatory.
Popular religious sects were active on the China mainland until the start of the Cultural Revolution in 1966, and they continue to multiply in Taiwan, where they can be legally registered as branches of Daoism. Since the late nineteenth century most sectarian scriptures have been composed by spirit writing, direct revelation from a variety of gods and culture heroes.
Ming and Qing Religion
Mongol rule began to deteriorate in the early fourteenth century, due to struggles between tribal factions at court, the decline of military power, and the devolution of central authority to local warlords, bandit groups, and sectarian movements. After twenty years of civil war Zhu Yuanzhang, from a poor peasant family, defeated all his rivals and reestablished a Chinese imperial house, the Ming dynasty (1368-1644). Zhu (Ming Taizu, r. 1368-1398) was an energetic ruler of strong personal religious beliefs who revised imperial rituals, promulgated strict laws against a variety of popular practices and sects, and recruited Daoist priests to direct court ceremonies. For him the mandate of Heaven was a living force that had established him in a long line of sacred emperors; his ancestors were deemed powerful intermediaries with Shangdi. He elaborated and reinforced the responsibility of government officials to offer regular sacrifices to deities of fertility, natural forces, and cities, and to the spirits of heroes and abandoned ghosts.
Ming Dynasty. Under the Ming, such factors as the diversification of the agricultural base and the monetization of the economy had an impact on religious life; there were more excess funds for building temples and printing scriptures, and more rich peasants, merchants, and artisans with energy to invest in popular religion, both village and sectarian. Sectarian scriptures appeared as part of the same movement that produced new vernacular literature of all types, morality books to inculcate Neo-Confucian values, and new forms and audiences for popular operas. More than ever before the late Ming was a time of economic and cultural initiatives from the population at large, as one might expect in a period of increasing competition for recources by small entrepreneurs. These tendencies continued to gain momentum in the Qing period.
Ming Buddhism showed the impact of these economic and cultural factors, particularly in eastern China where during the sixteenth century reforming monks such as Yunqi Zhuhong (1535-1615) organized lay societies, wrote morality books that quantified the merit points for good deeds, and affirmed Confucian values within a Buddhist framework. Zhuhong combined Pure Land and Chan practice and preached spiritual progress through sparing animals from slaughter and captivity. The integration of Buddhism into Chinese society was furthered as well by government approval of a class of teaching monks, ordained with official certificates, whose role was to perform rituals for the people. [See the biography of Zhuhong.]
Buddhism also had a synergetic relationship with the form of Neo-Confucianism dominant in the late Ming, Wang Yangming's "study of mind." On the one hand, Chan individualism and seeking enlightenment within influenced Wang and his disciples; on the other hand, official acceptance of Wang's school gave indirect support to the forms of Buddhism associated with it, such as the teachings of Zhuhong and Hanshan Deqing (1546-1623).
Daoism was supported by emperors throughout the Ming, with Daoist priests appointed as officials in charge of rituals and composing hymns and messages to the gods. The Quanzhen sect continued to do well, with its monastic base and emphasis on attaining immortality through "internal alchemy." Its meditation methods also influenced those of some of Wang Yangming's followers, such as Wang Ji (1497-1582). However, it was the Zhengyi sect led by hereditary Celestial Masters that had the most official support during the Ming and hence was able to consolidate its position as the standard of orthodox Daoism. Zhengyi influence is evident in scriptures composed during this period, many of which trace their lineage back to the first Celestial Master and bear imprimaturs from his successors. The forty-third-generation master was given charge of compiling a new Daoist canon in 1406, a task completed between 1444 and 1445. It is this edition that is still in use today.
By the seventeenth century, Confucian philosophy entered a more nationalistic and materialist phase, but the scholar-official class as a whole remained involved in a variety of private religious practices beyond their official ritual responsibilities. These included not only the study of Daoism and Buddhism but the use of spirit-writing séances and prayers to Wenchang, the god of scholars and literature, for help in passing examinations. Ming Taizu had proclaimed that each of the "three teachings" of Confucianism, Buddhism, and Daoism had an important role to play, which encouraged synthetic tendencies present since the beginnings of Buddhism in China. In the sixteenth century a Confucian scholar named Lin Zhaoen (1517-1598) from Fujian took these tendencies a step further by building a middle-class religious sect in which Confucian teachings were explicitly supported by those of Buddhism and Daoism. Lin was known as "Master of the Three Teachings," the patron saint of what became a popular movement with temples still extant in Singapore and Malaysia in the mid-twentieth century. This tendency to incorporate Confucianism into a sectarian religion was echoed by Zhang Jizong (d. 1866) who established a fortified community in Shandong, and by Kang Youwei (1858-1927) at the end of imperial history. Confucian oriented spirit-writing cults also flourished in the late nineteenth and early twentieth centuries, supported by middle level military and civil officials. These cults produced tracts and scriptures of their own. [See the biography of Kang Youwei.]
During the sixteenth century Christian missionaries tried for the third time to establish their faith in China, this time a more successful effort by Italian Jesuits. In 1583 two Italian Jesuits, Michael Ruggerius and Matteo Ricci, were allowed to stay in Zhaoqing in Guangdong Province. By their knowledge of science, mathematics, and geography they impressed some of the local scholars and officials; Ricci eventually became court astronomer in Beijing. He also made converts of several high officials, so that by 1605 there were 200 Chinese Christians. For the next several decades the Jesuit mission prospered, led by priests given responsibility for the sensitive task of establishing the imperial calendar. In 1663 the number of converts had grown to about one hundred thousand. The high point of this early Roman Catholic mission effort came during the reign of the Kangxi emperor (r. 1662-1722), who, while not a convert, had a lively curiosity about European knowledge. [See Jesuits and the biography of Ricci.]
Nonetheless, Chinese suspicions remained, and the mission was threatened from within by rivalries between orders and European nations. In particular, there was contention over Jesuit acceptance of the worship of ancestors and Confucius by Chinese Christian converts. In 1645 a Franciscan obtained a papal prohibition of such "accomodation," and this "rites controversy" intensified in the ensuing decades. The Inquisition forbade the Jesuit approach in 1704, but the Jesuits kept on resisting until papal bulls were issued against them in 1715 and 1742. Kangxi had sided with the Jesuits, but in the end their influence was weakened and their ministry made less adaptable to Chinese traditions. There were anti-Christian persecutions in several places throughout the mid-eighteenth century; however, some Christian communities remained, as did a few European astronomers at court. There were several more attempts at suppression in the early nineteenth century, with the result that by 1810 there were only thirty-one European missionaries left, with eighty Chinese priests, but church membership remained at about two hundred thousand.
The first Protestant missionary to reach China was Robert Morrison, sent by the London Missionary Society to Canton in 1807. He and another missionary made their first Chinese convert in 1814 and completed translating the Bible in 1819. From then on increasing numbers of Protestant missionaries arrived from other European countries and the United States. [See the biography of Morrison.]
Christian impact on the wider world of Chinese religions has traditionally been negligible, although there is some indication that scholars such as Fang Yizhi (1611-1671) were influenced by European learning and thus helped prepare the way for the practical emphases of Qing Confucianism. Zhuhong and Ricci had engaged in written debate over theories of God and rebirth, and even the Kangxi emperor was involved in such discussions later, but there was no acceptance of Christian ideas and practices by Chinese who did not convert. This is true at the popular level as well, where in some areas Chinese sectarians responded positively to both Roman Catholic and Protestant missionaries. Christians and the sectarians were often persecuted together, and shared concerns for congregational ritual, vernacular scriptures, and a compassionate creator deity. Yet nineteenth century sectarian texts betray few traces of Christian influence, and even when Jesus speaks in later spirit-writing books it is as a supporter of Chinese values.
Chinese Judaism thrived, at least in Kaifeng, through the Ming and part of the Qing dynasties. The Ming, in fact, has been called a "Golden Age"of Judaism in Kaifeng. Many members of the community achieved success in the civil service examinations and were appointed to relatively high government positions; good relations with Chinese officials helped the community to rebuild its synagogue after floods six times during the Ming.
In 1605, a Kaifeng Jew named Ai Tian was visiting the capital at Beijing and, having heard that there were Westerners there who worshipped one god but were not Muslims, paid Matteo Ricci a visit, thinking that these Westerners might be fellow Jews. After some awkward conversation, in which Ai thought Ricci was a Jew and Ricci thought Ai was a Christian, the truth emerged and the Chinese Jews came to the attention of the Western world for the first time. During the Rites Controversy the Jesuits consulted with the Kaifeng Jews on their practice of honoring ancestors in the synagogue, and used that as part of their argument for toleration of the custom.
There were unsuccessful missionary efforts to convert the Jews to Christianity, but the Jews suffered neither discrimination from Chinese society nor repression from the Chinese government, except for a few slightly restrictive decrees concerning kosher slaughter during the Yuan dynasty. Nonetheless, the high level of involvement of Kaifeng Jews in the civil service examination system, which required a heavy investment of time in the study of Chinese classics, history, and literature, resulted in fewer educated Jews studying Hebrew. This eventually contributed to their complete assimilation in Chinese society and the disappearance of Jewish practice in China. Another factor was the expulsion of the Christian missionaries after the Rites Controversy, as they had been the Chinese Jews' major link to the world outside China.
Qing Dynasty. The Manchus, a tribal confederation related to the Jurchen, had established their own state in the northeast in 1616 and named it Qing in 1636. As their power grew, they sporadically attacked North China and absorbed much Chinese political and cultural influence. In 1644 a Qing army was invited into China by the Ming court to save Beijing from Chinese rebels. The Manchus not only conquered Beijing but stayed to rule for the next 268 years. In public policy the Manchus were strong supporters of Confucianism, and relied heavily on the support of Chinese officials, but in their private lives the Qing rulers were devoted to Tibetan Buddhism. Most religious developments during the Qing were continuations of Ming traditions, with the exception of Protestant Christianity and the Taiping movement it helped stimulate.
Before their conquest of China the Manchus had learned of Tibetan Buddhism through the Mongols, and had a special sense of relationship to a bodhisattva much venerated in Tibet, Manjusri. [See Manjusri.] Nurhachi (1559-1626), the founder of the Manchu kingdom, was considered an incarnation of Manjusri. After 1644 the Manchus continued to patronize Tibetan Buddhism, which had been supported to some extent in the Ming as well, in part to stay in touch with the dominant religion of Tibet and the Mongols. In 1652 the Dalai Lama was invited to visit Beijing, and in the early eighteenth century his successors were put under a Qing protectorate. In 1780 the Panchen Lama paid a visit to the Qianlong emperor (r. 1736-1795) on his seventieth birthday at the imperial retreat of Rehe (formerly written Jehol, now called Chengde), northeast of Beijing. At Rehe the earlier Qing emperors had built a dozen Tibetan Buddhist temples (in addition to a Confucian temple and school), including a smaller replica of the Potala Palace in Lhasa.
Early Qing emperors were interested in Chan Buddhism as well. The Yongzheng emperor (r. 1723-1735) published a book on Chan in 1732 and ordered the reprinting of the Buddhist canon, a task completed in 1738. He also supported the printing of a Tibetan edition of the canon, and his successor, Qianlong, sponsored the translation of this voluminous body of texts into Manchu. The Pure Land tradition continued to be the form of Buddhism most supported by the people. The most active Daoist schools were the monastic Quanzhen and the Zhengyi, more concerned with public rituals of exorcism and renewal, carried on by a married priesthood. However, Daoism no longer received court support. Despite repeated cycles of rebellions and persecutions, popular sects continued to thrive, although after the Eight Trigrams uprising in 1813 repression was so severe that production of sectarian scripture texts declined in favor of oral transmission, a tendency operative among some earlier groups as well.
The most significant innovation in Qing religion was the teachings of the Taiping Tianguo (Celestial Kingdom of Great Peace), which combined motifs from Christianity, shamanism, and popular sectarian beliefs. The Taiping movement was begun by Hong Xiuquan (1814-1864), a would-be Confucian scholar who first was given Christian tracts in 1836. After failing civil service examinations several times, Hong claimed to have had a vision in which it was revealed that Hong was the younger brother of Jesus Christ, commissioned to be a new messiah. Hong proclaimed a new kingdom upon earth, to be characterized by theocratic rule, enforcement of the ten commandments, the brotherhood of all, equality of the sexes, and redistribution of land. Hong and other Taiping leaders were effective preachers who wrote books, edicts, and tracts proclaiming their teachings and regulations and providing prayers and hymns for congregational worship. They forbade ancestor veneration and the worship of Buddhas and Daoist and popular deities. Wherever the Taipings went they destroyed images and temples. They rejected geomancy and divination and established a new calendar free of the old festivals and concerns for inauspicious days.
In the late 1840s Hong Xiuquan organized a group called the God Worshipers Society with many poor and disaffected among its members. They moved to active military rebellion in 1851, with Hong taking the title "Celestial King" of the new utopian regime. Within two years they captured Nanjing. Here they established their capital and sent armies north and west, involving all of China in civil war as they went. Although the Qing government was slow to respond, in 1864 Nanjing was retaken by imperial forces and the remaining Taiping forces slaughtered or dispersed. For all of the power of this movement, Taiping teachings and practices had no positive effect on the history of Chinese religions after this time, while all the indigenous traditions resumed and rebuilt. [See Taiping.]
The Qing also witnessed the decline of Chinese Jewish religious life. By the mid-nineteenth century in Kaifeng there were no Jews left who could read Hebrew. Without a rabbi there was little reason to keep the Kaifeng synagogue in repair, so the community sold the property to the Canadian Anglican mission. Today on the site is a hospital, behind which is "South Teaching the Torah Lane" (Nan jiaojing hutong), formerly the heart of the Jewish quarter in Kaifeng. There are still two or three hundred Jews living in Kaifeng, and others spread throughout the country, but aside from the their ethnic self-identification they have little knowledge of or contact with Judaism. Since the 1980s there has been a revival of interest, both among the Chinese Jews themselves and in the academic world. Since the 1990s several institutional centers of Judaic studies have been established at major universities in China.
The End of Empire and Postimperial China
In the late nineteenth century some Chinese intellectuals began to incorporate into their thought new ideas from Western science, philosophy, and literature, but the trend in religion was toward reaffirmation of Chinese values. Even the reforming philosopher Kang Youwei tried to build a new cult of Confucius, while at the popular level spirit-writing sects proliferated. In 1899 a vast antiforeign movement began in North China, loosely called the Boxer Rebellion because of its martial arts practices. The ideology of this movement was based on popular religion and spirit mediumship, and many Boxer groups attacked Christian missions in the name of Chinese gods. This uprising was put down in 1900 by a combination of Chinese and foreign armies, after the latter had captured Beijing.
The Qing government attempted a number of belated reforms, but in 1911 it collapsed from internal decay, foreign pressure, and military uprisings. Some Chinese intellectuals, free to invest their energies in new ideas and political forms, avidly studied and translated Western writings, including those of Marxism. One result of this westernization and secularization was attacks on Confucianism and other Chinese traditions, a situation exacerbated by recurrent civil wars that led to the destruction or occupation of thousands of temples. However, these new ideas were most influential in the larger cities; the majority of Chinese continued popular religious practices as before. Many temples and monasteries survived, and there were attempts to revive Buddhist thought and monastic discipline, particularly by the monks Yinguang (1861-1940) and Taixu (1889-1947). [See the biography of Taixu.]
Since 1949 Chinese religions have increasingly prospered in Taiwan, particularly at the popular level, where the people have more surplus funds and freedom of belief than ever before. Many new temples have been built, sects established, and scriptures and periodicals published. The same can be said for Chinese popular religion in Hong Kong, Macao and Singapore. The Daoist priesthood is active in Taiwan, supported by the presence of hereditary Celestial Masters from the mainland who provide ordinations and legitimacy. There are also several large and prosperous Chan organizations with branches all over the world. Another rapidly growing Buddhist sect in Taiwan is the Buddhist Compassion Relief (Ciji) Foundation, founded by the nun, Cheng Yan, in 1966 to mobilize social work and education from a Mahayana Buddhist perspective.
The constitution of the People's Republic establishes the freedom both to support and oppose religion, although proselytization is illegal. In practice religious activities of all types declined drastically there after 1949, and virtually disappeared during the Cultural Revolution of 1966 to 1976. In official documents and state-controlled media religion was depicted along Marxist lines as "feudal superstition" that must be rejected by those seeking to build a new China. Nonetheless, many religious activities continued until the Cultural Revolution, even those of the long proscribed popular sects. The Cultural Revolution, encouraged by Mao Zedong and his teachings, was a massive attack on old traditions, including not only religion, but education, art, and established bureaucracies. In the process thousands of religious images were destroyed, temples and churches confiscated, leaders returned to lay life, and books burned. At the same time a new national cult arose, that of Chairman Mao and his thought, involving ecstatic processions, group recitation from Mao's writings, and a variety of quasi-religious ceremonials. These included confessions of sins against the revolution, vows of obedience before portraits of the Chairman, and meals of wild vegetables to recall the bitter days before liberation. Although the frenzy abated, the impetus of the Cultural Revolution continued until Mao's death in 1976, led by a small group, later called "the Gang of Four," centered around his wife, Jiang Qing (1914-1991).
This group was soon deposed, a move followed by liberalization of policy in several areas, including religion. Since 1980 many churches, monasteries, and mosques have reopened, and religious leaders reinstated, in part to establish better relationships with Buddhist, Christian, and Muslim communities in other countries. There has been an accelerating revival of popular religion as well, spurred in part by the return of market capitalism under Deng Xiaoping (1904-1997). This occurred primarily in the southeast at first; since the early 1990s Taiwanese have been allowed to travel to the mainland, and many have financially supported the reconstruction of local temples, especially in Fujian province, from which most mainland Taiwanese emigrated. But the revival of popular religion is occuring throughout China, most notably in rural areas.
The official line on religion has moderated, the government now acknowledging that some aspects of China's traditional culture are worth preserving; also that religion will eventually disappear on its own when the perfect socialist state is realized, so it is unnecessary to forcefully hasten the process. Along with the booming capitalist economy that developed in the 1990s and into the twenty-first century,"socialism with Chinese characteristics" - a popular slogan of the former leader, Deng Xiaoping (1905-1997) - allows the state to tolerate and support religion, within limits.
The religious revival includes many groups devoted to various forms of qigong, the "manipulation of qi," which has roots in Daoist self-cultivation. In 1999 the government began a severe crackdown on one such cult, Falun Dafa (Great Law of the Dharma Wheel), commonly referred to in the West as Falun Gong (Exercise of the Dharma Wheel), which more accurately denotes their Buddho-Daoist-inspired form of mental and physical cultivation. Founded in 1992 by Li Hongzi (b. 1951 or 1952), Falun Dafa attracted practitioners in the tens of millions in part because of its claims to improve health and lengthen life, in the context of the aging of the Chinese population and the collapse of state-supported cradle-to-grave health care. In April of 1999 the organization, largely through the medium of e-mail, secretly organized a silent demonstration by an estimated 10,000 practitioners outside the residence compound of China's top leaders in Beijing to protest what they said was a slanderous magazine article and the refusal of the authorities to let them register as a religious organization. The group's ability to mobilize such large numbers and the fact that Li Hongzhi lived in the United States apparently motivated the repression.
Other sensitive areas of religious life in China include illegal Christian "house churches," Buddhists in Tibet (an "autonomous province" of China), and Muslims in the far-western autonomous province of Xinjiang. The latter two cases are related to the government's fear of forces that could support independence movements. The Christian churches, given the long and problematic history of missionary activity and colonialism in China, are suspect for their potential ties to the West. Although Catholicism is one of the five officially-recognized religions (Buddhism, Daoism, Islam, Protestant Christianity and Catholic Christianity), the Roman Catholic Church is outlawed because of its allegiance to the Vatican; only the Chinese Patriotic Catholic Association is recognized. The other four religions likewise have government-supported associations as the means of government control. Popular religion and Confucianism, which in the West are both routinely classified as religious, are not officially designated as such in China; popular religion is considered "superstition," and Confucianism is considered an "ideology," although not necessarily (any longer) a "feudal" ideology. There is in fact renewed interest in Confucianism among intellectuals, many of whom sense a moral vacuum in China since Marxist/Maoist thought ceased to exert any influence outside government. A modernized, less patriarchal form of Confucianism, they believe, might provide a set of moral principles better suited to Chinese culture than one imported from the West. Although China was once thought by Westerners to be a "timeless" realm in which nothing changed, the story of religion in China, as far back as we can see, has been one of constant change.
[For further discussion of the various traditions treated in this article, see Buddhism, article on Buddhism in China; Buddhism, Schools of, article on Chinese Buddhism; Daoism; Confucian Thought; and Chinese Philosophy. For a discussion of the influence of the major monotheistic religions on Chinese religion, see Islam, article on Islam in China; Christianity, article on Christianity in Asia; and Judaism, article on Judaism in Asia and Sub-Saharan Africa. For the influence of Inner Asian civilizations on Chinese thought, see Inner Asian Religions, Mongol Religions, and Buddhism, article on Buddhism in Central Asia. See also Domestic Observances, article on Chinese Practices, and Chinese Religious Year.]
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Chinese Religions: An Overview
The End of Empire and Postimperial China
Bibliography
[This article provides an introduction to the rise and development of various religious movements, themes, and motifs over time. Its emphasis is on historical continuities and on the interaction of diverse currents of Chinese religious thought and practice from the prehistoric era to the present].
The study of Chinese religion presents both problems and opportunities for the general theory of religion. It is therefore instructive, before embarking on a historical survey, to outline a theoretical approach that will accomodate the wide variety of beliefs and practices that have traditionally been studied under the rubric of religion in China.
One indicator of the problematic nature of the category "religion" in Chinese history is the absence of any pre-modern word that is unambiguously associated with the category. The modern Chinese word zongjiao was first employed to mean "religion" by late 19th-century Japanese translators of European texts. Zongjiao (or shky in Japanese) is a compound consisting of zong (sh), which is derived from a pictogram of an ancestral altar and most commonly denotes a "sect," and jiao (ky), meaning "teaching." (The compound had originally been a Chinese Buddhist term meaning simply the teachings of a particular sect.) Zongjiao/shky thus carries the connotation of "ancestral" or sectarian teachings. The primary reference of this newly-coined usage for shky in the European texts being translated was, of course, Christianity. And since Christianity does in fact demand exclusive allegiance and does emphasize doctrinal orthodoxy (as in the various credos), zongjiao/shky is an apt translation for the concept of religion that takes Christianity as its standard or model.
Part of the problem arising from this situation is that Chinese (and Japanese) religions in general do not place as much emphasis as Christianity does on exclusivity and doctrine. And so Chinese, when asked to identify what counts as zongjiao in their culture, are often reluctant to include phenomena that Westerners would be willing to count as religion, because the word "religion" - while notoriously difficult to define - does not carry the same connotations as zongjiao.
Before the adoption of zongjiao, jiao itself ("teaching") came closest, in usage, to the meaning of "religion." Since at least the Ming dynasty (1368-1644), the standard rubric for discussing the religions of China was san jiao, or the "three teachings," referring to Confucianism, Daoism, and Buddhism. Yet this is problematic too, as it excludes what today is usually called "popular religion" (or "folk religion"), which throughout Chinese history has probably accounted for more religious behavior than the "three teachings" combined. This exclusion is more than a matter of usage: jiao does not apply well to popular religion beause popular religion is strongly oriented toward religious action or practice; it has very little doctrine and, apart from independent sects, no institutionally-recognized canonical texts in which doctrines would be presented.
Although constituting a standard chapter in modern Western surveys of Chinese religion, Confucianism is very often described as something other than a religion in the strict (yet poorly defined) sense. There was a time in Western scholarship when Buddhism was occasionally described in similar fashion, although outside the most conservative theological frameworks that is no longer the case. But the status of Confucianism, even in academic circles focused on Chinese religion, is still disputed.
The problematic nature of Confucianism vis-à-vis religion is the most compelling reason to suggest at the outset a conceptual framework in which all the varieties of Chinese religion can be understood. In effect this is a "definition" of religion, although it should not be considered an exclusive definition. It is, instead, one way of conceptualizing religion that is well-suited to its subject - i.e. that makes particularly good sense of Chinese religion - and that sheds light not only on the non-controversial forms of Chinese religion but also on those forms that might be excluded by some definitions. But it should be acknowledged that, since religion is a multi-dimensional set of complex human phenomena, no single definition (short of a laundry list of common characteristics) should be expected to capture its essence. Indeed, perhaps religion has no essence.
The concept of religion that will be presumed here is that religion is a means of ultimate transformation and/or ultimate orientation. This is an elaboration of a definition proposed by the Buddhologist Frederick Streng, who suggested that religion is "a means to ultimate transformation" (Streng, p. 2). "Ultimate transformation" implies (1) a given human condition that is in some way flawed, unsatisfactory, or caught in a dilemma; (2) a goal that posits a resolution of that problem or dilemma; and (3) a process leading toward the achievement of the goal. This formula is well-suited to Chinese religions because the concept of transformation (hua) is in fact a highly significant element in Confucian, Daoist, and Chinese Buddhist thought and practice. The qualifier "ultimate" means that the starting point, process, and goal are defined in relation to whatever the tradition in question believes to be absolute or unconditioned. "Ultimate orientation" introduces an aspect of Mircea Eliade's theory of sacred space and sacred time: spatial orientation to an axis mundi or "sacred pole," a symbolic connection between heaven and earth; or temporal orientation marked in reference to periods of sacred ritual time, such as annual festivals. This addition to Streng's definition accounts for certain popular practices that are not conceived in terms of ultimate transformation. Much of the contemporary practice of Chinese popular religion - such as worship and sacrifice for such mundane ends as success in school or business - can be explained in terms of ultimate orientation. And Confucianism, the most problematic strand of Chinese religion, can clearly be seen as a "means of ultimate transformation" toward the religious goal of "sagehood" (sheng), a term whose religious connotations are suggested, for example, by the use of the same word to translate the Jewish and Christian "Holy Scriptures" (shengjing).
The geographic scope of Chinese religions extends from mainland China to Taiwan, Singapore, Southeast Asia, and scattered Chinese communities throughout the world. Although religion in the Peoples Republic of China on the mainland was harshly suppressed from the 1950s through the 1970s, and indeed almost disappeared during that period, there has been considerable (although not untroubled) revitalization since the early 1980s. Our discussion of religion in Chinese history up to the middle of the twentieth century will be limited to mainland China; only after that point will it extend to the rest of the Chinese world, with a focus on Taiwan.
Contemporary Chinese religion is the product of continuous historical development from prehistoric times. In that period the area of present-day China was inhabited by a large number of tribal groups. In around 5000 B.C.E. several of these tribes developed agriculture and began to live in small villages surrounded by their fields. Domesticated plants and animals included millet, rice, dogs, pigs, goats, sheep, cattle, and silkworms. The physical characteristics of these early agriculturalists were similar to those of modern Chinese. The archaeological record indicates gradual development toward more complex technology and social stratification. By the late Neolithic period (beginning around 3200 B.C.E.) there were well-developed local cultures in several areas that were to become centers of Chinese civilization later, including the southeast coast, the southwest, the Yangze River valley, the northeast, and the northern plains. The interaction of these cultures eventually led to the rise of literate, bronze-working civilizations in the north, the Xia (before 1500 B.C.E.) and Shang (c. 1500-1050 B.C.E.). The existence of the Xia kingdom is attested in early historical sources that have otherwise been shown to accord with archaeological discoveries. However, archaeologists are still debating whether the Xia period constituted a state-level "dynasty," as it has traditionally been described. The Shang has been archaeologically verified, beginning with the excavation of one of its capitals in 1928.
There is some evidence for prehistoric religious activities, particularly for a cult of the dead, who were often buried in segregated cemeteries, supine, with heads toward a single cardinal direction. In some sites houses and circles of white stones are associated with clusters of graves, while in others wine goblets and pig jaws are scattered on ledges near the top of the pit, perhaps indicating a farewell feast. There seems to have been a concern for the precise ordering of ritual acts, perhaps an early version of the importance of universal order or pattern in later Chinese cosmology. In the Wei River area, secondary burial was practiced, with bones from single graves collected and reburied with those of from twenty to eighty others. Grave offerings are found in almost all primary burials, with quantity and variety depending on the status of the deceased; tools, pottery vessels, objects of jade and turquoise, dogs, and, in some cases, human beings. Jade, in particular - a substance that does not break down and requires extraordinary skill and effort to carve with the simplest of tools - was associated with high-status burials and perhaps symbolized the eternity of the afterlife. The bi (a flat disk with a central hole) and cong (a tube, square on the outside and circular inside) were jade mortuary objects - apparently not used in life - whose meanings have not been determined. The bodies and faces of the dead were often painted with red ochre, a symbol of life. All of these practices constitute the prehistoric beginnings of Chinese ancestor worship. Other evidence for prehistoric religion includes deer buried in fields and divination through reading cracks in the dried shoulder bones of sheep or deer. This form of divination, attested in what is now northeast China by 3560-3240 B.C.E., is the direct antecedent of similar practices in historical times. Buried deer suggest offerings to the power of the soil, a common practice in later periods.
Early Historical Period
The early historical period (Shang and Zhou kingdoms) saw the development of many of the social and religious beliefs and practices that continue to this day to be associated with the Chinese. Although obvious links with the earlier period persist, it is with the emergence of these kingdoms that the religious history of the Chinese properly begins.
The Shang. The formation of the Shang kingdom was due to technological innovation such as bronze casting, and to the development of new forms of social and administrative control. Extant evidence provides information about the religion of the Shang aristocracy, characterized in the first place by elaborate graves and ceremonial objects for the dead. Grave offerings include decapitated human beings, horses, dogs, large numbers of bronze vessels, and objects of jade, stone, and shell. Some tombs were equipped with chariots hitched to horses. These tomb offerings indicate a belief that afterlife for members of the royal clan was similar to that of their present existence, but in a heavenly realm presided over by the Shang high god Di ("Lord") or Shangdi ("Lord on High").
The major sources for our understanding of Shang religion are inscriptions on oracle bones and in bronze sacrificial vessels. From these we learn that the most common recipients of petition and inquiry were the ancestors of the royal clan. These deified ancestors were believed to have powers of healing and fertility in their own right, but also could serve as intermediaries between their living descendants and more powerful gods of natural forces and Shangdi. Ancestors were ranked by title and seniority, with those longest dead having the widest authority. Since they could bring harm as well as aid to their descendants, it was necessary to propitiate the ancestors to ward off their anger as well as to bring their blessing. Nature deities named in the inscriptions personify the powers of rivers, mountains, rain, wind, and other natural phenomena. Shangdi, whose authority exceeded that of the most exalted royal ancestor, served as a source of unity and order. [See Shangdi.]
To contact these sacred powers the Shang practiced divination and sacrificial rituals, usually closely related to each other. In divination, small pits were bored in the backs of turtle plastrons or the shoulder blades of oxen or sheep. Heated bronze or wooden rods were placed in these impressions, causing the bones to crack with a popping sound. Diviners then interpreted the pattern of the cracks on the face of the bone, perhaps combined with the sound of the popping, to determine yes or no answers to petitions. The subjects of divination include weather, warfare, illness, administrative decisions, harvests, royal births (with the preference for sons that was to continue throughout Chinese history already present) and other practical issues, but the most frequent type of inquiry was in reference to sacrifices to ancestors and deities. Sacrifices to ancestors and spirits residing above consisted mainly of burning meat and grain on open air altars; gods of the earth were offered libations of fermented liquors, and those of bodies of water given precious objects such as jade. Sacrificial animals included cattle, dogs, and sheep. Human beings were sacrificed during the funeral rituals of kings, presumably to serve them in the afterlife. At least one powerful woman was also buried with human sacrifices, in addition to thousands of precious objects (bronze and jade objects, cowrie shells). This was Fu Hao (Lady Hao), the wife of King Wuding, around 1200 B.C.E., who apparently commanded an army during her lifetime and was given sacrifices after her death.
The Shang had a ten-day week, and the titles of the deified royal ancestors corresponded to the day on which sacrifice was made to them. Thus their personal characteristics were less significant than their seniority and their place in the ritual cycle. In the sacrifices themselves what was most important was the proper procedure; the correct objects offered in the right way were believed to obligate the spirits to respond. Thus, in Shang sacrifice we already see the principle of reciprocity, which has remained a fundamental patten of interaction throughout the history of Chinese religions. In Shang theology the king played the role of intermediary between the human and heavenly realms. He was responsible for maintaining harmonious relations with his ancestors, Di, and the other deities, and so ensuring their blessings on the realm. The considerable expenditures of time and resources devoted to sacrifice and divination in the Shang court suggest that the authority of the king depended in part on his role as the pivot between heaven and earth.
The Zhou. There are many references in Shang oracle bone texts to a people called Zhou who lived west of the Shang center, in the area of modern Shanxi Province. The Zhou, who were considered to be an important tributary state, were at first culturally and technologically inferior to the Shang, but learned rapidly and by the eleventh century B.C.E. challenged the Shang for political supremacy. The final Zhou conquest took place in about 1050 B.C.E.. Remnants of the Shang royal line were allowed to continue their ancestral practices in the small state of Song, in exchange for pledging loyalty to the Zhou.
The Zhou system of government has been loosely called "feudal," but it differed from European feudalism in that the peasants were not legally bound to the land, and the local lords (gong, or "dukes") owed allegiance to the central king (wang) based not on law but on bonds of kinship. The king directly ruled only a small territory around the capital city, Chang'an, which was located in the Wei River valley near present-day Xi'an. He controlled an army, which frequently was joined by armies of the various dukes. The Zhou kings were the first to call themselves "Son of Heaven" (Tianzi), a term that continued to be applied to the later emperors of China up to the early 20th century. Corollary to their identity as Son of Heaven, they alone had the right and responsibility to make annual sacrifices to Heaven. This too was a practice that lasted until the 20th century.
The Zhou dynasty lasted, nominally, almost 800 years, making it the longest-lasting dynasty in world history. But in fact their power and their territory remained intact only until 771 B.C.E., when the king was assassinated and the capital was moved eastward to the more easily defended Luoyang. The periods corresponding to these two capitals are called Western Zhou (1050-771) and Eastern Zhou (771-221). The Eastern Zhou was a period of increasing fragmentation, and is further divided into the Spring and Autumn period (722-476) and the Warring States period (475-221). The former is named after a chronicle of the state of Lu, in contemporary Shandong Province, covering these years and traditionally attributed to Confucius (Lu was Confucius's home state). The latter period, as the name implies, saw almost constant warfare, as the last seven major states (formerly Zhou fiefdoms) battled it out until only one was left standing, the Qin.
The Western Zhou period, especially the periods of the earliest kings, was regarded by later Chinese thinkers as a golden age of enlightened, benevolent rule by sage-kings. They especially revered the first two kings, Wen and Wu (whose names mean "culture" and "military," respectively), and King Wu's brother, the Duke of Zhou, whose "fief" was the state of Lu (later to be Confucius' home state). But it was the Eastern Zhou, the period of political disintegration, that witnessed the origins of classical Chinese civilization. It was during this era - sometimes called the Period of the Hundred Philosophers - that Confucianism, Taoism, and many other schools of thought began.
Unlike the sources available to us regarding Shang religion, which are limited to oracle bones and inscriptions on bronze ritual vessels, there are enough Zhou sources to allow us say something about the religion of common people as well that of the aristocracy. Both commoners and elite believed in gods, ghosts, ancestors, and omens (the significance to human beings of unusual phenomena in nature) and practiced divination, sacrifice, and exorcism. The common ground shared by the elite and the common people was much more extensive than their differences, which for the most part were differences in emphasis and interpretation. These distinctions begin to emerge in the Western Zhou and become clearer in the Eastern Zhou or Classical period.
The early Zhou elite, as might be expected, were chiefly concerned with their aristocratic ancestors, the powerful ruling gods, and political matters, while the common people had more interaction with lower gods, demons, and ghosts that inhabited the world and generally made trouble for people. The Zhou ancestors were believed to reside in a celestial court presided over by Tian, "Heaven," the Zhou high god, similar to Shangdi in scope and function although less personalized. The ancestors had power to influence the prosperity of their descendants, their fertility, health, and longevity. Through ritual equation with deities of natural forces the ancestors could also influence the productivity of clan lands. In addition, royal ancestors served as intermediaries between their descendants and Tian. [See Tian.]
Ancestral rituals took the form of great feasts in which the deceased was represented by an impersonator, usually a grandson or nephew. In these feasts the sharing of food and drink confirmed vows of mutual fidelity and aid. The most important ancestor worshiped was Hou Ji, who was both legendary founder of the ruling house and the patron of agriculture. As was true for the Shang, Zhou rituals were also directed toward symbols of natural power such as mountains and rivers; most significant natural phenomena were deified and worshipped. The proper time and mode of such rituals were determined in part by divination, which in the Zhou involved both cracking bones and turtle plastrons and the manipulation of dried stalks of the yarrow or milfoil plant. Divination was also employed in military campaigns, the interpretation of dreams, the siting of cities, and in many other situations involving important decisions.
Milfoil divination became the method at the core of the Zhouyi, or Changes of Zhou, a divination manual that acquired philosophical commentaries and became known as the Yijing, or Scripture of Change, part of the earliest Confucian canon. The Yijing classifies human and natural situations by means of sixty-four sets of six horizontal lines (hexagrams), each of which is either broken or solid. The solid lines represent qian or Heaven, the creative or initiating force of nature, while the broken lines represent kun or earth, which receives and completes. The permutations of these fundamental principles, according to early Chinese cosmology, constitute the patterns or principles of all possible circumstances and experiences. Through ritual manipulation involving chance divisions the milfoil stalks are arranged in sets with numerical values corresponding to lines in the hexagrams. One thereby obtains a hexagram that reflects one's present situation; additional line changes indicate the direction of change, and thus a potential outcome. Contemplation of these hexagrams clarifies decisions and provides warning or encouragement.
The Yijing is essentially a book of wisdom for personal and administrative guidance, used since at least the seventh century B.C.E.. However, from the sixth century B.C.E. on commentaries were written to amplify the earliest level of the text, and by the first century C.E. there were seven such levels of exposition, some quite philosophical in tone. The Scripture of Change was believed to reflect the structure of the cosmic order and its transformations, and hence became an object of reverent contemplation in itself. Its earliest levels antedated all the philosophical schools, so it belonged to none, though the Confucians later claimed it as sacred scripture. The polarity of qian and kun provided a model for that of yang and yin, first discussed in the fourth century B.C.E.. The Yijing's sometimes obscure formulations gave impetus to philosophical speculations throughout the later history of Chinese thought.
A third focus of Zhou worship, in addition to ancestors and nature gods, was the she, a sacred earth mound located in the capital of each state and in at least some villages. The state she represented the sacred powers of the earth available to a particular domain, and so was offered libations upon such important occasions in the life of the state as the birth of a prince, ascension to rule, and military campaigns. Beside the earth mound stood a sacred tree, a symbol of its connection to the powers of the sky. The she was an early form of the shrine to the earth-god, or tudigong, which is a prominent part of Chinese popular religion today.
The early Zhou aristocracy carried out sacrificial rituals to mark the seasons of the year and promote the success of farming. These sacrifices, performed in ancestral temples, were offered both to the high god Tian and to ancestors. These and other Zhou rituals were elaborate dramatic performances involving music, dancing, and archery, concluding with feasts in which much wine was consumed.
The most distinctive early Zhou contribution to the history of Chinese religions was the theory of tianming, the "mandate of Heaven," first employed to justify the Zhou conquest of the Shang and attributed to the Duke of Zhou. According to this theory, Heaven as a high god wills order and peace for human society. This divine order is to be administered by virtuous kings who care for their subjects on Heaven's behalf. These kings are granted divine authority to rule, but only so long as they rule well. If they become indolent, corrupt, and cruel, the "mandate of Heaven" can be transferred to another line. This process can take a long time and involve many warnings to the ruler in the form of natural calamities and popular unrest. Those who heed such warnings can repent and rehabilitate their rule; otherwise, the mandate can be claimed by one who promises to restore righteous administration. In practice it is the victors who claim the mandate, as did the founding Zhou kings, on the grounds of the alleged indolence and impiety of the last Shang ruler. The idea of the mandate of Heaven has gripped the Chinese political imagination ever since. It became the basis for the legitimacy of dynasties, the judgment of autocracy, and the moral right of rebellion. This status it owed in part to its support by Confucius and his school, who saw the mandate of Heaven as the foundation of political morality. The corollary notion that Heaven has a moral will was the first formulation of what later became a foundation principle of Confucian thought: that human moral values are ground in the natural world.
Commoners during the Zhou period had less reason to trust in the moral will of Heaven, as the lives they led were more subject to hardships imposed by capricious natural phenomena than those of the ruling elite. The Scripture of Odes (Shijing), for example, contains the following verse that probably reflects the feelings of common people:
Great Heaven, unjust,
Is sending down these exhausting disorders.
Great Heaven, unkind,
Is sending down these great miseries (trans. Poo, p. 37).
While such sentiments were undoubtedly not limited entirely to the common people, they are strikingly at odds with the concept of a moral, just Heaven. Commoners' beliefs were closely tied to the agricultural cycle and the negative or dangerous spiritual forces inhabiting the world. In contrast to the more abstract Heaven, these forces took the form of an astonishing variety of gods, demons, and spirits. These included the gods of particular mountains, rivers, and seas (usually depicted in hybrid animal or animal-human forms), earth gods (tu shen), a sacred serpent, a thorn demon, a water-bug god, hungry ghosts, and the high god, called Shang Di (High Lord, the same term used during the Shang dynasty), Shang Huang (High Sovereign), or Shang Shen (High God). With the possible exception of the high god, these deities were not immortal. Nor were they concerned with human morality; unlike Tian, they responded only to properly-performed sacrifices. Sacrifice by commoners was generally performed for personal and familial welfare, unlike the predominant concerns among the elite for affairs of state.
When the early Zhou political and social synthesis began to deteriorate in the eighth century and competing local states moved toward political, military, and ritual independence, rulers from clans originally enfeoffed by Zhou kings also lost their power, which reverted to competing local families. This breakdown of hereditary authority led to new social mobility, with status increasingly awarded for military valor and administrative ability, regardless of aristocratic background. There is some evidence that even peasants could move about in search of more just rulers. These political and social changes were accompanied by an increase in the number and size of cities, and in the circulation of goods between states. But as warfare increased throughout this period, commoners were repeatedly conscripted into various armies, playing havoc with local agricultural economies (not to mention social morale and family life) as able-bodied men were forcibly taken away from their fields. There were numerous shifting alliances among the powerful states (as the former fiefdoms could now be called), and gradually their number decreased as the most powerful gobbled up the weaker ones. During the final century or so of the Warring States period, some of the dukes began calling themselves kings (wang), usurping the title reserved for the central monarch under the Zhou system.
This time of social mobility and political chaos was a fertile period in the history of Chinese religion and philosophy. There began to appear a new class of intellectual elite, who would eventually produce the texts that formed the foundations of the classical tradition. The intellectuals, like the ruling elite, were interested in the abstract notion of a moral Heaven, although they understood it less as a doctrine of political legitimation and more as a religious basis for a system of ethical thought and practice. The ruling elite, on the other hand -- finding that the need for legitimation of their military takeover of the Shang (now over two hundred years in the past) was not as pressing as it once had been - seem to have lost interest in the idea and concentrated more on the older systems of worship of royal ancestors and spirits of nature. These older rituals became more elaborate and were focused on the ancestors of the rulers of the states rather than on those of the Zhou kings.
Some intellectuals in this era were led to question the power of the gods. In theory, the loss of a state was ultimately due to ritual negligence by the ruler, while the victors were supposed to provide for sacrifices to the ancestors of the vanquished. But in practice, many gods charged with protection were deemed to have failed while their desecrators flourished. The worldviews of the elite and the commoners were not radically distinct: the panoply of spiritual beings was known to all, and to the extent that members of the elite had family roots in the agricultural tradition, they too engaged in the ritual forms of propitiation of and communication with the various gods, ghosts, and spirits. The religious worldview was a continuous whole, in which differences in emphasis corresponded to differences in the immediate concerns and interests of its participants.
By the sixth century a more rationalistic perspective developed in the minds of many intellectuals, accompanied by a turning away from gods and spirits to the problems of human society and governance. The collapse of the Zhou system persuaded the majority of intellectuals that there was a critical need for a new political and ideological foundation for the state. There were, essentially, two aspects to the intellectual problem posed by the Zhou breakdown: theoretical and practical. The theoretical problem stemmed from the doctrine of the Mandate of Heaven: if Heaven indeed has (or is) a moral will, and if Heaven has the power to influence human events by replacing evil rulers with good ones, how can such violence and suffering continue? [See Theodicy.] This question and the question of the nature and origin of evil (usually posed as the question of human nature), became central to the Confucian tradition by the end of the Zhou period. The practical problem, which on the whole received more attention than the theoretical one, was simply: how are social and political order and harmony to be restored? What is the proper role of government in human life, and how should society and government be organized and run? How can rulers discharge their moral responsibilities to their people and to Heaven? How can they maintain their legitimacy in light of the Mandate of Heaven?
Confucius. It was in this context that we find the beginnings of Chinese philosophy. Confucius (c. 551-479 B.C.E.) was born in the small state of Lu, near the present city of Qufu, in present-day Shandong province. His given name was Kong Qiu; as an adult he was commonly known as Kong Zhongni, although many called him by the honorific name Kongzi, or Master Kong. "Confucius" is a Latinized name invented by 17th-century Jesuit missionaries in China, based on a very rarely-used honorific name, Kongfuzi. Lu was a state in which the old Zhou cultural traditions were strong but that was buffeted both by repeated invasions and by local power struggles. Confucius's goal was the restoration of the ethical standards, just rule, and legitimate government -- the Dao or "Way" -- of the early Zhou period as he understood them. The models for the restoration of the Dao were the founding kings of the Zhou dynasty, who had ruled with reverence toward their ancestors and kindness toward their people, ever fearful of losing Heaven's approval. These models had mythic force for Confucius, who saw himself as their embodiment in his own age.
The sources from which the Way of the ancient kings could be learned were ritual, historical, literary, and oracular texts, some of which later came to be known as the Five Scriptures (wu jing). ("Five Classics" is the usual translation, but they certainly were regarded by Confucius and his followers as sacred texts, so "scriptures" is more accurate.) In addition to the Yijing, the divination text discussed above, they included the Shijing (Scripture of Odes), a collection of folk and aristocratic songs allegedly collected by Confucius; the Shujing (Scripture of Documents), purporting to consist of official documents from the ancient Xia dynasty (still historically undocumented) up through the Shang and early Zhou dynasties; the Chunqiu (Spring and Autumn), the terse history of Confucius's home state of Lu; and the Liji (Record of Ritual), which describes not only the formal rituals of the early Zhou, but also the modes of behavior, customs, dress, and other aspects of the lives of the early kings. A sixth one, the Yuejing (Scripture of Music), is no longer extant but sections of it survive in the Liji.
Although several parts of the Five Scriptures were later attributed to Confucius, it is not likely that he wrote anything that survives. The best source of his teachings is the Lunyu (Analects), a collection of his sayings recorded by his disciples after his death. Since the compilation of this text continued for over a century, much of it is not historically reliable. Nevertheless, throughout Chinese history until recent times it has been regarded as the definitive teachings of Confucius, so in terms of its influence on Chinese culture it can be read as a whole.
Confucius believed that society could be transformed by the moral cultivation of those in power, because virtue (de) has a natural transformative effect on others. This inner moral power or potential was "given birth to" or generated in the individual by Heaven, and it was this that Heaven responded to, not merely the outward show of ritual or the exercise of force. Thus government by virtue - i.e. by setting a moral example - was actually more effective in the long run than government by force or the strict application of law and punishment. De had earlier referred simply to the power of a ruler to attract and influence subjects, so in this and several other respects Confucius's innovation was to moralize a concept that hitherto had been ethically neutral. The moral perfection of the individual and the perfection of society were coordinate goals, for the moral perfection of the self required a morally supportive social environment, in the form of stable and loving families, opportunities for education, and good rulers to serve as models. Society as a whole could best be perfected from the top down, and in terms of the political situation it was most important to establish a government staffed by virtuous men (women did not serve in government). For these reasons Confucius directed his teaching toward local rulers and men whose goal was to serve in government. Literacy was a major component of the moral cultivation that he taught, and so he did not bring his message to the masses, the great majority of whom at that time were illiterate.
He gathered a small group of disciples whom he taught to become junzi ("superior men"), men of ethical sensitivity and historical wisdom who were devoted to moral self-cultivation in preparation to become humane and able government officials. The term junzi had originally referred to hereditary nobility, but Confucius used it to mean a kind of moral nobility. Likewise, he expanded the meaning of li, or "ritual," to mean proper behavior and a kind of reverent seriousness in one's every action. [See Li.] The highest virtue was ren, "humanity" or "humaneness," which Confucius understood to be the perfection of being human. Ren described the inner moral character that was necessary in order for one's outward behavior, or li, to be authentic and meaningful. Confucius regarded ren as a nearly transcendental quality that only the mythic sages of the past had actually attained, although later Confucians claimed it was attainable by anyone.
Thus Confucius initiated a new level of ethical awareness in Chinese culture and a new form of education, education in what he believed were universal principles for mature humanity and civilization. He assumed that the criteria for holding office were intelligence and high moral principles, not hereditary status, and so further undermined the Zhou feudal system that was crumbling around him. His ethical teachings were intended to describe the "Way" (dao) of the superior or morally noble person, a way that originated in the will of Heaven for its people. Although this Way had been put into practice by the glorious founders of the Zhou dynasty, it was not presently being practiced. The absence of the Way was manifested by widespread conflict and a breakdown of ritual and propriety (li), indicating not only a breach in the social order but also in the cosmic order. Ritual or ritual propriety, therefore, was not merely a means of enforcing social order, nor was Confucius's innovation a turn from religion to philosophy; rather it was a philosophical deepening of a fundamentally religious worldview. Despite the fact that he urged his followers to pay more attention to human affairs than to the worship of the variety of traditional spiritual beings, he denied neither their existence nor the importance of worshipping ancestors. He redirected the religious sense of awe and reverence that had traditionally been focused on the realm of gods and spirits to the human, social and political sphere. [See the biography of Confucius.]
The followers of Confucius came to be known as ru or "scholars," signifying their relationship with the literary tradition. They were in a sense custodians of and experts in the literate cultural tradition (wen), especially in the areas of court ritual, official protocol, and history. By the fourth and third centuries B.C.E. other schools of thought were developing. They included a school of natural philosophy based on the concept of the yin (dark, quiescent) and yang (light, active) phases of qi (psycho-physical substance); an early form of Daoism (Taoism); a school of Legalism that taught the strict application of law and punishment as the solution to the era's disorder; a school based on the investigation of names and their meanings; and several others. In the culture at large religious beliefs and activities continued unabated; divination and rituals accompanied every significant activity, and a quest for personal immortality was gaining momentum. One of the new schools of thought that reflected this common concern for religion was that of Mozi.
Mozi. Mozi (Master Mo, fifth century B.C.E.), a thinker from an artisan background, was a thorough-going utilitarian who taught that the fundamental criterion of value was practical benefit to all. He was from Confucius's home state of Lu and was educated in the emerging Confucian tradition, but turned against what he perceived to be its elitism and wasteful concern with elaborate rituals. In his ethical teaching Mozi reinterpreted along utilitarian lines such Confucian principles as righteousness and filial reverence, focusing on the theme of universal love without familial and social distinctions. He also attracted a group of disciples whom he sent out to serve in various states in an attempt to implement his teachings.
For the history of Chinese religions the most significant aspect of Mozi's thought is his concern to provide theological sanctions for his views. For Mozi, Tian, or Heaven, is an active creator god whose will or mandate extends to everyone; what Heaven wills is love, prosperity, and peace for all. Heaven is the ultimate ruler of the whole world; Tian sees all, rewards the good, and punishes the evil. In this task it is aided by a multitude of lesser spirits who are also intelligent and vital and who serve as messengers between Tian and human beings. Mozi advocated that since this is the nature of divine reality, religious reverence should be encouraged by the state as a sanction for moral order.
To protect himself from intellectual skeptics Mozi at one point allowed that even if deities and spirits do not exist communal worship still has social value. Although his whole attempt to argue for belief in Heaven on utilitarian grounds could be understood as a last stand for traditional religion within a changing philosophical world, there is no reason to doubt that Mozi himself believed in the gods. [See Moism and the biography of Mozi.]
The fourth century B.C.E. was a period of incessant civil war on the one hand and great philosophical diversity on the other. A variety of thinkers arose, each propounding a cure for the ills of the age, most seeking to establish their views by training disciples and attaining office. Some advocated moral reform through education, others authoritarian government, laissez faire administration, rationalized bureaucracy, agricultural communes, rule in accord with the powers of nature, or individual self-fulfillment. Religious concerns were not paramount for these thinkers; indeed, for some they do not appear at all. The two traditions of this period that do warrant discussion here are the Confucian, represented by Mengzi (Mencius, c. 371-289 B.C.E.), and that of the mystically inclined individualists, traditionally known as the Daoists.
Mengzi. Master Meng, whose given name was Meng Ke, was a teacher and would-be administrator from the small state of Zou who developed Confucius's teachings and placed them on a much firmer philosophical and literary base. Mengzi was concerned to prepare his disciples for enlightened and compassionate public service, beginning with provision for the physical needs of the people. He believed that only when their material livelihood is secure can the people be guided to higher moral awareness. This hope for moral transformation is grounded in Mengzi's conviction that human nature contains the potential for goodness. What is needed are rulers who nourish this potential as "fathers and mothers of the people." These teachings Mengzi expounded courageously before despotic kings whose inclinations were quite otherwise.
Tian or Heaven, for Mencius, is an expression of the underlying moral structure of the world, so that in the long run "those who accord with Heaven are preserved, and those who oppose Heaven are destroyed." Heaven's will is known through the assent or disapproval of the people -- a proto-democratic aspect of Mencius's thought. The human mind possesses an innate potential for moral awareness, a potential bestowed by Heaven at birth, so that "to understand human nature is to understand Heaven" and "to preserve one's mind and nourish one's nature is to serve Heaven." This potential is more than mere possibility; it is comprised of innate and concrete emotional dispositions which, when nourished or developed, become the core virtues of humanity (ren), rightness or appropriateness (yi), propriety (li), and moral wisdom (zhi). This natural course of human development, rather than a static essence, is what constitutes human nature for Mencius. In cultivating our moral capacities we become fully human and actualize the moral potential of the cosmos. But this process requires a supportive, nourishing environment: a loving and supportive family, opportunities for education, and a humane government.
As had Confucius, Mengzi assumed that ancestor veneration was a basic requirement of civilized life, but neither thinker emphasized such veneration as much as did later texts like the Xiaojing, the Scripture of Filiality (third century B.C.E.). And while Confucius had relied largely upon the power of the cultural tradition - in particular the words and examples of the ancient sages preserved in the Five Scriptures - to serve as agents of individual and social transformation, Mencius's theory could be characterized as a developmental moral psychology. Mengzi represents both a further humanization and a further spiritualization of the Confucian tradition, and his emphasis on the powers of human nature did much to shape the religious sensibilities of Chinese philosophy. In a third century B.C.E. text closely associated with the Mencian school, the Zhongyong ( "The Mean in Practice" or "Centrality and Commonality"), these tendencies were developed to a point not seen again until the eleventh and twelfth century revival of Confucianism:
Only that one in the world who is most perfectly authentic is able to give full development to his nature. Being able to give full development to his nature, he is able to give full development to the nature of other human beings and, being able to give full development to the nature of other human beings, he is able to give full development to the natures of other living things. Being able to give full development to the natures of other living things, he can assist in the transforming and nourishing powers of Heaven and Earth; being able to assist in the transforming and nourishing powers of Heaven and Earth, he can form a triad with Heaven and Earth.
[See the biography of Mengzi.]
Xunzi. The third most important Confucian philosopher before the Han dynasty (202 B.C.E.-220 C.E.) was Xunzi (Xun Qing, d. 215 B.C.E.), a scholar from the state of Zhao who held offices for a time in the larger states of Qi and Chu. Xunzi's thought was influenced by several of the traditions that had developed before his time, including those of the Logicians, Daoists, and Legalists. Xunzi agreed with the Legalist emphasis on the need for strong centralized rule and a strict penal code. He also shared their low estimate of human nature, which in his view tended toward selfishness and competition. Nonetheless, Xunzi believed that human attitudes and behavior are perfectible by dint of much discipline and effort, so his differences with Mencius on this point are those of degree. Both thinkers claimed that the ordinary person can become a "sage" (shengren), one who fully exemplifies the virtue of humanity (ren). But for Mencius this was a developmental process, while for Xunzi it was a transformation (hua) requiring the external leverage, so to speak, of past sages.
Xunzi's chief contribution was his reinterpretation of Tian as the order of nature, an order that has no consciousness and is not directly related to human concerns. This interpretation is parallel to the views of the Laozi (Daodejing) and Zhuangzi texts concerning the cosmic "Way" (Dao). Xunzi was concerned to separate the roles of heaven, earth, and man, with human attention directed toward ethics, administration, and culture. In this context rituals such as funeral rites are valuable channels for emotions, but have no objective referent; their role is social and psychological, not theological. Ignorant "petty people" who literally believe in the efficacy of rain dances and divination are to be pitied; for the gentleman such activities are "cultural adornment."
Xunzi thus gave impetus to the skeptical tradition in Chinese thought that began before Confucius and was reinforced by later thinkers such as Wang Chong (c. 27-96 C.E.). Xunzi's teachings at this point provided a theoretical basis for a rough bifurcation between elite and popular attitudes toward religion and for sporadic attempts to suppress "excessive cults." Xunzi's epistemology also set up the intellectual framework for a critique of heresy, conceived as inventing words and titles beyond those employed by general consensus and sanctioned by the state. These themes had important implications for the remainder of Chinese history, including official attitudes toward religion today. [See the biography of Xunzi.]
Early Daoist thought. The earliest extant writings focused on the mysterious cosmic "Way" (dao) that underlies all things are the first seven chapters of the extant Zhuangzi, a text attributed to a philosopher named Zhuang Zhou of the fourth century B.C.E., and one section of the Guanzi, another fourth-century text. Zhuang Zhou, or Zhuangzi (Master Zhuang), was convinced that the world in its natural state is peaceful and harmonious, a state exemplified by the growth of plants and the activities of animals. Disorder is due to human aggression and manipulation, a tendency that finds as much expression in Confucian and Moist moralizing as in cruel punishments and warfare. Such moralizing in turn is rooted in a false confidence in words, words that debators use to express their own limited points of view and thus to dichotomize our understanding of the world. Indeed, all perspectives are limited and relative, conditioned by the interests and anxieties of species, social positions, and individuals. The answer to this problem is to understand and affirm the relativity of views, and thus harmonize them all. This the sage does by perceiving the constant rhythms of change within all life and identifying with them. In his view all dichotomies are unified; hence there is no need for struggle and competition. The sage intuits the Dao within and behind all things, and takes its all-embracing perspective as his own. This perspective allows him to achieve a state of emotional equanimity, which even a serious illness or the death of a loved-one cannot disturb. Indeed, such events illustrate the ultimate truth of the Way - change and transformation - and can therefore provide opportunities to rejoice in one's participation in what is fundamentally real. [See the biography of Zhuangzi.]
The Guanzi is a long, composite text attributed to a famous statesman of the seventh century B.C.E., but it was probably written or compiled from the fourth to the second centuries B.C.E., and its actual authors are unknown. Its earliest sections focuses on the cosmological and physiological bases of self-transformation according to the Way, using such concepts as qi (the psycho-physical substance of all things), jing (life-giving essence), and shen (spirit), all of which remained central to the Daoist religion in its later development.
The best-known book devoted to discussing the Dao behind all things is the early third-century B.C.E. Daodejing (The Way and Its Power), also known as the Laozi, after its reputed author, a mythical sage known simply as the "Old Master," said to have been an older contemporary of Confucius. The Laozi discusses the Way in more direct, metaphysical terms than does the Zhuangzi, all the while protesting that such discussion is ultimately futile. Here we are told that the Dao is the source of all things, "the mother of the universe," the ineffable cosmic womb out of which all emerges. The Dao also "works in the world," guiding all things in harmonious development and interaction. As both source and order of the world the Dao serves as a model for enlightened rulers who gain power by staying in the background and letting their people live spontaneously in response to their own needs. The Dao is the vital force of life perceived at its utmost depth; it works mysteriously and imperceptibly and yet there is nothing it does not accomplish. Its symbols are water rather than rock, valleys rather than hills, the female rather than the male. Although its perspective is profound, its author intended this book to be a handbook of wise and successful living, living characterized by a natural, spontaneous action that does not prematurely wear itself out. [See Dao and De.]
These texts were the sources of a persistent tradition of naturalistic mysticism in the history of Chinese religions. They were the inspiration for much poetry, romantic philosophy, and meditation, all intended as a corrective for the bustle and competition of life, a means to peace of mind, and a clarification and broadening of perspective. They describe the enlightened person as living peacefully and long because he does not waste his vital powers on needless contention and aggression. In the Laozi, for example, we are told that "He who knows when to stop is free from danger; therefore he can long endure" (chap. 44), and that one who is "a good preserver of his life" cannot be harmed, "because in him there is no room for death" (chap. 50). Although in some passages of the Zhuangzi an enlightened perspective leads to acceptance of death, a few others provide poetic visions of immortals, those who have transcended death by merging with the Dao. One of the terms Zhuangzi uses for these individuals is zhenren, "perfected people," a term that later became important in the fully-developed Daoist religion that took shape after the second century C.E.. These indications of immortality in the earliest Daoist texts provided the chief point of contact between the classical tradition and those who sought immortality by more direct means, including later practitioners of Daoist religion.
The quest for immortality. An explicit concern for long life (shou) had already appeared on early Zhou bronzes and in poems in the Scripture of Odes. Beginning in the eighth century B.C.E. we find terms expressing a hope for immortality, such as "no death," "transcending the world," and "becoming an immortal." By the fourth century B.C.E. there is evidence of an active quest for immortality through a variety of means, including exercises imitating the movements of long-lived animals, diets enforcing abstinence from grains, the use of food vessels inscribed with characters indicating longevity, the ingestion of herbs and chemicals, and petitions for the aid of immortals residing in mountains or distant paradises. It was in this context that Chinese alchemy began. The alchemical quest became the most dramatic form of the quest to transcend death, growing in popularity during the Qin (221-207 B.C.E.) and Western Han (202 B.C.E.-9 C.E.) dynasties.
The goal of all these practices was to return the body to its original state of purity and power with its yin and yang forces vital and in proper balance. [See Yin-yang Wuxing.] The fact that some of the compounds used were poisonous did not deter the experimenters; those who died were believed by devotees to have transferred themselves to another plane of existence, that of the immortals (xian). [See Xian.] All this effort and expense were considered necessary because in ancient China the person was understood to be a psycho-physical whole, composed throughout of one vital substance, qi, in different modes and densities. [See Qi.] Corresponding to the yin and yang phases of qi there were thought to be two "souls," the po and hun, respectively. The po, associated with the gross physical body, would ideally remain with the body after death, or would descend to a murky underworld, the Yellow Springs. The hun, associated with the more intelligent and spiritual aspect of the person, would rise up to heaven and would retain its integrity only as long as it was ritually acknowledged and "nourished" through ancestor worship.
These forms of continuation after death were perceived by some to be tenuous and limited, so they attempted to make the entire person/body immortal by transforming its substance. There was no doctrine of an eternal, immaterial soul to fall back on as in India or the Hellenistic world, so the only alternative was physical immortality. In China this tradition continued to develop through the Eastern (Latter) Han dynasty (25-220 C.E.) and produced texts of its own full of recipes, techniques, and moral exhortations. As such, it became one of the major sources of the Daoist religion that emerged in the second century C.E.. [See Alchemy, article on Chinese Alchemy, and Soul, article on Chinese Concepts.]
Spirit mediums. The other important expression of Chinese religious consciousness before the Han dynasty was shamanism, which most commonly took the form of deities and spirits possessing receptive human beings. Spirit mediums both female and male are mentioned in discussions of early Zhou religion as participants in court rituals, responsible for invoking the descent of the gods, praying and dancing for rain, and for ceremonial sweeping to exorcise harmful forces. They were a subordinate level of officially accepted ritual performers, mostly women, who spoke on behalf of the gods to arrange for sacrifices. In conditions of extreme drought they could be exposed to the sun as an inducement to rain. Female mediums were called wu, a word etymologically related to that for dancing; male mediums were called xi. In the state of Chu, south of the center of Zhou culture, there were shamans believed able to practice "magic flight," that is, to send their souls on journeys to distant realms of deities and immortals. [See Flight.]
Han historical sources indicate that by the third century B.C.E. there were shamans all over China, many of whom were invited by emperors to set up shrines in the capital. This was done in part to consolidate imperial control, but also to make available fresh sources of sacred power to support the state and heal illness. Sporadic attempts were also made by officials to suppress shamanism. These began as early as 99 B.C.E. and continued in efforts to reform court rituals in 31-30 B.C.E., and to change local practices involving human sacrifice in 25 C.E.. However, it is clear that shamanism was well established among the people and continued to have formal influence at court until the fifth century C.E.. Shamans were occasionally employed by rulers to call up the spirits of royal ancestors and consorts and incidents of court support continued into the eleventh century. Owing in part to the revival of Confucianism in that period, in 1023 a sweeping edict was issued that all shamans be returned to agricultural life and their shrines be destroyed. Thus, the gradual Confucianization of the Chinese elite led to the suppression of shamanism at that level, but it continued to flourish among the people, where its activities can still be observed in China, Taiwan, and other Chinese communities. [See Shamanism, overview article.]
The Beginnings of Empire
In the fifth century B.C.E. the disintegration of the Zhou feudal and social order quickened under the pressure of incessant civil wars. The larger states formed alliances and maneuvered for power, seeking hegemony over the others, aiming to reunify the area of Zhou culture by force alone. In 256 B.C.E. the state of Qin, under the influence of a ruthlessly applied ideology of laws and punishments suggested in the fourth century B.C.E. by Shang Yang, one of the founders of the Legalist school, eliminated the last Zhou king and then finished off its remaining rivals. Finally, in 221 the state of Qin became the empire of Qin (221-207 B.C.E.), and its ruler took a new title, "First Emperor of Qin" (Qin shi huangdi). With this step China as a semicontinental state was born. There were many periods of division and strife later, but the new level of unification achieved by the Qin was never forgotten, and became the goal of all later dynasties.
The Qin emperors attempted to rule all of China by the standards long developed in their own area; laws, measurements, written characters, wheel tracks, thought, and so forth were all to be unified. Local traditions and loyalties were still strong, however, and Qin rule remained precarious. After the emperor died in 209 he was replaced by a son who proved unequal to the task. Rebellions that broke out in that year severely undermined Qin authority and by 206 one of the rebel leaders, a village head named Liu Bang, had assumed de facto control of state administration. In 202 Liu Bang was proclaimed emperor of a new dynasty, the Han (202 B.C.E.-220 C.E.), built upon Qin foundations but destined to last, with one interregnum, for over four hundred years.
The Qin. The Qin was noteworthy both for its suppression of philosophy and its encouragement of religion. The Legalist tradition dominant in the state of Qin had long been hostile to the Confucians and Moists, with their emphasis on ethical sanctions for rule. For the Legalists the only proper standard of conduct was the law, applied by officials concerned with nothing else, whose personal views were irrelevant as long as they performed their task. The only sanctions the state needed were power and effective organization. Not long after Qin became an empire it attempted to silence all criticism based on the assumption of inner standards of righteousness that were deemed to transcend political power and circumstance. In 213 B.C.E. the court made it a capital offence to discuss Confucian books and principles and ordered that all books in private collections be burned, save those dealing with medicine, divination, and agriculture, as well as texts of the Legalist school. In this campaign, several scores of scholars were executed, and a number of philosophical schools were eliminated as coherent traditions, including the Moists and the Dialecticians. In the early Han dynasty both Daoist philosophy and Confucianism revived, and Legalism continued to be in evidence in practice if not in theory, but the golden age of Chinese philosophy was over. A unified empire demanded unified thought, a dominant orthodoxy enforced by the state. From this perspective variety was a threat, and furthermore, there were no independent states left to serve as sanctuaries for different schools. To be sure, China continued to produce excellent scholars and philosophers, and Buddhism contributed an important body of new material, but most of the issues debated in later Chinese philosophy had already been articulated before the Han. The task of philosophy was now understood to be the refinement and application of old teachings, not the development of new ones. [See Legalism and the biography of Han Feizi.]
Qin policy toward religion, by contrast, encouraged a variety of practices to support the state. To pay homage to the sacred powers of the realm and to consolidate his control, the First Emperor included worship at local shrines in his extensive tours. Representatives of regional cults, many of them spirit mediums, were brought to the court, there to perform rituals at altars set up for their respective deities. The Qin expanded the late Zhou tendency to exalt deities of natural forces; over one hundred temples to such nature deities were established in the capital alone, devoted to the sun, moon, planets, several constellations, and stars associated with wind, rain, and long life. The nation was divided into sacred regions presided over by twelve mountains and four major rivers, with many lesser holy places to be worshiped both by the people and the emperor. Elaborate sacrifices of horses, rams, bulls, and a variety of foodstuffs were regularly offered at the major sites, presided over by officials with titles such as Grand Sacrificer and Grand Diviner. Important deities were correlated with the Five Phases (wuxing), the modes of interaction of natural forces, the better to personify and control these powers.
A distinctive feature of Qin religion was sacrifices to four "Supreme Emperors" responsible for natural powers in each of the four quarters. Only the Emperor could worship these deities, a limitation true as well for two new rites he developed in 219, the feng and shan sacrifices. These were performed on sacred Mount Tai, in modern Shandong province, to symbolize that the ruler had been invested with power by Heaven itself. Another driving force behind Qin encouragement of religious activities was the first Emperor's personal quest for immortality. We are told that in this quest he sent groups of young people across the China Sea to look for such islands of the immortals as Penglai.
The Han. The defeat of Qin forces in the civil wars leading up to the founding of the Han dynasty deposed Legalist political thought along with the second and last Qin emperor. It took several decades for the new Han dynasty to consolidate its power. Since the Legalists had developed the most detailed policies for administering an empire, many of these policies were followed in practice in modified form.
Some early Han scholars and emperors attempted to ameliorate royal power with a revival of Confucian concern for the people and Daoist principles of noninterference (wuwei). For example, a palace counselor named Jia Yi (200-168 B.C.E.) echoed Mencius in his emphasis that the people are the basis of the state, the purpose of which should be to make them prosperous and happy, so as to gain their approval. A similar point of view is presented in more Daoist form in the Huainanzi, a book presented to the throne in 139 B.C.E. by a prince of the Liu clan who had convened a variety of scholars in his court. This book discusses the world as a fundamentally harmonious system of resonating roles and influences. The ruler's job is to guide it, as an experienced charioteer guides his team. [See the biography of Liu An.]
Both Jia Yi and the Huainanzi assume that the rhythms that order society and government emanate from the cosmic Dao. The ruler's task is to discover and reinforce these rhythms for the benefit of all. This understanding of a Daoist "art of rulership" is rooted in the teachings of the early Daoist texts discussed above (Zhuangzi, Guanzi, and Laozi), which in the early Han were called the Huang-Lao school, the tradition of the Yellow Emperor and Laozi. Four other Huang-Lao texts were rediscovered in 1973 at Mawangdui, in a tomb sealed in 168 B.C.E.. This early form of Daoism, which was adopted by the early Han emperors, is concerned with the Dao as the creative source of both nature and man, their patterns of order, and the ontological basis of law and administration. Here we see an attempt to apply Daoist philosophical principles to the ordering of society by blending them with Legalist ideas. [See Huanglao Jun.]
Some Confucian books had escaped the flames of 213 B.C.E., and those that did not were reconstructed or written anew, with little but the old titles intact. By this time scholars such as Xunzi had already incorporated the best thought of their day into fundamentally Confucian expositions that advocated a strong centralized state and an ethical teaching enforced by law. This expanded interpretation of Confucius's teachings served his followers well in the early Han. They occupied the middle ground between Legalism and Daoist laissez-faire. There was room in their perspective for political power, criminal law, advocacy of benevolent rule, moral suasion, religious rituals, and personal ethical development, all supported by a three-century tradition of training disciples to study sacred texts and emulate the models they provided. In addition, the philosopher Dong Zhongshu (c. 179-104 B.C.E.) incorporated into Confucianism the theories of Zou Yan and the "Naturalists," who in the fourth century B.C.E. had taught that the world is an interrelated organic whole that operates according to the cosmic principles of yin-yang and wuxing (Five Phases). [See the biography of Zou Yan.] The Huainanzi had already given this material a Daoist interpretation, stressing the natural resonance between all aspects of the universe. In the hands of Dong Zhongshu this understanding became an elaborate statement of the relationship of society and nature, with an emphasis on natural justification for hierarchical social roles, focused on that of the ruler. [See the biography of Dong Zhongshu.]
Dong Zhongshu provided a more detailed cosmological basis for Confucian ethical and social teachings and made it clear that only a unified state could serve as a channel for cosmic forces and sanctions. Dong was recognized as the leading scholar of the realm, and became spokesman for the official class. At his urging, the sixth Han emperor, Wudi (r. 140-87 B.C.E.), shifted his allegiance from Huang-Lao Daoism to Confucianism. In 136 B.C.E. the Confucian classics were made the prescribed texts studied at the imperial academy. Texts of other schools including the Daoist theories of administration noted above, were excluded. This meant in effect that Dong Zhongshu's version of Confucianism became the official state teaching, a status it retained throughout the Han dynasty. So it was that the humble scholar of Lu, dead for over three hundred years, was exalted as patron saint of the imperial system, a position he retained until 1911. State-supported temples were established in Confucius's name in cities all over the land, and his home at Qufu became a national shrine. In these temples, spirit tablets of the master and his disciples (replaced by images from 720 to 1530) were venerated in elaborate and formal rituals. As the generations passed, the tablets of the most influential scholars of the age came to be placed in these temples as well, by imperial decree, and so the cult of Confucius became the ritual focus of the scholar-official class. [See Confucian Thought, article on The State Cult.]
Dong Zhongshu's incorporation of yin-yang thought into Confucian philosophy had the unfortunate effect of legitimating and accentuating what was already a patriarchal social system. The root meanings of yin (dark) and yang (light) were not gendered, but neither did they necessarily imply a complementarity of equals. The predominant interpretation of the yin-yang polarity throughout Chinese history (with a few texts like the Laozi as prominent exceptions) understood the relationship as a hierarchical complementarity, with yin as quiescent and sinking and yang as active and rising. The general preference for yang over yin, combined with the patriarchal association of women with yin and men with yang, provided philosophical justification for the subservience of women to men. Educated women as well as men accepted this as a fact of nature. Ban Zhao (45-114 C.E.), the most famous female intellectual in Chinese history, wrote an influential book called "Lessons for Women" (Nujie), which emphasized the propriety of women's humility and subservience, although her support of education for girls could, in its context, be considered a "feminist" position. In general, Confucians believed that women could become Sages, but only by perfecting the virtues of the "woman's Way" as wives and mothers.
Han state rituals were based upon those of Qin, but were greatly expanded and more elaborate. The first emperor, Gaozu, instituted the worship of a star god believed to be associated with Houji, the legendary founder of the Zhou royal line. Temples for this deity were built in administrative centers around the realm, where officials were also instructed to worship gods of local mountains and rivers. Gaozu brought shamans to the palace and set up shrines for sacrifices to their regional deities. He also promoted the worship of his own ancestors; at his death temples in his honor were built in commanderies throughout the empire.
These efforts to institute an imperial religious system supported by officials at all levels were energetically continued by Emperor Wu, during whose fifty-four-year reign the foundations of imperial state religion were established for Chinese history into the twentieth century. The emperor's religious activities were in turn supported by the philosophy of Dong Zhongshu, with its emphasis on the central cosmic role of the ruler. Emperor Wu revived the jiao or suburban sacrifice at the winter solstice to express imperial support for the revival of life forces. [See Jiao.] He also began to worship Taiyi, the "Supreme One," a star deity most noble in the heavens, an exalted version of a Zhou god. Taiyi was coequal with Heaven and earth, a symbol of both cosmic power and the emperor's status. In the period 112-110 B.C.E. Emperor Wu renewed the feng and shan sacrifices at Mount Tai, the sacred mountain of the east, a key place of direct communication with Heaven for the sake of the whole realm. In 109 B.C.E. he ordered that a ming tang ("hall of light") be built at the foot of Mount Tai as a temple where all the major deities of China could assemble and be worshiped. Emperor Wu also toured the realm, sacrificing at important shrines along the way, all to express his religious convictions and assert his authority.
Detailed instructions for these Han rituals were provided by handbooks of ritual and etiquette such as the Liji (Record of Ritual), the present version of which was compiled in the second century B.C.E. but includes earlier material as well. Here we find descriptions of royal rituals to be performed at the solstices and the equinoxes, as well as instructions for such matters as the initiation ("capping") of young men and the veneration of ancestors. The emphasis throughout is on the intimate correlations of nature and society, so that social custom is given cosmic justification. The Liji complements Dong Zhongshu's philosophy by extending similar understandings to the social life of the literate elite. In this context periodic rituals served as concentrated reminders of the cosmic basis of the whole cultural and political order. Thus did the imperial ruling class express its piety and solidify its position.
It should be noted, however, that the old Zhou concept of the "mandate of Heaven" continued to influence Han political thought in a form elaborated and attenuated at the same time. Particularly in the writings of Dong Zhongshu, evidence for divine approval or disapproval of the ruler was discerned in natural phenomena, such as comets or earthquakes, interpreted as portents and omens. In accord with this belief, officials were appointed to record and interpret portents and to suggest appropriate responses, such as changes in ritual procedure and the proclamation of amnesties. The developing tradition of political portents recognized the importance of divine sanctions but provided a range of calibrated responses that enabled rulers to adjust their policies rather than face the prospect of rejection by Heaven. The "mandate of Heaven" in its earlier and starker form was evoked chiefly as justification for rebellion in periods of dynastic decay. Nonetheless, portent theory in the hands of a conscientious official could be used in attempts to check or ameliorate royal despotism, and hence was an aspect of the state religious system that could challenge political power as well as support it.
The Han emperor Wu devoted much effort to attaining immortality, as had his Qin predecessor. As before, shamans and specialists in immortality potions were brought to court, and expeditions were sent off to look for the dwelling places of those who had defeated death. The search for immortality became quite popular among those who had the money and literacy to engage in it. In part this was due to the transformation of the Yellow Emperor (Huangdi) into the patron deity of immortality, the earliest popular saving deity of this type in China. This transformation, fostered by magicians or "technique specialists" (fangshi) at Emperor Wu's court, included stories that the Yellow Emperor had ascended to Heaven with his whole retinue, including a harem of over seventy. [See Fangshi and Huangdi.]
A more common expression of hope for some sort of continuity after death may be seen in tombs of Han aristocrats and officials, many of which were built as sturdy brick replicas of houses or offices, complete with wooden and ceramic utensils, attendants, and animals, as well as food, drugs, clothing, jade, bamboo books, and other precious objects. To a large extent this was a modification of Shang and Zhou traditions. However, in a few Han tombs there were tightly sealed coffins filled with an embalming fluid in which even the skin and flesh of the bodies have been preserved. An elaborate silk banner has been found on top of one of these coffins, from the southern state of Chu, painted with a design evidently intended to guide the occupant to a paradise of the immortals, perhaps that of the Queen Mother of the West, Xi Wang Mu.
Another destination for the dead was an underworld that was a Han elaboration of the old myth of the Yellow Springs, a shadowy place beneath the earth referred to as early as the eighth century B.C.E.. From the Han period, there are tomb documents by which living officials transferred the dead in their jurisdiction to those of their counterparts in the underworld. There are also references to a realm of the dead inside Mount Tai. The god of this mountain keeps registers of the lifespans of all, and death may be referred to as "to return to the Eastern Peak." By the third and fourth centuries C.E. it was believed that there was a subterranean kingdom within Mount Tai, where judges decided the fate of the dead. These alternative beliefs represent the state of Chinese understandings of afterlife before Buddhist impact. [See Afterlife, article on Chinese Concepts.]
What came to be called the Former Han dynasty ended in 8 C.E. when the throne was occupied by a prime minister named Wang Mang (r. 9-23 C.E.), who established a Xin ("new") dynasty that was to last for fourteen years. Wang's chief contribution to the history of Chinese religions was his active promotion of prognostication as a way of understanding the intimate relationship between Heaven and the court. In 25 C.E. Liu Xiu (r. 25-57), a member of the Han royal line, led a successful attack on Wang Mang and reestablished the (Latter) Han dynasty. Like Wang Mang, he actively supported prognostication at court, despite the criticism of rationalist scholars such as Huan Tan (43 B.C.E.-28 C.E.), who argued that strange phenomena were a matter of coincidence and natural causes rather than messages from Heaven.
A related development was controversy between two movements within Confucian scholarly circles, the so-called New Text school of the Former Han, and a later rationalistic reaction against it, the Old Text school. The New Text school developed out of Dong Zhongshu's concern with portents. Its followers wrote new commentaries on the classics that praised Confucius as a superhuman being who predicted the future hundreds of years beyond his time. By the end of the first century B.C.E. this interpretation of the sage in mythological terms was vigorously resisted by an Old Text school that advocated a more restrained and historical approach. These two traditions coexisted throughout the remainder of the Han dynasty, with the New Text scholars receiving the most imperial support through the first century C.E.. After Huan Tan the best known rationalist was Wang Chong, whose Lunheng (Balanced Essays) fiercely criticizes religious opinions of his day, including prognostication and belief in spirits of the dead. Although Wang Chong was not well known by his contemporaries, his thought was rediscovered in the third century and established as a key contribution to the skeptical tradition in Chinese philosophy. [See the biography of Wang Chong.] An important religious legacy of the New Text school was the exalted interpretation of Confucius as a semidivine being, which was echoed in later popular religion. Its concern with portents and numerology also influenced Daoism.
We have noted the appearance of the Yellow Emperor as a divine patron of immortality, and as a representative of a new type of personified saving deity with power over a whole area of activity. In the latter half of the Han dynasty the number and popularity of such deities increased, beginning with the cult of the Queen Mother of the West (Xi Wang Mu). She was associated with the Kunlun mountains in the northwest where she presided over a palace and received a royal visitor, King Mu of the Zhou dynasty, whom she predicted would be able to avoid death. In 3 B.C.E. Hsi Wang Mu's promise of immortality to all became the central belief of an ecstatic popular cult in her name that swept across North China. Although this movement abated in a few months, the Queen Mother herself is commonly portrayed in Latter Han iconography. Kunlun is described as the center pillar of the world, from where she controls cosmic powers and the gift of immortality. This goddess has continued to have an important role in Chinese religion until the present day. [See Xi Wang Mu.]
Mountain-dwelling immortals constituted another source of personal deities in this period. These beings were believed to descend to aid the ruler in times of crisis, sometimes with instructions from the Celestial Emperor (Tiandi), sometimes themselves identified with the "perfect ruler" who would restore peace to the world. By the second century C.E. the most important of these figures was Laozi, the legendary author of the Daodejing, who appears as a deity called Huang Laojun (Yellow Lord Lao) or Taishang Laojun (Most High Lord Lao). [See Huang Laojun.] By this time Laozi had been portrayed for centuries in popular legend as a mysterious wise man who disappeared without a trace. We have seen that the book in his name contains passages that could be interpreted as support for the immortality cult, and by the first century he was referred to as an immortal himself. In an inscription of 165 C.E. Laozi is described as a creator deity, equal in status to the sun, moon, and stars. A contemporary text assures his devotees that he has manifested himself many times in order to save mankind, that he will select those who believe in him to escape the troubles of the age, and that he will "shake the Han reign." [See the biography of Laozi.] It is this messianic theme that provided the religious impetus for two large popular religious movements in the late second century C.E. that were important sources of later Daoist religion and the popular sectarian tradition. These movements were the Tianshi Dao (Way of the Celestial Masters) in the west and the Taiping Dao (Way of Great Peace) in the north.
The Way of the Celestial Masters began with a new revelation from the Most High Lord Lao to a man named Zhang Daoling in 142 C.E.. In this revelation Zhang was designated as the first "Celestial Master" and was empowered to perform rituals and write talismans that distributed this new manifestation of the Dao for the salvation of humankind. Salvation was available to those who repented of their sins, believed in the Dao, and pledged allegiance to their Daoist master. The master in turn established an alliance between the gods and the devotee, who then wore at the waist a list or "register" of the names of the gods to be called on for protection. The register also served as a passport to heaven at death. Daoist ritual consists essentially of the periodic renewal of these alliances by meditative visualization, ritual confession and petition, and sacrificial offering of incense and sacred documents. Daoist texts are concerned throughout for moral discipline and orderly ritual and organization.
Under Zhang Daoling's grandson, Zhang Lu, the Way of the Celestial Masters established a theocratic state in the area of modern Sichuan Province with an organization modeled in part on Han local administration. The administrative units or "parishes" were headed by "libationers," some of whom were women, whose duties included both religious and administrative functions. Their rituals included reciting the Laozi, penance to heal illness, and the construction of huts in which free food was offered to passers-by. Converts were required to contribute five pecks of rice, from which the movement gained the popular name of "The Way of Five Pecks of Rice" (Wudoumi Dao). In 215 Zhang Lu pledged allegiance to a Han warlord (Cao Cao), whose son founded the new state of Wei in 220. The members of the sect were required to disperse their self-governing community in Sichuan, but they were allowed to continue their activities and taught that Wei had simply inherited divine authority from the Celestial Master Zhang and his line. By the fourth century the Celestial Masters developed more elaborate collective rituals of repentance, retrospective salvation of ancestors, and the strengthening of vital forces through sexual intercourse. Eventually all branches of Daoism traced their origins to the Way of the Celestial Masters. [See the biographies of Zhang Daoling and Zhang Lu.]
We know less about the practices of the Way of Great Peace because it was destroyed as a coherent tradition in the aftermath of a massive uprising in 184 C.E.. Its leader, also named Zhang (Zhang Jue, d. 184 C.E.), proclaimed that the divine mandate for the Han rule, here symbolized by the wood (green) phase (of the Five Phases), had expired, to be replaced by the earth phase, whose color is yellow. Zhang Jue's forces thus wore yellow cloths on their heads as symbols of their destiny, and hence the movement came to be called the Yellow Scarves (often misleadingly translated as "Yellow Turbans"). The Han court commissioned local governors to put down the uprising, which was soon suppressed with much bloodshed, although remnants of the Yellow Scarves continued to exist until the end of the century. [See the biography of Zhang Jue.]
The Yellow Scarves are better understood as a parallel to the Celestial Master sect rather than as connected to it, although the two movements shared some beliefs and practices, particularly healing through confession of sins. The Way of Great Peace employed a scripture known as the Taipingjing (Scripture of Great Peace), which emphasizes the cyclical renewal of life in the jiazi year, the beginning of the sixty-year calendrical cycle. Both sects were utopian, but the Yellow Scarves represent a more eschatalogical orientation. In retrospect, both of these groups appear as attempts to reconstruct at a local level the Han cosmic and political synthesis that was collapsing around them, with priests taking the place of imperial officials.
The most important legacy of the late Han popular religious movements was their belief in personified divine beings concerned to aid humankind, a belief supported by new texts, rituals, and forms of leadership and organization. This belief was given impetus by the expectation that a bearer of collective salvation was about to appear in order to initiate a new time of peace, prosperity, and long life. From the third century on this hope was focused on a figure called Li Hong, in whose name several local movements appeared, some involving armed uprisings. This eschatological orientation was an important dimension of early Daoism, which at first understood itself as a new revelation, intended to supplant popular cults with their bloody sacrifices and spirit mediums.
In addition to such organized movements as the Yellow Scarves, Han popular religion included the worship of local sacred objects such as trees, rocks, and streams, the worship of dragons (thought to inhabit bodies of water), the belief that spirits of the dead have consciousness and can roam about, and a lively sense of the power of omens and fate. By the third century there are references to propitiation of the spirits of persons who died violent deaths, with offerings of animal flesh presided over by spirit mediums.
Fengshui ("wind and water"), or geomancy, also developed during the Han as a ritual expression of the yin/yang and five-phases worldview. It is the art of locating graves, buildings, and cities in auspicious places where there is a concentration of the vital energies (qi) of earth and atmosphere. It is believed that the dead in graves so located will bless their descendants. The earliest extant fengshui texts are attributed to famous diviners of the third and fourth centuries. Chinese religion was thus developed at a number of levels by the time Buddhism arrived, although Buddhism offered several fresh interpretations of morality, personal destiny, and the fate of the dead.
The Period of Disunion
By the time the first Buddhist monks and texts appeared in China around the first century C.E., the Han dynasty was already in decline. At court, rival factions competed for imperial favor, and in the provinces restless governors moved toward independence. Political and military fragmentation was hastened by the campaigns against the Yellow Scarves uprising, after which a whole series of adventurers arose to attack each other and take over territory. In the first decade of the third century three major power centers emerged in the north, southeast, and southwest, with that in the north controlling the last Han emperor and ruling in his name. By 222 these three centers each had declared themselves states, and China entered a period of political division that was to last until late in the sixth century. In this time of relatively weak central government control, powerful local clans emerged to claim hereditary power over their areas.
The Beginnings of Buddhism in China. With the gradual expansion of Buddhism under the patronage of the Kushan rulers (in present-day northwest India, Pakistan and Afghanistan) into the oasis states of Central Asia, and with the corresponding expansion of Chinese influence into this same region, it became inevitable that Buddhism would be introduced into East Asia. Over a thousand-year period from the beginning of the common era until the close of the first millennium the opportunities for cultural exchange with South and West Asia afforded by the so-called Silk Route - actually a whole network of trade routes throughout Asia and connecting it with Europe -- nourished vibrant East Asian Buddhist traditions. These began with earnest imitation of their Indian antecedents and culminated in the great independent systems of thought that characterize the fully developed tradition: Huayan, Tiantai, Jingtu, and Chan.
From about 100 B.C.E. on it would have been relatively easy for Buddhist ideas and practices to come to China with foreign merchants, but the first reliable notice of it in Chinese sources is dated 65 C.E.. In a royal edict of that year we are told that a prince administering a city in what is now northern Jiangsu Province "recites the subtle words of Huang-Lao, and respectfully performs the gentle sacrifices to the Buddha." He was encouraged to "entertain upasakas and sramanas," Buddhist lay devotees and initiates. In 148 C.E. the first of several foreign monks, An Shigao, settled in Luoyang, the capital of the Latter Han. Over the next forty years he and other scholars translated about thirty Buddhist scriptures into Chinese, most of them from pre-Mahayana traditions, emphasizing meditation and moral principles. However, by about 185 three Mahayana Prajñaparamita (Perfection of Wisdom) texts were translated as well.
A memorial dated 166, approving Buddhist "purity," "emptiness," nonviolence, and control of sensual desires, further informs us that in that year the emperor performed a joint sacrifice to Laozi and the Buddha. In 193/194 a local warlord in what is now Jiangsu erected a Buddhist temple that could hold more than three thousand people. It contained a bronze Buddha image before which offerings were made and scriptures were read. During ceremonies in honor of the Buddha's birthday thousands came to participate, watch, and enjoy free food and wine. Thus, by the end of the second century there were at least two centers of Buddhist activity, Luoyang in the north and an area in the southeast. At court Buddhist symbols were used in essentially Daoist rituals, but in the scriptures the novelty and difference of Buddhism were made clear in crude vernacular translations. Such novelty appears in injunctions to eliminate desires, to love all beings equally, without special preference for one's family, and to regard the body as transitory and doomed to decay, rather than an arena for seeking immortality.
Although early sources mention terms for various clerical ranks, rules for monastic life were transmitted in a haphazard and incomplete fashion. Monks and nuns lived in cloisters that cannot properly be called monasteries until a few centuries later. Meanwhile, leadership of the Chinese clergy was provided first by Central Asian monks, then by naturalized Chinese of foreign descent, and by the fourth century, by Chinese themselves. Nuns are first mentioned in that century as well.
The movement of Buddhism to China, one of the great cultural interactions of history, was slow and fortuitous, carried out almost entirely at a private level. The basic reason for its eventual acceptance throughout Chinese society was that it offered several religious and social advantages unavailable to the same extent in China before. These included a full-time religious vocation for both men and women in an organization largely independent of family and state, a clear promise of life after death at various levels, and developed conceptions of paradise and purgatory, connected to life through the results of intentional actions (karma). Many women found Buddhism an attractive alternative to the "woman's Way" supported by Confucianism, with its limited options for fulfillment as wives and mothers. Buddhism also offered the worship of heroic saviors in image form, supported by scriptures that told of their wisdom and compassion. For ordinary folk there were egalitarian moral principles, promises of healing and protection from harmful forces, and simple means of devotion; for intellectuals there were sophisticated philosophy and the challenge of attaining new states of consciousness in meditation, all of this expounded by a relatively educated clergy who recruited, organized, translated, and preached.
In the early fourth century North China was invaded by the nomadic Xiongnu, who sacked Luoyang in 311 and Chang'an in 316. Thousands of elite families fled south below the Yangze River, where a series of short-lived Chinese dynasties held off further invasions. In the North a succession of kingdoms of Inner Asian background rose and fell, most of which supported Buddhism because of its religious appeal and its non-Chinese origins. The forms of Buddhism that developed here emphasized ritual, ideological support for the state, magic protection, and meditation
It was in the South, however, that Buddhism first became a part of Chinese intellectual history. The Han imperial Confucian synthesis had collapsed with the dynasty, a collapse that encouraged a quest for new philosophical alternatives. Representatives of these alternatives found support in aristocratic clans, which competed with each other in part through philosophical debates. These debates, called qingtan, or "pure conversation," revived and refined a tradition that had been widespread in the period of the so-called Hundred Philosophers (sixth and fifth centuries B.C.E.), a tradition with precise rules of definition and criteria for victory. By the mid-third century these debates revolved around two basic perspectives, that of rather conservative moralists called the "school of names" (mingjiao) and that of those advocating "spontaneous naturalism" (ziran). By the early fourth century Buddhist monks were involved in these debates, supported by sympathetic clans, advocating a middle ground between the conservatives and libertarians, spiritual freedom based on ethical discipline. Although Buddhism was still imperfectly understood, it had gained a vital foothold.
Chinese intellectuals first attempted to understand Buddhism through its apparent similarities to certain beliefs and practices of Daoism and immortality cults. Thus, bodhisattvas and Buddhas were correlated with sages and immortals, meditation with circulation of the vital fluids, and nirvana with wuwei, spontaneous, non-intentional action. However, Indian Buddhism and traditional Chinese thought have very different understandings of life and the world. Buddhist thought is primarily psychological and epistemological, concerned with liberation from samsara, the world perceived as a realm of suffering, impermanence, and death. For the Chinese, on the other hand, nature and society are fundamentally good; our task is to harmonize with the positive forces of nature, and enlightenment consists of identifying with these forces, rather than in being freed from them. The interaction of these worldviews led Chinese Buddhists to interpret psychological concepts in cosmological directions. For example, the key Mahayana term "emptiness" (sunyata in Sanskrit, kong in Chinese) refers primarily to the interdependence of all things -- i.e. their lack of any independent nature or being - and to the radically objective and neutral mode of perception that accepts the impermanence and interdependence of things without trying to control them or project onto them human concepts and values. Indeed, the first discussions of this term used it as a logical tool to destroy false confidence in philosophical and religious concepts, particularly earlier Buddhist ones. All concepts, according to this doctrine, are mutually contradictory and refer to nothing substantial; hence they are "empty." In China, however, "emptiness" immediately evoked discussion about the origin and nature of the phenomenal world. "Emptiness" was equated with "non-being" (wu), the fecund source of existence, and "vacuity" (xu), the absence of concrete existence or cognitive preconception, both of which are prominent concepts in the Laozi. As their understanding of Buddhism deepened, Chinese thinkers became more aware of the epistemological force of the term "emptiness," but continued to see it primarily as a problem in interpreting the world itself. In that respect it was somewhat consistent with certain Confucian and Daoist ideas, such as the notion that persons and things are defined by their relationships with others or their positions in the overall pattern of things -- the Dao.
Buddhist thought was already well developed and complexly differentiated before it reached China. Likewise, Chinese culture, religion, and philosophy were mature and highly developed when Buddhism entered China. So the story of Buddhism in China was a case of two mature cultural systems, with some rather fundamental linguistic and social differences, interacting and transforming each other. But at first the Chinese knew of Buddhism only through scriptures haphazardly collected, in translations of varying accuracy, for very few Chinese learned Sanskrit. Since all the sutras claimed to be preached by the Buddha himself, they were accepted as such, with discrepancies among them explained as deriving from the different situations and capacities of listeners prevailing when a particular text was preached. In practice, this meant that the Chinese had to select from a vast range of data those themes that made the most sense in their pre-existing worldview. For example, as the tradition develops we find emphases on simplicity and directness, the universal potential for enlightenment, and the Buddha mind as source of the cosmos, all of them prepared for by similar ideas in indigenous thought and practice.
The most important early Chinese Buddhist philosophers, organizers, and translators were Daoan (312-385), Huiyuan (334-417), and Kumarajiva (334-413), each of whom contributed substantially to the growth of the young "church." Daoan was known principally for his organizational and exegetical skills and for the catalog of Buddhist scriptures he compiled. His disciple Huiyuan, one of the most learned clerics in South China, gathered a large community of monks around him and inaugurated a cult to Amitabha, a popular Buddha. Kumarajiva, the most important and prolific of the early translators, was responsible for the transmission of the Madyamika (Sanlun) tradition to China. His lectures on Buddhist scripture in Chang'an established a sound doctrinal basis for Mahayana thought in the Middle Kingdom. Another formative early figure was Daosheng (d. 434 C.E.), a student of Kumarajiva. He is known for his emphasis on the positive nature of nirvana, his conviction that even non-believers have the potential for salvation, and his teaching of instantaneous enlightenment. Like the concept of emptiness, these ideas resonated well with certain Confucian and Daoist concepts, such as the goodness of human nature in Mencius and the Daoist notion of spontaneity. Such themes helped lay the foundation for Chan (Jpn., Zen) Buddhism in the seventh and eighth centuries. [See the biographies of Daoan, Huiyuan, Kumarajiva, and Daosheng.]
The history of monastic Buddhism was closely tied to state attitudes and policies, which ranged from outright suppression to complete support, as in the case of Emperor Wu of the Liang dynasty (r. 502-549), who abolished Daoist temples and built Buddhist ones, and three times entered a monastery himself as a lay servitor. [See the biography of Liang Wudi.] However, by the fifth century Buddhism was becoming well established among people of all classes, who, to gain karmic merit, donated land and goods, took lay vows, served in monasteries, and established a variety of voluntary associations to copy scriptures, provide vegetarian food for monks and nuns, and carve Buddha images. The most important image-carving projects were at Yungang in Shanxi and Longmen in Honan, where huge figures, chiefly those of Sakyamuni and Maitreya, were cut into cliffs and caves. Such major projects of course also involved large-scale official and clerical support.
It was in the fifth century as well that Chinese Buddhist eschatology developed, based in part on predictions attributed to the Buddha that a few hundred years after his entry into nirvana the Dharma (the Buddha's teachings) would lose its vigor, morals would decline, and ignorant, corrupt monks and nuns would appear. In addition, from its inception as a full-fledged religion in the second century Daoism had proclaimed itself to be the manifestation of a new age of cosmic vitality, supported by pious devotees, "seed people." A combination of these motifs led to the composition in China of Buddhist scriptures saying that since the end of the age had come, more intense morality and piety were required of those who wished to be saved. These texts also promised aid from saving bodhisattvas such as Maitreya, the next Buddha-to-be. In some cases the apocalyptic vision of these texts inspired militant utopian movements, led by monks, but with lay membership. By the early seventh century a few of these groups were involved in armed uprisings in the name of Maitreya, which led eventually to a decline in official support for his cult, although he remained important in popular sectarian eschatology. [See Millenarianism, article on Chinese Millenarian Movements, and Maitreya.]
The first important school of Buddhist thought developed in China was the Tiantai, founded by the monk Zhiyi (538-597). This school is noted for its synthesis of earlier Buddhist traditions into one system, divided into five periods of development according to stages in the Buddha's teaching. According to Tiantai, the Buddha's teachings culminated in his exposition of the Lotus Sutra, in which all approaches are unified. Zhiyi also systematized the theory and practice of Mahayana meditation. His most important philosophical contribution was his affirmation of the absolute Buddha mind as the source and substance of all phenomena. In Zhiyi's teaching the old Madhyamika logical destruction of dualities is replaced by a positive emphasis on their identity in a common source. So, in impeccably Buddhist language, he was able to justify the phenomenal world, and thus to provide an intellectual foundation for much of the later development of Buddhism in China. [See Tiantai and the biography of Zhiyi.]
In 581 China was reunified by the Sui dynasty (581-618) after three and a half centuries of political fragmentation. The Sui founder supported Buddhism, particularly the Tiantai school, as a unifying ideology shared by many of his subjects in both North and South. After four decades of rule the Sui was overthrown in a series of rebellions, to be replaced by the Tang (618-907). Although the new dynasty tended to give more official support to Confucianism and Daoism, Buddhism continued to grow at every level of society.
The Rise of Daoist Religion. By the fourth century Daoism was characterized by a literate and self-perpetuating priesthood, a pantheon of celestial deities, complex rituals, and revealed scriptures in classical (literary) Chinese. Although the first elements of this tradition appeared in the second century popular movements discussed above, the tradition underwent further development at the hands of gentry scholars versed in philosophy, ethical teachings, and alchemy. These scholars saw themselves as formulators of a new, more refined religion superior to the popular cults around them. This new system was led by priests who, though not officials, claimed celestial prerogatives.
Daoism is fundamentally rooted in the concept of qi, the psycho-physical-spiritual substance out of which nature, gods, and humans evolve. The source and order of this vital substance is the Dao, the ultimate power of life in the universe. The gods are personified manifestations of qi, symbolizing astral powers of the cosmos and organs of the human body with which they are correlated. Under the conditions of ordinary existence qi becomes stale and dissipated, so it must be renewed through ritual and meditative processes that restore its primal vitality. Some of these practices consist of visualizing and calling down the cosmic gods to reestablish their contact with their bodily correlates. In this way the adept ingests divine power and so recharges his bodily forces for healing, rejuvenation, and long life. In others, the substances of the human body - jing (life-giving "essences," such as sexual fluids), qi ("vital breath," in a more specific sense than the general qi of which all things are composed), and shen (spirit) - are manipulated and purified through visualization and meditation. Physical exercises and dietary practices (such as abstinence from grains, which are thought to contain the dark yin power of the earth) are also parts of the Daoist regimen. The general aim of these practices is to enhance spiritual and physical health. Accomplished practice results in the purification of the psycho-physical being into the embryo of a new, immortal self. Rituals are also performed for an entire community; Daoist masters can release their cosmic power through ritual actions that revive the life forces of the community around them.
When the Celestial Master sect was officially recognized by the state of Wei (220-266) in the early third century its leadership was established in the capital, Luoyang, north and east of the old sect base area in modern Sichuan. In the North remnants of the Yellow Scarves still survived, and before long the teachings and rituals of these two similar traditions blended together. A tension remained, however, between those who saw secular authority as a manifestation of the Way and those determined to bring in a new era of peace and prosperity by militant activity. Uprisings led by charismatic figures who claimed long life and healing powers occurred in different areas throughout the fourth century and later.
Meanwhile, in the southeast another tradition emerged that was to contribute to Daoism, a tradition concerned with alchemy, the use of herbs and minerals to attain immortality. Its chief literary expression was the Baopuzi (The Master Who Embraces Simplicity) written by Ge Hong in about 320. Ge Hong collected a large number of alchemical formulas and legends of the immortals, intended to show how the body can be transformed by the ingestion of gold and other chemicals and by the inner circulation of the vital qi, special diets, and sexual techniques, all reinforced by moral dedication. Ge Hong's concerns were supported by members of the old aristocracy of the state of Wu (222-280) whose families had moved south during the Latter Han period. [See the biography of Ge Hong.]
When the northern state of Jin was conquered by the Xiongnu in 316, thousands of Jin gentry and officials moved south, bringing the Celestial Master sect with them. The eventual result was a blending of Celestial Master concern for priestly adminstration and collective rituals with the more individualistic and esoteric alchemical traditions of the southeast. Between the years 364 and 370 a young man named Yang Xi claimed to receive revelations from "perfected ones" (zhenren, a term from the Zhuangzi) or exalted immortals from the Heaven of Supreme Purity (Shangqing). These deities directed Yang to make transcripts and deliver them to Xu Mi (303-373), an official of the Eastern Jin state (317-420) with whom he was associated. Yang Xi believed his new revelations to be from celestial regions more exalted than those evoked by the Celestial Master sect and Ge Hong. The Perfected Ones rewrote and corrected earlier texts in poetic language, reformulated sexual rites as symbols of spiritual union, and taught new methods of inner cultivation and alchemy. These teachings were all presented in an eschatological context, as the salvation of an elect people in a time of chaos. They prophesied that a "lord of the Way, [a] sage who is to come" would descend in 392. Then the wicked would be eliminated and a purified terrestrial kingdom established, ruled over by such pious devotees as Xu Mi, now perceived as a priest and future celestial official. It is perhaps not accidental that these promises were made to members of the old southern aristocracy whose status had recently been threatened by the newcomers from the north. [See Zhenren.]
Xu Mi and one of his sons had retired to Maoshan, a mountain near the Eastern Jin capital (modern Nanjing); hence the texts they received and transcribed came to be called those of a Maoshan "school." In the next century another southern scholar, Tao Hongjing (456-536), collected all the remaining manuscripts from Yang Xi and the Xu family and edited them as the Zhen'gao (Declarations of the Perfected). With this the Maoshan/Shangqing scriptures were established as a foundation stone of the emerging Daoist canon. [See the biography of Tao Hongjing.]
In the meantime another member of Ge Hong's clan had written a scripture in about 397, the Lingbaojing (Scripture of the Sacred Jewel), which he claimed had been revealed to him by the spirit of an early third-century ancestor. This text exalted "celestial worthies" (tianzun), who were worshiped in elaborate collective rituals directed by priests in outdoor arenas. The Lingbaojing established another strand of Daoist mythology and practice that was also codified in the South during the fifth century. Its rituals replaced those of the Celestial Master tradition, while remaining indebted to them. Lingbao texts were collected and edited by Lu Xiujing (406-477), who wrote on Daoist history and ritual. [See the biography of Lu Xiujing.]
Daoism was active in the North as well, in the Northern Wei kingdom (386-534), which established Daoist offices at court in 400. In 415 and 423 a scholar named Kou Qianzhi (d. 448) claimed to have received direct revelations from Lord Lao while he was living on a sacred mountain. The resulting scriptures directed Kou to reform the Celestial Master tradition; renounce popular cults, messianic uprisings, and sexual rituals; and support the court as a Daoist kingdom on earth. Kou was introduced to the Wei ruler by a sympathetic official named Cui Hao (d. 450) in 424 and was promptly appointed to the office of "Erudite of Transcendent Beings." The next year he was proclaimed Celestial Master, and his teachings "promulgated throughout the realm." For the next two decades Kou and Cui cooperated to promote Daoism at the court. As a result, in 440 the king accepted the title Perfect Ruler of Great Peace, and during the period 444 to 446 proscribed Buddhism and local "excessive cults." Although Cui Hao was eventually discredited and Buddhism established as the state religion by a new ruler in 452, the years of official support for Daoism clarified its legitimacy and political potential as an alternative to Confucianism and Buddhism. [See the biography of Kou Qianzhi.]
The Consolidation of Empire: Seventh to Fourteenth Century
The Chinese religious traditions that were to continue throughout the rest of imperial history all reached maturity during the Tang (618-907) and Song (960-1279) periods. These traditions included Buddhism, Daoism, Neo-Confucianism, Islam, and popular religion in both its village and sectarian forms. It was in these centuries as well that other foreign religions were practiced for a time in China, particularly Manichaeism, Nestorian Christianity, and Judaism (at least one Jewish community continued to flourish until the mid-nineteenth century). Rituals performed by the emperor and his officials continued to be elaborated, with many debates over the proper form and location of altars and types of sacrifices to be offered. During the Tang dynasty, cults devoted to the spirits of local founders and protectors were established in many cities. These city gods (chenghuang shen) were eventually brought into the ranks of deities to whom official worship was due.
Manichaeism, Nestorian Christianity, Judaism, and Islam. The area of the Tang dynasty rivaled that of the Han, with western boundaries extending far into Central Asia. This expansion encouraged a revival of foreign trade and cultural contacts. Among the new foreign influences were not only Buddhist monks and scriptures but also the representatives of other religions. There is evidence for Zoroastrianism in China by the early sixth century, a result of contacts between China and Persia that originated in the second century B.C.E. and were renewed in an exchange of envoys with the Northern Wei court in 455 and around 470. [See Zoroastrianism.]
A foreign tradition with more important influence on the history of Chinese religions was Manichaeism, a dynamic missionary religion teaching ultimate cosmic dualism founded by a Persian named Mani (216-277?). The first certain reference to Manichaeism in a Chinese source is dated 694, although it may have been present about two decades earlier. As was true with Zoroastrianism, Manichaeism in its early centuries in China was primarily practiced by foreigners, although its leaders soon composed catechisms and texts in Chinese stressing the congruence of their teachings with Buddhism and Daoism. In 755 a Chinese military commander named An Lushan led a powerful rebellion that the Tang court was able to put down only with the help of foreign support. One of these allies was the Uighur, from a kingdom based in what is now northern Mongolia. In 762 a Uighur army liberated Luoyang from rebel forces, and there a Uighur kaghan (king) was converted to Manichaeism. The result was new prestige and more temples for the religion in China.
However, in 840 the Uighurs were defeated by the Kirghiz, with the result that the Chinese turned on the religion of their former allies, destroyed its temples, and expelled or executed its priests. Nonetheless, at least one Manichaean leader managed to escape to Quanzhou in Fujian Province on the southeast coast. In Fujian the Manichaeans flourished as a popular sect until the fourteenth century, characterized by their distinctive teachings, communal living, vegetarian diet, and nonviolence. They were called the Mingjiao ("religion of light"). They disappeared as a coherent tradition as a result of renewed persecutions during the early Ming dynasty (1368-1644). Several Manichaean texts were incorporated into the Daoist and Buddhist canons, and it is likely that Manichaean lay sects provided models for similar organizations that evolved out of Buddhism later. Manichaean dualism and demon exorcism may have reinforced similar themes in Daoism and Buddhism as they were understood at the popular level. [See Manichaeism, overview article.]
According to a stone inscription erected in Chang'an (present-day Xian) in 781, the first Nestorian missionary reached China in 635 and taught about the creation of the world, the fall of humankind, and the birth and teaching of the Messiah. The ethics and rituals described are recognizably Christian. Chinese edicts of 638 and 745 refer to Nestorianism, which appears to have been confined to foreign communities in large cities on major trade routes. In 845 Nestorianism was proscribed along with Buddhism and other religions of non-Chinese origin, but it revived in China during the period of Mongol rule in the thirteenth and fourteenth centuries. In 1289 the court established an office to supervise Christians, and a 1330 source claims that there were more than thirty thousand Nestorians in China, some of them wealthy and in high positions, no doubt a result of the Mongol policy of ruling China in part with officials of foreign origin. In this period the church was most active in eastern cities such as Hangzhou and Yangzhou. The Nestorians were expelled from China with the defeat of the Mongols in the mid-fourteenth century, and no active practitioners were found by the Jesuits when they arrived about two hundred years later. So the first Christian contact with China expired, leaving no demonstrable influence on Chinese religion and culture. [See Nestorianism.]
There is no certainty regarding the date of Judaism's entrance into China. Two of the four surviving commemorative stelae from the synagogue in Kaifeng trace it to the Han dynasty, suggesting that the emigration might have followed the destruction of the Jerusalem Temple in 70 C.E. But most scholars today agree that it was more likely during the Tang that Jewish merchants from Persia or Bukhara first settled in Kaifeng, on the Yellow River in Honan province. Other pre-modern Jewish communities existed in Ningbo, Hangzhou, Yangzhou, and Guangzhou, al probably established by merchants arriving by sea, but the Kaifeng community was the most successful. Kaifeng was the capital of the Northern Song dynasty (960-1127), and at some point during that period the emperor received representatives of the Jewish community at court and bestowed upon them Chinese surnames, one of which was his own (Zhao). In 1163, under the Jurchen Jin dynasty that had conquered northern China, the Jews built their first synagogue, with approval from the government. Over the ensuing centuries the synagogue was destroyed by floods, rebuilt, and expanded several times. [See Judaism in Asia and Sub-Saharan Africa.]
The Chinese first learned of Islam in 638 from an emissary of the last Sasanid king of Persia, who was seeking their aid against invading Arab armies. This the Chinese refused, but a number of Persian refugees were admitted a few years later after the Sasanid defeat and allowed to practice their Zoroastrian faith. In the early eighth century Arab armies moved into Central Asia, and in 713 ambassadors of Caliph Walid were received at court in Chang'an, even though they refused to prostrate themselves before the emperor. However, in 751 a Chinese army far to the west was defeated in the Battle of Talas by a combination of Central Asian states with Arab support. This defeat led to the replacement of Chinese influence in Central Asia with that of the Arabs and the decline of Buddhism in that area in favor of Islam. In 756 another caliph sent Arab mercenaries to aid the Chinese court against An Lushan; when the war ended many of these mercenaries remained, forming the beginning of Islamic presence in China, which by the late twentieth century totaled about thirty million people, one of the five basic constituencies of the People's Republic. The eighth-century Arab population was augmented by Muslim merchants who settled in Chinese coastal cities, for a time dominating the sea trade with India and Southeast Asia.
The major influx of Muslim peoples occurred during the Yuan dynasty (1271-1368) when the land routes across Central Asia were secure and the Mongols brought in large numbers of their non-Chinese subjects to help administer China. It was in this period that Islam spread all over China and established major population bases in the western provinces of Yunnan and Gansu. Here their numbers increased through marriage with Chinese women and adoption of non-Muslim children, all converted to Islam. Although the result was a dilution of Arab physical characteristics, the use of the Chinese language, and the adoption of some Chinese social customs, for most the Islamic core remained. Muslims did not accept such dominant Chinese traditions as ancestor worship and pork eating, and kept their own festival calendar. In part this resistance was due to the tenacity of their beliefs, in part to the fact that their numbers, mosques, and essentially lay organization permitted mutual support.
Muslims in China have always been predominantly Sunni, but in the sixteenth century Sufism reached China through Central Asia. By the late seventeenth century Sufi brotherhoods began a reform movement that advocated increased use of Arabic and a rejection of certain Chinese practices that had infiltrated Islam, such as burning incense at funerals. Sufism also emphasized ecstatic personal experience of Allah, the veneration of saints, and the imminent return of the Mahdi, who would bring a new age, this last theme due to Shi`i influence as well.
These reformist beliefs, coupled with increased Chinese pressure on Islam as a whole, led eventually to a powerful uprising in Yunnan between 1855-1873, an uprising allowed to develop momentum because of old ethnic tensions in the area and the distraction of the Chinese court with the contemporary Taiping Rebellion (1851-1864). The Yunnan rebellion was eventually put down by a combination of Chinese and loyalist Muslim forces, and the Muslims resumed their role as a powerful minority in China, called the Hui people.
The chief role of Islam in China was as the religion of this minority group, although in some twentieth-century popular texts it was recognized as one of the "five religions" whose teachings were blended into a new synthetic revelation, along with Confucianism, Daoism, Buddhism, and Christianity. Another aspect of Islam's historical impact was to sharply reduce Chinese contact with India and Central Asia after the eighth century, and thus to cut off the vital flow of new texts and ideas to Chinese Buddhism. And since the 1980s, mostly in the Uighur Autonomous Region of Xinjiang, there has been increasing pressure, fueled by Islamic militancy, for independence from the People's Republic of China.
Tang Buddhism. The first Tang emperor, Gaozu (r. 618-626) approved of a plan to limit both Daoist and Buddhist temples. His son Taizong (r. 626-649) agreed with the Daoist contention that the imperial family was descended from Laozi, whose legendary surname was also Li; however, Taizong also erected Buddhist shrines on battlefields and ordered monks to recite scriptures for the stability of the empire. Buddhist philosophical schools in this period were matters of both belief and imperial adornment, so, to replace the Tiantai school, now discredited on account of its association with the Sui dynasty, the Tang court turned first to the Faxiang or Weishi ("consciousness only") school, an idealist teaching known in Sanskrit as Yogacara or Vijñanavada. [See Yogacara.] Some texts of this tradition had been translated earlier by Paramartha (499-569), but it came to be thoroughly understood in China only after the return of the pilgrim Xuanzang in 645 from his sixteen year-long overland journey to India. Xuanzang was welcomed at court and provided with twenty-three scholar-monks from all over China to assist in translating the books he had brought back. The emperor wrote a preface for the translation of one major Vijñanavada text, and his policy of imperial support was continued by his son Gaozong(r. 649-683). [See the biography of Xuanzang.]
However, the complex psychological analysis of the Vijñanavada school, coupled with its emphasis that some beings are doomed by their nature to eternal rebirth, were not in harmony with the Chinese worldview, which had been better represented by Tiantai. Hence, when imperial support declined at Gaozong's death in 683, the fortunes of the Faxiang school declined as well, despite the excellent scholarship of Xuanzang's disciple Kuiji (632-682). [See the biography of Kuiji.] At the intellectual level it was replaced in popularity by the Huayan ("flower garland") school as formulated by the monk Fazang (643-712). This school, based on a sutra of the same name (Skt., Avatamsaka), taught the emptiness and interpenetration of all phenomena in a way consonant with old Chinese assumptions. Furthermore, in Huayan teaching the unity and integration of all things is symbolized by a Buddha called Vairocana who presides over his Pure Land in the center of an infinite universe. [See Mahavairocana.] However dialectically such a symbol might be understood by Buddhist scholars, at a political and popular level it was appropriated more literally as a Buddhist creator deity. [See Huayan and the biography of Fazang.]
It is no accident that the Huayan school was first actively supported by Empress Wu Zhao (Wu Zetian, r. 690-705) who took over the throne from her sons to set up her own dynasty, the Zhou. Since Confucianism did not allow for female rulers, Empress Wu, being a devout Buddhist, sought for supporting ideologies in that tradition, including not only Huayan but also predictions in obscure texts that the Buddha had prophesied that several hundred years after his death a woman would rule over a world empire. Monks in Wu Zetian's entourage equated her with this empress and further asserted that she was a manifestation of the future Buddha Maitreya.
When Empress Wu abdicated in 705 her son continued to support the Huayan school, continuing the tradition of close relationship between the court and Buddhist philosophical schools. However, during this period Buddhism continued to grow in popularity among all classes of people. Thousands of monasteries and shrines were built, supported by donations of land, grain, cloth, and precious metals, and by convict workers, the poor, and serfs bound to donated lands. Tens of thousands of persons became monks or nuns, elaborate rituals were performed, feasts provided, and sermons preached in both monastery and marketplace. Buddhist observances such as the Lantern Festival, the Buddha's birthday, and the Ghost Festival became universally practiced, while pious lay societies multiplied for carving images and inscriptions and disseminating scriptures. Wealthy monasteries became centers of money lending, milling, and medical care, as well as hostels for travelers and retreats for scholars and officials. In high literature the purity of monks and monasteries was admired, while in popular stories karma, rebirth, and purgatory became unquestioned truths. The state made sporadic attempts to control this exuberance by licensing monasteries, instituting examinations for monks, and issuing ordination certificates, but state control was limited and "unofficial" Buddhist practices continued to flourish.
An important factor in this popularity was the rise of two more simple and direct forms of Chinese Buddhism, much less complex than the exegetical and philosophical schools that were dominant earlier. These were the Pure Land (Jingtu) school, devoted to rebirth in Amitabha's paradise, and the Chan ("meditation") school, which promised enlightenment in this life to those with sufficient dedication. These traditions were universalist and nonhierarchical in principle, yet came to have coherent teachings and organizations of their own appealing to a wide range of people. Both should be understood as products of gradual evolution in the seventh and eighth centuries, as a positive selection from earlier teachings, particularly Tiantai, and as a reformist reaction against the secularization of the Tang monastic establishment.
By the third century C.E. texts describing various "pure realms" or "Buddha lands" had been translated into Chinese, and some monks began to meditate on the best known of these "lands," the Western Paradise of the Buddha Amitabha. [See Pure and Impure Lands and Amitabha.] In the fourth century Zhi Dun (314-366) made an image of Amitabha and vowed to be reborn in his paradise, as did Huiyuan in 402. [See the biography of Huiyuan.] These early efforts concentrated on visualization of Buddha realms in states of meditative trance. [See Nianfo.] However, in two Pure Land sutras describing Amitabha and his realm devotees are assured that through a combination of ethical living and concentration on this Buddha they will be reborn at death in his realm, owing to a vow he had made aeons ago to create out of the boundless merit he had accumulated on the long path to Buddhahood a haven for sentient beings. This promise eventually led some monks to preach devotion to Amitabha as an easier way to salvation, available to all, through a combination of sincere thinking on the Buddha and the invocation of his name in faith. To strengthen their proclamation, these monks argued that in fact Amitabha's Pure Land was at a high level, beyond samsara (the cycle of rebirth), and thus functionally equivalent to nirvana for those less philosophically inclined.
Philosophers of the fifth and sixth centuries such as Sengzhao and Zhiyi discussed the Pure Land concept as part of larger systems of thought, but the first monk to devote his life to proclaiming devotion to Amitabha as the chief means of salvation for the whole of society was Tanluan (476-542), a monk from North China where there had long been an emphasis on the practical implementation of Buddhism. Tanluan organized devotional associations whose members both contemplated the Buddha and orally recited his name. It was in the fifth and sixth centuries as well that many Chinese Buddhist thinkers became convinced that the final period of Buddhist teaching for this world cycle was about to begin, a period (called in Chinese mofa, the Latter Days of the Law) in which the capacity for understanding Buddhism had so declined that only simple and direct means of communication would suffice. [See Mappo and the biographies of Sengzhao and Tanluan.]
The next important preacher to base his teachings solely on Amitabha and his Pure Land was Daochuo (562-645). It was he and his disciple Shandao (613-681) who firmly established the Pure Land movement and came to be looked upon as founding patriarchs of the tradition. Although both of these men advocated oral recitation of Amitabha's name as the chief means to deliverance, such recitation was to be done in a concentrated and devout state of mind and was to be accompanied by confession of sins and the chanting of sutras. They and their followers also organized recitation assemblies and composed manuals for congregational worship. Owing to their efforts, Pure Land devotion became the most popular form of Buddhism in China, from whence it was taken to Japan in the ninth century. Pure Land teachings supported the validity of lay piety as no Buddhist school had before, and hence both made possible the spread of Buddhism throughout the population and furthered the development of independent societies and sects outside the monasteries. [See Jingtu and the biographies of Daochuo and Shandao.]
The last movement within orthodox Buddhism in China to emerge as an independent tradition was Chan (Jpn., Zen), characterized by its concentration on direct means of individual enlightenment, chiefly meditation. Such enlightenment had always been the primary goal of Buddhism, so in a sense Chan began as a reform movement seeking to recover the experiential origins of its tradition. Such a reform appeared all the more necessary in the face of the material success of Tang Buddhism, with its ornate rituals, complex philosophies, and close relationships with the state. Chan evolved out of the resonances of Mahayana Buddhism with the individualist, mystical, and iconoclastic strand of Chinese culture, represented chiefly by the philosophy of the Laozi and Zhuangzi, especially the latter. This philosophy had long advocated individual identification with the ineffable foundations of being, which cannot be grasped in words or limited by the perspectives of traditional practice and morality. Such identification brings a new sense of spiritual freedom, affirmation of life, and acceptance of death. The importance of meditation had long been emphasized in Chinese Buddhism, beginning with Han translations of sutras describing the process. The Tiantai master Zhiyi discussed the stages and positions of meditation in great detail in the sixth century. Thus, it is not surprising that by the seventh century some monks appeared who advocated meditation above all, a simplification parallel to that of the Pure Land tradition.
The first references to a "Chan school" appeared in the late eighth century. By that time several branches of this emerging tradition were constructing genealogies going back to Sakyamuni himself; these were intended to establish the priority and authority of their teachings. The genealogy that came to be accepted later claimed a lineage of twenty-eight Indian and seven Chinese patriarchs, the latter beginning with Bodhidharma (c. 461-534), a Central Asian meditation master active in the Northern Wei kingdom. Legends concerning these patriarchs were increasingly elaborated as time passed, but the details of most cannot be verified. [See the biography of Bodhidharma.] The first Chinese monk involved whose teachings have survived is Daoxin (580-651), who was later claimed to be the fourth patriarch. Daoxin specialized in meditation and monastic discipline, and studied for ten years with a disciple of the Tiantai founder, Zhiyi. He is also noted for his concern with image worship and reciting the Buddha's name to calm the mind.
One of Daoxin's disciples was Hongren (601-674), who also concentrated on meditation and on maintaining "awareness of the mind." His successor was Faru (d. 689), whose spiritual heir in turn was Shenxiu (d. 706), who had also studied with Hongren. Shenxiu was active in North China, where he was invited to court by the Empress Wu and became a famous teacher. In the earliest and most reliable sources Hongren, Faru, and Shenxiu are described as the fifth, sixth, and seventh Chan patriarchs, with Faru eventually omitted and replaced in sixth position by Shenxiu. However, in the early eighth century this succession, based in the capitals of Luoyang and Chang'an in the North (and hence retrospectively referred to as the "Northern school"), was challenged by a monk named Shenhui (670-762), who had studied for several years with a teacher named Huineng (638-713) in a monastery in Guangdong Province in the South. Shenhui labored for years to establish a new form of Chan, a "Southern school," centered on recognizing the Buddha nature within the self, and thus less concerned with worship, scripture study, and prescribed forms of meditation.
Shenhui's most lasting achievement was the elevation of his teacher Huineng to the status of "sixth patriarch," displacing Shenxiu. This achievement was textually established through the composition of a book entitled The Platform Sutra of the Sixth Patriarch (platform here means the high chair on which the abbot sits while giving Dharma talks) in about 820 by members of Shenhui's school. Portions of this book are very similar to the teachings of Shenhui, who did not cite any writings by Huineng although he was no doubt influenced by his study with him. In the Platform Sutra Huineng is portrayed as a brilliant young layman of rustic background who, despite the fact that he is only a kitchen helper in the monastery, confounds Shenxiu and is secretly given charge of the transmission by Hongren, the fifth patriarch. This book teaches instantaneous enlightenment through realization of inner potential, while criticizing gradualist approaches that rely on outer forms such as images and scriptures. As such it is an important source of the Chan individualism and iconoclasm well known (and often exaggerated) in the West. [See Chan and the biography of Huineng.]
Although Buddhism flourished at all levels of Chinese society in the Tang period, an undercurrent of resentment and hostility toward it by Confucians, Daoists, and the state always remained. Han Yu (768-824), one of China's great writers, campaigned against Buddhist influence and argued for a revival of the teachings of Confucius and Mencius. This hostility came to a head in the mid-ninth century, strongly reinforced by the fact that Buddhist monasteries had accumulated large amounts of precious metals and tax exempt land. From 843 to 845 Emperor Wuzong (r. 840-846), an ardent Daoist, issued decrees that led to the destruction of 4,600 monasteries and 40,000 temples and shrines, and the return of 260,500 monks and nuns to lay life. Although this suppression was ended in 846 by Wuzong's successor, monastic Buddhism never fully regained its momentum. Nonetheless, Buddhist ideas, values, and rituals continued to permeate Chinese society through the influence of the Chan and Pure Land schools, which survived the 845 persecution because of widespread support throughout the country.
Tang Daoism. Daoism continued to develop during the Tang period, in part because it received more support from some emperors than it had under the Sui. As noted earlier, Taizong claimed Laozi as a royal ancestor, and in 667 the Emperor Gaozong (r. 649-683) conferred on Laozi the title of emperor, thus confirming his status. Empress Wu, Gaozong's wife, swung the pendulum of support back to Buddhism, but Daoism was favored in later reigns as well and reached the high point of its political influence in the Tang with the suppression of Buddhism and other non-Chinese religions in the 840s.
The most important Daoist order during the Tang was that based on Maoshan in Jiangsu, where temples were built and reconstructed, disciples trained, and scriptures edited. Devotees on Maoshan studied Shangqing scriptures, meditated, practiced alchemy, and carried out complex rituals of purgation and cosmic renewal, calling down astral spirits and preparing for immortality among the stars. These activities were presided over by a hierarchical priesthood, led by fashi, "masters of doctrine," the most prominent of whom came to be considered patriarchs of the school.
Daoism in the Song and Yuan Periods. The old Tang aristocracy had begun to lose its power after the An Lushan rebellion in the eighth century. The turmoil of the ninth and tenth centuries sealed its fate and helped prepare the way for a more centralized state in the Song, administered by bureaucrats who were selected through civil service examinations. This in turn contributed to increased social mobility, which was also enhanced by economic growth and diversification, the spread of printing, and a larger number of schools. These factors, combined with innovations in literature, art, philosophy, religion, science, and technology have led historians to describe the Song period as the beginning of early modern China. It was in this period that the basic patterns of life and thought were established for the remainder of imperial history.
During the tenth through thirteenth centuries Daoism developed new schools and texts and became more closely allied with the state. The Song emperor Chenzong (r. 990-1023) bestowed gifts and titles on a number of prominent Daoists, including one named Zhang from the old Way of the Celestial Masters, based on Mount Longhu in Jiangxi Province. This led to the consolidation of the Zhengyi (Orthodox Unity) sect led by hereditary Celestial Masters. The other official Daoist ordination centers in this period were those at Maoshan and the Lingbao center in Jiangsu.
A century later, during the reign of Emperor Huizong (r. 1101-1126), the most famous imperial patron of Daoism, three new Daoist orders appeared, one with a popular base in southeastern Jiangxi, another a revival of Maoshan teachings, and the third the Shenxiao Fa (Rites of the Divine Empyrean), initiated by Lin Lingsu, who was active at court from 1116 to 1119. Lin's teachings were presented in a new, expanded edition of a fourth-century Lingbao text, the Durenjing (Scripture of Salvation). The scripture proclaimed that a new divine emperor would descend to rule in 1112, thus bestowing additional sacred status on Huizong. This liturgical text in sixty-one chapters promises salvation to all in the name of a supreme celestial realm, a theme welcome at a court beset with corruption within and foreign invaders without. The Jiangxi movement, called Tianxin (Heart of Heaven) after a star in Ursa Major, was most concerned with the ritual evocation of astral power to exorcise disease-causing demons, particularly those associated with mental illness. The first edition of its texts was also presented to Huizong in 1116.
In 1126 the Song capital Kaifeng was captured by the Jurchen, a people from northeastern Manchuria who, with other northern peoples, had long threatened the Song. As a result the Chinese court moved south across the Yangze River to establish a new capital in Hangzhou, thus initiating the Southern Song period (1127-1279). During this period China was once again divided north and south, with the Jurchen ruling the Jin kingdom (1115-1234). It was here in the north that three new Daoist sects appeared, the Taiyi (Grand Unity), the Dadao (Great Way), and the Quanzhen ( Complete Perfection). The Taiyi sect gained favor for a time at the Jin court because of its promise of divine healing. Dadao disciples worked in the fields, prayed for healing rather than using charms, and did not practice techniques of immortality. Both groups were led by a succession of patriarchs for about two hundred years, but failed to survive the end of the Yuan dynasty. Both included Confucian and Buddhist elements in a Daoist framework.
The Quanzhen sect was founded in similar circumstances by a scholar named Wang Zhe (1113-1170), but continues to exist. Wang claimed to have received revelations from two superhuman beings, whereupon he gathered disciples and founded five congregations in northern Shandong. After his death seven of his leading disciples continued to proclaim his teachings across North China. One of them was received at the Jin court in 1187, thus beginning a period of imperial support for the sect that continued into the time of Mongol rule, particularly after another of the founding disciples visited Chinggis Khan at his Central Asian court in 1222. [See the biography of Wang Zhe.]
In its early development the Daoist quest for personal immortality employed a combination of positive ritual techniques: visualization of astral gods and ingestion of their essence, internal circulation and refinement of qi, massage, ingesting elixirs of cinnabar, mica, or gold in suspension, all accompanied by taboos and ethical injunctions. During the Song and Yuan periods, the ingestion of elixirs, called waidan (external alchemy), was replaced by forms of meditation and visualization in which the bodily substances and meditative exercises were expressed in alchemical terms. This new form of practice, called neidan (internal alchemy), is well expressed in the writings of Zhang Boduan (983-1082). Under Confucian and Chan influence the Quanzhen school further "spiritualized" the terminology of these older practices, turning its physiological referents into abstract polarities within the mind, to be unified through meditation. Perhaps in part because of this withdrawal into the mind, Quanzhen was the first Daoist school to base itself in monasteries, although celibacy to maintain and purify one's powers had been practiced by some adepts earlier, and some Daoist monasteries had been established in the sixth century under pressure from the state and the Buddhist example.
The Quanzhen sect reached the height of its influence in the first decades of the thirteenth century, and for a time was favored over Chinese Buddhism by Mongol rulers. Buddhist leaders protested Daoist occupation of their monasteries and eventually regained official support after a series of debates between Daoists and Buddhists at court between 1255 and 1281. After Buddhists were judged the winners, Khubilai Khan ordered that the Daoist canon be burned and Daoist priests returned to lay life or converted to Buddhism. In the fourteenth century the Quanzhen sect merged with a similar tradition from South China, the Jindandao (Golden Elixir Way) also devoted to attaining immortality through cultivating powers or "elixirs" within the self. The name Quanzhen was retained for the monastic side of this combined tradition, whereas the Jindandao continued as a popular movement that has produced new scriptures and sects since at least the sixteenth century. The older Daoist schools continued to produce new bodies of texts from the eleventh century on, all claiming divine origin, and powers of healing, exorcism, and support for the state.
The Revival of Confucianism. Confucianism had remained a powerful tradition of morality, social custom, and hierarchical status since the fall of the Han, but after the third century it no longer generated fresh philosophical perspectives. There were a few Confucian philosophers such as Wang Tong (584?-617), Han Yu, and Li Ao (fl. 798), but from the fourth through the tenth century Buddhism and Daoism attracted a great many intellectuals; the best philosophical minds, in particular, were devoted to Buddhism. However, in the eleventh century there appeared a series of thinkers determined to revive Confucianism. In this task they were inevitably influenced by Buddhist theories of mind, enlightenment, and ethics; indeed, most of these men went through Buddhist and Daoist phases in their early years and were "converted" to Confucianism later. Nonetheless, at a conscious level they rejected Buddhist "emptiness," asceticism, and monastic life in favor of a positive metaphysics, ordered family life, and concern for social and governmental reform. With a few exceptions the leaders of this movement, known in the West as Neo-Confucianism, went through the civil service examination system and held civil or military offices.
Early Neo-Confucianism had both rationalistic and idealistic tendencies; the aim of both was to actualize the inherent Sagehood of every human being by realizing and acting upon the ultimate principle (li) of the natural/moral order. The more rationalist school believed that this order or principle was present in humans as their fundamental, metaphysical nature (xing), but that the physical nature of the mind (xin) obscured the metaphysical nature and hindered our awareness of it. This line of thinking was developed by Cheng Yi (1033-1107) and Zhu Xi (1130-1200) and became known as the Cheng-Zhu school. The idealistic approach, which later became known as the Lu-Wang school after Lu Jiuyuan (1139-1193) and Wang Yangming (1472-1529), said that the fundamental natural/moral order was fully present to awareness in the active, functioning mind, and so did not require intellectual learning to be known. Thus both schools focused on the mind; their differences concerned whether li was already present in the mind and needed only to be acted upon, or whether it first had to be intellectually induced through the rational investigation of human nature and the natural world. Interaction between these poles provided the impetus for new syntheses until the seventeenth century. But Zhu Xi's version - synthesizing the teachings of not only Cheng Yi but also his brother Cheng Hao (1032-1085), their former teacher Zhou Dunyi (1017-1073), their uncle Zhang Zai (1020-1077), and their friend Shao Yong (1011-1077) - was made the basis of the civil service examinations in 1313, and hence came to have a powerful influence throughout literate society that lasted until the examination system was abolished in 1905. [With the exception of Shao Yong, all of the thinkers mentioned above are the subject of independent entries.]
In the history of Chinese religions, the impact of Neo-Confucianism is evident at different levels. The intellectual and institutional success of this movement among the Chinese elite led many of them away from Buddhism and Daoism toward a reaffirmation of the values of family, clan, and state. While the elite were still involved in such popular traditions as annual festivals, geomancy, and funeral rituals, the rational and nontheistic orientation of Neo-Confucianism tended to inhibit their participation in ecstatic processions and shamanism. These tendencies meant that after the eleventh century sectarian and popular forms of religion were increasingly denied high level intellectual stimulation and articulation. Indeed, state support for a new Confucian orthodoxy gave fresh impetus to criticism or suppression of other traditions. Another long term impact of Neo-Confucianism was the Confucianization of popular values, supported by schools, examinations, distribution of tracts, and lectures in villages. This meant that from the Song dynasty on the operative ethical principles in society were a combination of Confucian virtues with Buddhist karma and compassion, a tendency that became more widespread as the centuries passed.
All of these developments were rooted in the religious dimensions of the Neo-Confucian tradition, which from the beginning was most concerned with the moral transformation of self and society. This transformation was to be carried out through intensive study and discussion, self-examination, and meditation, often in the social context of public and private schools and academies, where prayers and sacrificial offerings to former Confucian "sages and worthies" accompanied study and discussion. Through the process of self-cultivation one could become aware of the patterns of moral order within the mind and in the cosmos, an insight that itself became a means of clarifying and establishing this cosmic order within society. So Confucianism became a more active and self-conscious movement than it ever had been before. [See Confucian Thought, article on Neo-Confucianism.]
Song Buddhism. Song Buddhist activities were based on the twin foundations of Chan and Pure Land, with an increasing emphasis on the compatability of the two. Although the joint practice of meditation and invocation of the Buddha's name had been taught by Zhiyi and the Chan patriarch Daoxin in the sixth and seventh centuries, the first Chan master to openly advocate it after Chan was well established was Yanshou (904-975). This emphasis was continued in the Yuan (1271-1368) and Ming (1368-1644) dynasties, so that by the late traditional period meditation and recitation were commonly employed together in monasteries as two means to the same end of emptying the mind of self-centered thought.
During the Song dynasty Buddhism physically recovered from the suppression of the ninth century, with tens of thousands of monasteries, large amounts of land, and active support throughout society. By the tenth century the Chan school was divided into two main branches, both of which had first appeared earlier, the Linji (Jpn., Rinzai), emphasizing gongan practice and dramatic and unexpected breakthroughs to enlightenment in the midst of everyday activities, and the Caodong (Jpn., St), known for a more gradual approach through seated meditation, or zuochan (Jpn., zazen). [See the biography of Linji.] The most prominent Song representative of the Linji lineage was Dahui Zonggao (1089-1163), a popular preacher to laypeople as well as a meditation master. In the Caodong lineage the most prominent teacher was Hongzhi Zhengjue (1091-1157), who taught meditation as "silent illumination" (mozhao).
Although the Tang dynasty has traditionally been called the "Golden Age" of Chan Buddhism, it was actually during the Song that Chan became firmly established and developed the styles today associated with it. Notwithstanding its often colorful and iconoclastic teaching methods, Chan has always been characterized by disciplined communal living in monasteries, centered on group meditation but with a strong emphasis on traditional Buddhist ethics. The hallmarks of Chan monasticism have traditionally been ascribed to Baizhang Huaihai (749-814). These include the rejection of a central Buddha hall containing images in favor of a Dharma hall, where the abbot would lecture and conduct services; a Sangha or monks' hall with platforms along the sides for sleeping and meditation; private consultations with the abbot; and shared responsibility for manual labor, including agricultural work to reduce dependence on outside donations with the reciprocal obligations they involved. Evaluating this traditional view, historians have noted that the earliest extant text containing Baizhang's rules dates from the late tenth century, and the earliest extant detailed code of monastic conduct is dated 1103 or 1104; thus we have Song dynasty texts purporting to describe Tang dynasty monasteries. Research has also found that the allegedly unique features of Chan monasteries were also found in Tiantai monasteries, and that the claim of a distinct style dating back to the Tang, a style actually common to the majority of monasteries, served as support for the Song policy by which all publicly supported monasteries were designated as Chan and their abbacies restricted to monks in a Chan lineage. This policy took effect during the Northern Song. After Chan thus became the "established" sect, agricultural labor was reduced as Chan monasteries received donations of land and goods from wealthy patrons.
During the Song Chan produced new genres of Buddhist literature that eventually became more central to its teaching than the older Mahayana sutras. The "recorded sayings" (yulu) of patriarchs and abbots with their disciples were an adaptation of an older Chinese form whose most notable example was the Analects (Lunyu) of Confucius. From these were extracted shorter sayings and conversations demonstrating the struggle to attain enlightenment These records, codified as "public cases" (Chin., gongan; Jpn., kan), were meditated upon by novices as they sought to experience reality directly. And "Lamp Records" (denglu) were compilations of specific lineages of masters and disciples, demonstrating what Chan teachers called the "mind-to-mind transmission" that connected them with Sakyamuni Buddha. This doctrine also supported the Chan claim to represent a more authentic form of Buddhism than the other major Chinese schools (Tiantai, Huayan, and Pure Land), each of which focused on a particular sutra (the Lotus, the Avatamsaka or Huayan, and the three Pure Land sutras, respectively). Thus Chan Buddhism constructed what we might call a mythic history of itself that had important "political" ramifications.
One of the most important developments in Song Buddhism was the spread of lay societies devoted to good works and recitation of the Buddha's name. These groups, usually supported by monks and monasteries, ranged in membership from a few score to several thousand, including both men and women, gentry and commoners. In the twelfth century these societies, with their egalitarian outreach and congregational rituals, provided the immediate context for the rise of independent popular sects, which in turn spread throughout China in succeeding centuries. The Song associations were an organized and doctrinally aware means of spreading Buddhist ideas of salvation, paradise and purgatory, karma, and moral values to the population at large, and so contributed to the integration of Buddhism with Chinese culture.
Popular Religion. The other major tradition that took its early modern shape during the Song period was popular religion, the religion of the whole population other than orthodox Daoist priests, Buddhist monks, Confucian scholars, and state officials in their public roles (although elements of popular religion overlapped with these more specialized vocations). Zhou and Han sources note a variety of religious practices current throughout the population, including ancestor worship, sacrifices to spirits of sacred objects and places, belief in ghosts, exorcism, divination, and the activities of spirit mediums. Many of these practices began in prehistoric times and formed the sea out of which more structured and focused traditions gradually emerged, traditions such as the state cult, Confucian philosophy, and Daoist religion. Each of these emerging traditions was associated with social elites who had to define themselves as different from their peasant and artisan surroundings. In the process they often came to criticize or even suppress cults active among common folk devoted to local spirits and concerned primarily with efficacious response to immediate needs. Since the Chinese state had always claimed religious prerogatives, the most important factor was official authorization by some level of government. Unauthorized cults were considered "excessive," beyond what elite custom and propriety admitted. Nonetheless, such distinctions were of importance primarily to the more self-conscious supporters of literate alternatives; to their less theologically inclined peers, "popular religion" was a varied set of customs that reflected the way the world was.
Popular religious practices were diffused throughout the social system, based in family, clan, and village, at first devoted only to spirits with limited and local powers. By the Han dynasty personified deities of higher status appeared, along with organized sects such as the Way of the Celestial Masters, with ethical teachings and new myths of creation and world renewal, all reinforced by collective rituals. These developments were produced by literate commoners and minor officials at an intermediate level of education and status, and show remarkable resemblance to the first records of such middle-class thought in the writings of Mozi, six hundred years earlier. This level of Chinese religious consciousness was strongly reinforced by Mahayana bodhisattvas, images, offering rituals, myths of purgatory, and understandings of moral causation. By the fourth century, Daoist writers were developing elaborate mythologies of personified deities and immortals and their roles in a celestial hierarchy.
During the Song period all these various strands came together to reformulate popular religion as a tradition in its own right, defined by its location in the midst of ordinary social life, its pantheon of personified deities, views of afterlife, demonology, and characteristic specialists and rituals. Its values were still founded on pragmatic reciprocity, but some assurances about life after death were added to promises for aid now.
This popular tradition is based on the worship or propitiation of gods, ghosts, and ancestors. The boundaries between these categories are somewhat fluid. Under ideal circumstances when a person dies the hun, or yang soul, rises to heaven and becomes an ancesor (zu or zuxian) and the po or yin soul remains with the body in the earth - provided that the death was normal, the body was buried in a proper funeral, and subsequent memorial services or ancestral sacrifices were properly made by blood or ritually adopted descendants. If these conditions are not met, either the hun or the po (depending on local beliefs) can become a ghost (gui). Ghosts can be ritually adopted or -- in the case of unmarried women -- posthumously married, thereby becoming ancestors; they can even be enshrined and worshipped as minor gods. Although scholars differ on whether the propitiation of ancestors should be called worship or veneration (since they are not gods), the basic ritual actions performed for gods and ancestors (burning incense, praying, offering food or "spirit money") are virtually identical. The status of the particular recipient is indicated by certain variations, such as offering uncooked food for a god but cooked food for an ancestor; cooked food implies a meal being shared, and ordinary people do not presume to invite gods into their homes for meals. Phenomenologically, the difference between a god and an ancestor is that the former has more numinous power (ling), and can therefore exert influence on a wider circle of the living than his or her own family. [See Ancestors, article on Ancestor Cults.]
Beyond the household popular religion is practiced at shrines for local earth-gods and at village or city neighborhood temples. Temples are residences of the gods, where they are most easily available and ready to accept petitions and offerings of food and incense. Here too, the gods convey messages through simple means of divination, dreams, spirit mediums, and spirit writing. Great bronze incense burners in temple courtyards are the central points of ritual communication, and it is common for local households to fill their own incense burners with ashes from the temple. All families residing in the area of the village or the city neighborhood are considered members of the temple community.
Most of the deities characteristic of this tradition are human beings deified over time by increasing recognition of their efficacy and status. Having once been human they owe their positions to veneration by the living and hence are constrained by reciprocal relationships with their devotees. Many of the deities of popular religion are responsible for specific functions such as providing rain or healing diseases, while others are propitiated for a wide variety of reasons - sometimes simply for general good fortune, or to maintain a harmonious relationship with the unseen world. Under Daoist influence the pantheon came to be organized in a celestial hierarchy presided over by the Jade Emperor, a deity first officially recognized as such by the Song emperor Zhenzong in the beginning of the eleventh century. The Jade Emperor is called Yuhuang dadi (Jade Emperor Great Lord) or Yuhuang shangdi (Jade Emperor High Lord) -- the latter incorporating the name of the high god of the Shang dynasty. [See Yuhuang.]
Gods are symbols of order, and many of the gods of Daoism and popular religion are equipped with weapons and troops. Such force is necessary because beneath the gods is a vast array of demons, hostile influences that bring disorder, disease, suffering, and death. Although ultimately subject to divine command, and in some cases sent by the gods to punish sinners, these demons are most unruly, and often can be subdued only through repeated invocation and strenuous ritual action. It is in such ritual exorcism that the struggle between gods and demons is most starkly presented. Most demons, or gui, are ghosts, or the spirits of the restless dead who died unjustly, or whose bodies are not properly cared for; they cause disruption to draw attention to their plight. Other demons represent natural forces that can be perceived as hostile, such as mountains and wild animals. Much effort in popular religion is devoted to dealing with these harmful influences.
There are three different types of leadership in this popular tradition--hereditary, selected, and charismatic--although of course in any given situation these types can be mixed. Hereditary leaders include the fathers and mothers of families who carry out ancestor worship in the clan temple and household, and sect leaders who inherit their positions. Hereditary Daoist priests also perform rituals for the community. Village temples, on the other hand, tend to be led by a village elder selected by lot, on a rotating basis. Charismatic leaders include spirit mediums, spirit writers, magicians, and healers, all of whom are defined by the recognition of their ability to bring divine power and wisdom directly to bear on human problems.
Popular religion is also associated with a cycle of annual festivals, funeral rituals, and geomancy (feng-shui). Popular values are sanctioned by revelations from the gods and by belief in purgatory, where the soul goes after death, there to be punished for its sins according to the principle of karmic retribution. There are ten courts in purgatory, each presided over by a judge who fits the suffering to the crime. Passage through purgatory can be ameliorated through the transfer of spirit money by Buddhist or Daoist rituals. When its guilt has been purged, the soul advances to the tenth court, where the form of its next existence is decided. This mythology is a modification of Buddhist beliefs described in detail in texts first translated in the sixth century.
The Period of Mongol Rule. The Mongols under Chinggis Khan (1167-1227) captured the Jin capital of Yanjing (modern Beijing) in 1215 and established the Yuan dynasty (1271-1368). From China they ruled their vast domain, which extended all the way to central Europe. For the next several decades the "Middle Kingdom" was the eastern end of a world empire, open as never before to foreign influences. In the realm of religion these influences included the Nestorians, a few Franciscan missionaries in the early fourteenth century, the growth of the Jewish community in Kaifeng, and a large number of Tibetan Buddhist monks.
The first Mongol contact with Chinese Buddhism was with Chan monks, a few of whom attained influence at court. In the meantime, however, the Mongols were increasingly attracted by the exorcistic and healing rituals of Tantric Buddhism in Tibet, the borders of which they also controlled. In 1260 a Tibetan monk, 'Phags-pa (1235-1280), was named imperial preceptor, and soon after chief of Buddhist affairs. Tibetan monks were appointed as leaders of the samgha all over China, to some extent reviving the Tantric (Zhenyan) school that had flourished briefly in the Tang. [See Zhenyan.]
By the early fourteenth century another form of popular religion appeared, the voluntary association or sect that could be joined by individuals from different families and villages. These sects developed out of lay Buddhist societies in the twelfth century, but their structure owed much to late Han religious associations and their popular Daoist successors, Buddhist eschatological movements from the fifth century on, and Manichaeism. By the Yuan period the sects were characterized by predominantly lay membership and leadership, hierarachical organization, active proselytism, congregational rituals, possession of their own scriptures in the vernacular, and mutual economic support. Their best known antecedent was the White Lotus sect, an independent group founded by a monk named Mao Ziyuan (1086-1166). Mao combined simplified Tiantai teaching with Pure Land practice, invoking Amitabha's saving power with just five recitations of his name. After Mao's death the sect, led by laymen who married, spread across south and east China. In the process it incorporated charms and prognostication texts, and by the fourteenth century branches in Guangxi and Honan were strongly influenced by Daoist methods of cultivating the internal elixirs. This led to protests from more orthodox leaders of the Pure Land tradition, monks in the east who appealed to the throne that they not be proscribed along with the "heretics." This appeal succeeded, and the monastic branch went on to be considered part of the tradition of the Pure Land school, with Mao Ziyuan as a revered patriarch.
The more rustic side of the White Lotus tradition was prohibited three times in the Yuan, but flourished nonetheless, with its own communal organizations and scriptures and a growing emphasis on the presence within it of the future Buddha Maitreya. During the civil wars of the mid-fourteenth century this belief encouraged full-scale uprisings in the name of the new world Maitreya was expected to bring. The Ming founder Zhu Yuanzhang (1328-1398) had for a time been an officer in one of the White Lotus armies, but after his victory tried to suppress the sect. It continued to multiply nonetheless, under a variety of names.
The first extant sectarian scriptures, produced in the early sixteenth century, indicate that by that time there were two streams of mythology and belief, one more influenced by Daoism, the other by Buddhism. The Daoist stream incorporated much terminology from the Golden Elixir school (Jindandao), and was based on the myth of a saving mother goddess, the Eternal Venerable Mother, who is a modified form of the old Han-dynasty Queen Mother of the West, a figure mentioned in Quanzhen teachings as well. The Buddhist stream was initiated by a sectarian reformer named Luo Qing (1443-1527), whose teachings were based on the Chan theme of "attaining Buddhahood through seeing one's own nature." Luo criticized the White Lotus and Maitreya sects as being too concerned with outward ritual forms, but later writers in his school incorporated some themes from the Eternal Mother mythology, while other sectarian founders espousing this mythology imitated Luo Qing's example of writing vernacular scriptures to put forth their own views. These scriptures, together with their successors, the popular spirit-writing texts of the nineteenth and twentieth centuries, constitute a fourth major body of Chinese sacred texts, after those of the Confucians, Buddhists, and Daoists.
The number of popular religious sects increased rapidly during the sixteenth and seventeenth centuries, all part of the same general tradition but with different founders, lines of transmission, texts, and ritual variations. Such groups had been illegal since the Yuan and some resisted prosecution with armed force or attempted to establish their own safe areas. In a few cases sect leaders organized major attempts to overthrow the government and put their own emperor on the throne, to rule over a utopian world in which time and society would be renewed. However, for the most part the sects simply provided a congregational alternative to village popular religion, an alternative that offered mutual support and assurance and promised means of going directly to paradise at death without passing through purgatory.
Popular religious sects were active on the China mainland until the start of the Cultural Revolution in 1966, and they continue to multiply in Taiwan, where they can be legally registered as branches of Daoism. Since the late nineteenth century most sectarian scriptures have been composed by spirit writing, direct revelation from a variety of gods and culture heroes.
Ming and Qing Religion
Mongol rule began to deteriorate in the early fourteenth century, due to struggles between tribal factions at court, the decline of military power, and the devolution of central authority to local warlords, bandit groups, and sectarian movements. After twenty years of civil war Zhu Yuanzhang, from a poor peasant family, defeated all his rivals and reestablished a Chinese imperial house, the Ming dynasty (1368-1644). Zhu (Ming Taizu, r. 1368-1398) was an energetic ruler of strong personal religious beliefs who revised imperial rituals, promulgated strict laws against a variety of popular practices and sects, and recruited Daoist priests to direct court ceremonies. For him the mandate of Heaven was a living force that had established him in a long line of sacred emperors; his ancestors were deemed powerful intermediaries with Shangdi. He elaborated and reinforced the responsibility of government officials to offer regular sacrifices to deities of fertility, natural forces, and cities, and to the spirits of heroes and abandoned ghosts.
Ming Dynasty. Under the Ming, such factors as the diversification of the agricultural base and the monetization of the economy had an impact on religious life; there were more excess funds for building temples and printing scriptures, and more rich peasants, merchants, and artisans with energy to invest in popular religion, both village and sectarian. Sectarian scriptures appeared as part of the same movement that produced new vernacular literature of all types, morality books to inculcate Neo-Confucian values, and new forms and audiences for popular operas. More than ever before the late Ming was a time of economic and cultural initiatives from the population at large, as one might expect in a period of increasing competition for recources by small entrepreneurs. These tendencies continued to gain momentum in the Qing period.
Ming Buddhism showed the impact of these economic and cultural factors, particularly in eastern China where during the sixteenth century reforming monks such as Yunqi Zhuhong (1535-1615) organized lay societies, wrote morality books that quantified the merit points for good deeds, and affirmed Confucian values within a Buddhist framework. Zhuhong combined Pure Land and Chan practice and preached spiritual progress through sparing animals from slaughter and captivity. The integration of Buddhism into Chinese society was furthered as well by government approval of a class of teaching monks, ordained with official certificates, whose role was to perform rituals for the people. [See the biography of Zhuhong.]
Buddhism also had a synergetic relationship with the form of Neo-Confucianism dominant in the late Ming, Wang Yangming's "study of mind." On the one hand, Chan individualism and seeking enlightenment within influenced Wang and his disciples; on the other hand, official acceptance of Wang's school gave indirect support to the forms of Buddhism associated with it, such as the teachings of Zhuhong and Hanshan Deqing (1546-1623).
Daoism was supported by emperors throughout the Ming, with Daoist priests appointed as officials in charge of rituals and composing hymns and messages to the gods. The Quanzhen sect continued to do well, with its monastic base and emphasis on attaining immortality through "internal alchemy." Its meditation methods also influenced those of some of Wang Yangming's followers, such as Wang Ji (1497-1582). However, it was the Zhengyi sect led by hereditary Celestial Masters that had the most official support during the Ming and hence was able to consolidate its position as the standard of orthodox Daoism. Zhengyi influence is evident in scriptures composed during this period, many of which trace their lineage back to the first Celestial Master and bear imprimaturs from his successors. The forty-third-generation master was given charge of compiling a new Daoist canon in 1406, a task completed between 1444 and 1445. It is this edition that is still in use today.
By the seventeenth century, Confucian philosophy entered a more nationalistic and materialist phase, but the scholar-official class as a whole remained involved in a variety of private religious practices beyond their official ritual responsibilities. These included not only the study of Daoism and Buddhism but the use of spirit-writing séances and prayers to Wenchang, the god of scholars and literature, for help in passing examinations. Ming Taizu had proclaimed that each of the "three teachings" of Confucianism, Buddhism, and Daoism had an important role to play, which encouraged synthetic tendencies present since the beginnings of Buddhism in China. In the sixteenth century a Confucian scholar named Lin Zhaoen (1517-1598) from Fujian took these tendencies a step further by building a middle-class religious sect in which Confucian teachings were explicitly supported by those of Buddhism and Daoism. Lin was known as "Master of the Three Teachings," the patron saint of what became a popular movement with temples still extant in Singapore and Malaysia in the mid-twentieth century. This tendency to incorporate Confucianism into a sectarian religion was echoed by Zhang Jizong (d. 1866) who established a fortified community in Shandong, and by Kang Youwei (1858-1927) at the end of imperial history. Confucian oriented spirit-writing cults also flourished in the late nineteenth and early twentieth centuries, supported by middle level military and civil officials. These cults produced tracts and scriptures of their own. [See the biography of Kang Youwei.]
During the sixteenth century Christian missionaries tried for the third time to establish their faith in China, this time a more successful effort by Italian Jesuits. In 1583 two Italian Jesuits, Michael Ruggerius and Matteo Ricci, were allowed to stay in Zhaoqing in Guangdong Province. By their knowledge of science, mathematics, and geography they impressed some of the local scholars and officials; Ricci eventually became court astronomer in Beijing. He also made converts of several high officials, so that by 1605 there were 200 Chinese Christians. For the next several decades the Jesuit mission prospered, led by priests given responsibility for the sensitive task of establishing the imperial calendar. In 1663 the number of converts had grown to about one hundred thousand. The high point of this early Roman Catholic mission effort came during the reign of the Kangxi emperor (r. 1662-1722), who, while not a convert, had a lively curiosity about European knowledge. [See Jesuits and the biography of Ricci.]
Nonetheless, Chinese suspicions remained, and the mission was threatened from within by rivalries between orders and European nations. In particular, there was contention over Jesuit acceptance of the worship of ancestors and Confucius by Chinese Christian converts. In 1645 a Franciscan obtained a papal prohibition of such "accomodation," and this "rites controversy" intensified in the ensuing decades. The Inquisition forbade the Jesuit approach in 1704, but the Jesuits kept on resisting until papal bulls were issued against them in 1715 and 1742. Kangxi had sided with the Jesuits, but in the end their influence was weakened and their ministry made less adaptable to Chinese traditions. There were anti-Christian persecutions in several places throughout the mid-eighteenth century; however, some Christian communities remained, as did a few European astronomers at court. There were several more attempts at suppression in the early nineteenth century, with the result that by 1810 there were only thirty-one European missionaries left, with eighty Chinese priests, but church membership remained at about two hundred thousand.
The first Protestant missionary to reach China was Robert Morrison, sent by the London Missionary Society to Canton in 1807. He and another missionary made their first Chinese convert in 1814 and completed translating the Bible in 1819. From then on increasing numbers of Protestant missionaries arrived from other European countries and the United States. [See the biography of Morrison.]
Christian impact on the wider world of Chinese religions has traditionally been negligible, although there is some indication that scholars such as Fang Yizhi (1611-1671) were influenced by European learning and thus helped prepare the way for the practical emphases of Qing Confucianism. Zhuhong and Ricci had engaged in written debate over theories of God and rebirth, and even the Kangxi emperor was involved in such discussions later, but there was no acceptance of Christian ideas and practices by Chinese who did not convert. This is true at the popular level as well, where in some areas Chinese sectarians responded positively to both Roman Catholic and Protestant missionaries. Christians and the sectarians were often persecuted together, and shared concerns for congregational ritual, vernacular scriptures, and a compassionate creator deity. Yet nineteenth century sectarian texts betray few traces of Christian influence, and even when Jesus speaks in later spirit-writing books it is as a supporter of Chinese values.
Chinese Judaism thrived, at least in Kaifeng, through the Ming and part of the Qing dynasties. The Ming, in fact, has been called a "Golden Age"of Judaism in Kaifeng. Many members of the community achieved success in the civil service examinations and were appointed to relatively high government positions; good relations with Chinese officials helped the community to rebuild its synagogue after floods six times during the Ming.
In 1605, a Kaifeng Jew named Ai Tian was visiting the capital at Beijing and, having heard that there were Westerners there who worshipped one god but were not Muslims, paid Matteo Ricci a visit, thinking that these Westerners might be fellow Jews. After some awkward conversation, in which Ai thought Ricci was a Jew and Ricci thought Ai was a Christian, the truth emerged and the Chinese Jews came to the attention of the Western world for the first time. During the Rites Controversy the Jesuits consulted with the Kaifeng Jews on their practice of honoring ancestors in the synagogue, and used that as part of their argument for toleration of the custom.
There were unsuccessful missionary efforts to convert the Jews to Christianity, but the Jews suffered neither discrimination from Chinese society nor repression from the Chinese government, except for a few slightly restrictive decrees concerning kosher slaughter during the Yuan dynasty. Nonetheless, the high level of involvement of Kaifeng Jews in the civil service examination system, which required a heavy investment of time in the study of Chinese classics, history, and literature, resulted in fewer educated Jews studying Hebrew. This eventually contributed to their complete assimilation in Chinese society and the disappearance of Jewish practice in China. Another factor was the expulsion of the Christian missionaries after the Rites Controversy, as they had been the Chinese Jews' major link to the world outside China.
Qing Dynasty. The Manchus, a tribal confederation related to the Jurchen, had established their own state in the northeast in 1616 and named it Qing in 1636. As their power grew, they sporadically attacked North China and absorbed much Chinese political and cultural influence. In 1644 a Qing army was invited into China by the Ming court to save Beijing from Chinese rebels. The Manchus not only conquered Beijing but stayed to rule for the next 268 years. In public policy the Manchus were strong supporters of Confucianism, and relied heavily on the support of Chinese officials, but in their private lives the Qing rulers were devoted to Tibetan Buddhism. Most religious developments during the Qing were continuations of Ming traditions, with the exception of Protestant Christianity and the Taiping movement it helped stimulate.
Before their conquest of China the Manchus had learned of Tibetan Buddhism through the Mongols, and had a special sense of relationship to a bodhisattva much venerated in Tibet, Manjusri. [See Manjusri.] Nurhachi (1559-1626), the founder of the Manchu kingdom, was considered an incarnation of Manjusri. After 1644 the Manchus continued to patronize Tibetan Buddhism, which had been supported to some extent in the Ming as well, in part to stay in touch with the dominant religion of Tibet and the Mongols. In 1652 the Dalai Lama was invited to visit Beijing, and in the early eighteenth century his successors were put under a Qing protectorate. In 1780 the Panchen Lama paid a visit to the Qianlong emperor (r. 1736-1795) on his seventieth birthday at the imperial retreat of Rehe (formerly written Jehol, now called Chengde), northeast of Beijing. At Rehe the earlier Qing emperors had built a dozen Tibetan Buddhist temples (in addition to a Confucian temple and school), including a smaller replica of the Potala Palace in Lhasa.
Early Qing emperors were interested in Chan Buddhism as well. The Yongzheng emperor (r. 1723-1735) published a book on Chan in 1732 and ordered the reprinting of the Buddhist canon, a task completed in 1738. He also supported the printing of a Tibetan edition of the canon, and his successor, Qianlong, sponsored the translation of this voluminous body of texts into Manchu. The Pure Land tradition continued to be the form of Buddhism most supported by the people. The most active Daoist schools were the monastic Quanzhen and the Zhengyi, more concerned with public rituals of exorcism and renewal, carried on by a married priesthood. However, Daoism no longer received court support. Despite repeated cycles of rebellions and persecutions, popular sects continued to thrive, although after the Eight Trigrams uprising in 1813 repression was so severe that production of sectarian scripture texts declined in favor of oral transmission, a tendency operative among some earlier groups as well.
The most significant innovation in Qing religion was the teachings of the Taiping Tianguo (Celestial Kingdom of Great Peace), which combined motifs from Christianity, shamanism, and popular sectarian beliefs. The Taiping movement was begun by Hong Xiuquan (1814-1864), a would-be Confucian scholar who first was given Christian tracts in 1836. After failing civil service examinations several times, Hong claimed to have had a vision in which it was revealed that Hong was the younger brother of Jesus Christ, commissioned to be a new messiah. Hong proclaimed a new kingdom upon earth, to be characterized by theocratic rule, enforcement of the ten commandments, the brotherhood of all, equality of the sexes, and redistribution of land. Hong and other Taiping leaders were effective preachers who wrote books, edicts, and tracts proclaiming their teachings and regulations and providing prayers and hymns for congregational worship. They forbade ancestor veneration and the worship of Buddhas and Daoist and popular deities. Wherever the Taipings went they destroyed images and temples. They rejected geomancy and divination and established a new calendar free of the old festivals and concerns for inauspicious days.
In the late 1840s Hong Xiuquan organized a group called the God Worshipers Society with many poor and disaffected among its members. They moved to active military rebellion in 1851, with Hong taking the title "Celestial King" of the new utopian regime. Within two years they captured Nanjing. Here they established their capital and sent armies north and west, involving all of China in civil war as they went. Although the Qing government was slow to respond, in 1864 Nanjing was retaken by imperial forces and the remaining Taiping forces slaughtered or dispersed. For all of the power of this movement, Taiping teachings and practices had no positive effect on the history of Chinese religions after this time, while all the indigenous traditions resumed and rebuilt. [See Taiping.]
The Qing also witnessed the decline of Chinese Jewish religious life. By the mid-nineteenth century in Kaifeng there were no Jews left who could read Hebrew. Without a rabbi there was little reason to keep the Kaifeng synagogue in repair, so the community sold the property to the Canadian Anglican mission. Today on the site is a hospital, behind which is "South Teaching the Torah Lane" (Nan jiaojing hutong), formerly the heart of the Jewish quarter in Kaifeng. There are still two or three hundred Jews living in Kaifeng, and others spread throughout the country, but aside from the their ethnic self-identification they have little knowledge of or contact with Judaism. Since the 1980s there has been a revival of interest, both among the Chinese Jews themselves and in the academic world. Since the 1990s several institutional centers of Judaic studies have been established at major universities in China.
The End of Empire and Postimperial China
In the late nineteenth century some Chinese intellectuals began to incorporate into their thought new ideas from Western science, philosophy, and literature, but the trend in religion was toward reaffirmation of Chinese values. Even the reforming philosopher Kang Youwei tried to build a new cult of Confucius, while at the popular level spirit-writing sects proliferated. In 1899 a vast antiforeign movement began in North China, loosely called the Boxer Rebellion because of its martial arts practices. The ideology of this movement was based on popular religion and spirit mediumship, and many Boxer groups attacked Christian missions in the name of Chinese gods. This uprising was put down in 1900 by a combination of Chinese and foreign armies, after the latter had captured Beijing.
The Qing government attempted a number of belated reforms, but in 1911 it collapsed from internal decay, foreign pressure, and military uprisings. Some Chinese intellectuals, free to invest their energies in new ideas and political forms, avidly studied and translated Western writings, including those of Marxism. One result of this westernization and secularization was attacks on Confucianism and other Chinese traditions, a situation exacerbated by recurrent civil wars that led to the destruction or occupation of thousands of temples. However, these new ideas were most influential in the larger cities; the majority of Chinese continued popular religious practices as before. Many temples and monasteries survived, and there were attempts to revive Buddhist thought and monastic discipline, particularly by the monks Yinguang (1861-1940) and Taixu (1889-1947). [See the biography of Taixu.]
Since 1949 Chinese religions have increasingly prospered in Taiwan, particularly at the popular level, where the people have more surplus funds and freedom of belief than ever before. Many new temples have been built, sects established, and scriptures and periodicals published. The same can be said for Chinese popular religion in Hong Kong, Macao and Singapore. The Daoist priesthood is active in Taiwan, supported by the presence of hereditary Celestial Masters from the mainland who provide ordinations and legitimacy. There are also several large and prosperous Chan organizations with branches all over the world. Another rapidly growing Buddhist sect in Taiwan is the Buddhist Compassion Relief (Ciji) Foundation, founded by the nun, Cheng Yan, in 1966 to mobilize social work and education from a Mahayana Buddhist perspective.
The constitution of the People's Republic establishes the freedom both to support and oppose religion, although proselytization is illegal. In practice religious activities of all types declined drastically there after 1949, and virtually disappeared during the Cultural Revolution of 1966 to 1976. In official documents and state-controlled media religion was depicted along Marxist lines as "feudal superstition" that must be rejected by those seeking to build a new China. Nonetheless, many religious activities continued until the Cultural Revolution, even those of the long proscribed popular sects. The Cultural Revolution, encouraged by Mao Zedong and his teachings, was a massive attack on old traditions, including not only religion, but education, art, and established bureaucracies. In the process thousands of religious images were destroyed, temples and churches confiscated, leaders returned to lay life, and books burned. At the same time a new national cult arose, that of Chairman Mao and his thought, involving ecstatic processions, group recitation from Mao's writings, and a variety of quasi-religious ceremonials. These included confessions of sins against the revolution, vows of obedience before portraits of the Chairman, and meals of wild vegetables to recall the bitter days before liberation. Although the frenzy abated, the impetus of the Cultural Revolution continued until Mao's death in 1976, led by a small group, later called "the Gang of Four," centered around his wife, Jiang Qing (1914-1991).
This group was soon deposed, a move followed by liberalization of policy in several areas, including religion. Since 1980 many churches, monasteries, and mosques have reopened, and religious leaders reinstated, in part to establish better relationships with Buddhist, Christian, and Muslim communities in other countries. There has been an accelerating revival of popular religion as well, spurred in part by the return of market capitalism under Deng Xiaoping (1904-1997). This occurred primarily in the southeast at first; since the early 1990s Taiwanese have been allowed to travel to the mainland, and many have financially supported the reconstruction of local temples, especially in Fujian province, from which most mainland Taiwanese emigrated. But the revival of popular religion is occuring throughout China, most notably in rural areas.
The official line on religion has moderated, the government now acknowledging that some aspects of China's traditional culture are worth preserving; also that religion will eventually disappear on its own when the perfect socialist state is realized, so it is unnecessary to forcefully hasten the process. Along with the booming capitalist economy that developed in the 1990s and into the twenty-first century,"socialism with Chinese characteristics" - a popular slogan of the former leader, Deng Xiaoping (1905-1997) - allows the state to tolerate and support religion, within limits.
The religious revival includes many groups devoted to various forms of qigong, the "manipulation of qi," which has roots in Daoist self-cultivation. In 1999 the government began a severe crackdown on one such cult, Falun Dafa (Great Law of the Dharma Wheel), commonly referred to in the West as Falun Gong (Exercise of the Dharma Wheel), which more accurately denotes their Buddho-Daoist-inspired form of mental and physical cultivation. Founded in 1992 by Li Hongzi (b. 1951 or 1952), Falun Dafa attracted practitioners in the tens of millions in part because of its claims to improve health and lengthen life, in the context of the aging of the Chinese population and the collapse of state-supported cradle-to-grave health care. In April of 1999 the organization, largely through the medium of e-mail, secretly organized a silent demonstration by an estimated 10,000 practitioners outside the residence compound of China's top leaders in Beijing to protest what they said was a slanderous magazine article and the refusal of the authorities to let them register as a religious organization. The group's ability to mobilize such large numbers and the fact that Li Hongzhi lived in the United States apparently motivated the repression.
Other sensitive areas of religious life in China include illegal Christian "house churches," Buddhists in Tibet (an "autonomous province" of China), and Muslims in the far-western autonomous province of Xinjiang. The latter two cases are related to the government's fear of forces that could support independence movements. The Christian churches, given the long and problematic history of missionary activity and colonialism in China, are suspect for their potential ties to the West. Although Catholicism is one of the five officially-recognized religions (Buddhism, Daoism, Islam, Protestant Christianity and Catholic Christianity), the Roman Catholic Church is outlawed because of its allegiance to the Vatican; only the Chinese Patriotic Catholic Association is recognized. The other four religions likewise have government-supported associations as the means of government control. Popular religion and Confucianism, which in the West are both routinely classified as religious, are not officially designated as such in China; popular religion is considered "superstition," and Confucianism is considered an "ideology," although not necessarily (any longer) a "feudal" ideology. There is in fact renewed interest in Confucianism among intellectuals, many of whom sense a moral vacuum in China since Marxist/Maoist thought ceased to exert any influence outside government. A modernized, less patriarchal form of Confucianism, they believe, might provide a set of moral principles better suited to Chinese culture than one imported from the West. Although China was once thought by Westerners to be a "timeless" realm in which nothing changed, the story of religion in China, as far back as we can see, has been one of constant change.
[For further discussion of the various traditions treated in this article, see Buddhism, article on Buddhism in China; Buddhism, Schools of, article on Chinese Buddhism; Daoism; Confucian Thought; and Chinese Philosophy. For a discussion of the influence of the major monotheistic religions on Chinese religion, see Islam, article on Islam in China; Christianity, article on Christianity in Asia; and Judaism, article on Judaism in Asia and Sub-Saharan Africa. For the influence of Inner Asian civilizations on Chinese thought, see Inner Asian Religions, Mongol Religions, and Buddhism, article on Buddhism in Central Asia. See also Domestic Observances, article on Chinese Practices, and Chinese Religious Year.]
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i don't know
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A limited company (e.g., in the UK 'Ltd', US 'LLC', Germany 'GmbH') has limited what?
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Germany Company Formation
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Germany - Gesellschaft mit beschränkter Haftung (Gmbh)
Gesellschaft mit beschränkter Haftung translates to “company with limited liability” and, like limited companies in the UK, a GmbH is a legal entity that is separate and distinct from the individuals who run it. For sole traders and for people in partnerships, the individuals’ personal assets are at risk if there is a claim against the organisation but shareholders in a GmbH are liable to lose only the value of the share capital to which they subscribe.
Germany’s business sector is renowned for its technical, engineering and automotive industries and, with its, stable economy and well-developed financial and banking markets it remains an attractive jurisdiction for foreign investors to looking to incorporate in Europe.
Enquire about an Germany company formation
Company Name
A German GmbH name can be in any language and it will need to end with the suffix GmbH. Having submitted the name of your company to us, we obtain approval from the Handelsregister. We can then reserve and hold your proposed company name for up to ten days.
Registered Agent
It is a requirement that a German GmbH must have a registered agent and a registered address where all official correspondence will be sent. This is provided as part of our incorporation service.
Directors
A German company requires only one person to act as a director. This person may be of any nationality and may be a corporate entity. Director names are filed on the public register.
Shareholders
A German company requires only one person to act as a shareholder, shareholders may be of any nationality and corporate entities are allowed, there is a no upper limit to the number of shareholders. Shareholder names are filed on the public register.
Share Capital
The standard authorised share capital requirement for a GmbH is €25,000. With an ordinary GmbH, the minimum share capital is €25,000 and it must be divisible into shares with a minimum face value of €100. It is possible to form a mini GmbH (UG Company) which has a lower paid-up share capital. Please visit UG companies for more information.
When incorporating, a bank account must be opened immediately after signing the deed of incorporation with the notary, and the share capital must be deposited into that account. Also, a bank statement showing the amount of capital used for the company incorporation needs to be filed with the Court of Registration, along with the Company Statutes.
Filing Requirements
A GmbH is required to file an annual return and maintain a register of officers and accounts. In some instances an audit can be expected.
Timescale
It takes from one to two weeks to incorporate a new company from the date we receive your proofs of address and identity.
Fees
£3290
Proof of Identity
As part of our due diligence we require proof of identity in the form of a passport copy for all directors and shareholders of the company.
Travel
It is necessary to visit Germany to open a bank account and to deposit the paid up share capital.
Germany - Company Formations & Company Documents
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Liability
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Sinhalese (or Singhalese) is the language and people originating in north India now largely populating which country?
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Nevis LLC and Offshore Bank Account
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Nevis LLC
A Nevis LLC is a legal entity that has been established under the Nevis Limited Liability Company Ordinance. Nevis is an island located in the Caribbean Sea that comprises a portion of the Federation of Saint Kitts and Nevis. A limited liability company combines many of the lawsuit protection advantages of a corporation with the asset protection provisions of a limited partnership in a single legal tool. If you are looking for information, tips, and helpful hints about asset protection and you want a low cost method of protecting and sheltering money as well as gaining financial privacy, expert research and experience shows that a Nevis Limited Liability Company and offshore bank account may be a favorable solution.
Nevis was the first offshore tax haven to enact LLC statutes. The statues greatly enhance this protection with the outstanding privacy advantages.
NEVIS LLC OFFERS OUTSTANDING PRIVACY:
In a LLC statutes in Nevis the owners and managers are not registered anywhere, which provides for complete secrecy.
Nevis has strong privacy laws to prevent the registration, filing or disclosure of directors, shareholders of a Nevis Corporation or members or managers of a Nevis LLC. Therefore, there are not any initial or annual director filings in Nevis. Thus, the identity of the owners and managers are not attainable by any outside agency short of serious criminal activity such as drug-related issues and terrorism. Therefore Nevis limited liability companies offer greater privacy than those of any country in the world.
You may locate your company records in any location on the globe.
NEVIS LLC – OUTSTANDING ASSET PROTECTION BENEFITS:
A Nevis LLC allows you to shield your assets from lawsuits, agencies, and financial creditors.
Owners are shielded from legal liability.
Owners can manage the company without becoming liable for company financial obligations or legal liabilities.
One big benefit is that it has members rather than shareholders. Therefore, there are not any shares that can be seized by a court of law.
Moreover, members are not legally responsible for company obligations.
ADDITIONAL NEVIS LLC ADVANTAGES:
A manager can have 100% control of the company.
The manager of the LLC does not need to have any ownership and yet can control the entire company and all of its assets.
A creditor must post a $100,000 bond prior to filing legal documents to enforce a judgment against one’s interest in a Nevis LLC.
The statute of limitations for fraudulent transfer is only two years. So, when you transfer assets into a Nevis LLC, two years later the courts will decline to hear the case.
A creditor needs to show beyond a reasonable doubt that the member transferred assets to the company in order to delay creditors.
Asset protection preventing a creditor from seizing the company or the assets inside is available to single-member as well as multi-member LLCs.
Any charging orders against a member’s interest in the company fall away after three years and are not renewable.
The company can have as many members as one desires.
Any person or company can own the entity.
Nevis does not impose corporate tax, income tax, withholding tax, stamp tax, asset tax, exchange controls or other fees or taxes on assets or income originating outside of Nevis.
Members of LLCs may be individuals or business entities of any nationality or domicile.
Members may amend their Articles of Organization, merge, or consolidate with other domestic or foreign LLCs or other business entities.
Members of the offshore company may assign their interests to other parties unless restricted otherwise. Nevis permits single member LLCs.
Management of the companies may be by the members or by managers designated by the members.
There are no stock limitations and can issue preferred interests analogous to preferred stock of corporations.
It is an excellent vehicle if used by a group of investors for a joint venture investment. In this respect it functions as if it was a Limited Partnership, but with all the added liability protection features and advantages of a corporation.
– It can be set up within 24 hours and has low initial cost and low annual fees.
The beautiful Nevis Four Seasons Resort
LLC vs. Corporation:
The primary distinction between an LLC and a “normal” company such as a “C” corporation (USA) or a PLC (United Kingdom), is that the LLC is a tax-neutral vehicle because it is taxed as a partnership, rather than as a corporation. Thus, using an LLC can eliminate tax at the corporate level. In this regard, it is somewhat like a U.S. “S” corporation or a German GmbH but without all the restrictions and disadvantages. So if the LLC itself has no tax payment obligation – then who does? The obligation for any taxes that would otherwise be owed by the company bypasses the company itself and attaches directly to the members. Members are to LLCs what shareholders are to corporations. Other companies, as well as individuals and trusts, can be members of an LLC. There are no limits on the number of members or the classes of members that an LLC may have. The important issue is that each member is responsible for his, her or its own pro-rata share of any overall tax obligation, if any, and that the LLC itself has no tax obligations.
LLC as an alternative or in addition to a Trust
Because of the flexibility available in LLC management structuring and because of the favorable way in which the laws of Nevis are drafted, this type of entity can also be used as alternatives to or in addition to an asset protection trust . The manager of the LLC is somewhat akin to the trustee of a trust and the members are akin to the beneficiaries of a trust. OffshoreCorporation.com can act as a nominee manager of an LLC on behalf of a client who desires to take advantage of our corporate management services.
Substituting an LLC for a trust can change the reporting requirements of taxpayers in onshore jurisdictions. The income or capital gain of an LLC is not reportable as trust income or gain or as corporate income or gain but is treated as personal income (as in the US or UK) or gain or is non-taxable, depending upon the jurisdiction in which the owners reside.
Multi-National Joint Ventures:
LLCs are excellent vehicles for structuring joint venture arrangements between project participants from different countries. This is so because the venture can enjoy all of the benefits of incorporation, but each member is liable for his own taxation in his own country. Moreover, the membership flexibility allows different joint ventures to have different levels of ownership and reward based upon the value that each constituent member brings to the project.
Tax Free:
All Nevis LLCs are free from all forms of Nevisian taxation. There are no Nevisian taxes on dividends, income, capital distribution, or wages whatsoever. Moreover, unlike many onshore jurisdictions, Nevis does not tax an LLC for accumulated (but undistributed) earnings.
Privacy:
All of the affairs of the LLC are private and cannot be disclosed except under truly exceptional circumstances such as links to international terrorism. The only document that needs to be filed with the government is the annual corporate license and this contains minimal information. There is no annual report or annual financial return that needs to be made to the government. There is no public inspection of your LLCs’ records. Confidentiality is further enhanced if the LLC appoints our company as manager and we perform the minimal corporate duties required under Nevisian law.
Enhanced Confidentiality:
Nevisian LLC laws contain many requirements related to confidentiality including strict financial secrecy laws. Strict legal requirements, known as fiduciary duties, would also govern the behavior of Offshorecorporation.com as a manager of an LLC. These fiduciary duties are imposed on managers by both the equivalent of the LLCs bylaws and by the proper law of the LLC (usually the law of the country where the manager is located).
Many of these fiduciary requirements relate to secrecy and accounting obligations by which the manager must abide. Nevisian LLC law prevents your company formation specialist from discussing your business with anyone to which you have not instructed us to speak.
Others cannot force your company formation specialist to discuss your business with anyone unless they obtain a court order against you or your specialist or both ordering a disclosure to be made. But a court order from their respective jurisdiction is useless in Nevis. In accordance with strong Nevisian law, a judgement from outside of Nevis will not be recognized by Nevisian courts. This means an onshore judgement creditor who won a lawsuit against you or your LLC in, for example, the U.S., UK, Canada or Germany cannot take that foreign judgement and require a Nevisian court to enforce it.
In addition to not recognizing the judgements of other countries, Nevisian law and Nevisian courts do not favor the granting of court orders against LLCs except under truly exceptional circumstances. Nevisian law favors upholding the independence and application of its own law over the enforcement of foreign, onshore laws.
Offshore Bank Account:
Your offshore company should own your offshore a bank account . Offshorecorporation.com (a division of Companies Incorporated) has been in business since 1977 and has relationships with large, safe and convenient offshore banks.
You can access your money conveniently via offshore debit card, check and bank wire transfer. Offshorecorporation.com can also establish a bank account that gives you online access to your money 24 hours per day.
Rather than the usual $3,000 US to $5,000 US for an offshore company, a Nevis LLC is only $1495 US.
An offshore bank account is only $350 US.
The total for the Nevis LLC plus offshore bank account is only $1845 US.
We highly recommend the Nevis Office Program which gives you a Nevis office address with mail forwarding, a shared telephone number answered by a live receptionist, and a Nevis fax number. For extra legitimacy and privacy, you can place your Nevis Office Program address, telephone number and fax number on your website and on company letterhead. The Nevis office program can be added for only $995 US. View our Nevis Complete Management Package
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i don't know
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Abbrieviated to PIE, what is the ancient Eurasian reconstructed language and origin of wide-ranging modern languages including English, Spanish, Russian, Greek, Urdu and Farsi?
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/dz/, or that we must take Hittite spelling literally and read
as /tts/ and
as /ts/ is a matter of interpretation. I favour the latter view. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Thu Mar 4 20:03:07 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Thu, 4 Mar 1999 20:03:07 GMT Subject: IE, Genetic Data, Languages of Anatolia In-Reply-To: <[email protected]> Message-ID:
Due to the interruption of mailing list traffic and my impression that this message was addressed to me only, I answered privately to Wolfgang Schulze' message close to a month ago. Here is another response.
wrote: >Miguel Carrasquer Vidal schrieb: >> I tend think of North Caucasian (NEC/NWC) as the >> primary candidate for the original language of the steppe lands. >> The Northern Caucasus is a "residual zone", in Johanna Nichols' >> terminology. It contains the linguistic residue of the peoples >> that were once dominant in the neighbouring "spread zone" (the >> steppe). >Do you have any LINGUISTIC proof or at least some indications that would >justify such an assumption? My argument was not specifically linguistic, but historico-geographical. It is a matter of simple observation that the North Caucasian zone harbours the linguistic residues of what once were the predominant populations in the steppe zone to the north of it. The predominant language now is Slavic, but we find Mongolian (Kalmuck) and Turkic (Nogai, Balkar etc.) enclaves in the North Caucasus zone. Ossetic remains as the residue of the Scytho-Sarmatian predominance in the steppe zone before the coming of the Turks. The logical next step is to think that NWC and NEC are also North Caucasian remnants of populations that were once predominant in the steppe *before* the coming of Iranian and Indo-European. Especially so if one, like me, rejects the notion of a steppe homeland for PIE. Of course, if one accepts the steppe homeland hypothesis, the thought that NWC and NEC might also be "residual" pre-IE populations never crosses one's mind, which is why Johanna Nichols herself ("The Epicentre of the IE Linguistic Spread" [in: Blench/Spriggs, "Archaeology and Language", 1997]) uses NWC and NEC linguistic data (borrowings from ANE languages) as a *fixed* reference point to measure the distance of "mobile" PIE and PKartv from the Near East, as if it were a given that PWC and PEC had been in their present positions "forever". That being said, what LINGUISTIC evidence would we expect to find for a former presence of NEC and/or NWC in the Pontic-Caspian steppe? I don't think the "horse" word is relevant: horses were domesticated in the steppe by Indo-European speakers after the supposed replacement of PEC and PWC speakers by IE speakers. This replacement would have been one by (Sub-)Neolithic pastoralists/agriculturalists (IE) of prior Mesolithic (PWC/PEC) populations, which requires very little contact between the two groups (the Mesolithic population just gets instantly outnumbered), so I wouldn't expect PWC/PEC toponyms surviving or a significant amount of PWC/PEC borrowings into Eastern IE. The only linguistic arguments would be if NWC or NEC could be linked up to languages to the north and east of the Pontic-Caspian steppe. In that sense, Starostin's Sino-Caucasian interests me for the consequences it may have for the PIE homeland. I don't know enough about Caucasian and Sino-Tibetan linguistics to evaluate the proposals, even if I had seen all of them. However, my mind was somewhat prepared to consider Sino-Caucasian as a possibility because, before I had ever heard of Sino-Caucasian or Starostin, I had discovered for myself some interesting parallels between NWC, NEC and ST numerals. For instance: Tib Lak Lezg Ubyx Adyghe 1. g-cig ca sa za z@ 2. g-nis [k.i q.we tq.wa t.w@] 3. g-sum s^an [pu] ssa s^@ 4. b-zhi [muq. q.u] pL'@ pL'@ 5. l-nga [xxyu wa s^x'@ tf@] 6. d-rug ryax rugu [f@ x'@] 7. b-dun [arul iri bl@ bL@] 8. br-gyad myay mu"z^u" g'w@ y@ 9. d-gu urc^. k.u" bg'@ bg'w@ 10. b-cu ac. c.u z^w@ ps.'@ There may be something there. Not that this, if true, proves a genetic connection (numerals are easily borrowed), but it may at least suggest ancient contacts between the NC groups and (S)Tib, and the only logical place for this to have happened is the Central Asian steppe. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam [ Moderator's note: This is moving away from Indo-European; perhaps a shift to the Nostratic list is indicated for follow-ups other than to the IE portions above. --rma ] From JoatSimeon at aol.com Thu Mar 4 20:16:04 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Thu, 4 Mar 1999 15:16:04 EST Subject: IE and Substrates Message-ID:
I think we should keep in mind that the European linguistic situation in historical times is probably much simpler than it was in the Mesolithic or early Neolithic. Reasoning by analogy from the situation in New Guinea or eastern pre-Columbian North America, there were probably _many_ more languages and language-families in Europe before the Indo-European expansion. Not just one or a few non-IE families which were then replaced by Indo-European. The IE expansion would then represent a massive linguistic simplification, a "reformatting" of a previously crowded scene. From petegray at btinternet.com Thu Mar 4 20:11:20 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Thu, 4 Mar 1999 20:11:20 -0000 Subject: Update on *nekw and the N-word Message-ID:
Glen Gordon said: >IE *nek-/*nok- "to bear, to carry, to convey" > (I've never seen this root. Does anyone know? Try: Avestan fra-nas- = to bring; (nas = to reach) Vedic naSa:mi = to reach Greek e:negkon, ene:nokha, etc all < e-nek- (aorist and perfect forms of) to carry Old Norse nest = provisions for a journey OCS nesti etc to carry, bear, bring Lithuanian neSu etc. Latvian nesu etc. I don't have a Pokorny, but I suspect this is one of the cognates not to be found in him. Peter From petegray at btinternet.com Thu Mar 4 20:23:12 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Thu, 4 Mar 1999 20:23:12 -0000 Subject: Greek question & the pre-history of *nekwt Message-ID:
> BTW: is Hittite
/dz, z^/, /ts,c/ or /z/? No doubt someone will prove me wrong, but I believe Hittite was deciphered at first by German speakers - so z was used as in German, which is a great pain. It = /ts/. Peter From mcv at wxs.nl Thu Mar 4 20:25:24 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Thu, 4 Mar 1999 20:25:24 GMT Subject: Ix-nay on the ostratic-nay In-Reply-To:
Message-ID:
iffr762 at utxvms.cc.utexas.edu wrote: > With regard to reconstructing 1sg pronouns, there is (or so I seem >to recall) a cross-linguistic tendency for these to be formed with /m-/, >probably from a weaker variant of what might be called the "mama >syndrome": sounds that babies tend to make early tend to be pressed into >service as words that mamas and babies might use to relate to each other, >like "mama" and "me". I don't think so. > So seeing a 1sg in /m-/ does not necessarily mean much. This is true (although seeing 1sg in /m-/ AND 2sg. in /t-/, or 1sg. in /n-/ AND 2sg. in /k-/ may definitely mean more). There is, I think, a cross-linguistic tendency for (personal) pronouns to be short forms. For instance, in PIE they show a pattern CV where verbal and nominal roots have at least CVC. The same thing is true for many other language families, although I have not made a study of this. In that sense, seeing a 1sg. form apparently based on *mV- doesn't mean much in itself, especially given the fact that /m/ is a phoneme that is present and common in the overwhelming majority of the world's languages. I also haven't made a study of phoneme frequencies the world over, but my impression is that the general monosyllabicity of pronominal stems and the relatively high frequency of the phoneme /m/, plus "number of pronominal stems to be distinguished" versus "number of phonemes in the language" are sufficient to explain the number of languages that have 1p.sg. *mV- (which really isn't *that* large, I'd say 10-20%). No need for a "mama-effect". ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From w.behr at em.uni-frankfurt.de Thu Mar 4 21:02:45 1999 From: w.behr at em.uni-frankfurt.de (WB (in Frankfurt today)) Date: Thu, 4 Mar 1999 22:02:45 +0100 Subject: IE, Genetic Data, Languages of Anatolia Message-ID:
At 13:30 25.02.99 -0500, Alexis wrote: AMR| I have yet to AMR| see any real debate of the SC hypothesis. If there is any AMR| competent comment on this hypothesis, pro or con, I would AMR| appreciate references. Well, take a look at Alexander Vovin's excellent review article on WSY Wang ed. (1995), _The ancestry of the Chinese language_ (_Journal of CHinese Linguistics 25[1997]2: 308-336) for starts. Sasha demon- strates that Starostin's SC reconstruction rests on multiple correspon- dances not showing any trace of phonological conditioning (ST *-t, for instance, has no less than 17 PNC correspondances!), that "there is anything but regularity", that SC "with its 150 or 180 consonants does not even remotely resemble a human language", and that Starostin introduces rather dubious rules of root reduction (a la Paul King Benedict), which are even contradicted by his own etymologies. Vovin concludes (fair enough, I must say!), "In my opinion, the Sino-Cua- casian theory in the shape as it is presented is better placed on the back burner, until more regular and phonologically motivated corres- pondances can be offered." If I remember things correctly, there will be a workshop on SC in Cambridge (at the McDonald Institute of Archeo- logy) sometime this year, so maybe we will see a convincing defense of Starostin before long ??? Cheers, Wolfgang ps, re: AMR| I don't know what Miguel views of Sino-Caucasian are, but I AMR| do know that these kinds of speculations are precisely grist AMR| to the mill of those, like Wolfgang, who are perhaps all AMR| too eager to dismiss the SC theory w/o a proper evaluation. Oh well... for Wolfgang Schulze's _very proper_ evaluation of the C-part of SC, cf. his review of Starostin & Nikolayev in _Diachronica_ 1997.1: 149-161. From glengordon01 at hotmail.com Thu Mar 4 21:41:20 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Thu, 4 Mar 1999 13:41:20 PST Subject: IE and Etruscan Message-ID:
>>>Etruscan is non-Indo-European. Hell, we can't even read it! >>Oh, but we can! There is general agreement on the values of the >>letters and a large proportion of the inscriptions can be >>translated without much difficulty. >There are also words in Latin said to be of Etruscan origin [e.g. >satelles, persona, etc.] as well non-IE substrate common to Latin & >Greek that may from Etruscan and/or a congener [I think form-/morph- >are among them] While there are things like
"grandson" which look much like loans from Latin, when you find enormous coincidences that couldn't possibly have been borrowed into Etruscan from Latin or Greek such as
"in front of" with the initial laryngeal or
"build, found", you really have to start wondering about a genetic relationship of some kind with IE, especially when there is a pattern of unique sound correspondances to boot. Even Anatolian borrowings don't cut it because of those pesky grammatical elements that won't go away. So amidst all this data I would personally say that anyone that doesn't agree that IE and Etruscan are genetically related by now are the ones that are truly gaga. So get ye to a library! :) -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From X99Lynx at aol.com Fri Mar 5 05:19:57 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Fri, 5 Mar 1999 00:19:57 EST Subject: *p>f Revisited - When was German invented? Message-ID:
In a message dated 1/26/99 8:32:31 AM, Miguel Carrasquer Vidal wrote: <
> Returning my question about Why *p>f?: The answer most commonly given related either to social causes or in a certain case to some tendency towards aspiration. There is another explanation however. It suggests that Germanic seems "archaic" not because it split-off early as Miquel suggests above, but because it emerged very late. And it explains p>f not as a "sound shift," but as a fundamental part of the conversion from a non-IE to an IE language by German speakers. John Hawkins in Bernard Comrie's The World's Major Languages (1987) (p.70-71) puts the general case for this, using a migration theory: "At least two facts suggest that the pre-Germanic speakers migrated to their southern Scandanavian location sometime before 1000BC and that they encountered a non-IE speaking people from whom linguistic features were borrowed that were to have a substantial impact on the developement of Proto-Germanic." Hawkins goes on to mention the 30% non-IE vocabulary that is being documented on this list. He also goes to another piece of evidence: "...the consonantal changes of the First Sound Shift are unparalleled in their extent elsewhere in Indo-European and suggest that speakers of a fricative-rich language with no voiced stops made systematic conversions of Indo-European sounds into their own nearest equivalents..." Both Hawkins and Comrie assumed, of course, that there was a migration - which we now have strong reason to believe did not occur, given both Cavalli-Sforza's evidence and the recent mDNA findings that show even less evidence of any meaningful migration. And - and this is key - if there was no migration, then the change that Hawkins speaks about - conversion of IE sounds to a fricative-rich language with no voiced stops - MUST HAVE HAPPENED right from the beginning of German. It makes no sense to think that Germanic speakers first adopted proper IE sounds and then returned to their former non-IE accents. This means the First Germanic Sound Shift ACTUALLY reflects the presrvation of prior non-IE sounds during conversion to an IE language. AND it would mean that the First Sound Shift must have happened at the time the IE language was first introduced. In other words, there was no Germanic *p> Germanic f. There was no proto-Germanic *pemke (five). Because the non-IE speakers had no reason to drop the /f/ in adopting the IE word and then go back later and sound shift back to it. And, BTW, this explanation of how the First "Sound Shift" happened is far more reasonable than postulating a massive arbitrary later adoption of those sound changes. Or an unexplainable impulse to fricatives, etc. Germanic as IE "with an accent" explains the "shift" with a consistent underlying reason (a partial conversion from non-IE) that works across the board for all former speakers of that earlier language rather than being a later "trend" that coincidentally got picked up by all Germanic speakers but somehow was rejected by all non-Germanic speakers. That kind of subtle consensus is improbable. (Because he is postulating a mass migration, Hawkins uses the words "systematic conversion" to IE, which seems to postulate some Proto-Germanic Academy of Language. An non-IE accent is much more plausible for the universality of the sound change in German-speakers and total non-adoption by any others IE speaking group.) If the First "Sound Shift" actually marks the conversion of a non-IE language into IE Germanic, then it was only completed around 500BC (according to Hawkins and Comrie.) And this would have many implications for our understanding of the history and spread of IE languages. For one thing it would not make sense to talk about "proto-Germanic" branching off a "proto-IndoEuropean" core. There would have been no PIE at this point in time. Germanic would have had to have been acquired from a SPECIFIC existing IE language or languages. (I even think I have a candidate for that language and somewhat documented historical circumstances.) And there is nothing inconsistent with this archaeologically. I don't think I need to repeat the often repeated dictum that we have no reason to think Corded Ware/Battle Axe cultural evidence tells us in any way what language was spoken by those who left it behind. Or that any change in language from non-IE to IE would be marked by any noticeable change in that material evidence, since it was preliterate. Finally, as a reality check, it should be remembered that we have no solid evidence of Germanic before 300ace. If IEGermanic was finally formed some short time before 500bce, then that would mean 800 years passed before the Gothic Bible was written down. 800 years was sufficient for Gallic to be replaced entirely by the new language of French. Yet less remains of Gallic among the contiguous population of France then remains of non-IE among the Germans. There is really no need and no evidence that would necessarily extend the emergence of an IE proto-Germanic much before 500bce. Respectfully, Steve Long [ Moderator's comment: And what of the very similar, though completely separate, Armenian shift? --rma ] From maxw at cogs.susx.ac.uk Fri Mar 5 11:29:34 1999 From: maxw at cogs.susx.ac.uk (Max W Wheeler) Date: Fri, 5 Mar 1999 11:29:34 +0000 Subject: rate of change In-Reply-To:
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On Wed, 24 Feb 1999, Rick Mc Callister wrote: > But before 1500, Spanish & Portuguese were farther apart than they are now. > Rick Mc Callister Oh yeah? Who says? It wouldn't take long to list some significant changes in Spanish since 1500 which have moved it away from Portuguese. But it won't be worth it without a good reason to believe the claim made above. Max ___________________________________________________________________________ Max W. Wheeler
School of Cognitive and Computing Sciences University of Sussex, Falmer, Brighton BN1 9QH, UK Tel: +44 (0)1273 678975; fax: +44 (0)1273 671320 ___________________________________________________________________________ From maxw at cogs.susx.ac.uk Fri Mar 5 14:18:29 1999 From: maxw at cogs.susx.ac.uk (Max W Wheeler) Date: Fri, 5 Mar 1999 14:18:29 +0000 Subject: non-IE/Germanic In-Reply-To:
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Many thanks to Rick McCallister for these interesting lists (only recently received, since forwarded by our moderator from Nostratic, which I'm not on. One thing is not clear to me. What is the significance of the presence in the list of Romance borrowings from Germanic (?all from Vennemann 1984)? Is it because the etyma are not themselves attested in Germanic? This might be the case for Fr heraut (> Eng herald) < Frk *herialt, or Fr honte < Frk *haunitha. In which case, is it being suggested that these words don't have plausible etymologies within Germanic, or IE cognates? [according to Onions, ODEE, herald is orig from Gc *xariwald- < *xarjaz `army' + *wald- `rule'.] But this wouldn't seem to apply to the entries like It. guatare, in connection with which Meyer-Lübke, Romanisches etymologisches Wörterbuch, cites Frk wahta (REW 9477c) and Langobardic wahtari (REW 9478), without asterisks. [And Onions, ODEE gives OHG wahten, s.v. wait.] (And as Germanic words, the entries with Romance guV- belong under w-, and the French with e'c(h)- belong under sk-.) Max ___________________________________________________________________________ Max W. Wheeler
School of Cognitive and Computing Sciences University of Sussex, Falmer, Brighton BN1 9QH, UK Tel: +44 (0)1273 678975; fax: +44 (0)1273 671320 ___________________________________________________________________________ From ERobert52 at aol.com Fri Mar 5 16:43:16 1999 From: ERobert52 at aol.com (ERobert52 at aol.com) Date: Fri, 5 Mar 1999 11:43:16 EST Subject: IE and Etruscan Message-ID:
jpmaher at neiu.edu wrote: > Vladimir Georgiev [Sofia] held that Etruscan was early IE and > related to Hittite. > ... > nobody contested his data nor his thesis. > ERobert52 at aol.com wrote: >> No sensible person thinks Etruscan is IE, and most people who say >> it is are pretty wacky, A comparison of Etruscan with Hittite and the other Anatolian languages shows some similar features such as noun declension endings and the role of clitics, indeed some of the clitics are the same. Some possible cognate lexical items have also been pointed to. These are either due to chance, Sprachbund, borrowing, a substrate, or a genetic relationship. However, all other things being equal, the common ancestor of such a genetic relationship would need to be at a date prior to the break-up between Proto-Anatolian and the rest of IE because Etruscan is less similar to the rest of IE than the Anatolian languages are. What is clear is that Etruscan cannot constitute a branch of IE on a par with, say, Celtic or Albanian, let alone be a member of such a branch, despite repeated efforts to prove the contrary over the years by e.g. Mayani, Gruamach etc. by attempting to look up Etruscan words in a modern dictionary for the relevant language group that they want to claim a relationship with. Sometimes similar suggestions even involve throwing in some inscriptions that are actually Umbrian or Venetic and lo and behold, Etruscan is suddenly IE. I would describe these approaches as not sensible. I discovered another website today where somebody's "research" had led them to the conclusion that Etruscan was actually Ukrainian (not even Proto-Slav, nor OCS, but Ukrainian). This I call wacky. This should be contrasted with points of view such as the idea that Etruscan forms part of a longer range construct including but prior to IE (Kretschmer), or has some sort of affinity with certain Anatolian languages (Stoltenberg), which are points of view that deserve to be treated seriously, although their linguistic evidence is, understandably, a bit slim. I believe Georgiev was saying something perfectly reasonable similar to this. On a related matter, there is obviously some sort of connection between Etruscan and western Anatolia given the historical references from several sources linking the Etruscans to Lydia. Frank Rossi speculated recently (on historical grounds) that there might be an Etruscan substrate in Lydian. However as far as I can see there is no more linguistic evidence that would link Etruscan with Lydian than would link Etruscan with Hittite. Or am I missing something? Ed. Robertson From petegray at btinternet.com Mon Mar 8 18:07:11 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Mon, 8 Mar 1999 10:07:11 -0800 Subject: Salmon. Message-ID:
>salmon in the Danube. Salmon trout are found in the Danube according to Mallory - but not the other kind of salmon. Peter From xdelamarre at siol.net Sat Mar 6 00:31:27 1999 From: xdelamarre at siol.net (Xavier Delamarre) Date: Sat, 6 Mar 1999 01:31:27 +0100 Subject: Non IE words in early Celtic Message-ID:
Reply to Rick Mc Callister : 1/ *abol- (*a:b- with Lex Winter) "apple" : Italic, Celtic, Germanic, Balto-Slavic, possibly Thracian or Dacian (the gloss dinupula < *k'un-a:bo:la:). Enough to have IE status. Considered as non-IE because of -b-, itself considered as non-IE, circular. 2/ *aliso "alder": add Slavic jelicha, Russ. _ol'cha_, lithuanian _alksnis_, Latin _alnus_ (*alisnos). Enough to have IE status. 3/ Gaulish _bra:ca_ : latin _suffra:go:_ "jarret" (<*bhra:g- "cul"), cf after Schrader, O. Szemenenyi (An den Quellen des lateinischen Wortschatzes, 117-18). 4/ Gaulish _bri:ua_ "bridge" (cf place names Caro-briua, Briuo-duron etc.), germanic *bro:wo: & *bruwwi: (> bridge etc.), OCS _bruvuno_ "poutre, rondin", Serbian _brv_ "passerelle" (prob. the original meaning). 5/ Germanic _bukkaz_, clearly an expressive gemination of *bhug'o- (Avestic _buza_) etc. 6/ Gaulish _dunum_ "enclosed place", Germanic *tu:na- (> town, Zaun etc.) ; C. Watkins, Select. Writ. 2, 751-53, has related Hittite _tuhhusta_ "finish, come to an end, come full circle" (cf Latin _fu:-nes-_ < *dhu:-). A possibility : I am a bit suspicious because it is a root-etymology. 7/ *gwet- "resin" : not only Celtic-Germanic, (Latin _bitu-men_, may come also from Osco-Umbrian), but O.Ind. _jatu-_ "Lack, Gummi", Mayrhofer EWAia 1, 565. 8/ Gaulish (& Celtic) _i:sarno_ "iron" : explained convincingly by W. Cowgill as the regular reflex of IE _*e:sr-no-_ "the bloody (red) metal" (Idg Gramm. 1,1). 9/ Gaulish canto- "edge, circle" : explained by O. Szemerenyi, Scrip. Min. 4, 2036-38, as _*kmto-_ from a root _*kem-_ 'cover'. A possibility. 10/ "lake" : add Greek _lakkos_ <*_lakwos_ "cisterna", OCS _loky_ "id." ; for the alternance a / o (as for the word 'sea' *mori/*mari), JE Rasmussen, Studien zur Morphophonemik der idg Spr. 239-40, has proposed an explanation. I hope to be able to present a more detailed account of these etymologies in my "Dictionnaire de la langue gauloise", to appear in the coming years. I do not believe very much in "Nordwestblock" theories (Hamp, Huld, recently Beekes, who does not think that *ab- "water" and *teuta: "people" are IE), taken from Meillet's "vocabulaire du nord-ouest" (by the way) : you can prove the antiquity of a designation (by a set of correspondences), but not draw conclusions in reason of its absence (argumentum e silentio) in a given dialect. The old problem of dialectology. A good example has been given recently : a lot of speculation, with sociological consequences, had been produced from the fact the Celtic had no representant of the canonic IE words for son & daughter (*su:nus, *dhugHte:r). The later word is now attested in the Plomb du Larzac as _duxtir_ ; by pure chance. the same is true of _lubi_ "love" (no trace of this IE root in insular Celtic) or _deuoxtonion_ gen. plur. "of Gods & Men" (no trace of dvandva compositum in ins. C.). etc. Xavier Delamarre Ljubljana From mcv at wxs.nl Sat Mar 6 03:29:58 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sat, 6 Mar 1999 03:29:58 GMT Subject: Anatolians In-Reply-To:
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Rick Mc Callister
wrote: >Would your outline would be something like this? >Outliers are marked with * >I.IE to c. 5500 BCE >A. *Anatolian c. 5500 BCE >B. Non-Anatolian IE 5500 BCE > 1. *Tocharian c. 5000 BCE > 2. Eastern [Steppe] IE c. 5000/4500 BCE > a. Indo-Iranian 3200 BC > b. Greco-Armenian [Thracian?] 3200 BC > i. Hellenic > ii. *Armenian > iii. Thracian-Phrygian Too little is known about Thracian and Phrygian to call them. I've also grown rather dubious about Greco-Armenian. The similarities between Greek and Armenian (mainly in vocabulary) must be secondary, resulting from interaction in the Balkans, but Armenian must've split off from the main body of IE containing Greek earlier. > 3. Central/Western [LBK] IE c. 5000/4500 BCE > a. Germano-Balto-Slavic 4500-4000? BCE > i. Balto-Slavic 4000 BCE [GBS Sprachbund 3K-1K BCE] > ii. *Germanic 4000 BCE [GBS Sprachbund 3K-1K BCE] Same doubts about GBS as about Armeno-Greek. Secondary interactions. > b. Celto-Italic-Venetic-etc. [Illyrian?] 4500-2000 BCE? > i. Celtic 2000 BCE > ii. Italic 2000 BCE > iii. Venetic 2000 BCE > iv. ?Illyrian? 2000 BCE? > v. Lusitanian? 2000 BCE? Nothing is known about Illyrian, little about Venetic or Lusitanian. > And there the question of what Albanian is/was. > Is it the remains of whatever Balkan IE language was there before >Greco-Armenian? My feeling is that it's somewhat intermediate between Greek and Balto-Slavic, maybe leaning more towards the BS side. Although it also has some things in common with Italo-Celtic in the verbal system. It seems much more logical that it would be descended from Illyrian rather than from Thracian (much more Latin than Greek borrowings), and I can say that with impunity, as *nothing* is known about Illyrian (not even if it was a single language group). The diagram as I posted it some time ago: Stage 1. Anatolian splits off (actually, PIE (LBK) splits off: 5500). Anatolian <-- PIE Stage 2. Tocharian splits off (c. 5000 ?). Anatolian ; PIE --> Tocharian Stage 3. Germanic and Armenian split off (4000?). Anatolian ; Germanic <-- PIE --> Armenian ; Tocharian Stage 4/5. Final break-up of PIE (3500). Anatolian; Germanic ; Italo-Celtic <-- Greek-Indo-Iranian --> Balto-Slavic , Albanian ; Armenian ; Tocharian So the original tree would be: PIE / \ Anatolian /\ / \ /\ Tocharian / \ /\ /\ / | | \ Germanic | | Armenian | |\ Italo-Celtic | \ / \ Albanian / \ /\ Balto-Slavic / \ Greek Indo-Iranian After that, the situation was slightly complicated by secondary interactions between Germanic and Balto-Slavic, and Greek/Albanian/Armenian. Stage 6. Balkan and Baltic interaction spheres (3000-2500). Anatolian [Greece/Anatolia]; Greek/Albanian/Armenian [Balkan]; Italo-Celtic [Bell Beaker]; Germanic/Balto-Slavic [Corded Ware]; Indo-Iranian [(pre-)Andronovo]; Tocharian [Yenisei/Sinkiang] Stage 7. Further interactions (2000-1000). Anatolian/Armenian [Anatolia]; Greek/Albanian/Italic [Mediterranean]; Celtic/Germanic [NW Europe]; Balto-Slavic/Iranian [E Europe/C Asia/Iran]; Indic [India]; Tocharian[/Iranian] [Sinkiang] ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Sat Mar 6 03:50:55 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sat, 6 Mar 1999 03:50:55 GMT Subject: /Anatolian /-nt-/ and Greek /-nth-/ In-Reply-To:
Message-ID:
iffr762 at utxvms.cc.utexas.edu wrote: > Perhaps I am missing something here, but why should Anatolian >place-names with /-nt-/ (or for that matter /-nd-/) be borowed into Greek >with /-nth-/? Probably because Anatolian t was aspirated, or sounded aspirated to the Greeks. >I suppose we could say that the form was originally >/-ndh-/, but the Anatolian forms in /-nt/ are generally considered older. The IE etymon is *-nt- (probably identical to the Luwian/Slavic/Tocharian collective (plural) suffix *-(e/o)nt-). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Sat Mar 6 05:36:13 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sat, 6 Mar 1999 05:36:13 GMT Subject: Anatolians In-Reply-To:
Message-ID:
JoatSimeon at aol.com wrote: >>mcv at wxs.nl writes: >We know Renfrew's 7000 BCE is too early for PIE >because of the absence of the late-Neolithic innovations recorded in PIE in >7000 BCE. However, that vocabulary _is_ there in Anatolian. Let's take a closer look at this. What are these late Neolithic innovations? Mallory claims that such words as "wool", "milk", "plough" and "yoke" belong here, as central parts of the new vocabulary associated with the "Secondary Products Revolution" (Sherrat) of the late Neolithic. But surely there's no reason to think that words such as "milk" and "wool" didn't exist in the vocabulary even in pre-Neolithic times. In the early Neolithic, sheep, goats and cattle were domesticated, and there is evidence for dairying of cattle in Northern European LBK sites. The plough was also used since the very beginning of the Neolithic, if only in the form of a branch or stick (Irish ce:cht, Gothic ho:ha, Slavic soxa; Skt. hala-). That leaves only "yoke", with the undoubted Hittite reflex
as a possible candidate for being a late Neolithic innovation. I've been unable to find a reference to the first archaeological evidence for the yoke, and I gather that Sherrat's inclusion of the yoke in the "Secondary Products Revolution" toolset is mainly based on Sumerian depictions of it (Johanna Nichols compares PIE *yugom with PKartv. *uG-el- and PEC *r=u(L')L' (*r=u(k')k')). Another undoubted Late Neolithic innovation is metal working, but here the Hittite vocabulary is completely unrelated to the main IE one (except maybe the word for "white, silver" harki-). Finally, the principal lexical argument revolves around the horse and horse technology. The Hittite word for "horse" is unknown (aways written Sumerograpically as AN$E.KUR.RA), but there is a Luwian attestation: asuwa. This looks very much like an Indo-Iranian borrowing (Skt. as'va < PIE *ek^wos), were it not for the fact that Luwian "dog" is
(PIE *k^won-). So either there was a satem-like Luwian sound law *k^w > sw, or Luwian borrowed both words from Mitanni-Aryan. Borrowing of the horse word is not surprising (the Hittite archives at Boghazko"y yielded a treatise on horses, containing a number of words of Indo-Iranian origin, written by a Mitannian called Kikkuli). Borrowing of the dog word seems less plausible (although Slavic sobaka is of course borrowed from Iranian as well). The other words related to horse technology yield no Hittite cognates (Hittite "wheel" is not *kwekwlo- or *rotHo- but
, related only to Tocharian
"circle, wheel"), except for two curious items: "shaft/pole", Hittite hissa ~ Skt. i:s.a:, Grk. oie:ks, Slav. oje(s)- and "(to) harness", Hittite turiia- ~ Skt. dhu:r-. It is, I believe, no coincidence that these are Hittite-Sanskrit isoglosses (if we discard the Greek and Slavic words for having different Ablaut). Again, the most likely explanation is that these are Mitanni-Aryan loanwords. After all, it would be rather strange to find the exact same inherited words for cultural items such "shaft" and "harness" when Hittite doesn't even share its basic kinship terminology with Indo-European and has a different word for "four". ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From petegray at btinternet.com Sat Mar 6 12:58:42 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 12:58:42 -0000 Subject: /Anatolian /-nt-/ and Greek /-nth-/ Message-ID:
DLW asks: >why should Anatolian >place-names with /-nt-/ (or for that matter /-nd-/) be borowed into Greek >with /-nth-/? (a) a phonetic explanation: Hittite (as you probably know) shows only the voiceless stops. If there is no phonemic distinction between aspirate and unaspirated, or between voiced and voiceless in Hittite (although there may be between geminate and non-geminate), then we know nothing about the actual articulation. So perhaps the Greek borrowings, if they were borrowings, are genuine reflections of the actual phonetic value. (b) a non-phonetic explanation We should also note that borrowings into other languages from English sometimes have results that are odd to our eyes, and may be done for morphophonemic reasons, e.g. the Hebrew use of /q/ for English /k/, which prevents fricativisation in certain contexts. So perhaps we should leave open the idea that the borrowing as Hittite written -nt- as an aspirate or a voiced consonant might have had some non-phonetic explanation. Peter From petegray at btinternet.com Sat Mar 6 13:09:26 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:09:26 -0000 Subject: Celtic and English Again Message-ID:
On the lack of influence from Celtic in English: Perhaps a comparable situation can be found in Egypt, which was Egyptian-speaking for yonks, then Greek speaking for nearly a thousand years, but now speaks Arabic with very little, if any, trace of either "substrate". Does this suggest that languages can indeed be replaced without great effect on the invading language, if other circumstances are right, and that the lack of influence from Celtic on English is not really so remarkable? Peter From petegray at btinternet.com Sat Mar 6 13:17:21 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:17:21 -0000 Subject: Cowgill's Law Message-ID:
Our Moderator said: >Cowgill's Law ... >I see that it does not appear in Collinge, It would not be in Collinge since he deliberately excludes those laws which are specific to one language group. Peter [ Moderator's comment: Of course! I wasn't thinking when I flipped it open to check. Thanks! --rma ] From petegray at btinternet.com Sat Mar 6 13:04:32 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:04:32 -0000 Subject: Germanic and Balto-Slavic Cases in /m/ Message-ID:
DLW suggested: /bhi/ being added to the accusative (in /-m/) This in itself would be an enormous innovation, which no other IE language group shows for any of its cases. (The only exception might be the unproven development of the accusative plural from accusative singular +s). So alas, even if true, (which it isn't), it would still remain "diagnostic". Peter From petegray at btinternet.com Sat Mar 6 13:01:09 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:01:09 -0000 Subject: Chariots Message-ID:
"true cavalry". This has to do with the development of a horse strong enough to be ridden. I think there has been discussion of this in this group before, with inconclusive results about when horses were strong enough to carry a person on their back. Peter From glengordon01 at hotmail.com Sun Mar 7 03:37:01 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Sat, 6 Mar 1999 19:37:01 PST Subject: IE to ProtoSteppe Message-ID:
[ Moderator's note: While I would prefer not to discuss this here when it is an on-going topic on HistLing, I can't in good conscience not post it and then post other items to which it has something to say. So since it started out on the IE list, I'm posting it to the IE list rather than Nostratic (where I'd not be any happier to see it, really :-). --rma ] Hi y'all, I have transfered this N-word topic over to the NOSTRATIC list from the INDO-EUROPEAN List. It really belongs in both but the IE world and the moderator, stubborn as they both are :), are not ready yet for this kind of discussion in the latter list. Sadly its likeliest pre-history and those of the language groups it interacts with, is very important in the discussion of IE and the geographical position of its range that we eventually find: ME (GLEN): >>If we accept (as we should) that IE is genetically tied to languages >>like Uralic and Altaic JOATSIMEON: >-- frankly, I think relationships at that time-depth are >unrecoverable with any degree of confidence. This illustrates one of my frustrations about debates on these lists (and don't get me wrong, I'm glad that they exist and they are necessary). You see, I'm trying to understand the logic that some employ to deny external relationships with IE and I often find it gnawing at my nerves because of its senselessness. (I know, even on the Nostratic list, there are some who fight long-range genetic relationships in favor of the Valley Girl's NULL hypothesis). Now, I can fully understand that one can have the legitimate view that _AT PRESENT TIME_, such things are not recoverable to a _strong degree_ as JS points out. This is a matter of opinion. However, should this stop one from thinking and conjecturing beyond what we know in order to even vaguely answer these questions of genetic relationship? How can a study progress if one doesn't strive to progress with new ideas and to stretch all that is known to its fullest volume? This is how any science in general works and conjecture is a necessary component in good research. Many will agree that IE is now reconstructable to a decent degree (at least in terms of general vocab). So is that it? We just stop, fly our hands up in the air and quit? Well, unless we have grown old of our research, we take what we know and expand it, conjecture, find more evidence, etc., so that we can reach a new level of understanding about the field we're working with. Therefore, why is it then that we have many on this list and others with this illogical agnostic/defeatist attitude? Can we really place a limit on what we can find out or learn at any given time? Again, no. We ironically don't know enough to begin to calculate such a limit unless we profess divinity of ourselves. We simply don't know what we will discover or can discover and I hope no one will argue with that bit of intuitive reasoning. This problem fits the topic of external IE genetic relationship as good as any. Do we know 100% that IE is related to Uralic? No. Do we know 100% that IE is NOT related to Uralic? No. Do we know 100% that IE existed as we expect it does? No. Maybe 25%, 80%, maybe 95% or even 99% but we can't say that it's proven for all time or without foundation of "evidence" and wipe one's hands clean of it. The questions remain to be answered, not ignored carelessly. Thus it should be fairly apparent to people already what I'm getting at. Until those wacky nuclear physicists back at the science lab discover how to warp space-time back to the time of a given proto-language, comparative linguistics will always be _pure theory_. Since this is theory, Alexis' opinion is off-center. There can be no unanimous distinction on what is dismissable "conjecture" and what isn't. Ideally and preferably, to make a conjecture more probable, a theory should be based on relevant evidence of some kind. Many times, because this is a topic of linguistics, linguistical evidence is supplied to validate a theory. Sometimes it's archaeoligical in nature, or even (gasp!) genetic. Despite the type of evidence, though, "proof" as such is really a matter of logic and relative probability. "Proof" is defined by the degree of likelihood an idea has to overcome the barrier of insignificance of its beholder and to stick it out from other competing theories. So here's my conjecture and let it's proof be Reason at last: IE is more closely related to Uralic, Altaic and other "Eurasiatic" languages than anything else. What do IEists often say to this? "Can't be proven", "I don't think it can be recoverable", "Pure hogwash" and that's that. This is where my sense of logic starts paining me because here we find such a defeatist attitude at work deceiving many into an ultra-conservative, anti-research frame of mind that denies answers to questions simply because the answers are purely probabilistic, not boolean. "Maybe" instead of "is, without a doubt". Probability, however, is the vary nature of comparative linguistics! Surely IE is most likely related to something. No self-professed linguist could possibly pretend that IE invented its own language (aside from Pat in re of his Sumerian idea). So we go beyond that, we conjecture, we allow ourselves to step beyond the obvious and fight for more knowledge. We search for the most probable external links with IE. We can't prove without a trace of uncertainty that IE is related to Uralic and Altaic. We may not be able to prove it with a 25% probability, a 5% probability, or even a 0.00001% probability. We can't even measure the probability in realistic terms. The probability of the theory on its own is not the point. The point is: in regards to any other competing theories out there on IE external links (from NWC to Benue-Congo), what is the MOST probable? What has the most weight? Is this probability large enough over the other possibilities. Well, given that language groups like Algic or other "Amerind" langauges have to be an exceedingly low probability on this list of possibilities, we thus CAN create a list of language groups ordered by their degree of probability and, to the very least, answer vaguely the question of IE genetic relationships (ie: "It's very, very, very unlikely that IE is related to Amerind languages within the past 10,000 years"). The probability may appear "small" (a relative term to the beholder) but in relation to all other theories possible in terms of genetic relationship with IE, Eurasiatic languages are set miles apart from the rest. If you disagree, don't just say "dunno". Agnosticism is blatantly illogical. What is the most probable answer in all in your view? What is your basis? Answer it, even if it is a vague and probabilistic answer. Dare to have an opinion. It's reasonable to have one as long as you understand that it has less weight over theories with large amounts of evidence. Even someone who thinks that we will never know for absolute surity, must with any degree of sanity agree this hypotheses is the best possible one we can have. I really would like to crack the "can't-do-it-so-why-bother" reasoning and talk realistically about these external relationships. I would prefer to do it on the IE group where this discussion would be all the more meaningful amongst those staunchly opposed to long-range comparison but alas... -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From proto-language at email.msn.com Sat Mar 6 14:13:25 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Sat, 6 Mar 1999 08:13:25 -0600 Subject: Greek question & the pre-history of *nekwt Message-ID:
[ moderator re-formatted ] Dear Rich and IEists: -----Original Message----- From: Patrick C. Ryan
Date: Friday, March 05, 1999 10:14 PM >I know of no reflex that suggests a palatal (^) + labial combination. Are you >suggesting that I am considering g[^]h-w-? I am not. I think -gh-w- is still >the likeliest termination. >[ Moderator's comment: > Perhaps I am confused about what you mean when you write
: To me, > this suggests a segment *gh followed by a segment *w, especially when you > write about the latter being "carried over into the first syllable". Yes, this is exactly what I meant: *negh(V)w-. > My point is that the symbol used in all Indo-Europeanist literature which is > not limited to ASCII has a superscript
, which in my TeX-influenced way > I would write as *g{^w}h (or less preferably *gh{^w}). Rich, I never write anything as
because I frequently am switching from email to .html and whatever is between the < and > is treated as an instruction rather than copy in .html. [ Moderator's comment: Old habit: If square brackets indicate phonetic values, and slashes indicate phonemic values, then angle brackets indicate *graphemic* values, that is, how something is spelled in the orthography under discussion. Much older than HTML, so I'm going to claim priority for it. ;-] I have tried to indicated the labiovelars as g[w], k[w], and the palatalized versions g[^][w], k[^][w]. [ Moderator continues: See above: That is extremely confusing--either mixing phonetics in, or if taken as in syntax, indicating something optional. --rma ] > I'm afraid that the sloppy manner in which labiovelars get written has > misled you into thinking that the -u- of the Greek word _nuks, nuktos_ is > metathesized from after a palatal (or simple velar, if you allow three > series of dorsals). Well, I might not have it right, but that is what I favor at the moment. *negh(V)w- -> *neugh- + s/t -? neuk(h)s/t-. [ Moderator's response: It may be what you favor, but it flies in the face of the data: Sanskrit *requires* a labiovelar, or the accusative would be **nas.t.am rather than the attested _naktam_. And what is represented by that "*s/t -?" ? --rma ] >But, let me ask a question: are you saying that Hittite does *not* suggest >that the final element before the [w], glide or extension, was voiced? That >is a perfectly legtimate position but I was not aware it was very >well-represented these days. >[ Moderator's response: > I've not addressed this issue before. Sturtvant himself noted a *tendency* > for single vs. double writing of (mostly voiceless) stops to correspond to > a voiced vs. voiceless distinction in the rest of Indo-European (or, as he > would have it, in Indo-European proper). However, as I remember what he > said about Hittite _nekuz_, he considered the spelling
to represent a > labiovelar which could not otherwise be written in cuneiform--and since it > thus appears before another consonant, the single/double writing tendency > would not be germane. [ Moderator's comment on previous response: I have since looked in Sturtevant's _Comparative Grammar of Hittite_ (2nd, 1951) and his _Indo-Hittite Laryngeals_, and find that I have mis-stated his views: He clearly reads the syllable as such. I cannot for the life of me remember where I learned the other interpretation. --rma ] Yes, I believe that must have been Sturtevant's view with a modification. On pg. 43 of "A Comparative Grammar of the Hittite Langauge), he indicates Indo-Hittite *nekwts. But then on p. 59, contradictorily, he indicates *neg'wty; and goes on to say: ". . . such forms as nukha . nuktor (Hesych.), ennukhos 'of night', pannukhios, autonnnukhi 'in the same night', whose aspirate proves that the second consonant of the IH word was g' ". On the previous page, he defines IH g' as "IE gh, g[^]h, or the velar part of ghw". Finally, on page 181, Sturtevant lists "ne-ku-uz . . . . . . neguts", which is the "Suggested phonetic interpretation". Now, this all suggests to me that Sturtevant believed (at least as of the writing of this book) that the IE stem was *negh(V)w-. [ Moderator's response: You are correct, this does appear to be what he believed. However, I think he was wrong. The argument I first cited was not Sturtevant's, but it was nevertheless the right interpretation, based on readings of other lexical items such as the interrogatives. --rma ] Pat From iffr762 at utxvms.cc.utexas.edu Sat Mar 6 15:48:56 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Sat, 6 Mar 1999 09:48:56 -0600 Subject: Celtic influence In-Reply-To: <[email protected]> Message-ID:
Yes, I agree there is seemingly Celtic (grammatical) influence in most of Western Romance, most notably French. It is just a little more difficult to nail down, without actual knowledge of the Celtic languages in question. For example we may note the "two BE verbs" syndrome in Iberian. DLW From iffr762 at utxvms.cc.utexas.edu Sat Mar 6 16:02:45 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Sat, 6 Mar 1999 10:02:45 -0600 Subject: Feminines in Neuter Plurals Message-ID:
What exactly is the argument here? That if the feminine had been a recent development from the masculine, the masculine plural rather than the neuter would be used for mixed M/F plurals, therefore the feminine cannot be a recent development from the masculine? What if the feminine is a recent development from the neuter/inanimate? Very un-PC, I know, but stranger (and more un-PC) things have happened. And is it not true the Conventional Wisdom has the feminine developing from the neuter/inanimate anyway? Perhaps I am missing something, but I find it difficult to understand what is being alledged. DLW From dtompkin at thunder.ocis.temple.edu Sat Mar 6 17:19:10 1999 From: dtompkin at thunder.ocis.temple.edu (Dan Tompkins) Date: Sat, 6 Mar 1999 12:19:10 -0500 Subject: Mallory Message-ID:
On pastoralism, I'm no expert. And I have not followed the discussion closely. Here are two comments that may or may not be appropriate: if they are not, I apologize. The situation of the Plains Indians sounds in any case anomalous, doesn't it, in that there were two big exogenous variables at work: getting forced out of areas like Wisconsin, and then getting the horse. On pastoralism in the Greek world, Jens Erik Skydsgaard, 'Transhumance in the Greek Polis,' in C.R. Whittaker (ed), Pastoral Economies in Classical Antiquity (Cambridge UP, 1988) argued (as I recall: can't find the book right now) that 'pure' pastoralism did not exist, that in general agriculture took place at the same time. Without the essay in front of me I can't tell what time frame he put on this. Anyhow, the discussion is interesting! Dan Tompkins Faculty Fellow for Learning Communities Associate Professor, Greek, Hebrew & Roman Classics Conwell Hall, Temple University 1801 North Broad Street Philadelphia, PA 19122-6096 215 204-4900 (phone) 215 204-5735 (fax) dtompkin at thunder.ocis.temple.edu [ moderator snip ] From dtompkin at thunder.ocis.temple.edu Sat Mar 6 17:48:16 1999 From: dtompkin at thunder.ocis.temple.edu (Dan Tompkins) Date: Sat, 6 Mar 1999 12:48:16 -0500 Subject: Error on pastoralism Message-ID:
On consulting some notes I realize I had it wrong on Skydsgaard. There are two essays in the Whittaker volume dealing with transhumance. Here is my summary of the one by Stephen Hodkinson: Hodkinson, S. (1988). Animal husbandry in the Greek polis. C. R. Whittaker (editor), Pastoral Economies in Classical Antiquity, Cambridge Philological Society Supplementary Volume 14, (pp. 35- 74). Cambridge, England: Cambridge University Press. Argues that pastoralism and agriculture were integrated more than standard view holds. (As I recall, SH was opposing the standard view as a form of "environmental determinism" based on departure of flocks from valleys in summer due to heat, and consequent lack of manure in fields). Skydsgaard in same volume opposes this view; Spurr in his review JRS 79 (1989) also has reservations. Spurr says small farmers could devise ways to keep flocks on farm all yr round, and himself opposes environmental determinism. Jameson in "Agric. Labor in Ancient Greece" in Berit Wells (ed) Agriculture in Ancient Greece (Stockholm, 1992) finds the notion that animal husbandry on small scale was an "integral part of mixed agriculture" convincing. Dan Tompkins From JoatSimeon at aol.com Sun Mar 7 02:06:17 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Sat, 6 Mar 1999 21:06:17 EST Subject: Chariots Message-ID:
[ moderator re-formatted ] In a message dated 3/5/99 7:31:44 PM Mountain Standard Time, iffr762 at utxvms.cc.utexas.edu writes: >But if this is true, it has implications (however circumstiantial) for the >development of true cavalry, for as of about 2000 BC chariot cavalry was >evidently regarded as the latest most terrifying thing by all concerned (as >various nomads burst out of various steppes employing it) and so this would >suggest that the development of true cavalry must have been later. >> -- depends what you mean by "cavalry", which is not the same thing as "riding horses". Chariots were generally used as mobile missile platforms for archers. Developing the proper type of bow for use from horseback, and the techniques for employing it, took time. Shock action from horseback needed developments in weapons and horse-harness. From JoatSimeon at aol.com Sun Mar 7 02:14:00 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Sat, 6 Mar 1999 21:14:00 EST Subject: Celtic influence Message-ID:
In other words, French has about 200 words borrowed from Gaulish -- including many very common items of everyday speech -- while OE has 12 from Brythonic. Furthermore, the emergence of a standardized written form of OE (based on the Wessex dialect) took place centuries _after_ the Anglo-Saxon settlements in Britain. For the first 200 years and more, the Saxons were illiterate. From mcv at wxs.nl Sun Mar 7 06:59:11 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sun, 7 Mar 1999 06:59:11 GMT Subject: Non-IE roots in Germanic/@, a, e, i, j, o, u In-Reply-To:
Message-ID:
Larry Trask
wrote: >> aecse [OE] > ax, axe >> [< ?Vasconic"; see Basque aizkora "axe, hatchet"] [tv95, tv97] >I think everyone agrees that Basque
`ax' is a loan from Latin >
`hatchet'. The Latin word would have been borrowed as >*
; the [h] is a suprasegmental feature in Basque; the */l/ would >have undergone the categorical early medieval change of intervocalic /l/ >to /r/; and the diphthongization of /a/ to /ai/ in an initial syllable >is a familiar though sporadic in Basque: compare
`sacred, >holy', from some Romance development of Latin
. Might the word not have been borrowed directly as
, with metathesis of the /i/ (especially if Latin
already had a degree of allophonic palatalization)? That, or analogy with the other tool words in (h)ai(t)z-. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From proto-language at email.msn.com Sun Mar 7 08:15:49 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Sun, 7 Mar 1999 02:15:49 -0600 Subject: Greek question & the pre-history of *nekwt Message-ID:
Dear Glen and IEists: -----Original Message----- From: Glen Gordon
Date: Saturday, March 06, 1999 9:16 PM >PATRICK: >>In any case, I have subsequently revised my reconstruction to >>*negh-w-. >First, we will assume that you mean *negh
-, where
is superscript, >as the moderator validly keeps pointing out but that you blatantly >ignore. I am sorry that you do not understand what a root extension is. In previous postings, I have identified the -w- as a root extension. This has nothing to do with g[w], which is the method I use to indicate the so-called labiovelar. [ Moderator's note: I had also noted your use of the term "root extension", which I understood perfectly (Petersson's _Wurzeldeterminativ_, for example), but assumed that it was part of your misanalysis of the ASCII string "neghw-" as a palatal + a labial rather than a badly written labiovelar. So lay off Mr. Gordon. --rma ] >This means that the labial element is _fused_ to the velar. >There is no suffixing whatsoever. The phoneme *ghw is ONE element in >this case, otherwise we should expect -v- in Sanskrit
. We don't, >so that's it. I have also written that I believe that possibly two roots were in use: *negh- and *negh-w-. Do you not comprehend what you read? [ Moderator's comment: Since I did not comprehend it, either, I see no need to pursue this line of insult any further. --rma ]
>Third, re Hittite's doubled consonants, are you sure that when a medial >consonant is doubled that it means "un-voiced"? That is what Sturtevant thought. [ Moderator's comment: It is indeed the standard theory, though there are some who see rather lenis- fortis than voiced/voiceless. --rma ] >I could have sworn it >was meant to be the other way around which would mean that Hitt.
>comes from *nekwt as expected and all you have to work with is Greek to >keep the (and I'll say it again) "flimsy" Nostratic theory afloat. If you ever read Sturtevant, and a few other appropriate manuals, you might be in a much better position to usefully discuss Nostratic. [ Moderator's comment: Sturtevant did not address the Nostratic theory of his day; he was instead denying that the Anatolian languages were part of Indo-European proper. That is, he fully accepted a Neogrammarian reconstruction of PIE, and was trying to explain how Anatolian differed, rather than taking the Anatolian data as calling for a different interpretation of the IE data already at hand. So a reading of Sturtevant, while instructive for a budding laryngealist as to the extremes to which it can be taken, has nothing to offer to Nostratic. --rma ] >The theory is flimsy because you use localized phenomena in a single IE >language (in this case, Greek) as a means to create an unsupported IE >reconstruction so that you can then casually link IE directly to >Egyptian of all things. I have also used Hittite. [ Moderator's comment: But you still haven't explained the rest of the Indo-European data, which at the very least call for a labiovelar (cf. Sanskrit) and not a determinative *-w-. --rma ] >You seem to forget that not only does Egyptian come from Afro-Asiatic first >off from which many, many millenia seperate these two stages but that on top >of it, IE and Afro-Asiatic would be seperated by a good 10,000 years or more >by even the most right-wing Nostraticist. That does not change a thing. Pat From proto-language at email.msn.com Sun Mar 7 08:40:43 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Sun, 7 Mar 1999 02:40:43 -0600 Subject: Greek question Message-ID:
Dear Rich and IEists: -----Original Message----- From: Patrick C. Ryan
Date: Sunday, March 07, 1999 2:27 AM >Dear Rich and IEists: [ moderator snip ] >If you want me to cite individual etymologies, I will be glad to do so but >I have collected a great number of them, illustrating this relationship, in >my Afrasian essay at >http://www.geocities.com/Athens/Forum/2803/comparison.AFRASIAN.3.htm >[ Moderator's response: > I want to see not only individual etymologies, I want to see an exposition > of the sound laws which drive them. I want to see not only "the roots of > verbs" but "the forms of grammar", such that "no philologer could examine > them ... without believing them to be sprung from some common source." > --rma ] Perhaps you did not notice the Table of Correspondences. http://www.geocities.com/Athens/Forum/2803/comparison-AFRASIAN-3-table.htm [ moderator snip ] >[ Moderator's response: > You could assert it, but you have not proven it. Please remember that this > is the Indo-European list, and that a relationship with Egyptian cannot be > *assumed* for your argument, but rather must be demonstrated using accepted > comparative methodology which addresses the standard model of Indo-European. > --rma ] I have demonstrated it using accepted comparative methodology. Pat [ Moderator's response: No, I submit that you have suggested a line of inquiry at most. You have yet to demonstrate it to the satisfaction of J. Random Linguist. And your con- tinued assertion that your version of Proto-World is directly ancestral to PIE weakens your credibility greatly. --rma ] From mcv at wxs.nl Tue Mar 9 17:55:22 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Tue, 9 Mar 1999 09:55:22 -0800 Subject: Anatolians In-Reply-To:
Message-ID:
JoatSimeon at aol.com wrote: >>mcv at wxs.nl writes: >>Renfrew's 7000 BC is too early [for PIE], Mallory's 4000 BC is >>too late [for Anatolian]. >-- nope to the latter. We know Renfrew's 7000 BCE is too early for PIE >because of the absence of the late-Neolithic innovations recorded in PIE in >7000 BCE. However, that vocabulary _is_ there in Anatolian. Such as? >Eg., the First Vowel Shift in Germanic can be >securely dated to after 700 BCE, because Celtic ironworking loan-words in >Proto-Germanic underwent the shift. You must mean the First Consonant Shift. But there's no such thing. There's no reason to assume, and some rather good reasons to reject the notion that Grimm's Laws worked all simultaneously and in one go, or even that such a thing as Grimm's ever took place. It's a generally recognized fact that a PIE stop system *t, *d, *dh is typologically unacceptable. The original Proto-Germanic phonological system must have been similar to the Armenian one, with *t = *th, *d = *t['], *dh = *d, yet another archaic feature of Germanic, though not quite as archaic as Hittite and Tocharian. But Verner's Law *is* as archaic as that, as we can equate it with the Baltic-Finnic consonant mutation tt ~ t under the influence of stress/syllable structure [see Vennemann, "Hochgermanisch und Niedergermanisch", sorry can't find the exact ref. now Theo?], so it must have worked in Germanic at a period when (partial) voicing had not yet taken place, and the opposition was (as in Hittite) between fortis *tt (=*t) and lenis *t' (=*d) and *th (=*dh). The final stage, aspirate > fricative (*th > *T, *kh > *x) was probably much more recent and in fact rather trivial. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From petegray at btinternet.com Sun Mar 7 16:46:00 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sun, 7 Mar 1999 16:46:00 -0000 Subject: St Jerome Message-ID:
>Peter and or Graham said that Jerome wrote 'bad Latin'. My original posting was so long ago I have forgotten both the content and the context. If I did really say that, I apologise deeply to the group! But I suspect I am being misquoted! Peter From jer at cphling.dk Sun Mar 7 18:22:36 1999 From: jer at cphling.dk (Jens Elmegaard Rasmussen) Date: Sun, 7 Mar 1999 19:22:36 +0100 Subject: PIE *gn- > know/ken In-Reply-To: <[email protected]> Message-ID:
On Sat, 27 Feb 1999, Miguel Carrasquer Vidal wrote: [...] > The most acceptable solution from my point of view is that PIE > did not have any voiced stops at all. Instead it made a > distinction between fortis and lenis stops (as in Finnish, Danish > or Hittite), where the fortis (tense) stops (*t etc.) were always > voiceless and pronounced longer/with more energy ([t:] or [tt]). > The lenis (lax) stops (*d and *dh, etc.) were less energetic/ > shorter, and had voiced allophones. They came in two kinds, one > aspirated (*dh = [th]), the other not (*d = [t]). Or, > equivalently, one glottalized (*d = [t']), the other not (*dh = > [t]). Not wanting to open the whole can of worms again, let me just ask this: Is a change from lenis to voiced stop natural and frequently seen? If so, where? If it is not part of general experience I do not see the commending simplicity in choosing "lenis t" as the origin of Latin, Greek and Indic plain voiced d. Where "d" and "dh" merged, they are voiced, as in Balto-Slavic, Celtic and Albanian - why derive this from a basically voiceless protoform? - Isn't the only thing "wrong" with the IE system that the aspirated tenues (ph, th, kh ...) have not been accepted? Then, if we have SOME evidence for asp.ten., but not enough to guarantee reconstruction of an overwhelming number of etymologies, but without them the system as such becomes a truly overwhelming mess, isn't the easiest solution then to accept that SOME etymologies containing ph, th, kh are correct and that the PIE system was as in Sanskrit? Is it not a very strong claim that ALL cases of asp.ten. are in last analysis based on mistakes? For some I could understand this right away, even for many, perhaps most, but for each single item?? Jens E.R. From JoatSimeon at aol.com Sun Mar 7 20:15:01 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Sun, 7 Mar 1999 15:15:01 EST Subject: Danube homeland. Message-ID:
>mcv at wxs.nl writes: >but it makes it the best candidate by default, and any alternative theories >should offer a pretty good case for why the IE homeland should be located >elsewhere, and what happened to the languages of these "Anatolian farmers" or >"Old Europeans". -- same thing that happened to the languages of the Elamo-Dravidians who were the first farmers throughout Iran and North India. The area between Iraq, Central Asia and Central India is just as large as Europe and got agriculture just as early, earlier in fact. It's also historically demonstrable that the IE languages were intrusive in this area, and virtually completely replaced the previous language-families; with a few minor exceptions like Brahui, comparable to Basque. >The gap between Anatolian and the rest of IE is too large to be fitted into >the limited time allowed by the Kurgan movements into SE Europe. -- nope. The speed of linguistic change is not even remotely consistent. Eg., Lithuanian and Sanskrit, both about equally distant from PIE, one spoken in the 2nd millenium BCE, one spoken in the 2nd millenium CE. >Why shouldn't Anatolian simply have changed quickly?then it's perfectly >imaginable that PIE developed after 7000 BC somewhere in the Balkans or >Hungary, and spread across the rest of the continent (C., N. and E. Europe) >in the LBK/Danubian phase, c. 5500 BC, as well as to the steppe zone >(Dnepr-Donets Tocharian?] before 5000 and Sredny-Stog [>Indo-Greek?] c. 4500). -- nonsensical. The PIE vocabulary is full of items which just weren't around before 4000 BCE. This alone completely rules out such a hypothesis. From glengordon01 at hotmail.com Mon Mar 8 00:41:29 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Sun, 7 Mar 1999 16:41:29 PST Subject: Caucasian languages and Asia Minor Message-ID:
DR WOLFGANG SCHULZE: >The problem is that people do not accept language isolates. What is an >isolate? It's a language that obviously has no documented relatives. Yes there is a problem but it's not the definition of "isolates". I fully understand that this means that a given language MIGHT have relationships but that the language is difficult to relate to others, pure and simple. This could be for many reasons, one of them being that there may be only very distant siblings that survive to be analysed, as you say. However, I have trouble with the idea that seems to arise on this subject that because a language group can't be 100% proven to be related to another language group that we should take up the NULL hypothesis in place of it, ignoring the question completely of genetic relationship and the probabilities and uncertainties inheirant in its answer (whether this be NEC or IE). There still remains the most likely relationships and I would be concerned of the reasoning skills of anyone who considers the possibility of IE being closely related to Uralic as equal as the possibility, say, of a strong relationship with Algic, half-way 'cross the world. There remain high probabilities and low probabilities despite lack of what you would accept as certain "proof". This is the probabilistic nature of comparative linguistics. The idea that IE is the ancestor language of the languages we find in Europe and India now (as well as the ubiquitous English), is all based on probability too. We don't find actual, _physical proof_ of people speaking this supposed IE language but it is highly probable that one existed in some form at least 5,000 years ago based on a damn good theory that has been refined better as we learn more, a theory that, because of alot of speculation beyond what we had known in the past, has moved forward. >Relatives are established by means of regular sound correspondencies >based on lexical *words* (and not *stems*) as well as on morphological >correspondencies that match established sound correspondencies. And wouldn't it be wonderful in an ideal world? However, in the case of IE, (and I suspect similarily in NEC) much of the recoverable language is verb roots, whether that be nouns or adjectives based on verb roots or extended verbs built on the more basic ones. Atomic nouns are not all that common in the IE language and inevitably due to declension and the nominative *-s, are ALL "stems" save those 1% who have no marker in the nominative. Thus, morphological correspondances by your criteria must hold most of the weight of the proof. So how much proof is proof enough to make it credible? This is a very subjective thing. What we SHOULD be concerned about is finding the relative probability of a hypothesis, based not only on the data that one can supply for it but on the probabilities of other possible theories of relationship in comparison to it. At that, we can conclude very apparent things such as Algic's relationship with IE is extremely remote in comparison with a Uralic relationship (as we should be concluding intuitively!) as well as more opaque concepts such as the most likely pre-IE interactions with neighbouring languages. Unfortunately, we can't even begin to fathom answers to these questions, not because we don't know enough, but because we've gotten stuck in a rut over the impossible-to-attain "100% probability" and not on "the BEST probability that we can achieve at present". >[An isolate] simply is an orphan with unknown parents. [...] >I think that's just what the situation is like with respect to East >Caucasian. Unless you're saying that NEC invented its own language, it's related to something (even if it is remote as I suspect similarly). So there must be some candidates that stick out amongst the random chaos of world language groups like Benue-Congo, Austronesian, Ainu, etc. I'm willing to wager that NWC is one of those better candidates even lacking your absolute "proof". And because I know that IE is likely to be related to something for the same reason as NEC above, I'm willing to wager that IE (and Etruscan) are more closely affiliated with languages like Uralic and Altaic as opposed to things like Basque (Larry will agree :), Ainu, NEC (you'll even agree), etc. This is just common sense and taking the NULL position on this subject isn't. >These nagging questions are quite trendy, but that does not mean that >they are on safe grounds with respect to method and language theory... >But paradigms [hopefully] change, as Kuhn told us.... Humans answering nagging questions has been trendy for millions of years. It's all logic and probability with a hint of imagination. Hopefully this is a paradigm that will never change. -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 17:58:03 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 11:58:03 -0600 Subject: non-IE/Germanic/h In-Reply-To:
Message-ID:
[snip] As Mao Ze Dong once said, "Don't match pearls with the God of the Deep Blue Sea." So I'll correct the Basque spellings and meanings. >> haltha- "slope, slant, incline" > Halde "slope, hillside", heald [OE] >> "hillside" >> [< ?Vasconic; >> see Basque halde, alde, ualde < ?*kalde "face, side, flank"] [tv95, tv97] >The Basque word is
in the eastern dialects but
everywhere >else, as a result of the categorical voicing of plosives after /l/ in >all but the eastern dialects. No such form as *
is known to me. >Lhande's 1926 dictionary cites
and attributes it solely to the >17th-century writer Oihenart, but Oihenart in fact used
, and so I >suspect an error here. (Lhande is full of errors.) >The form
is an error: this must be the compound with initial >
`water', which appears as
~
, and means literally >`waterside'. >The central meaning of the Basque word is everywhere `side', with >transferred senses like `flank' and `region'. I don't think it really >means `face', and it certainly doesn't mean `slope'. This word resembles Spanish falda "skirt, flank"--which unaccountably begins with /fV/; which, as anyone who was studied Ibero-Romance knows, is a no-no. Is there an Old Castilian, Gasco'n or Aragone's form /*alda, *alde/ ? >> Harn "bladder" >> [< ?Vasconic"; >> see Basque garnur "bladder" < *kernu] [tv95, tv97] >The Basque word for `urine' is
, with a typical western variant >
. This word, with its almost unique /rn/ cluster, has been much >discussed, but its origin is unknown. The alleged Basque *
>`bladder' is unknown to me and to the lexicographers, and I query its >existence. This is my error and is what predictably happens when you try to read a language you've never studied, German, with a cheapo dictionary. My dictionary gave "urine & bladder". I made the wrong choice. My apologies to Theo and everyone else. Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 18:08:40 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 12:08:40 -0600 Subject: non-IE/Germanic/m In-Reply-To:
Message-ID:
[snip] I was also thinking of Spanish muro, Latin murus [sp?] "wall" or Spanish moro'n "hillock, rise of land" except that the double /rr/ of murru screws things up --and then there's Spanish morro, "a small promontory on a neck of land jutting out into the water [where forts were often built]" Maybe Celtic offers more clues [or enigmas] to this set of words >> moraine, Moräne "moraine", >> Mur[e] "pile of rocks [Bavarian] >> [?< Vasconic; >> see Basque murru "hill"] [tv97] >The form
can hardly be ancient in Basque. There exists a >sizeable number of severely localized Basque words of the form
, >with very diverse meanings, but `hill' is not one of them. The most >widespread sense (throughout the French Basque Country) is `wall'. >The closest to `hill' in sense is `pile, heap', reported nowhere but in >the Baztan valley. >Larry Trask Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 18:12:04 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 12:12:04 -0600 Subject: Non-IE roots in Germanic/@, a, e, i, j, o, u In-Reply-To: <[email protected]> Message-ID:
Yes, it is a compound of *harja- 'army' + *manna- 'man' AFAIK it's from a list of Germanic [and other] non-IE words in Romance et al. The article was in German and I may have missed something No explanation was given >Rick Mc Callister wrote: >> arimanno "warrior" [It < Germanic] [tv84] >Isn't this a compound, *harja- 'army' + *manna- 'man'? The first at >least doesn't seem peculiarly Germanic, to judge by the cognates given >in Buck's dictionary. (I don't have ready access to the Vennemann >reference, I'm afraid, so I don't know what argument he makes.) >Brian M. Scott Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 17:44:52 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 11:44:52 -0600 Subject: non-IE/Germanic/g In-Reply-To:
Message-ID:
*gar- is a Germanic root. Thanks for pointing out the need for labeling here. The Romance lexicon includes words of Germanic origin [or believed to be so, in some cases], as well as words believed to have cognates to modern Basque in a few cases [snip] >I've no idea what that asterisked *
is meant to denote: the Basque >for `assemble, collect, gather' is
. Nor am I any too sure what >the Spanish words are doing in here, but I don't have Corominas handy. [snip] Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From ECOLING at aol.com Mon Mar 8 02:27:26 1999 From: ECOLING at aol.com (ECOLING at aol.com) Date: Sun, 7 Mar 1999 21:27:26 EST Subject: IE and Uralic pronouns Message-ID:
I have been present when solid competent linguists admitted that the field is "not ready" to deal with the pronoun patterns which are the subject of recent discussion. (For a completely traditional approach to some pronoun matches, please see near the end of this message.) In other words, it is likely that something genetic is going on in these pronouns, our sound-symbolism approach is not adequate to the data distributions, and our tools for historical reconstruction can't handle it either. So what do we do? Hide our heads! Shame. Rather appear to be knowing the answers, and hide the questions we don't know the answers to? Or declare them off-limits? In a business firm, that would be a recipe for near-immediate bankruptcy, failing to act positively and strongly in moving towards the future. Better to ADMIT to students that we need more powerful tools for penetrating the noise of centuries and even millennia, to set more and more students to this task, to studying how deeply, and against which kinds of noise, each tool we have can penetrate (estimates in all cases are fine), and to estimate in as many situations as possible how much residue should still be detectable despite the noise of historical change, WITHOUT the assumptions that the sample used as controls ARE IN FACT UNRELATED. That is the fallacy in all such approaches I have read. Because if the supposed controls ARE related, even very distantly, it may distort our estimates of what background noise is. Rather we need GRAPHS of the degree of noise present, and our ability to penetrate it, across the full range of cases we can estimate time depths for, then extrapolate beyond that to those cases like Afro-Asiatic where the pronoun system, for example, preserves "distinctive oppositions in distantly related languages" (the title of a Gene Schramm paper, if I remember). In that case, there is a known relationship, though not well known, it is a distant one, the pronoun sound correspondences do not follow the normal sound laws for these families, yet they ARE related. Because there is a pattern with its own laws. The palatal / labial opposition which is in the consonants in one family is in the vowels in the other. I don't remember details of the data, but approximately this: hi vs. hu in one family (NW Semitic?) sa vs. fa in another family (Egyptian?) Now if our standard tools for historical reconstruction cannot deal with that, then we need to extend those tools slightly, a little bit at a time, go back and test the change of tools against the various things we know the answers to, and see whether the new tools manage to extract a slightly cleaner set of data that makes a known relationship clearer. If it does, then we may perhaps apply that newly refined tool to cases where we do NOT know the answer or only suspect it, and see what happens. Another example of this which came to my attention in the past year or two is this, which I will pose as a question. Why is the second comparison (b) better than the first (a) if we are looking for potential cognates? (a) sepo in one language teka in the second language (b) sepa in one language teko in the second language I don't think most historical linguists have an IMMEDIATE recognition that these are two wildly different proposals for cognates. That means we are not making the best possible use of our tools. (The conclusion is not a certain one, just like any other historical inference, but it is a reasonable one that (b) is a better comparison thatn (a).) We are never dealing with "clean" or "dirty" data. We are always dealing with "slightly more clean" or "slightly more dirty" data. If slightly cleaner data makes a language relationship look more solid, that is perhaps an indication (not a proof) that we may be on the track of a real relationship. ***** If you want to try to use traditional tools on Eurasian pronouns, here is an example from my paper Grammatical-Meaning Universals and Proto-Language Reconstruction, or: "Proto-World Now", in Papers of the Chicago Linguistics Society, 1975. p.15 of the paper, or Fig.(26). I am sure that paper contains a lot of wrong things and some right things. I only expected to find truth statistically, not certainly. A second example follows below. Here is what I was able at that time to find for a standard approach to reconstructing IE-Uralic pronoun systems. Of course borrowing or contact may have created a false temptation here, but such an escape from the obvious interpretation of the data would itself require considerable work to prove: I was discussing a relic IE alternation /m/ in plural vs. /w/ in dual. It is matched in Uralic, and an -n- "with,and" is present in the plural, which I hypothesized caused the assimilation. -va-s dual 1st person Sanskrit -ma-s plural -tha-s dual 2nd person Sanskrit -tha(-na) plural Now compare Ziryene (Uralic), EARLY plural forms: -m-ny-m 1st person -d-ny-d 2nd person. Selkup had these forms of the first person: -mi-y dual -my-n plural So my conclusions: Selkup leveled the person-marker, while IE leveled the markers of dual/plural, and kept the originally allophonic variants of the person. Uralic shows in EARLY Ziryene the structure of the paradigm from which this could have arisen. I'm not sure one could get more traditional in approach. ***** Here is the second item in that 1975 paper which really calls out for work. The rotation of the vowel space makes these more than mere identities, and suggests hypotheses for further work. (ng for the velar nasal phoneme) ple:-nus 'full' Latin, IE *pling 'full', Tibeto-Burman pla:-nus 'flat' Latin, IE *pleng 'straight' Tibeto-Burman Lloyd Anderson From mcv at wxs.nl Mon Mar 8 04:21:29 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 04:21:29 GMT Subject: IE and Etruscan In-Reply-To: <[email protected]> Message-ID:
"Jim Rader"
wrote: >Nearly twenty years ago I heard Eric Hamp give an account of >Georgiev's lecture. As I recall Hamp telling it, Georgiev thought >that Etruscan practically WAS Hittite, i.e., that Etruscan was an >Anatolian language. The audience didn't contest his thesis out of >sheer stupefaction, not because they agreed. Gueterbock walked out >of the lecture shaking his head and saying "Very interesting, very >interesting!" Another Indo-Europeanist arguing for Etruscan as an Anatolian language is Francisco Adrados of the Spanish Academy: Adrados, Francisco R., "Etruscan as an IE Anatolian (but not Hittite) Language," Journal of Indo-European Studies 17 (Proceedings of the Second Conference on the Transformation of European and Anatolian Culture 4500-2500 B.C. (Part I) September 15-19, 1989, Dublin, Ireland), (1989) 363-383. Adrados, Francisco R., "More on Etruscan as an IE-Anatolian Language," Historische Sprachforschung 107/1 (1994) 54-76. Has anybody read these? ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From jpmaher at neiu.edu Mon Mar 8 06:19:35 1999 From: jpmaher at neiu.edu (maher, johnpeter) Date: Mon, 8 Mar 1999 00:19:35 -0600 Subject: IE and Etruscan Message-ID:
Good old G-bock was honest. Privately -- to me --Hamp only said: VG's data seem to work, but oughta have more. pete Jim Rader wrote: > Nearly twenty years ago I heard Eric Hamp give an account of > Georgiev's lecture. As I recall Hamp telling it, Georgiev thought > that Etruscan practically WAS Hittite, RIGHT: this is what I remember. > i.e., that Etruscan was an > Anatolian language. The audience didn't contest his thesis out of > sheer stupefaction, not because they agreed. Gueterbock walked out > of the lecture shaking his head and saying "Very interesting, very > interesting!" > > Jim Rader [ moderator snip ] From X99Lynx at aol.com Mon Mar 8 06:27:19 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Mon, 8 Mar 1999 01:27:19 EST Subject: Greek question (night?) Message-ID:
In a message dated 3/7/99 9:42:14 PM, "Patrick C. Ryan"
wrote: <<...if *negh-w- were the basis for both, as I think likely,... *negh-(w)-, 'dark', with root extensions -t, 'night',...>> Am I correct in this meaning that the reconstruction here is *negh-w-t > "night?" Why would that /-t be there? In which IE languages does -t appear in "night" besides Germanic or Modern French? Regards, Steve Long [ Moderator's response: Greek _nuks, nuktos_, Latin _nox, noctis_, Sanskrit _nak (IIRC), naktam_, Hittite _nekuz = nek{^w}t+s_, ... --rma ] From iglesias at axia.it Mon Mar 8 17:25:28 1999 From: iglesias at axia.it (Rossi Francesco Luigi) Date: Mon, 8 Mar 1999 09:25:28 PST Subject: Celtic influence Message-ID:
Further to Shilpi M. Badra's message on Saturday, 27 February 1999 on Celtic loanwords in Romance, I would like to contribute the following on Italian, and especially the Northern Italian dialects (Gallo-Italic) and Friulan. 1) Place-names in Northern Italy (former Cisalpine Gaul): Milan (Mediolanum), Bologna (Bononia, Etruscan: Felsina), and many others. 2) Latinized -dunum (Irish dun -`fortress'): Duno (Varese), Induno (Varese), Comenduno (Bergamo), Verduno (Cuneo), ... and others 3) Formations ending in -ac : Arsago, Barzago, Cadorago, Dalrago, ... Sumirago, Tregnago, Urago, in Lombardy alone. This ending in common all over Northern Italy. In the Friulan area, the ending is rendered in standard Italian as -acco: e.g., Premariacco (Udine). 4) Terminology: Lat. camisiam > It. camicia, Lat. caballam > It. cavallo; Lat carrum > It. carro and the Lat verb cambiare > It. cambiare 5) Celtic survivals of northern and central Iberia: Sp., Port.alamo `poplar', Cf. It. olmo Sp., Port. gancho `hook', Cf. It. gancio 6) Sound change from Latin u to French y: All gallo-italic dialects except that of Romagna and certain mountain areas, e.g., Piedmontese, Emilian, Lombard: myr This sound does not occur in Friulan (despite the presumable Celtic substrate: Carnii), but it does occur in other forms of Rhaeto-Romance, e.g. Vallader (Lower Engadine). The sound does not occur in Venetian and related dialects (with IE Venetic substrate). 7) Consonantal groups: Piedmontese, Emilian, Lombard: factum > fait, fat, fac ("c" pron. "ch" as in English or Spanish) Piedmontese, Emilian, Lombard: noctem > neuit (read "eu" as in French), not, noc ("c" pron. "ch" as in English or Spanish): 8) Nasal consonants: pan, man, bon, ... with pure nasalisation in some areas, Emilia for example, and varying degrees of nasalisation elsewhere. Bibliography: Giovan Battista Pellegrini, Toponomastica italiana. MIlan: Hoepli. 1990 Maurizio Dardano, Manueletto di linguistica italiana, Bologna: Zanichelli, 1991 Frank Rossi Bergamo, Italy iglesias at axia.it From mcv at wxs.nl Mon Mar 8 08:28:30 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 08:28:30 GMT Subject: Update on *nekw and the N-word In-Reply-To:
Message-ID:
>[ Moderator's response: > There is a serious mixing of levels here, in that a Romance-specific > development is being projected back to Nostratic, although other Indo- > European languages do not have this phonotactic constraint, e. g. Greek. > Before we can even accept it as a parallel, we have to determine what > the digraph
represents in Bomhard, a unit phoneme or a cluster. > --rma ] A unit phoneme, probably a lateral affricate (> Semitic *s', a lateral fricative). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Mon Mar 8 08:31:38 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 08:31:38 GMT Subject: Trojan and Etruscan In-Reply-To: <[email protected]> Message-ID:
mcv at wxs.nl (Miguel Carrasquer Vidal) wrote: >Now assuming Greek Trooa is from the same root Sorry, I was being 8-bitty again. That's Troi"a, with i-diaeresis. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From glengordon01 at hotmail.com Mon Mar 8 09:19:39 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Mon, 8 Mar 1999 01:19:39 PST Subject: PIE gender Message-ID:
ALEXIS RAMER: >>There has been some discusion here of the (assumed) fact that >>the feminine gender is an innovation, and one not shared by >>the Anatolian lgs. WR SCHMIDT: >[...] I'd like to suggest that linguistic gender may have once been >more related to biological gender than - AFAIK - has heretofore been >thought A rich, cerebral dessert, I might say. :) But, how does one know that IE's view of the world was based on animism to start with? -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From mcv at wxs.nl Mon Mar 8 10:04:11 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 10:04:11 GMT Subject: Greek question & the pre-history of *nekwt In-Reply-To: <[email protected]> Message-ID:
mcv at wxs.nl (Miguel Carrasquer Vidal) wrote: >The spelling
stands for >/nekwt-s/. The problem is that we would expect
if the >word is to be derived from PIE *nekwt- ~ *nokwt-. The single
>suggests PIE *g(h)w. But I must agree with Rich's "moderator comment" elsewhere that in this case the spelling
may reflect all of PIE *kw, *gw or *ghw [*gwh if you prefer]. After all, if the etymon were *kw, the geminate spelling should not be
but
, and there is no way of writing that in cuneiform (nor in ASCII, as the recurrent confusions about labiovelars show). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Mon Mar 8 10:45:32 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 10:45:32 GMT Subject: IE and Substrates In-Reply-To: <[email protected]> Message-ID:
JoatSimeon at aol.com wrote: >I think we should keep in mind that the European linguistic situation in >historical times is probably much simpler than it was in the Mesolithic or >early Neolithic. >Reasoning by analogy from the situation in New Guinea or eastern pre-Columbian >North America, there were probably _many_ more languages and language-families >in Europe before the Indo-European expansion. Not just one or a few non-IE >families which were then replaced by Indo-European. The IE expansion would >then represent a massive linguistic simplification, a "reformatting" of a >previously crowded scene. True, except that this "reformatting" clearly had already happened in the *early* Neolithic, and at least for the broad continental area from Greece to Holland, with its two large historically connected cultural areas (the Balkans and the LBK/TRB zone), we can expect a single or at most two linguistic substrates. While the late Neolithic "Secondary Products Revolution" (use of more intensive mixed farming techniques) may have caused a doubling or tripling or so of the population density, along with a number of social changes, that's all small potatoes compared with the Mesolithic/Early Neolithic transition (fiftyfold increase in population densities). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Mon Mar 8 12:52:40 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 12:52:40 GMT Subject: Greek question & the pre-history of *nekwt In-Reply-To: <010b01be667d$6104c400$c93963c3@niywlxpn> Message-ID:
"Peter &/or Graham"
wrote: >> BTW: is Hittite
/dz, z^/, /ts,c/ or /z/? >No doubt someone will prove me wrong, but I believe Hittite was deciphered >at first by German speakers - so z was used as in German, which is a great >pain. It = /ts/. OK, I'll prove you wrong :-) Hittite was deciphered by a Czech, Hrozny', the
in whose name is /z/. The
derives from the conventions used for Akkadian cuneiform. Akkadian was deciphered by Germans. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 13:51:44 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 07:51:44 -0600 Subject: /m/ in 1st Person Pronouns In-Reply-To: <[email protected]> Message-ID:
Please try to remain calm, Mr. Gordon. Actually the study I am thinking of showed, as I now recall, a tendency for 1st person pronouns to have nasals. The matter of /m/ or /n/ was not, and to my knowledge has not been, adressed. My "mama" thing is just a guess at what lies behind the facts. It does not imply that all languages have 1st person pronouns with /m/, and more than recognizing the "mama" syndrome implies that in all languages the word for 'mother' has /m/. Nor does it imply anything about "borrowing" of pronouns, a notion I am quite unkeen on. DLW From roslynfrank at hotmail.com Mon Mar 8 14:36:58 1999 From: roslynfrank at hotmail.com (roslyn frank) Date: Mon, 8 Mar 1999 06:36:58 PST Subject: gender Message-ID:
Hello, Over the past months this thread on questions of gender in (P)IE has provided different opinions on the issue. Would it be possible for someone to: 1) list several of the most well-known bibliographic references on this particular topic; and 2) perhaps summarize the *current* thinking on the issue. I may the second request because discussions groups tend to "discuss" but often in the process the overall outlines of what is standard in the current (canonical??) debate get somewhat blurred. Also, it's possible that I may have missed some of the early contributions by list members. Currently I am preparing a paper for the upcoming ICLC '99 conference in Stockholm. In it I briefly discuss the problem of gender in Euskera. (Bai, badakit euskaraz hitz egiten... Kaixo Larry eta Miguel!) Because of my interest in this particular question, I wonder if anyone could speculate on when (along a rough time continuum) gender entered IE languages, i.e., when (P)IE acquired gender. And finally, has anyone contemplated the possibility that there might have been an even earlier stage that needs to be reconstructed (e.g. perhaps in the case of Euskera) that eventually gave rise to a animate/inanimate dichotomy (e.g., as it is found today in Euskera)? Any ideas on that, Larry? This would imply that cognitively speaking, there could have been an earlier structure that was not based on an "animate/inanimate" contrast but on another ontological type or definition of "being." Best regards, Roz Frank March 8, 1999 Department of Spanish & Portuguese University of Iowa Iowa City, IA 52242 U.S.A. e-mail: roz-frank at uiowa.edu [currently on-leave in Panama] From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 14:54:20 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 08:54:20 -0600 Subject: Trojan and Etruscan In-Reply-To: <[email protected]> Message-ID:
On Thu, 4 Mar 1999, Miguel Carrasquer Vidal wrote: > The problem is that you're mixing up various reflexes from > various languages here. The Latin forms with -sc- (Tusci, > Tuscania/Toscana, Etrusci) are simply extensions of the roots > Tu(r)s- and Etrus- with the Latin adjectival suffix -cus (*-ko-). This is probably true, but it is also possible that the use of such suffixes could have been suggested by the nature of the sound, which the Egyptian evidence indicates was /sh/, not /s/. > Now assuming Greek Trooa is from the same root, it can be derived > from *Trosia, with Greek loss of intervocalic -s-, just like > Latin Etruria < *Etrusia with intervocalic -s- > -r-. Again the > suffix -ia is Latin and Greek, not necessarily Tyrrhenian. Again, it could be as above. > Which reminds me, there is also Greek Tyrrhe:n- < *turse:n-. > > For the vowel, it is difficult to decide between /o/ or /u/, but > >as /a/ occurs in some words that might be additional variants > >(tarhuntassa, tauros, tarsus, tarquin), with lowering before /r/ being the > >culprit in these, I favor /o/. Thus the original form would be /trosha/. I take this opportunity to note that the forms with /u/ are all western, so that the use of /u/ could conceivably be merely from the Greek change of /ou/ to /u/, carried westward by colonists. DLW From iffr762 at utxvms.cc.utexas.edu Tue Mar 9 12:55:31 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Tue, 9 Mar 1999 06:55:31 -0600 Subject: Celtic influence In-Reply-To:
Message-ID:
On Sat, 6 Mar 1999 JoatSimeon at aol.com wrote: > In other words, French has about 200 words borrowed from Gaulish -- including > many very common items of everyday speech -- while OE has 12 from Brythonic. Both still overwhelmingly non-Celtic, as noted before. That is the forest, regardless of the trees. > Furthermore, the emergence of a standardized written form of OE (based on the > Wessex dialect) took place centuries _after_ the Anglo-Saxon settlements in > Britain. For the first 200 years and more, the Saxons were > illiterate. Class dialects have little to do with literacy, especially the very marginal kind of literacy of early medieval Europe. DLW From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 14:59:48 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 08:59:48 -0600 Subject: Salmon. In-Reply-To: <010a01be667d$5e09d380$c93963c3@niywlxpn> Message-ID:
On Thu, 4 Mar 1999, Peter &/or Graham wrote: > >salmon in the Danube. > Salmon trout are found in the Danube according to Mallory - but not the > other kind of salmon. I think I'll break down and actually go look at Grzimek again. DLW From X99Lynx at aol.com Tue Mar 9 13:50:13 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Tue, 9 Mar 1999 08:50:13 EST Subject: *p>f Revisited - When was German invented? Message-ID:
[ moderator re-formatted ] In a message dated 3/8/99 08:49:13 AM, rma wrote: <<[ Moderator's comment: And what of the very similar, though completely separate, Armenian shift? --rma ]>> Once again, I'm just following through on the commentary made in Bernard Comrie's book that attributes the "First Sound Shift" in German to the conversion of IE sounds into "the nearest equivalents" of a prior non-IE language. It is interesting to see where it goes. (I am aware that there is a "reconstructed obstruent system" based on a breakdown of glottalized/voiced and unvoiced stops that explains the Germanic/Armenian shifts as "archaisms" rather than innovations.) If the Germanic consonant "shift" is due to conversion from a non-IE language, then how can the Armenian shift can be explained?: 1. An obvious explanation that comes to mind is that Armenian was another language that "converted" to IE from a similiar non-IE language with roughly the same sound shifts. Mallory in "In search of the Indo-Europeans" summarizes the case for Armenian originating in the Balkans. Neolithic and Bronze Age archaeology show a clear lines of continuity from the mouth of the Elbe to the mouth of the Danube with evidence of such material cultures as "Globular Amphora". Strabo, the Greek geographer of the 1st Century AD, tells us that tradition says Armenia was founded out of Thessaly (a town called Armenium); and that Armenians continue to follow Thessalian habits in clothes, etc. If non-IE speakers occupied a corridor running from the mouth of the Danube up past the gap west of the Carpathians and up to Jutland "sometime before 1000 BC" - then the Armenian shift might represent a conversion of some of those non-IE speakers to IE just as it did - perhaps later on - in Germanic. The result was however more proximate to and therefore more "Greek." When Armenian migrated it managed to preserve the shift because it became isolated from the IE mainstream that would have removed those vestiges of the old sound system - just as Germanic remained relatively isolated. Or became isolated when the eastward spread of the Celts cut off the NW-SE routes across the eastern midsection of Europe. 2. Perhaps another explanation is that Armenian - in its Balkan form - represented a Greekified German, already converted to IE but heavily influenced by Greek and later on tranformed by Urartian and Iranian influences. Although it has always been contested by certain historians, the "Getae", who lived north of the Danube were explicitly identified by Strabo and others as being neither Thracian nor Kelts. Strabo obviously identified the Getae with Germanic tribes: "As for the southern part of Germany beyond the Albis, the portion which is just contiguous to that river is occupied by the Suevi; then immediately adjoining this is the land of the Getae,... who occupy the whole plain from north of the Danube to Germany..." (Geo 7.3.1 et seq) The Getae are identified as "Dacians" occasionally, but what this tells us about them I don't know since Dacian is hardly pin-point identifiable. Oddly, the "Massagetae" are located in the Caucasus region by Herodotus, 400 years earlier, on the far side of the Scythians. This puts them relatively close by the Armenians. If Phrygian is descended from Thracian, as the classical historians suggest and Mallory notes, then the Armenian connection with the Pontus and the western shore of the Black Sea could explain proto-Germanic settlers coming along with that migration. Strabo states that Thracian and Getae intermarried, an apparent variant on the "Basternak" identity later mentioned by Tacitus and Ptolemy for the inhabitants of the Danube Delta, the "Peucini" - also often associated with the Chernyakovian material culture which by the first century BC had strong Gothic elements. In connection with this, Miguel Carrasquer Vidal has written in past post: <
> And... <> Note that in the above analysis Greek is already a separate language. If we shorten the dates - so that Greek appears in Greece roughly at the same time Linear B makes its appearance - than Armenian is an independent language with strong affinities to German but in a position to make strong lexical borrowings from Greek. Or that the conversion from non-IE itself was the result of Greek or a closely related language. The reality check says that no written evidence of Armenian exists before 200BC and that the Armenians (per Mallory) date their own origins to 800 BC. Finally, are there any IE languages that have closer early syntactic similarities to German/Armenian than Greek? Regards, Steve Long From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 15:08:09 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 09:08:09 -0600 Subject: Ix-nay on the ostratic-nay In-Reply-To: <[email protected]> Message-ID:
On Thu, 4 Mar 1999, Miguel Carrasquer Vidal wrote: > iffr762 at utxvms.cc.utexas.edu wrote: > > With regard to reconstructing 1sg pronouns, there is (or so I seem > >to recall) a cross-linguistic tendency for these to be formed with /m-/, > >probably from a weaker variant of what might be called the "mama > >syndrome": sounds that babies tend to make early tend to be pressed into > >service as words that mamas and babies might use to relate to each other, > >like "mama" and "me". > I don't think so. See coming response to Glenny. Both /m/ and /n/ tend to occur in words for female care-givers, with /n/ typically referring to more secondary ones, as in "nanny". 1st pronouns do show a statistically significant tendency to use nasals, which appears to me to be a sort of opposite side of the coin phenemenon. If a mother is going to imagine that her baby, who is in fact only babbling, is talking to her, then "mama" and "me" are the words she will want to hear the baby say. From rmccalli at sunmuw1.MUW.Edu Mon Mar 8 17:31:53 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Mon, 8 Mar 1999 11:31:53 -0600 Subject: non-IE/Germanic In-Reply-To:
Message-ID:
[ moderator re-formatted ] >One thing is not clear to me. What is the significance of the presence >in the list of Romance borrowings from Germanic (?all from Vennemann >1984)? [ moderator snip ] >Max W. Wheeler
I have to admit to scrounging around and using Theo Vennemann's lists --which are just lists of words he believes to be of non-IE origin borrowed from Germanic languages. I have not finished yet. Among other things, I need to track down more sources and check them out with the Oxford Dictionary. As for guV-, you're absolutely correct, but I wanted to wait until I had the correct form of the original. Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From proto-language at email.msn.com Mon Mar 8 15:47:15 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Mon, 8 Mar 1999 09:47:15 -0600 Subject: gender Message-ID:
Dear Alexis and IEists: -----Original Message----- From: manaster at umich.edu
Date: Sunday, March 07, 1999 11:50 PM >On Thu, 25 Feb 1999, Patrick C. Ryan wrote: >> I do not believe that there is anything which the current "laryngeal" theory >> explains that this re-formulation of it will not equally well explain. >This is what you have not even begun to demonstrate, as you >well know from our private discussions, so it does not >seem right to me to make this claim. Yes, it is premature. I said this because I have surveyed the theory many times in the past, and found it poorly formulated --- although I did not put these criticisms down on paper. I am in the process of doing that now. Pat From rmccalli at sunmuw1.MUW.Edu Mon Mar 8 17:43:47 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Mon, 8 Mar 1999 11:43:47 -0600 Subject: rate of change In-Reply-To:
Message-ID:
[ moderator re-formatted ] >Max W. Wheeler
>On Wed, 24 Feb 1999, Rick Mc Callister wrote: > >> But before 1500, Spanish & Portuguese were farther apart than they are now. >Oh yeah? Who says? It wouldn't take long to list some significant >changes in Spanish since 1500 which have moved it away from Portuguese. >But it won't be worth it without a good reason to believe the claim made >above. You missed the context. I was speaking about lexical items. Yes-- Spanish has dropped future subjunctive and has reduced /sh, zh/ > /x, h/ /s, z/ > /s, S/ /dz, ts/ > /s, th/ and pretty much mutated /L/ > /j, zh, Y, sh/ BUT lexically, Spanish and Portuguese are more alike grammatically, some Spanish and Portuguese dialects are replacing condicional with imperfect & imperfect subjunctive Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From maxw at cogs.susx.ac.uk Mon Mar 8 17:06:25 1999 From: maxw at cogs.susx.ac.uk (Max W Wheeler) Date: Mon, 8 Mar 1999 17:06:25 +0000 Subject: rate of change In-Reply-To:
Message-ID:
On Thu, 4 Mar 1999, Rick Mc Callister wrote: > There is no such language as "Gallego-Spanish". There is, however, > galego or Galician, called gallego in Spanish. It is closer to Portuguese > than to Spanish and, in my experience, is more difficult to understand than > Brazilian Portuguese or standard Continental Portuguese. The Galician > literary standard, however, is a bit easier to read. But Galician is a > series of spoken dialects. > Note: > Spanish lobo /loBo/ > Portuguese lobo /loBu, lobu/ > Galician /tsoBu, shoBu, LoBu/ But these so-called Galician forms are not Galician but (Asturo-)Leonese. See A. Zamora Vicente, Dialectologia Espan~ola, 1967, 122-130. Max ___________________________________________________________________________ Max W. Wheeler
School of Cognitive and Computing Sciences University of Sussex, Falmer, Brighton BN1 9QH, UK Tel: +44 (0)1273 678975; fax: +44 (0)1273 671320 ___________________________________________________________________________ From proto-language at email.msn.com Tue Mar 9 15:00:36 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Tue, 9 Mar 1999 09:00:36 -0600 Subject: Greek question & the pre-history of *nekwt Message-ID:
Dear Rich and IEists: -----Original Message----- From: Patrick C. Ryan
Date: Tuesday, March 09, 1999 2:05 AM
>[ Moderator's response: > It may be what you favor, but it flies in the face of the data: Sanskrit > *requires* a labiovelar, or the accusative would be **nas.t.am rather than > the attested _naktam_. And what is represented by that "*s/t -?" ? > --rma ] Not at all. I am suggesting that the IE accusative was *nektom for those branches which either derived from forms without the w-extension or deleted it. *negh(-w)-t- -> *nek(h)t-. As for the *-s/t-, I believe that Pokorny has erred in reconstructing *neuk-, 'dark'. This looks like a set of derivatives of the *negh-w- stem I postulate plus *-s, which had the same effect on the *-gh- as *-t- did: *negh-w-s -> *neugh-s- -> *neuk(h)s-.
Pat [ Moderator's response: I give up. I will not argue the question with someone who does not see that the question exists; I do not have the time. --rma ] From mclssaa2 at fs2.mt.umist.ac.uk Mon Mar 8 09:11:28 1999 From: mclssaa2 at fs2.mt.umist.ac.uk (Anthony Appleyard) Date: Mon, 8 Mar 1999 09:11:28 GMT Subject: Laryngeals In-Reply-To: <[email protected]> Message-ID:
For the Nostratic and/or Indoeuropean lists as you think suitable:- .................................... "Patrick C. Ryan"
wrote (Subject: Re: Laryngeal symbols) replying to nicholas.widdows at traceplc.co.uk:- >>> I believe that the "laryngeals" in IE stem from earlier /?,h,?,H/, ... >> ... use another symbol for ayin, Patrick! It's throwing everybody >> off. Suggestion: /`/ or /3/ >Well, I plead in my defense that the upside down question-mark is generally >used in print for 'ayin, and, before I changed to MSN 2.5, it came through >when produced by Alt-168. And this should go in the FAQ: High-order characters (= with code values over 127) in email are the Chaos Bringer, don't use them; DOS and Windows and Mac etc all are liable to display or corrupt them differently; some emailers transmit them modulo 128, e.g. turning DOS e-umlaut into tabulate. > How about [2] and [3] for the pharyngals, from the Arabic letters? I agree, particularly as I believe also that the H2 laryngeal was the {h.} sound as in Arabic {h2aram} = "sacred, forbidden", (Muh2ammad}, and H3 was the ayin (e.g.root H3-D-W in Arabic {h3aduuw} = "enemy" and Greek {odussomai}). I believe that the usual H1 was the glottal stop. If anyone needs a second different H1, it was likely the ordinary {h} sound. And we need a reasonably compact name for the {h.} sound, like we have for its voiced counterpart `ayin'. > In view of the fact that [3] is used for the Egyptian vulture, which was > really an /r/, .I am reluctant to adopt that suggestion. I thought that the Egyptian vulture (Neophron percnopterus) was the glottal stop. The 3-like sign that Egyptologists use for that sign is specific to Egyptology. The Egyptian letter sign for {r} was the mouth or the lion. (Distinguish from the `Gyps fulvus' vulture hieroglyph, which has another use.) Likely also the reason why single-reed is sometimes glottal stop and sometimes {y} is that it used to me always {y}, but some time in predynastic or Old Kingdom times in Egyptian initial {y} became silent like it did in the Old Norse branch of Common Germanic. In emailing we are restricted to the standard 95 reliably emailable ascii characters and may need to adjust usage accordingly. >>The X-SAMPA symbols for fricatives are: >>palatal [C] [j\] ... >> and [H] is the semivowel in [French]
. > I sure do not like that one. I don't either. This `H' probably got in because whoever invented the IPA (International Phonetic Alphabet) had (in those days of hand typesetting) much more consideration for printers than many maths and nuclear science etc men did, and e.g. for this sound chose `h' set upside-down because it looked rather like `y'. It would have helped linguists if Microsoft Word etc had had an option "set next character upside down". From rmccalli at sunmuw1.MUW.Edu Mon Mar 8 17:14:36 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Mon, 8 Mar 1999 11:14:36 -0600 Subject: rate of change In-Reply-To:
Message-ID:
[ moderator re-formatted ] >> But before 1500, Spanish & Portuguese were farther apart than they are now. >Surely not in terms of basic vocabulary. In some cases, yes. Both modern Spanish & Portuguese have
/familya/ which SHOULD have evolved as *hameja /amexa/ in Spanish *famia /famia/ in Portuguese Latinate relexification did affect a fair share of basic words. The development of literary standards affected lexical choice, with the Latinate words or words from Ibero-Romance literary standards often winning out. In certain domains, one language became dominant. Spanish borrowed a large percentage of sailing terms from Portuguese, etc. Most basic vocabulary is pretty much the same as it was but a fair share of it has spilled from one language to the other --especially in regional dialects, which with mass communication have become generally known. So Mexican giz [from Portuguese], instead of standard tiza "chalk" is understood. Argentine Spanish shares a lot of terms for food, plants and animals [as well as slang] with Brazilian Portuguese --and these are known to any school kid who has read Borges & Quiroga. In some cases, the words have acquired limited meanings Spanish mun~eca /muN~eka/ "doll, pretty girl" [also wrist, originally from a word for "bump, lump"] is cognate with Portuguese boneca /bunek@/ "doll, pretty girl" BUT since in Rio, this word is applied to transvestites who have a beauty contest and "escola de samba" at Carnaval, in Latin American slang it means "transvestite, transexual" Thanx to TV, movies, radio, cassettes/CDs and immigration, even more vocabulary is flowing between the languages and some words get relexified In Brazil, the linguistic center has shifted to the South, and now is moving from Rio to Sa~o Paulo, which has a large --if not huge-- Spanish speaking population. Argentina, Cuba & Puerto Rico have large Galician populations. Buenos Aires is the largest Galician city in the world. Although Galician is a separate language, it is much closer to Portuguese than Spanish. Given that it is essentially a series of rural dialects, western Galician would be [or would have been] closer to Old Portuguese. Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From glengordon01 at hotmail.com Mon Mar 8 20:12:06 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Mon, 8 Mar 1999 12:12:06 PST Subject: Update on *nekw and the N-word Message-ID:
ME (GLEN): >>IE *nek-/*nok- "to bear, to carry, to convey" >> (I've never seen this root. Does anyone know? PETER: >Try: >Avestan fra-nas- = to bring; (nas = to reach) >Vedic naSa:mi = to reach >Greek e:negkon, ene:nokha, etc all < e-nek- (aorist and perfect > forms of) to carry >Old Norse nest = provisions for a journey >OCS nesti etc to carry, bear, bring >Lithuanian neSu etc. >Latvian nesu etc. Hmm, thanx alot Miguel and Peter. Gee, I could be looney but wouldn't a reconstruction of *?nek^- be in order rather than just *nek^- based on the Greek form? Why the long /e/ for augment? If *?nek^- is correct, then a connection with a Nostratic *nitl- becomes more and more unlikely (as I should expect). -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 15:57:42 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 09:57:42 -0600 Subject: Celtic and English Again In-Reply-To: <005e01be67d4$a93c94c0$af3fac3e@niywlxpn> Message-ID:
I've been told by Egytians that colloquial Egyptian Arabic has a fair share of Coptic "influence". I don't know if they were referring to lexicon, morphology or both. Standard Arabic, of course, does have some Greek lexical substrate, although what I've seen are mainly learned words. [snip] >Perhaps a comparable situation can be found in Egypt, which was >Egyptian-speaking for yonks, then Greek speaking for nearly a thousand >years, but now speaks Arabic with very little, if any, trace of either >"substrate". [snip] Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From petegray at btinternet.com Mon Mar 8 20:37:22 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Mon, 8 Mar 1999 20:37:22 -0000 Subject: Hittite spelling Message-ID:
>Hittite spelling ... distinguish[es] (in medial position at least) >C from CC, where usually the single consonant etymologically >derives from a PIE voiced one and the geminate from a PIE >voiceless consonant. What is actually the state of play with this? It began as a hypothesis, with some evidence in its favour, and some against. Is it turning into one of those things that everyone agrees on because it's tidy, or is the emerging agreement soundly based? Peter From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:06:48 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:06:48 -0600 Subject: Non-IE roots in Germanic/@, a, e, i, j, o, u In-Reply-To: <[email protected]> Message-ID:
[ moderator correction: Miguel Carrasquer Vidal wrote: ] >Larry Trask
wrote: [ moderator snip ] >>I think everyone agrees that Basque
`ax' is a loan from Latin >>
`hatchet'. The Latin word would have been borrowed as >>*
; the [h] is a suprasegmental feature in Basque; the */l/ would >>have undergone the categorical early medieval change of intervocalic /l/ >>to /r/; and the diphthongization of /a/ to /ai/ in an initial syllable >>is a familiar though sporadic in Basque: compare
`sacred, >>holy', from some Romance development of Latin
. >Might the word not have been borrowed directly as
, with >metathesis of the /i/ (especially if Latin
already had a >degree of allophonic palatalization)? That, or analogy with the >other tool words in (h)ai(t)z-. And in the case of saindu, much the same would have happened in that sanctu /sanktu/ > *santyu which in Spanish from the Basque region became the common name Sancho [it became common name Santo, noun/adjective santo everywhere else] and in Basque *santyu > *sayntu > saindu /sayndu/ [or is it /san~du/?] My reconstruction is probably missing something but the same metathesis of /y/ is there, right? Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From larryt at cogs.susx.ac.uk Mon Mar 8 20:59:10 1999 From: larryt at cogs.susx.ac.uk (Larry Trask) Date: Mon, 8 Mar 1999 20:59:10 +0000 Subject: IE and Substrates Message-ID:
JoatSimeon writes: >I think we should keep in mind that the European linguistic situation in >historical times is probably much simpler than it was in the Mesolithic or >early Neolithic. >Reasoning by analogy from the situation in New Guinea or eastern pre-Columbian >North America, there were probably _many_ more languages and language-families >in Europe before the Indo-European expansion. Not just one or a few non-IE >families which were then replaced by Indo-European. The IE expansion would >then represent a massive linguistic simplification, a "reformatting" of a >previously crowded scene. I endorse this absolutely. I think it's probably right, and I think the modest amount of evidence we have supports it. Larry Trask COGS University of Sussex Brighton BN1 9QH UK larryt at cogs.susx.ac.uk From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:12:55 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:12:55 -0600 Subject: Celtic influence In-Reply-To:
Message-ID:
Italian also has essere & stare; although it uses them a bit different from Spanish & Portuguese. French seems to have merged them --e^tre is from stare but its conjugated forms are from the Latin root of essere. > Yes, I agree there is seemingly Celtic (grammatical) influence in >most of Western Romance, most notably French. It is just a little more >difficult to nail down, without actual knowledge of the Celtic languages >in question. For example we may note the "two BE verbs" syndrome in >Iberian. > > DLW Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From larryt at cogs.susx.ac.uk Mon Mar 8 21:05:06 1999 From: larryt at cogs.susx.ac.uk (Larry Trask) Date: Mon, 8 Mar 1999 21:05:06 +0000 Subject: IE, Genetic Data, Languages of Anatolia Message-ID:
Wolfgang Behr writes: > If I remember things correctly, there will > be a workshop on SC in Cambridge (at the McDonald Institute of Archeo- > logy) sometime this year, so maybe we will see a convincing defense > of Starostin before long ??? Not this year, I'm afraid. The proposed Cambridge symposium on S-C has been postponed, pending the production of a monograph by Starostin on S-C which is to serve as a basis of discussion. Maybe next year. Larry Trask COGS University of Sussex Brighton BN1 9QH UK larryt at cogs.susx.ac.uk From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:22:21 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:22:21 -0600 Subject: /Anatolian /-nt-/ and Greek /-nth-/ In-Reply-To: <[email protected]> Message-ID:
So this would be the same root as the 3rd Singular verb ending -nt- ? e.g. Latin ama-nt "love-they all" >iffr762 at utxvms.cc.utexas.edu wrote: [ moderator snip ] >>I suppose we could say that the form was originally >>/-ndh-/, but the Anatolian forms in /-nt/ are generally considered older. >The IE etymon is *-nt- (probably identical to the >Luwian/Slavic/Tocharian collective (plural) suffix *-(e/o)nt-). >======================= >Miguel Carrasquer Vidal Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:27:37 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:27:37 -0600 Subject: Greek question & the pre-history of *nekwt In-Reply-To: <004a01be67db$a2b62f60$ca9ffad0@patrickcryan> Message-ID:
[snip] >-----Original Message----- >From: Patrick C. Ryan
>Date: Friday, March 05, 1999 10:14 PM [mucho snip] Then write <X> :> I mean :> >Rich, I never write anything as
because I frequently am switching from >email to .html and whatever is between the < and > is treated as an >instruction rather than copy in .html. [gran esnipo] Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From iffr762 at utxvms.cc.utexas.edu Tue Mar 9 02:19:47 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 20:19:47 -0600 Subject: Results of Researches into Salmonids Message-ID:
No, the thing I was vaguely remembering is not the "salmon trout" (salmo trutta). It is the so-called "Danube salmon", or "huchen" (hucho hucho) which is not actually a salmon, or even a trout, but a very close relative of these. Pictures (p. 49 of "The Encyclopedia of Aquatic Life") show something that looks sort of like a monster salmon or trout (weights of over one hundred pounds have been reported). The fish is big enough that in the Volga it gets confused with sturgeon. (Go figure: it does not actually look anything like a sturgeon.) There are two kinds, the European and the Asian. The European kind lives only in the Danube system, while the Asian kind is described as living "from the Volga to the Amur", whatever that means (presumably centrqal and northern Asia). Turning to Malory, and to Diebold as reported by Malory, it seems that somebody has screwed up, for it is said that huchen do not occur in "the Pontic-Caspian steppe". As the Volga flows into the Caspian, I find it difficult to see how this can be right. Perhaps Diebold was not aware of the Asian species? But if Diebold is right that no PIE word for this fish can be reconstructed, then the Caspian part of the Pontic-Caspian steppe would be excluded as a possible homeland, by the usual arguments (which are necessarily decisive.) Speaking of the Caspian, there is (or was) a sub-species of tiger called the Caspian tiger. Though in recent times it has been restricted to the mountains (Elburz?) south of Teheran, it was formerly found along some of the rivers of the Eastern steppe (the Oxus and all that), as were pigs, its main prey. This too seems negative (thought not necessarily decisively so) for this region having been the much-discussed homeland. DLW From X99Lynx at aol.com Tue Mar 9 17:14:10 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Tue, 9 Mar 1999 12:14:10 EST Subject: IE and Substrates and Time Message-ID:
In a message dated 3/8/99 6:14:14 AM, you wrote: <<
> This seems to me to be very important to any analysis of how IE diffused in Europe. 1. Why do we assume that the IE languages would not act precisely like the non-IE languanges and splinter into extremely local variations? What glue would hold IE together ESPECIALLY if you take the view that PIE entered or expanded in Europe before 4000BC along with agriculture? This gives us a huge period of time for PIE speaking settlers to sit in their own local areas throughout Europe and somehow maintain "a massive linguistic simplification" instead of breaking down into a whole patchwork of PIE descendents. The theory that says that either PIE or the standard IE protolanguages were being spoken in Europe in even 2500BC requires a very small number of language groups to put a hold on localization for a millenium while Hittite, Sanskrit and Mycenean were just getting ready to rear their heads as the first historically identifiable IE languages. What was holding them together as one language or perhaps a set of no more than what?, four or five proto-languages for a thousand years? 2. You analogize the coming of PIE to the coming of the European languages to the patchwork of pre-Columbian American languages. But it took European languages no more than two centuries in most places in America to displace the prior languages in a much greater mass of land. Compare this to the Renfrew or even the Mallory hypotheses that have PIE (as a contiguous language) cross Europe a few square miles per year over as much as 3000 years. The time of conversion is not the point here, it is rather the amount of time intervening afterwards. 3. A critical question this raises seems to me to be how these languages were standardized. The idea of a proto-IE or even a proto-Keltic throughout Europe before say 1800 BC gives us a language being spoken mainly by illiterate sedentary farmers who would have no knowledge if their language had varied from those of their neighbors a hundred miles away. An yet it has them all having spoken fundamentally the same language for as much as 2000 years before hand. If a sound shift did arise out of nowhere because of some sudden predisposition or fashion towards fricatives or aspirates, how was that shift passed on? The English, Spanish and French of the 1600's all had core institutions for regularizing speech and grammar. The hornbook, the Bible, the priest or preacher, the Castilian or Etonian administrator or cleric, the school teacher and of course the itinerant merchant were all instruments of both continuity and change for such a large displacement of language. The written word itself - our only direct evidence of languages and dialects no longer spoken and syntacts no longer used - is something totally absent from the PIE scene in Europe before 1300 BC. What standardized those PIE speakers in Europe so that they didn't turn into the "the situation in New Guinea" over the course of thousands of years? I think one viable answer is that they didn't. The solution is time - to reduce the amount of time they would have to develope thousands of different IE daughter languages in every nook and cranny of the European continent. And it also brings us closer in time to recognizable standardizing influences - like merchants, priests, manufacturing specialists and urban centers. This would also give us a much faster process of conversion to IE, much closer to the analogy given above to the conversion of the American languages - "a massive linguistic simplification." Regards, Steve Long From fcosw5 at mail.scu.edu.tw Wed Mar 10 00:17:05 1999 From: fcosw5 at mail.scu.edu.tw (Steven Schaufele) Date: Tue, 9 Mar 1999 16:17:05 -0800 Subject: Anatolians Message-ID:
Miguel Carrasquer Vidal wrote: > ... > It's a generally recognized fact that a PIE stop system *t, *d, > *dh is typologically unacceptable. What about a stop system distinguishing between voiceless, voiced, and aspirated (unmarked for voicing)? Or am i being naive? Steven Schaufele, Ph.D., Asst. Prof. of Linguistics, English Department Soochow University, Waishuanghsi Campus, Taipei 11102, Taiwan, ROC (886)(02)2881-9471 ext. 6504 fcosw5 at mail.scu.edu.tw http://www.prairienet.org/~fcosws/homepage.html ***O syntagmata linguarum liberemini humanarum!*** ***Nihil vestris privari nisi obicibus potestis!*** From JoatSimeon at aol.com Tue Mar 9 19:38:03 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Tue, 9 Mar 1999 14:38:03 EST Subject: Anatolians Message-ID:
>mcv at wxs.nl writes: >that "wool" didn't exist in the vocabulary even in pre-Neolithic times. -- sheep didn't develop wool, as we know it, until well after domestication. Use of wool as a fabric is comparatively late -- well after the beginning of the neolithic. >The plough was also used since the very beginning of the Neolithic, -- no, nyet, not true. Not unless you redefine "plough" to suit the argument and include wooden shovels and digging sticks. No animal traction, no plow. The ard, the earliest true plow, is 4th millenium BCE (same period as wheeled vehicles) and this is well-attested achaeological fact. >That leaves only "yoke", with the undoubted Hittite reflex
as a >possible candidate for being a late Neolithic innovation. -- this is a rather drastic case of attacking the evidence rather than trying to work with it. Evidence primary, hypothesis secondary, please. >but there is a Luwian attestation: asuwa. This looks very much like an Indo- >Iranian borrowing (Skt. as'va < PIE *ek^wos), were it not for the fact that >Luwian "dog" is -- the obvious, parsimonious explanation is that the Anatolian languages used ordinary IE terminology for the horse. >yielded a treatise on horses, containing a number of words of Indo-Iranian >origin, written by a Mitannian called Kikkuli). -- and the English terminology for formal riding is largely French and Spanish in origin, although English-speakers have been riding horses as long as there's been an English language (or proto-Germanic, come to that). Meaningless. >Hittite cognates (Hittite "wheel" is not *kwekwlo- or *rotHo- but >
, related only to Tocharian
"circle, wheel"), -- and having cognates in Tocharian and Hittite is about as secure a way to put a word into the PIE category as I can think of. Two unrelated IE language families widely separated in time and space -- what do you want, an egg in your beer? The only plausible argument for that is that this is an archaic term, since both Tocharian and Anatolian separated from PIE early. >"shaft" and "harness" when Hittite doesn't even share its basic kinship >terminology with Indo-European and has a different word for "four". -- excuse me, but kinship terminology has some bearing on horse harness technology? Run that one by me again? From sw271 at cus.cam.ac.uk Tue Mar 9 08:52:37 1999 From: sw271 at cus.cam.ac.uk (Sheila Watts) Date: Tue, 9 Mar 1999 08:52:37 +0000 Subject: Greek question & the pre-history of *nekwt In-Reply-To: <010b01be667d$6104c400$c93963c3@niywlxpn> Message-ID:
>No doubt someone will prove me wrong, but I believe Hittite was deciphered >at first by German speakers - so z was used as in German, which is a great >pain. It = /ts/. I am frankly appalled by this level of ethnocentricity. What's the idea, we shouldn't allow non-English speakers to decipher ancient languages because we can only handle orthography that reads like English? If anyone is working in linguistics who finds it a problem when an orthographical symbol has different phonetic value in different languages, he or she should get out fast and try maths instead. Sheila Watts _______________________________________________________ Dr Sheila Watts Newnham College Cambridge CB3 9DF United Kingdom phone +44 1223 335816 From mclssaa2 at fs2.mt.umist.ac.uk Tue Mar 9 08:44:25 1999 From: mclssaa2 at fs2.mt.umist.ac.uk (Anthony Appleyard) Date: Tue, 9 Mar 1999 08:44:25 GMT Subject: Celtic and English Again Message-ID:
Peter &/or Graham
wrote:- > On the lack of influence from Celtic in English: > ... Egypt, which was Egyptian-speaking for yonks, > then Greek speaking for nearly a thousand years The upperclass may well have learned Greek, but the mass of the population may have stuck to the late form of Egyptian called Coptic. For example, the modern Arabic placename Aswan continues Ancient Egyptian `Suan' (or similar) and ignores the Greekized name `Elephantine'. (That and the Egyptian name referred to big round rocks in the Nile there, that looked like elephants wallowing in the water.) > but now speaks Arabic with very little, if any, trace of either "substrate". There are at least these carry-overs from Ancient Egyptian into Egyptian Colloquial Arabic (ECA) (as distinct from educated speech):- (1) Unstressed vowels becoming the same as adjacent stressed vowels, and dropping when possible, e.g. standard Arabic {kabiir} = "big", but ECA {kibiir) = "big", {wa kbiir} = "and big". (2) Initial glottal stop + unstressed vowel often dropping when the previous word ends in a vowel, whether or not in standard Arabic that glottal stop was a {hamzat al was.l}. > Does this suggest that languages can indeed be replaced without great effect > on the invading language, if other circumstances are right, and that the lack > of influence from Celtic on English is not really so remarkable? Anglo-Saxon diphthongizes short front vowels before {r} and {l} or if the next vowel is a back vowel. That occurs also in Old Norse; but where did the Anglo-Saxons pick it up from? From JoatSimeon at aol.com Tue Mar 9 19:46:59 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Tue, 9 Mar 1999 14:46:59 EST Subject: Chariots Message-ID:
>petegray at btinternet.com writes: >with inconclusive results about when horses were strong enough to carry a >person on their back. -- Horses were always strong enough to carry a person on their back _for a while_. Zebras, wild horses, and ponies no larger than the neolithic/Bronze Age chariot pony could all do this. The question actually relates to how long they could be ridden and how much gear the rider could carry. From glengordon01 at hotmail.com Tue Mar 9 09:07:48 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Tue, 9 Mar 1999 01:07:48 PST Subject: Lenis and Fortis in IE Message-ID:
MIGUEL (on the topic of potential Greek borrowings of Anatolian): >Probably because Anatolian t was aspirated, or sounded aspirated >to the Greeks. Alright so Anatolian *t was /t
/? I've been thinking about your idea on fortis and lenis stops existing in IE (which is eerily similar to an idea I had about Pre-IE which has been evolving for six monthes or more now). I'm already prone to accept your idea in some form. About Pre-IE, I was considering a while back that although it seems unlikely to me that IE had ejectives (since their glottalic quality seems conveniently to disappear with almost no trace), I considered an alternative idea - that Pre-IE in fact had lenis and fortis stops that were the result of a shift from earlier ejectives (This is in connection with Uralic actually but I will digress). However, I figure that the _fortis_ stops are what Gam. call the "glottalic" and would thus correspond to the *d/*g series. The lenis consonants are the voiced aspirate (*dh) and voiceless plain stops (*t) of old, all of which I had interpreted as voiceless and I believe I mentioned this earlier on the list. Pre-IndoEtruscan (Stage 1) *t
*t? *t Pre-IndoEtruscan (Stage 2) *t
*t: *t IndoEtruscan *t
*t *tT Etruscan t t th IE *t
*t *tT Traditional t d dh In this scenario, Hittite medial geminates would correspond to the aspirate stops in opposition to a merged set corresponding to both the voiceless affricates (*dh, *gh, *bh) and the voiceless inaspirates (*d, *g). Maybe fortis/lenis distinctions in IE proper might have validity but I suspect a more evolved situation from this distinction (cf *t > IE *tT (*dh)). Sanskrit voiced aspirates would have evolved from voiceless affricates as are found in original voiceless form after mobile *s- and in all environments in Greek. The original voicelessness of the "voiced inaspirates" can be found in Germanic and in the Latin initial stops for example. What I like about this idea is that the "fortis" consonants correspond exactly to an earlier "ejective" set that thus explains the lack of *b (which would have been *p? > *p: and then uniquely merging with *p - I guess lips are too weak to make the distinction :) The glottalic theory therefore still supplies the best explanation so far of lack of *b but there is no need for supporting ejectives in actual IE proper. [ Moderator's comment: Modern Estonian has a three-way opposition in the obstruents, lenis ~ fortis ~ geminate (fortis) (traditionally "short" ~ "long" ~ "overlong"). According to Ilse Lehiste, a native speaker, the word for "Help!" is [ap:i]--and the obstruent may be held for some time. --rma ] Optionally, assuming only that you accept Etruscan and IE relationship, a correspondance can be seen between the two as shown above. Note if Etruscan
matches IE *bhi then it suggests to me that a loss of *p: was very early and affects both languages. Suggestion: Pre-IEtr [*t
, *t, *tT] > [*t
|
Proto-Indo-European language
|
For what ethnic group are Misnah and Gemara the two main parts of Talmud law?
|
/dz/, or that we must take Hittite spelling literally and read
as /tts/ and
as /ts/ is a matter of interpretation. I favour the latter view. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Thu Mar 4 20:03:07 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Thu, 4 Mar 1999 20:03:07 GMT Subject: IE, Genetic Data, Languages of Anatolia In-Reply-To: <[email protected]> Message-ID:
Due to the interruption of mailing list traffic and my impression that this message was addressed to me only, I answered privately to Wolfgang Schulze' message close to a month ago. Here is another response.
wrote: >Miguel Carrasquer Vidal schrieb: >> I tend think of North Caucasian (NEC/NWC) as the >> primary candidate for the original language of the steppe lands. >> The Northern Caucasus is a "residual zone", in Johanna Nichols' >> terminology. It contains the linguistic residue of the peoples >> that were once dominant in the neighbouring "spread zone" (the >> steppe). >Do you have any LINGUISTIC proof or at least some indications that would >justify such an assumption? My argument was not specifically linguistic, but historico-geographical. It is a matter of simple observation that the North Caucasian zone harbours the linguistic residues of what once were the predominant populations in the steppe zone to the north of it. The predominant language now is Slavic, but we find Mongolian (Kalmuck) and Turkic (Nogai, Balkar etc.) enclaves in the North Caucasus zone. Ossetic remains as the residue of the Scytho-Sarmatian predominance in the steppe zone before the coming of the Turks. The logical next step is to think that NWC and NEC are also North Caucasian remnants of populations that were once predominant in the steppe *before* the coming of Iranian and Indo-European. Especially so if one, like me, rejects the notion of a steppe homeland for PIE. Of course, if one accepts the steppe homeland hypothesis, the thought that NWC and NEC might also be "residual" pre-IE populations never crosses one's mind, which is why Johanna Nichols herself ("The Epicentre of the IE Linguistic Spread" [in: Blench/Spriggs, "Archaeology and Language", 1997]) uses NWC and NEC linguistic data (borrowings from ANE languages) as a *fixed* reference point to measure the distance of "mobile" PIE and PKartv from the Near East, as if it were a given that PWC and PEC had been in their present positions "forever". That being said, what LINGUISTIC evidence would we expect to find for a former presence of NEC and/or NWC in the Pontic-Caspian steppe? I don't think the "horse" word is relevant: horses were domesticated in the steppe by Indo-European speakers after the supposed replacement of PEC and PWC speakers by IE speakers. This replacement would have been one by (Sub-)Neolithic pastoralists/agriculturalists (IE) of prior Mesolithic (PWC/PEC) populations, which requires very little contact between the two groups (the Mesolithic population just gets instantly outnumbered), so I wouldn't expect PWC/PEC toponyms surviving or a significant amount of PWC/PEC borrowings into Eastern IE. The only linguistic arguments would be if NWC or NEC could be linked up to languages to the north and east of the Pontic-Caspian steppe. In that sense, Starostin's Sino-Caucasian interests me for the consequences it may have for the PIE homeland. I don't know enough about Caucasian and Sino-Tibetan linguistics to evaluate the proposals, even if I had seen all of them. However, my mind was somewhat prepared to consider Sino-Caucasian as a possibility because, before I had ever heard of Sino-Caucasian or Starostin, I had discovered for myself some interesting parallels between NWC, NEC and ST numerals. For instance: Tib Lak Lezg Ubyx Adyghe 1. g-cig ca sa za z@ 2. g-nis [k.i q.we tq.wa t.w@] 3. g-sum s^an [pu] ssa s^@ 4. b-zhi [muq. q.u] pL'@ pL'@ 5. l-nga [xxyu wa s^x'@ tf@] 6. d-rug ryax rugu [f@ x'@] 7. b-dun [arul iri bl@ bL@] 8. br-gyad myay mu"z^u" g'w@ y@ 9. d-gu urc^. k.u" bg'@ bg'w@ 10. b-cu ac. c.u z^w@ ps.'@ There may be something there. Not that this, if true, proves a genetic connection (numerals are easily borrowed), but it may at least suggest ancient contacts between the NC groups and (S)Tib, and the only logical place for this to have happened is the Central Asian steppe. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam [ Moderator's note: This is moving away from Indo-European; perhaps a shift to the Nostratic list is indicated for follow-ups other than to the IE portions above. --rma ] From JoatSimeon at aol.com Thu Mar 4 20:16:04 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Thu, 4 Mar 1999 15:16:04 EST Subject: IE and Substrates Message-ID:
I think we should keep in mind that the European linguistic situation in historical times is probably much simpler than it was in the Mesolithic or early Neolithic. Reasoning by analogy from the situation in New Guinea or eastern pre-Columbian North America, there were probably _many_ more languages and language-families in Europe before the Indo-European expansion. Not just one or a few non-IE families which were then replaced by Indo-European. The IE expansion would then represent a massive linguistic simplification, a "reformatting" of a previously crowded scene. From petegray at btinternet.com Thu Mar 4 20:11:20 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Thu, 4 Mar 1999 20:11:20 -0000 Subject: Update on *nekw and the N-word Message-ID:
Glen Gordon said: >IE *nek-/*nok- "to bear, to carry, to convey" > (I've never seen this root. Does anyone know? Try: Avestan fra-nas- = to bring; (nas = to reach) Vedic naSa:mi = to reach Greek e:negkon, ene:nokha, etc all < e-nek- (aorist and perfect forms of) to carry Old Norse nest = provisions for a journey OCS nesti etc to carry, bear, bring Lithuanian neSu etc. Latvian nesu etc. I don't have a Pokorny, but I suspect this is one of the cognates not to be found in him. Peter From petegray at btinternet.com Thu Mar 4 20:23:12 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Thu, 4 Mar 1999 20:23:12 -0000 Subject: Greek question & the pre-history of *nekwt Message-ID:
> BTW: is Hittite
/dz, z^/, /ts,c/ or /z/? No doubt someone will prove me wrong, but I believe Hittite was deciphered at first by German speakers - so z was used as in German, which is a great pain. It = /ts/. Peter From mcv at wxs.nl Thu Mar 4 20:25:24 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Thu, 4 Mar 1999 20:25:24 GMT Subject: Ix-nay on the ostratic-nay In-Reply-To:
Message-ID:
iffr762 at utxvms.cc.utexas.edu wrote: > With regard to reconstructing 1sg pronouns, there is (or so I seem >to recall) a cross-linguistic tendency for these to be formed with /m-/, >probably from a weaker variant of what might be called the "mama >syndrome": sounds that babies tend to make early tend to be pressed into >service as words that mamas and babies might use to relate to each other, >like "mama" and "me". I don't think so. > So seeing a 1sg in /m-/ does not necessarily mean much. This is true (although seeing 1sg in /m-/ AND 2sg. in /t-/, or 1sg. in /n-/ AND 2sg. in /k-/ may definitely mean more). There is, I think, a cross-linguistic tendency for (personal) pronouns to be short forms. For instance, in PIE they show a pattern CV where verbal and nominal roots have at least CVC. The same thing is true for many other language families, although I have not made a study of this. In that sense, seeing a 1sg. form apparently based on *mV- doesn't mean much in itself, especially given the fact that /m/ is a phoneme that is present and common in the overwhelming majority of the world's languages. I also haven't made a study of phoneme frequencies the world over, but my impression is that the general monosyllabicity of pronominal stems and the relatively high frequency of the phoneme /m/, plus "number of pronominal stems to be distinguished" versus "number of phonemes in the language" are sufficient to explain the number of languages that have 1p.sg. *mV- (which really isn't *that* large, I'd say 10-20%). No need for a "mama-effect". ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From w.behr at em.uni-frankfurt.de Thu Mar 4 21:02:45 1999 From: w.behr at em.uni-frankfurt.de (WB (in Frankfurt today)) Date: Thu, 4 Mar 1999 22:02:45 +0100 Subject: IE, Genetic Data, Languages of Anatolia Message-ID:
At 13:30 25.02.99 -0500, Alexis wrote: AMR| I have yet to AMR| see any real debate of the SC hypothesis. If there is any AMR| competent comment on this hypothesis, pro or con, I would AMR| appreciate references. Well, take a look at Alexander Vovin's excellent review article on WSY Wang ed. (1995), _The ancestry of the Chinese language_ (_Journal of CHinese Linguistics 25[1997]2: 308-336) for starts. Sasha demon- strates that Starostin's SC reconstruction rests on multiple correspon- dances not showing any trace of phonological conditioning (ST *-t, for instance, has no less than 17 PNC correspondances!), that "there is anything but regularity", that SC "with its 150 or 180 consonants does not even remotely resemble a human language", and that Starostin introduces rather dubious rules of root reduction (a la Paul King Benedict), which are even contradicted by his own etymologies. Vovin concludes (fair enough, I must say!), "In my opinion, the Sino-Cua- casian theory in the shape as it is presented is better placed on the back burner, until more regular and phonologically motivated corres- pondances can be offered." If I remember things correctly, there will be a workshop on SC in Cambridge (at the McDonald Institute of Archeo- logy) sometime this year, so maybe we will see a convincing defense of Starostin before long ??? Cheers, Wolfgang ps, re: AMR| I don't know what Miguel views of Sino-Caucasian are, but I AMR| do know that these kinds of speculations are precisely grist AMR| to the mill of those, like Wolfgang, who are perhaps all AMR| too eager to dismiss the SC theory w/o a proper evaluation. Oh well... for Wolfgang Schulze's _very proper_ evaluation of the C-part of SC, cf. his review of Starostin & Nikolayev in _Diachronica_ 1997.1: 149-161. From glengordon01 at hotmail.com Thu Mar 4 21:41:20 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Thu, 4 Mar 1999 13:41:20 PST Subject: IE and Etruscan Message-ID:
>>>Etruscan is non-Indo-European. Hell, we can't even read it! >>Oh, but we can! There is general agreement on the values of the >>letters and a large proportion of the inscriptions can be >>translated without much difficulty. >There are also words in Latin said to be of Etruscan origin [e.g. >satelles, persona, etc.] as well non-IE substrate common to Latin & >Greek that may from Etruscan and/or a congener [I think form-/morph- >are among them] While there are things like
"grandson" which look much like loans from Latin, when you find enormous coincidences that couldn't possibly have been borrowed into Etruscan from Latin or Greek such as
"in front of" with the initial laryngeal or
"build, found", you really have to start wondering about a genetic relationship of some kind with IE, especially when there is a pattern of unique sound correspondances to boot. Even Anatolian borrowings don't cut it because of those pesky grammatical elements that won't go away. So amidst all this data I would personally say that anyone that doesn't agree that IE and Etruscan are genetically related by now are the ones that are truly gaga. So get ye to a library! :) -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From X99Lynx at aol.com Fri Mar 5 05:19:57 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Fri, 5 Mar 1999 00:19:57 EST Subject: *p>f Revisited - When was German invented? Message-ID:
In a message dated 1/26/99 8:32:31 AM, Miguel Carrasquer Vidal wrote: <
> Returning my question about Why *p>f?: The answer most commonly given related either to social causes or in a certain case to some tendency towards aspiration. There is another explanation however. It suggests that Germanic seems "archaic" not because it split-off early as Miquel suggests above, but because it emerged very late. And it explains p>f not as a "sound shift," but as a fundamental part of the conversion from a non-IE to an IE language by German speakers. John Hawkins in Bernard Comrie's The World's Major Languages (1987) (p.70-71) puts the general case for this, using a migration theory: "At least two facts suggest that the pre-Germanic speakers migrated to their southern Scandanavian location sometime before 1000BC and that they encountered a non-IE speaking people from whom linguistic features were borrowed that were to have a substantial impact on the developement of Proto-Germanic." Hawkins goes on to mention the 30% non-IE vocabulary that is being documented on this list. He also goes to another piece of evidence: "...the consonantal changes of the First Sound Shift are unparalleled in their extent elsewhere in Indo-European and suggest that speakers of a fricative-rich language with no voiced stops made systematic conversions of Indo-European sounds into their own nearest equivalents..." Both Hawkins and Comrie assumed, of course, that there was a migration - which we now have strong reason to believe did not occur, given both Cavalli-Sforza's evidence and the recent mDNA findings that show even less evidence of any meaningful migration. And - and this is key - if there was no migration, then the change that Hawkins speaks about - conversion of IE sounds to a fricative-rich language with no voiced stops - MUST HAVE HAPPENED right from the beginning of German. It makes no sense to think that Germanic speakers first adopted proper IE sounds and then returned to their former non-IE accents. This means the First Germanic Sound Shift ACTUALLY reflects the presrvation of prior non-IE sounds during conversion to an IE language. AND it would mean that the First Sound Shift must have happened at the time the IE language was first introduced. In other words, there was no Germanic *p> Germanic f. There was no proto-Germanic *pemke (five). Because the non-IE speakers had no reason to drop the /f/ in adopting the IE word and then go back later and sound shift back to it. And, BTW, this explanation of how the First "Sound Shift" happened is far more reasonable than postulating a massive arbitrary later adoption of those sound changes. Or an unexplainable impulse to fricatives, etc. Germanic as IE "with an accent" explains the "shift" with a consistent underlying reason (a partial conversion from non-IE) that works across the board for all former speakers of that earlier language rather than being a later "trend" that coincidentally got picked up by all Germanic speakers but somehow was rejected by all non-Germanic speakers. That kind of subtle consensus is improbable. (Because he is postulating a mass migration, Hawkins uses the words "systematic conversion" to IE, which seems to postulate some Proto-Germanic Academy of Language. An non-IE accent is much more plausible for the universality of the sound change in German-speakers and total non-adoption by any others IE speaking group.) If the First "Sound Shift" actually marks the conversion of a non-IE language into IE Germanic, then it was only completed around 500BC (according to Hawkins and Comrie.) And this would have many implications for our understanding of the history and spread of IE languages. For one thing it would not make sense to talk about "proto-Germanic" branching off a "proto-IndoEuropean" core. There would have been no PIE at this point in time. Germanic would have had to have been acquired from a SPECIFIC existing IE language or languages. (I even think I have a candidate for that language and somewhat documented historical circumstances.) And there is nothing inconsistent with this archaeologically. I don't think I need to repeat the often repeated dictum that we have no reason to think Corded Ware/Battle Axe cultural evidence tells us in any way what language was spoken by those who left it behind. Or that any change in language from non-IE to IE would be marked by any noticeable change in that material evidence, since it was preliterate. Finally, as a reality check, it should be remembered that we have no solid evidence of Germanic before 300ace. If IEGermanic was finally formed some short time before 500bce, then that would mean 800 years passed before the Gothic Bible was written down. 800 years was sufficient for Gallic to be replaced entirely by the new language of French. Yet less remains of Gallic among the contiguous population of France then remains of non-IE among the Germans. There is really no need and no evidence that would necessarily extend the emergence of an IE proto-Germanic much before 500bce. Respectfully, Steve Long [ Moderator's comment: And what of the very similar, though completely separate, Armenian shift? --rma ] From maxw at cogs.susx.ac.uk Fri Mar 5 11:29:34 1999 From: maxw at cogs.susx.ac.uk (Max W Wheeler) Date: Fri, 5 Mar 1999 11:29:34 +0000 Subject: rate of change In-Reply-To:
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On Wed, 24 Feb 1999, Rick Mc Callister wrote: > But before 1500, Spanish & Portuguese were farther apart than they are now. > Rick Mc Callister Oh yeah? Who says? It wouldn't take long to list some significant changes in Spanish since 1500 which have moved it away from Portuguese. But it won't be worth it without a good reason to believe the claim made above. Max ___________________________________________________________________________ Max W. Wheeler
School of Cognitive and Computing Sciences University of Sussex, Falmer, Brighton BN1 9QH, UK Tel: +44 (0)1273 678975; fax: +44 (0)1273 671320 ___________________________________________________________________________ From maxw at cogs.susx.ac.uk Fri Mar 5 14:18:29 1999 From: maxw at cogs.susx.ac.uk (Max W Wheeler) Date: Fri, 5 Mar 1999 14:18:29 +0000 Subject: non-IE/Germanic In-Reply-To:
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Many thanks to Rick McCallister for these interesting lists (only recently received, since forwarded by our moderator from Nostratic, which I'm not on. One thing is not clear to me. What is the significance of the presence in the list of Romance borrowings from Germanic (?all from Vennemann 1984)? Is it because the etyma are not themselves attested in Germanic? This might be the case for Fr heraut (> Eng herald) < Frk *herialt, or Fr honte < Frk *haunitha. In which case, is it being suggested that these words don't have plausible etymologies within Germanic, or IE cognates? [according to Onions, ODEE, herald is orig from Gc *xariwald- < *xarjaz `army' + *wald- `rule'.] But this wouldn't seem to apply to the entries like It. guatare, in connection with which Meyer-Lübke, Romanisches etymologisches Wörterbuch, cites Frk wahta (REW 9477c) and Langobardic wahtari (REW 9478), without asterisks. [And Onions, ODEE gives OHG wahten, s.v. wait.] (And as Germanic words, the entries with Romance guV- belong under w-, and the French with e'c(h)- belong under sk-.) Max ___________________________________________________________________________ Max W. Wheeler
School of Cognitive and Computing Sciences University of Sussex, Falmer, Brighton BN1 9QH, UK Tel: +44 (0)1273 678975; fax: +44 (0)1273 671320 ___________________________________________________________________________ From ERobert52 at aol.com Fri Mar 5 16:43:16 1999 From: ERobert52 at aol.com (ERobert52 at aol.com) Date: Fri, 5 Mar 1999 11:43:16 EST Subject: IE and Etruscan Message-ID:
jpmaher at neiu.edu wrote: > Vladimir Georgiev [Sofia] held that Etruscan was early IE and > related to Hittite. > ... > nobody contested his data nor his thesis. > ERobert52 at aol.com wrote: >> No sensible person thinks Etruscan is IE, and most people who say >> it is are pretty wacky, A comparison of Etruscan with Hittite and the other Anatolian languages shows some similar features such as noun declension endings and the role of clitics, indeed some of the clitics are the same. Some possible cognate lexical items have also been pointed to. These are either due to chance, Sprachbund, borrowing, a substrate, or a genetic relationship. However, all other things being equal, the common ancestor of such a genetic relationship would need to be at a date prior to the break-up between Proto-Anatolian and the rest of IE because Etruscan is less similar to the rest of IE than the Anatolian languages are. What is clear is that Etruscan cannot constitute a branch of IE on a par with, say, Celtic or Albanian, let alone be a member of such a branch, despite repeated efforts to prove the contrary over the years by e.g. Mayani, Gruamach etc. by attempting to look up Etruscan words in a modern dictionary for the relevant language group that they want to claim a relationship with. Sometimes similar suggestions even involve throwing in some inscriptions that are actually Umbrian or Venetic and lo and behold, Etruscan is suddenly IE. I would describe these approaches as not sensible. I discovered another website today where somebody's "research" had led them to the conclusion that Etruscan was actually Ukrainian (not even Proto-Slav, nor OCS, but Ukrainian). This I call wacky. This should be contrasted with points of view such as the idea that Etruscan forms part of a longer range construct including but prior to IE (Kretschmer), or has some sort of affinity with certain Anatolian languages (Stoltenberg), which are points of view that deserve to be treated seriously, although their linguistic evidence is, understandably, a bit slim. I believe Georgiev was saying something perfectly reasonable similar to this. On a related matter, there is obviously some sort of connection between Etruscan and western Anatolia given the historical references from several sources linking the Etruscans to Lydia. Frank Rossi speculated recently (on historical grounds) that there might be an Etruscan substrate in Lydian. However as far as I can see there is no more linguistic evidence that would link Etruscan with Lydian than would link Etruscan with Hittite. Or am I missing something? Ed. Robertson From petegray at btinternet.com Mon Mar 8 18:07:11 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Mon, 8 Mar 1999 10:07:11 -0800 Subject: Salmon. Message-ID:
>salmon in the Danube. Salmon trout are found in the Danube according to Mallory - but not the other kind of salmon. Peter From xdelamarre at siol.net Sat Mar 6 00:31:27 1999 From: xdelamarre at siol.net (Xavier Delamarre) Date: Sat, 6 Mar 1999 01:31:27 +0100 Subject: Non IE words in early Celtic Message-ID:
Reply to Rick Mc Callister : 1/ *abol- (*a:b- with Lex Winter) "apple" : Italic, Celtic, Germanic, Balto-Slavic, possibly Thracian or Dacian (the gloss dinupula < *k'un-a:bo:la:). Enough to have IE status. Considered as non-IE because of -b-, itself considered as non-IE, circular. 2/ *aliso "alder": add Slavic jelicha, Russ. _ol'cha_, lithuanian _alksnis_, Latin _alnus_ (*alisnos). Enough to have IE status. 3/ Gaulish _bra:ca_ : latin _suffra:go:_ "jarret" (<*bhra:g- "cul"), cf after Schrader, O. Szemenenyi (An den Quellen des lateinischen Wortschatzes, 117-18). 4/ Gaulish _bri:ua_ "bridge" (cf place names Caro-briua, Briuo-duron etc.), germanic *bro:wo: & *bruwwi: (> bridge etc.), OCS _bruvuno_ "poutre, rondin", Serbian _brv_ "passerelle" (prob. the original meaning). 5/ Germanic _bukkaz_, clearly an expressive gemination of *bhug'o- (Avestic _buza_) etc. 6/ Gaulish _dunum_ "enclosed place", Germanic *tu:na- (> town, Zaun etc.) ; C. Watkins, Select. Writ. 2, 751-53, has related Hittite _tuhhusta_ "finish, come to an end, come full circle" (cf Latin _fu:-nes-_ < *dhu:-). A possibility : I am a bit suspicious because it is a root-etymology. 7/ *gwet- "resin" : not only Celtic-Germanic, (Latin _bitu-men_, may come also from Osco-Umbrian), but O.Ind. _jatu-_ "Lack, Gummi", Mayrhofer EWAia 1, 565. 8/ Gaulish (& Celtic) _i:sarno_ "iron" : explained convincingly by W. Cowgill as the regular reflex of IE _*e:sr-no-_ "the bloody (red) metal" (Idg Gramm. 1,1). 9/ Gaulish canto- "edge, circle" : explained by O. Szemerenyi, Scrip. Min. 4, 2036-38, as _*kmto-_ from a root _*kem-_ 'cover'. A possibility. 10/ "lake" : add Greek _lakkos_ <*_lakwos_ "cisterna", OCS _loky_ "id." ; for the alternance a / o (as for the word 'sea' *mori/*mari), JE Rasmussen, Studien zur Morphophonemik der idg Spr. 239-40, has proposed an explanation. I hope to be able to present a more detailed account of these etymologies in my "Dictionnaire de la langue gauloise", to appear in the coming years. I do not believe very much in "Nordwestblock" theories (Hamp, Huld, recently Beekes, who does not think that *ab- "water" and *teuta: "people" are IE), taken from Meillet's "vocabulaire du nord-ouest" (by the way) : you can prove the antiquity of a designation (by a set of correspondences), but not draw conclusions in reason of its absence (argumentum e silentio) in a given dialect. The old problem of dialectology. A good example has been given recently : a lot of speculation, with sociological consequences, had been produced from the fact the Celtic had no representant of the canonic IE words for son & daughter (*su:nus, *dhugHte:r). The later word is now attested in the Plomb du Larzac as _duxtir_ ; by pure chance. the same is true of _lubi_ "love" (no trace of this IE root in insular Celtic) or _deuoxtonion_ gen. plur. "of Gods & Men" (no trace of dvandva compositum in ins. C.). etc. Xavier Delamarre Ljubljana From mcv at wxs.nl Sat Mar 6 03:29:58 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sat, 6 Mar 1999 03:29:58 GMT Subject: Anatolians In-Reply-To:
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Rick Mc Callister
wrote: >Would your outline would be something like this? >Outliers are marked with * >I.IE to c. 5500 BCE >A. *Anatolian c. 5500 BCE >B. Non-Anatolian IE 5500 BCE > 1. *Tocharian c. 5000 BCE > 2. Eastern [Steppe] IE c. 5000/4500 BCE > a. Indo-Iranian 3200 BC > b. Greco-Armenian [Thracian?] 3200 BC > i. Hellenic > ii. *Armenian > iii. Thracian-Phrygian Too little is known about Thracian and Phrygian to call them. I've also grown rather dubious about Greco-Armenian. The similarities between Greek and Armenian (mainly in vocabulary) must be secondary, resulting from interaction in the Balkans, but Armenian must've split off from the main body of IE containing Greek earlier. > 3. Central/Western [LBK] IE c. 5000/4500 BCE > a. Germano-Balto-Slavic 4500-4000? BCE > i. Balto-Slavic 4000 BCE [GBS Sprachbund 3K-1K BCE] > ii. *Germanic 4000 BCE [GBS Sprachbund 3K-1K BCE] Same doubts about GBS as about Armeno-Greek. Secondary interactions. > b. Celto-Italic-Venetic-etc. [Illyrian?] 4500-2000 BCE? > i. Celtic 2000 BCE > ii. Italic 2000 BCE > iii. Venetic 2000 BCE > iv. ?Illyrian? 2000 BCE? > v. Lusitanian? 2000 BCE? Nothing is known about Illyrian, little about Venetic or Lusitanian. > And there the question of what Albanian is/was. > Is it the remains of whatever Balkan IE language was there before >Greco-Armenian? My feeling is that it's somewhat intermediate between Greek and Balto-Slavic, maybe leaning more towards the BS side. Although it also has some things in common with Italo-Celtic in the verbal system. It seems much more logical that it would be descended from Illyrian rather than from Thracian (much more Latin than Greek borrowings), and I can say that with impunity, as *nothing* is known about Illyrian (not even if it was a single language group). The diagram as I posted it some time ago: Stage 1. Anatolian splits off (actually, PIE (LBK) splits off: 5500). Anatolian <-- PIE Stage 2. Tocharian splits off (c. 5000 ?). Anatolian ; PIE --> Tocharian Stage 3. Germanic and Armenian split off (4000?). Anatolian ; Germanic <-- PIE --> Armenian ; Tocharian Stage 4/5. Final break-up of PIE (3500). Anatolian; Germanic ; Italo-Celtic <-- Greek-Indo-Iranian --> Balto-Slavic , Albanian ; Armenian ; Tocharian So the original tree would be: PIE / \ Anatolian /\ / \ /\ Tocharian / \ /\ /\ / | | \ Germanic | | Armenian | |\ Italo-Celtic | \ / \ Albanian / \ /\ Balto-Slavic / \ Greek Indo-Iranian After that, the situation was slightly complicated by secondary interactions between Germanic and Balto-Slavic, and Greek/Albanian/Armenian. Stage 6. Balkan and Baltic interaction spheres (3000-2500). Anatolian [Greece/Anatolia]; Greek/Albanian/Armenian [Balkan]; Italo-Celtic [Bell Beaker]; Germanic/Balto-Slavic [Corded Ware]; Indo-Iranian [(pre-)Andronovo]; Tocharian [Yenisei/Sinkiang] Stage 7. Further interactions (2000-1000). Anatolian/Armenian [Anatolia]; Greek/Albanian/Italic [Mediterranean]; Celtic/Germanic [NW Europe]; Balto-Slavic/Iranian [E Europe/C Asia/Iran]; Indic [India]; Tocharian[/Iranian] [Sinkiang] ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Sat Mar 6 03:50:55 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sat, 6 Mar 1999 03:50:55 GMT Subject: /Anatolian /-nt-/ and Greek /-nth-/ In-Reply-To:
Message-ID:
iffr762 at utxvms.cc.utexas.edu wrote: > Perhaps I am missing something here, but why should Anatolian >place-names with /-nt-/ (or for that matter /-nd-/) be borowed into Greek >with /-nth-/? Probably because Anatolian t was aspirated, or sounded aspirated to the Greeks. >I suppose we could say that the form was originally >/-ndh-/, but the Anatolian forms in /-nt/ are generally considered older. The IE etymon is *-nt- (probably identical to the Luwian/Slavic/Tocharian collective (plural) suffix *-(e/o)nt-). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Sat Mar 6 05:36:13 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sat, 6 Mar 1999 05:36:13 GMT Subject: Anatolians In-Reply-To:
Message-ID:
JoatSimeon at aol.com wrote: >>mcv at wxs.nl writes: >We know Renfrew's 7000 BCE is too early for PIE >because of the absence of the late-Neolithic innovations recorded in PIE in >7000 BCE. However, that vocabulary _is_ there in Anatolian. Let's take a closer look at this. What are these late Neolithic innovations? Mallory claims that such words as "wool", "milk", "plough" and "yoke" belong here, as central parts of the new vocabulary associated with the "Secondary Products Revolution" (Sherrat) of the late Neolithic. But surely there's no reason to think that words such as "milk" and "wool" didn't exist in the vocabulary even in pre-Neolithic times. In the early Neolithic, sheep, goats and cattle were domesticated, and there is evidence for dairying of cattle in Northern European LBK sites. The plough was also used since the very beginning of the Neolithic, if only in the form of a branch or stick (Irish ce:cht, Gothic ho:ha, Slavic soxa; Skt. hala-). That leaves only "yoke", with the undoubted Hittite reflex
as a possible candidate for being a late Neolithic innovation. I've been unable to find a reference to the first archaeological evidence for the yoke, and I gather that Sherrat's inclusion of the yoke in the "Secondary Products Revolution" toolset is mainly based on Sumerian depictions of it (Johanna Nichols compares PIE *yugom with PKartv. *uG-el- and PEC *r=u(L')L' (*r=u(k')k')). Another undoubted Late Neolithic innovation is metal working, but here the Hittite vocabulary is completely unrelated to the main IE one (except maybe the word for "white, silver" harki-). Finally, the principal lexical argument revolves around the horse and horse technology. The Hittite word for "horse" is unknown (aways written Sumerograpically as AN$E.KUR.RA), but there is a Luwian attestation: asuwa. This looks very much like an Indo-Iranian borrowing (Skt. as'va < PIE *ek^wos), were it not for the fact that Luwian "dog" is
(PIE *k^won-). So either there was a satem-like Luwian sound law *k^w > sw, or Luwian borrowed both words from Mitanni-Aryan. Borrowing of the horse word is not surprising (the Hittite archives at Boghazko"y yielded a treatise on horses, containing a number of words of Indo-Iranian origin, written by a Mitannian called Kikkuli). Borrowing of the dog word seems less plausible (although Slavic sobaka is of course borrowed from Iranian as well). The other words related to horse technology yield no Hittite cognates (Hittite "wheel" is not *kwekwlo- or *rotHo- but
, related only to Tocharian
"circle, wheel"), except for two curious items: "shaft/pole", Hittite hissa ~ Skt. i:s.a:, Grk. oie:ks, Slav. oje(s)- and "(to) harness", Hittite turiia- ~ Skt. dhu:r-. It is, I believe, no coincidence that these are Hittite-Sanskrit isoglosses (if we discard the Greek and Slavic words for having different Ablaut). Again, the most likely explanation is that these are Mitanni-Aryan loanwords. After all, it would be rather strange to find the exact same inherited words for cultural items such "shaft" and "harness" when Hittite doesn't even share its basic kinship terminology with Indo-European and has a different word for "four". ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From petegray at btinternet.com Sat Mar 6 12:58:42 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 12:58:42 -0000 Subject: /Anatolian /-nt-/ and Greek /-nth-/ Message-ID:
DLW asks: >why should Anatolian >place-names with /-nt-/ (or for that matter /-nd-/) be borowed into Greek >with /-nth-/? (a) a phonetic explanation: Hittite (as you probably know) shows only the voiceless stops. If there is no phonemic distinction between aspirate and unaspirated, or between voiced and voiceless in Hittite (although there may be between geminate and non-geminate), then we know nothing about the actual articulation. So perhaps the Greek borrowings, if they were borrowings, are genuine reflections of the actual phonetic value. (b) a non-phonetic explanation We should also note that borrowings into other languages from English sometimes have results that are odd to our eyes, and may be done for morphophonemic reasons, e.g. the Hebrew use of /q/ for English /k/, which prevents fricativisation in certain contexts. So perhaps we should leave open the idea that the borrowing as Hittite written -nt- as an aspirate or a voiced consonant might have had some non-phonetic explanation. Peter From petegray at btinternet.com Sat Mar 6 13:09:26 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:09:26 -0000 Subject: Celtic and English Again Message-ID:
On the lack of influence from Celtic in English: Perhaps a comparable situation can be found in Egypt, which was Egyptian-speaking for yonks, then Greek speaking for nearly a thousand years, but now speaks Arabic with very little, if any, trace of either "substrate". Does this suggest that languages can indeed be replaced without great effect on the invading language, if other circumstances are right, and that the lack of influence from Celtic on English is not really so remarkable? Peter From petegray at btinternet.com Sat Mar 6 13:17:21 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:17:21 -0000 Subject: Cowgill's Law Message-ID:
Our Moderator said: >Cowgill's Law ... >I see that it does not appear in Collinge, It would not be in Collinge since he deliberately excludes those laws which are specific to one language group. Peter [ Moderator's comment: Of course! I wasn't thinking when I flipped it open to check. Thanks! --rma ] From petegray at btinternet.com Sat Mar 6 13:04:32 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:04:32 -0000 Subject: Germanic and Balto-Slavic Cases in /m/ Message-ID:
DLW suggested: /bhi/ being added to the accusative (in /-m/) This in itself would be an enormous innovation, which no other IE language group shows for any of its cases. (The only exception might be the unproven development of the accusative plural from accusative singular +s). So alas, even if true, (which it isn't), it would still remain "diagnostic". Peter From petegray at btinternet.com Sat Mar 6 13:01:09 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sat, 6 Mar 1999 13:01:09 -0000 Subject: Chariots Message-ID:
"true cavalry". This has to do with the development of a horse strong enough to be ridden. I think there has been discussion of this in this group before, with inconclusive results about when horses were strong enough to carry a person on their back. Peter From glengordon01 at hotmail.com Sun Mar 7 03:37:01 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Sat, 6 Mar 1999 19:37:01 PST Subject: IE to ProtoSteppe Message-ID:
[ Moderator's note: While I would prefer not to discuss this here when it is an on-going topic on HistLing, I can't in good conscience not post it and then post other items to which it has something to say. So since it started out on the IE list, I'm posting it to the IE list rather than Nostratic (where I'd not be any happier to see it, really :-). --rma ] Hi y'all, I have transfered this N-word topic over to the NOSTRATIC list from the INDO-EUROPEAN List. It really belongs in both but the IE world and the moderator, stubborn as they both are :), are not ready yet for this kind of discussion in the latter list. Sadly its likeliest pre-history and those of the language groups it interacts with, is very important in the discussion of IE and the geographical position of its range that we eventually find: ME (GLEN): >>If we accept (as we should) that IE is genetically tied to languages >>like Uralic and Altaic JOATSIMEON: >-- frankly, I think relationships at that time-depth are >unrecoverable with any degree of confidence. This illustrates one of my frustrations about debates on these lists (and don't get me wrong, I'm glad that they exist and they are necessary). You see, I'm trying to understand the logic that some employ to deny external relationships with IE and I often find it gnawing at my nerves because of its senselessness. (I know, even on the Nostratic list, there are some who fight long-range genetic relationships in favor of the Valley Girl's NULL hypothesis). Now, I can fully understand that one can have the legitimate view that _AT PRESENT TIME_, such things are not recoverable to a _strong degree_ as JS points out. This is a matter of opinion. However, should this stop one from thinking and conjecturing beyond what we know in order to even vaguely answer these questions of genetic relationship? How can a study progress if one doesn't strive to progress with new ideas and to stretch all that is known to its fullest volume? This is how any science in general works and conjecture is a necessary component in good research. Many will agree that IE is now reconstructable to a decent degree (at least in terms of general vocab). So is that it? We just stop, fly our hands up in the air and quit? Well, unless we have grown old of our research, we take what we know and expand it, conjecture, find more evidence, etc., so that we can reach a new level of understanding about the field we're working with. Therefore, why is it then that we have many on this list and others with this illogical agnostic/defeatist attitude? Can we really place a limit on what we can find out or learn at any given time? Again, no. We ironically don't know enough to begin to calculate such a limit unless we profess divinity of ourselves. We simply don't know what we will discover or can discover and I hope no one will argue with that bit of intuitive reasoning. This problem fits the topic of external IE genetic relationship as good as any. Do we know 100% that IE is related to Uralic? No. Do we know 100% that IE is NOT related to Uralic? No. Do we know 100% that IE existed as we expect it does? No. Maybe 25%, 80%, maybe 95% or even 99% but we can't say that it's proven for all time or without foundation of "evidence" and wipe one's hands clean of it. The questions remain to be answered, not ignored carelessly. Thus it should be fairly apparent to people already what I'm getting at. Until those wacky nuclear physicists back at the science lab discover how to warp space-time back to the time of a given proto-language, comparative linguistics will always be _pure theory_. Since this is theory, Alexis' opinion is off-center. There can be no unanimous distinction on what is dismissable "conjecture" and what isn't. Ideally and preferably, to make a conjecture more probable, a theory should be based on relevant evidence of some kind. Many times, because this is a topic of linguistics, linguistical evidence is supplied to validate a theory. Sometimes it's archaeoligical in nature, or even (gasp!) genetic. Despite the type of evidence, though, "proof" as such is really a matter of logic and relative probability. "Proof" is defined by the degree of likelihood an idea has to overcome the barrier of insignificance of its beholder and to stick it out from other competing theories. So here's my conjecture and let it's proof be Reason at last: IE is more closely related to Uralic, Altaic and other "Eurasiatic" languages than anything else. What do IEists often say to this? "Can't be proven", "I don't think it can be recoverable", "Pure hogwash" and that's that. This is where my sense of logic starts paining me because here we find such a defeatist attitude at work deceiving many into an ultra-conservative, anti-research frame of mind that denies answers to questions simply because the answers are purely probabilistic, not boolean. "Maybe" instead of "is, without a doubt". Probability, however, is the vary nature of comparative linguistics! Surely IE is most likely related to something. No self-professed linguist could possibly pretend that IE invented its own language (aside from Pat in re of his Sumerian idea). So we go beyond that, we conjecture, we allow ourselves to step beyond the obvious and fight for more knowledge. We search for the most probable external links with IE. We can't prove without a trace of uncertainty that IE is related to Uralic and Altaic. We may not be able to prove it with a 25% probability, a 5% probability, or even a 0.00001% probability. We can't even measure the probability in realistic terms. The probability of the theory on its own is not the point. The point is: in regards to any other competing theories out there on IE external links (from NWC to Benue-Congo), what is the MOST probable? What has the most weight? Is this probability large enough over the other possibilities. Well, given that language groups like Algic or other "Amerind" langauges have to be an exceedingly low probability on this list of possibilities, we thus CAN create a list of language groups ordered by their degree of probability and, to the very least, answer vaguely the question of IE genetic relationships (ie: "It's very, very, very unlikely that IE is related to Amerind languages within the past 10,000 years"). The probability may appear "small" (a relative term to the beholder) but in relation to all other theories possible in terms of genetic relationship with IE, Eurasiatic languages are set miles apart from the rest. If you disagree, don't just say "dunno". Agnosticism is blatantly illogical. What is the most probable answer in all in your view? What is your basis? Answer it, even if it is a vague and probabilistic answer. Dare to have an opinion. It's reasonable to have one as long as you understand that it has less weight over theories with large amounts of evidence. Even someone who thinks that we will never know for absolute surity, must with any degree of sanity agree this hypotheses is the best possible one we can have. I really would like to crack the "can't-do-it-so-why-bother" reasoning and talk realistically about these external relationships. I would prefer to do it on the IE group where this discussion would be all the more meaningful amongst those staunchly opposed to long-range comparison but alas... -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From proto-language at email.msn.com Sat Mar 6 14:13:25 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Sat, 6 Mar 1999 08:13:25 -0600 Subject: Greek question & the pre-history of *nekwt Message-ID:
[ moderator re-formatted ] Dear Rich and IEists: -----Original Message----- From: Patrick C. Ryan
Date: Friday, March 05, 1999 10:14 PM >I know of no reflex that suggests a palatal (^) + labial combination. Are you >suggesting that I am considering g[^]h-w-? I am not. I think -gh-w- is still >the likeliest termination. >[ Moderator's comment: > Perhaps I am confused about what you mean when you write
: To me, > this suggests a segment *gh followed by a segment *w, especially when you > write about the latter being "carried over into the first syllable". Yes, this is exactly what I meant: *negh(V)w-. > My point is that the symbol used in all Indo-Europeanist literature which is > not limited to ASCII has a superscript
, which in my TeX-influenced way > I would write as *g{^w}h (or less preferably *gh{^w}). Rich, I never write anything as
because I frequently am switching from email to .html and whatever is between the < and > is treated as an instruction rather than copy in .html. [ Moderator's comment: Old habit: If square brackets indicate phonetic values, and slashes indicate phonemic values, then angle brackets indicate *graphemic* values, that is, how something is spelled in the orthography under discussion. Much older than HTML, so I'm going to claim priority for it. ;-] I have tried to indicated the labiovelars as g[w], k[w], and the palatalized versions g[^][w], k[^][w]. [ Moderator continues: See above: That is extremely confusing--either mixing phonetics in, or if taken as in syntax, indicating something optional. --rma ] > I'm afraid that the sloppy manner in which labiovelars get written has > misled you into thinking that the -u- of the Greek word _nuks, nuktos_ is > metathesized from after a palatal (or simple velar, if you allow three > series of dorsals). Well, I might not have it right, but that is what I favor at the moment. *negh(V)w- -> *neugh- + s/t -? neuk(h)s/t-. [ Moderator's response: It may be what you favor, but it flies in the face of the data: Sanskrit *requires* a labiovelar, or the accusative would be **nas.t.am rather than the attested _naktam_. And what is represented by that "*s/t -?" ? --rma ] >But, let me ask a question: are you saying that Hittite does *not* suggest >that the final element before the [w], glide or extension, was voiced? That >is a perfectly legtimate position but I was not aware it was very >well-represented these days. >[ Moderator's response: > I've not addressed this issue before. Sturtvant himself noted a *tendency* > for single vs. double writing of (mostly voiceless) stops to correspond to > a voiced vs. voiceless distinction in the rest of Indo-European (or, as he > would have it, in Indo-European proper). However, as I remember what he > said about Hittite _nekuz_, he considered the spelling
to represent a > labiovelar which could not otherwise be written in cuneiform--and since it > thus appears before another consonant, the single/double writing tendency > would not be germane. [ Moderator's comment on previous response: I have since looked in Sturtevant's _Comparative Grammar of Hittite_ (2nd, 1951) and his _Indo-Hittite Laryngeals_, and find that I have mis-stated his views: He clearly reads the syllable as such. I cannot for the life of me remember where I learned the other interpretation. --rma ] Yes, I believe that must have been Sturtevant's view with a modification. On pg. 43 of "A Comparative Grammar of the Hittite Langauge), he indicates Indo-Hittite *nekwts. But then on p. 59, contradictorily, he indicates *neg'wty; and goes on to say: ". . . such forms as nukha . nuktor (Hesych.), ennukhos 'of night', pannukhios, autonnnukhi 'in the same night', whose aspirate proves that the second consonant of the IH word was g' ". On the previous page, he defines IH g' as "IE gh, g[^]h, or the velar part of ghw". Finally, on page 181, Sturtevant lists "ne-ku-uz . . . . . . neguts", which is the "Suggested phonetic interpretation". Now, this all suggests to me that Sturtevant believed (at least as of the writing of this book) that the IE stem was *negh(V)w-. [ Moderator's response: You are correct, this does appear to be what he believed. However, I think he was wrong. The argument I first cited was not Sturtevant's, but it was nevertheless the right interpretation, based on readings of other lexical items such as the interrogatives. --rma ] Pat From iffr762 at utxvms.cc.utexas.edu Sat Mar 6 15:48:56 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Sat, 6 Mar 1999 09:48:56 -0600 Subject: Celtic influence In-Reply-To: <[email protected]> Message-ID:
Yes, I agree there is seemingly Celtic (grammatical) influence in most of Western Romance, most notably French. It is just a little more difficult to nail down, without actual knowledge of the Celtic languages in question. For example we may note the "two BE verbs" syndrome in Iberian. DLW From iffr762 at utxvms.cc.utexas.edu Sat Mar 6 16:02:45 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Sat, 6 Mar 1999 10:02:45 -0600 Subject: Feminines in Neuter Plurals Message-ID:
What exactly is the argument here? That if the feminine had been a recent development from the masculine, the masculine plural rather than the neuter would be used for mixed M/F plurals, therefore the feminine cannot be a recent development from the masculine? What if the feminine is a recent development from the neuter/inanimate? Very un-PC, I know, but stranger (and more un-PC) things have happened. And is it not true the Conventional Wisdom has the feminine developing from the neuter/inanimate anyway? Perhaps I am missing something, but I find it difficult to understand what is being alledged. DLW From dtompkin at thunder.ocis.temple.edu Sat Mar 6 17:19:10 1999 From: dtompkin at thunder.ocis.temple.edu (Dan Tompkins) Date: Sat, 6 Mar 1999 12:19:10 -0500 Subject: Mallory Message-ID:
On pastoralism, I'm no expert. And I have not followed the discussion closely. Here are two comments that may or may not be appropriate: if they are not, I apologize. The situation of the Plains Indians sounds in any case anomalous, doesn't it, in that there were two big exogenous variables at work: getting forced out of areas like Wisconsin, and then getting the horse. On pastoralism in the Greek world, Jens Erik Skydsgaard, 'Transhumance in the Greek Polis,' in C.R. Whittaker (ed), Pastoral Economies in Classical Antiquity (Cambridge UP, 1988) argued (as I recall: can't find the book right now) that 'pure' pastoralism did not exist, that in general agriculture took place at the same time. Without the essay in front of me I can't tell what time frame he put on this. Anyhow, the discussion is interesting! Dan Tompkins Faculty Fellow for Learning Communities Associate Professor, Greek, Hebrew & Roman Classics Conwell Hall, Temple University 1801 North Broad Street Philadelphia, PA 19122-6096 215 204-4900 (phone) 215 204-5735 (fax) dtompkin at thunder.ocis.temple.edu [ moderator snip ] From dtompkin at thunder.ocis.temple.edu Sat Mar 6 17:48:16 1999 From: dtompkin at thunder.ocis.temple.edu (Dan Tompkins) Date: Sat, 6 Mar 1999 12:48:16 -0500 Subject: Error on pastoralism Message-ID:
On consulting some notes I realize I had it wrong on Skydsgaard. There are two essays in the Whittaker volume dealing with transhumance. Here is my summary of the one by Stephen Hodkinson: Hodkinson, S. (1988). Animal husbandry in the Greek polis. C. R. Whittaker (editor), Pastoral Economies in Classical Antiquity, Cambridge Philological Society Supplementary Volume 14, (pp. 35- 74). Cambridge, England: Cambridge University Press. Argues that pastoralism and agriculture were integrated more than standard view holds. (As I recall, SH was opposing the standard view as a form of "environmental determinism" based on departure of flocks from valleys in summer due to heat, and consequent lack of manure in fields). Skydsgaard in same volume opposes this view; Spurr in his review JRS 79 (1989) also has reservations. Spurr says small farmers could devise ways to keep flocks on farm all yr round, and himself opposes environmental determinism. Jameson in "Agric. Labor in Ancient Greece" in Berit Wells (ed) Agriculture in Ancient Greece (Stockholm, 1992) finds the notion that animal husbandry on small scale was an "integral part of mixed agriculture" convincing. Dan Tompkins From JoatSimeon at aol.com Sun Mar 7 02:06:17 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Sat, 6 Mar 1999 21:06:17 EST Subject: Chariots Message-ID:
[ moderator re-formatted ] In a message dated 3/5/99 7:31:44 PM Mountain Standard Time, iffr762 at utxvms.cc.utexas.edu writes: >But if this is true, it has implications (however circumstiantial) for the >development of true cavalry, for as of about 2000 BC chariot cavalry was >evidently regarded as the latest most terrifying thing by all concerned (as >various nomads burst out of various steppes employing it) and so this would >suggest that the development of true cavalry must have been later. >> -- depends what you mean by "cavalry", which is not the same thing as "riding horses". Chariots were generally used as mobile missile platforms for archers. Developing the proper type of bow for use from horseback, and the techniques for employing it, took time. Shock action from horseback needed developments in weapons and horse-harness. From JoatSimeon at aol.com Sun Mar 7 02:14:00 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Sat, 6 Mar 1999 21:14:00 EST Subject: Celtic influence Message-ID:
In other words, French has about 200 words borrowed from Gaulish -- including many very common items of everyday speech -- while OE has 12 from Brythonic. Furthermore, the emergence of a standardized written form of OE (based on the Wessex dialect) took place centuries _after_ the Anglo-Saxon settlements in Britain. For the first 200 years and more, the Saxons were illiterate. From mcv at wxs.nl Sun Mar 7 06:59:11 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Sun, 7 Mar 1999 06:59:11 GMT Subject: Non-IE roots in Germanic/@, a, e, i, j, o, u In-Reply-To:
Message-ID:
Larry Trask
wrote: >> aecse [OE] > ax, axe >> [< ?Vasconic"; see Basque aizkora "axe, hatchet"] [tv95, tv97] >I think everyone agrees that Basque
`ax' is a loan from Latin >
`hatchet'. The Latin word would have been borrowed as >*
; the [h] is a suprasegmental feature in Basque; the */l/ would >have undergone the categorical early medieval change of intervocalic /l/ >to /r/; and the diphthongization of /a/ to /ai/ in an initial syllable >is a familiar though sporadic in Basque: compare
`sacred, >holy', from some Romance development of Latin
. Might the word not have been borrowed directly as
, with metathesis of the /i/ (especially if Latin
already had a degree of allophonic palatalization)? That, or analogy with the other tool words in (h)ai(t)z-. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From proto-language at email.msn.com Sun Mar 7 08:15:49 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Sun, 7 Mar 1999 02:15:49 -0600 Subject: Greek question & the pre-history of *nekwt Message-ID:
Dear Glen and IEists: -----Original Message----- From: Glen Gordon
Date: Saturday, March 06, 1999 9:16 PM >PATRICK: >>In any case, I have subsequently revised my reconstruction to >>*negh-w-. >First, we will assume that you mean *negh
-, where
is superscript, >as the moderator validly keeps pointing out but that you blatantly >ignore. I am sorry that you do not understand what a root extension is. In previous postings, I have identified the -w- as a root extension. This has nothing to do with g[w], which is the method I use to indicate the so-called labiovelar. [ Moderator's note: I had also noted your use of the term "root extension", which I understood perfectly (Petersson's _Wurzeldeterminativ_, for example), but assumed that it was part of your misanalysis of the ASCII string "neghw-" as a palatal + a labial rather than a badly written labiovelar. So lay off Mr. Gordon. --rma ] >This means that the labial element is _fused_ to the velar. >There is no suffixing whatsoever. The phoneme *ghw is ONE element in >this case, otherwise we should expect -v- in Sanskrit
. We don't, >so that's it. I have also written that I believe that possibly two roots were in use: *negh- and *negh-w-. Do you not comprehend what you read? [ Moderator's comment: Since I did not comprehend it, either, I see no need to pursue this line of insult any further. --rma ]
>Third, re Hittite's doubled consonants, are you sure that when a medial >consonant is doubled that it means "un-voiced"? That is what Sturtevant thought. [ Moderator's comment: It is indeed the standard theory, though there are some who see rather lenis- fortis than voiced/voiceless. --rma ] >I could have sworn it >was meant to be the other way around which would mean that Hitt.
>comes from *nekwt as expected and all you have to work with is Greek to >keep the (and I'll say it again) "flimsy" Nostratic theory afloat. If you ever read Sturtevant, and a few other appropriate manuals, you might be in a much better position to usefully discuss Nostratic. [ Moderator's comment: Sturtevant did not address the Nostratic theory of his day; he was instead denying that the Anatolian languages were part of Indo-European proper. That is, he fully accepted a Neogrammarian reconstruction of PIE, and was trying to explain how Anatolian differed, rather than taking the Anatolian data as calling for a different interpretation of the IE data already at hand. So a reading of Sturtevant, while instructive for a budding laryngealist as to the extremes to which it can be taken, has nothing to offer to Nostratic. --rma ] >The theory is flimsy because you use localized phenomena in a single IE >language (in this case, Greek) as a means to create an unsupported IE >reconstruction so that you can then casually link IE directly to >Egyptian of all things. I have also used Hittite. [ Moderator's comment: But you still haven't explained the rest of the Indo-European data, which at the very least call for a labiovelar (cf. Sanskrit) and not a determinative *-w-. --rma ] >You seem to forget that not only does Egyptian come from Afro-Asiatic first >off from which many, many millenia seperate these two stages but that on top >of it, IE and Afro-Asiatic would be seperated by a good 10,000 years or more >by even the most right-wing Nostraticist. That does not change a thing. Pat From proto-language at email.msn.com Sun Mar 7 08:40:43 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Sun, 7 Mar 1999 02:40:43 -0600 Subject: Greek question Message-ID:
Dear Rich and IEists: -----Original Message----- From: Patrick C. Ryan
Date: Sunday, March 07, 1999 2:27 AM >Dear Rich and IEists: [ moderator snip ] >If you want me to cite individual etymologies, I will be glad to do so but >I have collected a great number of them, illustrating this relationship, in >my Afrasian essay at >http://www.geocities.com/Athens/Forum/2803/comparison.AFRASIAN.3.htm >[ Moderator's response: > I want to see not only individual etymologies, I want to see an exposition > of the sound laws which drive them. I want to see not only "the roots of > verbs" but "the forms of grammar", such that "no philologer could examine > them ... without believing them to be sprung from some common source." > --rma ] Perhaps you did not notice the Table of Correspondences. http://www.geocities.com/Athens/Forum/2803/comparison-AFRASIAN-3-table.htm [ moderator snip ] >[ Moderator's response: > You could assert it, but you have not proven it. Please remember that this > is the Indo-European list, and that a relationship with Egyptian cannot be > *assumed* for your argument, but rather must be demonstrated using accepted > comparative methodology which addresses the standard model of Indo-European. > --rma ] I have demonstrated it using accepted comparative methodology. Pat [ Moderator's response: No, I submit that you have suggested a line of inquiry at most. You have yet to demonstrate it to the satisfaction of J. Random Linguist. And your con- tinued assertion that your version of Proto-World is directly ancestral to PIE weakens your credibility greatly. --rma ] From mcv at wxs.nl Tue Mar 9 17:55:22 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Tue, 9 Mar 1999 09:55:22 -0800 Subject: Anatolians In-Reply-To:
Message-ID:
JoatSimeon at aol.com wrote: >>mcv at wxs.nl writes: >>Renfrew's 7000 BC is too early [for PIE], Mallory's 4000 BC is >>too late [for Anatolian]. >-- nope to the latter. We know Renfrew's 7000 BCE is too early for PIE >because of the absence of the late-Neolithic innovations recorded in PIE in >7000 BCE. However, that vocabulary _is_ there in Anatolian. Such as? >Eg., the First Vowel Shift in Germanic can be >securely dated to after 700 BCE, because Celtic ironworking loan-words in >Proto-Germanic underwent the shift. You must mean the First Consonant Shift. But there's no such thing. There's no reason to assume, and some rather good reasons to reject the notion that Grimm's Laws worked all simultaneously and in one go, or even that such a thing as Grimm's ever took place. It's a generally recognized fact that a PIE stop system *t, *d, *dh is typologically unacceptable. The original Proto-Germanic phonological system must have been similar to the Armenian one, with *t = *th, *d = *t['], *dh = *d, yet another archaic feature of Germanic, though not quite as archaic as Hittite and Tocharian. But Verner's Law *is* as archaic as that, as we can equate it with the Baltic-Finnic consonant mutation tt ~ t under the influence of stress/syllable structure [see Vennemann, "Hochgermanisch und Niedergermanisch", sorry can't find the exact ref. now Theo?], so it must have worked in Germanic at a period when (partial) voicing had not yet taken place, and the opposition was (as in Hittite) between fortis *tt (=*t) and lenis *t' (=*d) and *th (=*dh). The final stage, aspirate > fricative (*th > *T, *kh > *x) was probably much more recent and in fact rather trivial. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From petegray at btinternet.com Sun Mar 7 16:46:00 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Sun, 7 Mar 1999 16:46:00 -0000 Subject: St Jerome Message-ID:
>Peter and or Graham said that Jerome wrote 'bad Latin'. My original posting was so long ago I have forgotten both the content and the context. If I did really say that, I apologise deeply to the group! But I suspect I am being misquoted! Peter From jer at cphling.dk Sun Mar 7 18:22:36 1999 From: jer at cphling.dk (Jens Elmegaard Rasmussen) Date: Sun, 7 Mar 1999 19:22:36 +0100 Subject: PIE *gn- > know/ken In-Reply-To: <[email protected]> Message-ID:
On Sat, 27 Feb 1999, Miguel Carrasquer Vidal wrote: [...] > The most acceptable solution from my point of view is that PIE > did not have any voiced stops at all. Instead it made a > distinction between fortis and lenis stops (as in Finnish, Danish > or Hittite), where the fortis (tense) stops (*t etc.) were always > voiceless and pronounced longer/with more energy ([t:] or [tt]). > The lenis (lax) stops (*d and *dh, etc.) were less energetic/ > shorter, and had voiced allophones. They came in two kinds, one > aspirated (*dh = [th]), the other not (*d = [t]). Or, > equivalently, one glottalized (*d = [t']), the other not (*dh = > [t]). Not wanting to open the whole can of worms again, let me just ask this: Is a change from lenis to voiced stop natural and frequently seen? If so, where? If it is not part of general experience I do not see the commending simplicity in choosing "lenis t" as the origin of Latin, Greek and Indic plain voiced d. Where "d" and "dh" merged, they are voiced, as in Balto-Slavic, Celtic and Albanian - why derive this from a basically voiceless protoform? - Isn't the only thing "wrong" with the IE system that the aspirated tenues (ph, th, kh ...) have not been accepted? Then, if we have SOME evidence for asp.ten., but not enough to guarantee reconstruction of an overwhelming number of etymologies, but without them the system as such becomes a truly overwhelming mess, isn't the easiest solution then to accept that SOME etymologies containing ph, th, kh are correct and that the PIE system was as in Sanskrit? Is it not a very strong claim that ALL cases of asp.ten. are in last analysis based on mistakes? For some I could understand this right away, even for many, perhaps most, but for each single item?? Jens E.R. From JoatSimeon at aol.com Sun Mar 7 20:15:01 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Sun, 7 Mar 1999 15:15:01 EST Subject: Danube homeland. Message-ID:
>mcv at wxs.nl writes: >but it makes it the best candidate by default, and any alternative theories >should offer a pretty good case for why the IE homeland should be located >elsewhere, and what happened to the languages of these "Anatolian farmers" or >"Old Europeans". -- same thing that happened to the languages of the Elamo-Dravidians who were the first farmers throughout Iran and North India. The area between Iraq, Central Asia and Central India is just as large as Europe and got agriculture just as early, earlier in fact. It's also historically demonstrable that the IE languages were intrusive in this area, and virtually completely replaced the previous language-families; with a few minor exceptions like Brahui, comparable to Basque. >The gap between Anatolian and the rest of IE is too large to be fitted into >the limited time allowed by the Kurgan movements into SE Europe. -- nope. The speed of linguistic change is not even remotely consistent. Eg., Lithuanian and Sanskrit, both about equally distant from PIE, one spoken in the 2nd millenium BCE, one spoken in the 2nd millenium CE. >Why shouldn't Anatolian simply have changed quickly?then it's perfectly >imaginable that PIE developed after 7000 BC somewhere in the Balkans or >Hungary, and spread across the rest of the continent (C., N. and E. Europe) >in the LBK/Danubian phase, c. 5500 BC, as well as to the steppe zone >(Dnepr-Donets Tocharian?] before 5000 and Sredny-Stog [>Indo-Greek?] c. 4500). -- nonsensical. The PIE vocabulary is full of items which just weren't around before 4000 BCE. This alone completely rules out such a hypothesis. From glengordon01 at hotmail.com Mon Mar 8 00:41:29 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Sun, 7 Mar 1999 16:41:29 PST Subject: Caucasian languages and Asia Minor Message-ID:
DR WOLFGANG SCHULZE: >The problem is that people do not accept language isolates. What is an >isolate? It's a language that obviously has no documented relatives. Yes there is a problem but it's not the definition of "isolates". I fully understand that this means that a given language MIGHT have relationships but that the language is difficult to relate to others, pure and simple. This could be for many reasons, one of them being that there may be only very distant siblings that survive to be analysed, as you say. However, I have trouble with the idea that seems to arise on this subject that because a language group can't be 100% proven to be related to another language group that we should take up the NULL hypothesis in place of it, ignoring the question completely of genetic relationship and the probabilities and uncertainties inheirant in its answer (whether this be NEC or IE). There still remains the most likely relationships and I would be concerned of the reasoning skills of anyone who considers the possibility of IE being closely related to Uralic as equal as the possibility, say, of a strong relationship with Algic, half-way 'cross the world. There remain high probabilities and low probabilities despite lack of what you would accept as certain "proof". This is the probabilistic nature of comparative linguistics. The idea that IE is the ancestor language of the languages we find in Europe and India now (as well as the ubiquitous English), is all based on probability too. We don't find actual, _physical proof_ of people speaking this supposed IE language but it is highly probable that one existed in some form at least 5,000 years ago based on a damn good theory that has been refined better as we learn more, a theory that, because of alot of speculation beyond what we had known in the past, has moved forward. >Relatives are established by means of regular sound correspondencies >based on lexical *words* (and not *stems*) as well as on morphological >correspondencies that match established sound correspondencies. And wouldn't it be wonderful in an ideal world? However, in the case of IE, (and I suspect similarily in NEC) much of the recoverable language is verb roots, whether that be nouns or adjectives based on verb roots or extended verbs built on the more basic ones. Atomic nouns are not all that common in the IE language and inevitably due to declension and the nominative *-s, are ALL "stems" save those 1% who have no marker in the nominative. Thus, morphological correspondances by your criteria must hold most of the weight of the proof. So how much proof is proof enough to make it credible? This is a very subjective thing. What we SHOULD be concerned about is finding the relative probability of a hypothesis, based not only on the data that one can supply for it but on the probabilities of other possible theories of relationship in comparison to it. At that, we can conclude very apparent things such as Algic's relationship with IE is extremely remote in comparison with a Uralic relationship (as we should be concluding intuitively!) as well as more opaque concepts such as the most likely pre-IE interactions with neighbouring languages. Unfortunately, we can't even begin to fathom answers to these questions, not because we don't know enough, but because we've gotten stuck in a rut over the impossible-to-attain "100% probability" and not on "the BEST probability that we can achieve at present". >[An isolate] simply is an orphan with unknown parents. [...] >I think that's just what the situation is like with respect to East >Caucasian. Unless you're saying that NEC invented its own language, it's related to something (even if it is remote as I suspect similarly). So there must be some candidates that stick out amongst the random chaos of world language groups like Benue-Congo, Austronesian, Ainu, etc. I'm willing to wager that NWC is one of those better candidates even lacking your absolute "proof". And because I know that IE is likely to be related to something for the same reason as NEC above, I'm willing to wager that IE (and Etruscan) are more closely affiliated with languages like Uralic and Altaic as opposed to things like Basque (Larry will agree :), Ainu, NEC (you'll even agree), etc. This is just common sense and taking the NULL position on this subject isn't. >These nagging questions are quite trendy, but that does not mean that >they are on safe grounds with respect to method and language theory... >But paradigms [hopefully] change, as Kuhn told us.... Humans answering nagging questions has been trendy for millions of years. It's all logic and probability with a hint of imagination. Hopefully this is a paradigm that will never change. -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 17:58:03 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 11:58:03 -0600 Subject: non-IE/Germanic/h In-Reply-To:
Message-ID:
[snip] As Mao Ze Dong once said, "Don't match pearls with the God of the Deep Blue Sea." So I'll correct the Basque spellings and meanings. >> haltha- "slope, slant, incline" > Halde "slope, hillside", heald [OE] >> "hillside" >> [< ?Vasconic; >> see Basque halde, alde, ualde < ?*kalde "face, side, flank"] [tv95, tv97] >The Basque word is
in the eastern dialects but
everywhere >else, as a result of the categorical voicing of plosives after /l/ in >all but the eastern dialects. No such form as *
is known to me. >Lhande's 1926 dictionary cites
and attributes it solely to the >17th-century writer Oihenart, but Oihenart in fact used
, and so I >suspect an error here. (Lhande is full of errors.) >The form
is an error: this must be the compound with initial >
`water', which appears as
~
, and means literally >`waterside'. >The central meaning of the Basque word is everywhere `side', with >transferred senses like `flank' and `region'. I don't think it really >means `face', and it certainly doesn't mean `slope'. This word resembles Spanish falda "skirt, flank"--which unaccountably begins with /fV/; which, as anyone who was studied Ibero-Romance knows, is a no-no. Is there an Old Castilian, Gasco'n or Aragone's form /*alda, *alde/ ? >> Harn "bladder" >> [< ?Vasconic"; >> see Basque garnur "bladder" < *kernu] [tv95, tv97] >The Basque word for `urine' is
, with a typical western variant >
. This word, with its almost unique /rn/ cluster, has been much >discussed, but its origin is unknown. The alleged Basque *
>`bladder' is unknown to me and to the lexicographers, and I query its >existence. This is my error and is what predictably happens when you try to read a language you've never studied, German, with a cheapo dictionary. My dictionary gave "urine & bladder". I made the wrong choice. My apologies to Theo and everyone else. Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 18:08:40 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 12:08:40 -0600 Subject: non-IE/Germanic/m In-Reply-To:
Message-ID:
[snip] I was also thinking of Spanish muro, Latin murus [sp?] "wall" or Spanish moro'n "hillock, rise of land" except that the double /rr/ of murru screws things up --and then there's Spanish morro, "a small promontory on a neck of land jutting out into the water [where forts were often built]" Maybe Celtic offers more clues [or enigmas] to this set of words >> moraine, Moräne "moraine", >> Mur[e] "pile of rocks [Bavarian] >> [?< Vasconic; >> see Basque murru "hill"] [tv97] >The form
can hardly be ancient in Basque. There exists a >sizeable number of severely localized Basque words of the form
, >with very diverse meanings, but `hill' is not one of them. The most >widespread sense (throughout the French Basque Country) is `wall'. >The closest to `hill' in sense is `pile, heap', reported nowhere but in >the Baztan valley. >Larry Trask Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 18:12:04 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 12:12:04 -0600 Subject: Non-IE roots in Germanic/@, a, e, i, j, o, u In-Reply-To: <[email protected]> Message-ID:
Yes, it is a compound of *harja- 'army' + *manna- 'man' AFAIK it's from a list of Germanic [and other] non-IE words in Romance et al. The article was in German and I may have missed something No explanation was given >Rick Mc Callister wrote: >> arimanno "warrior" [It < Germanic] [tv84] >Isn't this a compound, *harja- 'army' + *manna- 'man'? The first at >least doesn't seem peculiarly Germanic, to judge by the cognates given >in Buck's dictionary. (I don't have ready access to the Vennemann >reference, I'm afraid, so I don't know what argument he makes.) >Brian M. Scott Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Sun Mar 7 17:44:52 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Sun, 7 Mar 1999 11:44:52 -0600 Subject: non-IE/Germanic/g In-Reply-To:
Message-ID:
*gar- is a Germanic root. Thanks for pointing out the need for labeling here. The Romance lexicon includes words of Germanic origin [or believed to be so, in some cases], as well as words believed to have cognates to modern Basque in a few cases [snip] >I've no idea what that asterisked *
is meant to denote: the Basque >for `assemble, collect, gather' is
. Nor am I any too sure what >the Spanish words are doing in here, but I don't have Corominas handy. [snip] Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From ECOLING at aol.com Mon Mar 8 02:27:26 1999 From: ECOLING at aol.com (ECOLING at aol.com) Date: Sun, 7 Mar 1999 21:27:26 EST Subject: IE and Uralic pronouns Message-ID:
I have been present when solid competent linguists admitted that the field is "not ready" to deal with the pronoun patterns which are the subject of recent discussion. (For a completely traditional approach to some pronoun matches, please see near the end of this message.) In other words, it is likely that something genetic is going on in these pronouns, our sound-symbolism approach is not adequate to the data distributions, and our tools for historical reconstruction can't handle it either. So what do we do? Hide our heads! Shame. Rather appear to be knowing the answers, and hide the questions we don't know the answers to? Or declare them off-limits? In a business firm, that would be a recipe for near-immediate bankruptcy, failing to act positively and strongly in moving towards the future. Better to ADMIT to students that we need more powerful tools for penetrating the noise of centuries and even millennia, to set more and more students to this task, to studying how deeply, and against which kinds of noise, each tool we have can penetrate (estimates in all cases are fine), and to estimate in as many situations as possible how much residue should still be detectable despite the noise of historical change, WITHOUT the assumptions that the sample used as controls ARE IN FACT UNRELATED. That is the fallacy in all such approaches I have read. Because if the supposed controls ARE related, even very distantly, it may distort our estimates of what background noise is. Rather we need GRAPHS of the degree of noise present, and our ability to penetrate it, across the full range of cases we can estimate time depths for, then extrapolate beyond that to those cases like Afro-Asiatic where the pronoun system, for example, preserves "distinctive oppositions in distantly related languages" (the title of a Gene Schramm paper, if I remember). In that case, there is a known relationship, though not well known, it is a distant one, the pronoun sound correspondences do not follow the normal sound laws for these families, yet they ARE related. Because there is a pattern with its own laws. The palatal / labial opposition which is in the consonants in one family is in the vowels in the other. I don't remember details of the data, but approximately this: hi vs. hu in one family (NW Semitic?) sa vs. fa in another family (Egyptian?) Now if our standard tools for historical reconstruction cannot deal with that, then we need to extend those tools slightly, a little bit at a time, go back and test the change of tools against the various things we know the answers to, and see whether the new tools manage to extract a slightly cleaner set of data that makes a known relationship clearer. If it does, then we may perhaps apply that newly refined tool to cases where we do NOT know the answer or only suspect it, and see what happens. Another example of this which came to my attention in the past year or two is this, which I will pose as a question. Why is the second comparison (b) better than the first (a) if we are looking for potential cognates? (a) sepo in one language teka in the second language (b) sepa in one language teko in the second language I don't think most historical linguists have an IMMEDIATE recognition that these are two wildly different proposals for cognates. That means we are not making the best possible use of our tools. (The conclusion is not a certain one, just like any other historical inference, but it is a reasonable one that (b) is a better comparison thatn (a).) We are never dealing with "clean" or "dirty" data. We are always dealing with "slightly more clean" or "slightly more dirty" data. If slightly cleaner data makes a language relationship look more solid, that is perhaps an indication (not a proof) that we may be on the track of a real relationship. ***** If you want to try to use traditional tools on Eurasian pronouns, here is an example from my paper Grammatical-Meaning Universals and Proto-Language Reconstruction, or: "Proto-World Now", in Papers of the Chicago Linguistics Society, 1975. p.15 of the paper, or Fig.(26). I am sure that paper contains a lot of wrong things and some right things. I only expected to find truth statistically, not certainly. A second example follows below. Here is what I was able at that time to find for a standard approach to reconstructing IE-Uralic pronoun systems. Of course borrowing or contact may have created a false temptation here, but such an escape from the obvious interpretation of the data would itself require considerable work to prove: I was discussing a relic IE alternation /m/ in plural vs. /w/ in dual. It is matched in Uralic, and an -n- "with,and" is present in the plural, which I hypothesized caused the assimilation. -va-s dual 1st person Sanskrit -ma-s plural -tha-s dual 2nd person Sanskrit -tha(-na) plural Now compare Ziryene (Uralic), EARLY plural forms: -m-ny-m 1st person -d-ny-d 2nd person. Selkup had these forms of the first person: -mi-y dual -my-n plural So my conclusions: Selkup leveled the person-marker, while IE leveled the markers of dual/plural, and kept the originally allophonic variants of the person. Uralic shows in EARLY Ziryene the structure of the paradigm from which this could have arisen. I'm not sure one could get more traditional in approach. ***** Here is the second item in that 1975 paper which really calls out for work. The rotation of the vowel space makes these more than mere identities, and suggests hypotheses for further work. (ng for the velar nasal phoneme) ple:-nus 'full' Latin, IE *pling 'full', Tibeto-Burman pla:-nus 'flat' Latin, IE *pleng 'straight' Tibeto-Burman Lloyd Anderson From mcv at wxs.nl Mon Mar 8 04:21:29 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 04:21:29 GMT Subject: IE and Etruscan In-Reply-To: <[email protected]> Message-ID:
"Jim Rader"
wrote: >Nearly twenty years ago I heard Eric Hamp give an account of >Georgiev's lecture. As I recall Hamp telling it, Georgiev thought >that Etruscan practically WAS Hittite, i.e., that Etruscan was an >Anatolian language. The audience didn't contest his thesis out of >sheer stupefaction, not because they agreed. Gueterbock walked out >of the lecture shaking his head and saying "Very interesting, very >interesting!" Another Indo-Europeanist arguing for Etruscan as an Anatolian language is Francisco Adrados of the Spanish Academy: Adrados, Francisco R., "Etruscan as an IE Anatolian (but not Hittite) Language," Journal of Indo-European Studies 17 (Proceedings of the Second Conference on the Transformation of European and Anatolian Culture 4500-2500 B.C. (Part I) September 15-19, 1989, Dublin, Ireland), (1989) 363-383. Adrados, Francisco R., "More on Etruscan as an IE-Anatolian Language," Historische Sprachforschung 107/1 (1994) 54-76. Has anybody read these? ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From jpmaher at neiu.edu Mon Mar 8 06:19:35 1999 From: jpmaher at neiu.edu (maher, johnpeter) Date: Mon, 8 Mar 1999 00:19:35 -0600 Subject: IE and Etruscan Message-ID:
Good old G-bock was honest. Privately -- to me --Hamp only said: VG's data seem to work, but oughta have more. pete Jim Rader wrote: > Nearly twenty years ago I heard Eric Hamp give an account of > Georgiev's lecture. As I recall Hamp telling it, Georgiev thought > that Etruscan practically WAS Hittite, RIGHT: this is what I remember. > i.e., that Etruscan was an > Anatolian language. The audience didn't contest his thesis out of > sheer stupefaction, not because they agreed. Gueterbock walked out > of the lecture shaking his head and saying "Very interesting, very > interesting!" > > Jim Rader [ moderator snip ] From X99Lynx at aol.com Mon Mar 8 06:27:19 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Mon, 8 Mar 1999 01:27:19 EST Subject: Greek question (night?) Message-ID:
In a message dated 3/7/99 9:42:14 PM, "Patrick C. Ryan"
wrote: <<...if *negh-w- were the basis for both, as I think likely,... *negh-(w)-, 'dark', with root extensions -t, 'night',...>> Am I correct in this meaning that the reconstruction here is *negh-w-t > "night?" Why would that /-t be there? In which IE languages does -t appear in "night" besides Germanic or Modern French? Regards, Steve Long [ Moderator's response: Greek _nuks, nuktos_, Latin _nox, noctis_, Sanskrit _nak (IIRC), naktam_, Hittite _nekuz = nek{^w}t+s_, ... --rma ] From iglesias at axia.it Mon Mar 8 17:25:28 1999 From: iglesias at axia.it (Rossi Francesco Luigi) Date: Mon, 8 Mar 1999 09:25:28 PST Subject: Celtic influence Message-ID:
Further to Shilpi M. Badra's message on Saturday, 27 February 1999 on Celtic loanwords in Romance, I would like to contribute the following on Italian, and especially the Northern Italian dialects (Gallo-Italic) and Friulan. 1) Place-names in Northern Italy (former Cisalpine Gaul): Milan (Mediolanum), Bologna (Bononia, Etruscan: Felsina), and many others. 2) Latinized -dunum (Irish dun -`fortress'): Duno (Varese), Induno (Varese), Comenduno (Bergamo), Verduno (Cuneo), ... and others 3) Formations ending in -ac : Arsago, Barzago, Cadorago, Dalrago, ... Sumirago, Tregnago, Urago, in Lombardy alone. This ending in common all over Northern Italy. In the Friulan area, the ending is rendered in standard Italian as -acco: e.g., Premariacco (Udine). 4) Terminology: Lat. camisiam > It. camicia, Lat. caballam > It. cavallo; Lat carrum > It. carro and the Lat verb cambiare > It. cambiare 5) Celtic survivals of northern and central Iberia: Sp., Port.alamo `poplar', Cf. It. olmo Sp., Port. gancho `hook', Cf. It. gancio 6) Sound change from Latin u to French y: All gallo-italic dialects except that of Romagna and certain mountain areas, e.g., Piedmontese, Emilian, Lombard: myr This sound does not occur in Friulan (despite the presumable Celtic substrate: Carnii), but it does occur in other forms of Rhaeto-Romance, e.g. Vallader (Lower Engadine). The sound does not occur in Venetian and related dialects (with IE Venetic substrate). 7) Consonantal groups: Piedmontese, Emilian, Lombard: factum > fait, fat, fac ("c" pron. "ch" as in English or Spanish) Piedmontese, Emilian, Lombard: noctem > neuit (read "eu" as in French), not, noc ("c" pron. "ch" as in English or Spanish): 8) Nasal consonants: pan, man, bon, ... with pure nasalisation in some areas, Emilia for example, and varying degrees of nasalisation elsewhere. Bibliography: Giovan Battista Pellegrini, Toponomastica italiana. MIlan: Hoepli. 1990 Maurizio Dardano, Manueletto di linguistica italiana, Bologna: Zanichelli, 1991 Frank Rossi Bergamo, Italy iglesias at axia.it From mcv at wxs.nl Mon Mar 8 08:28:30 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 08:28:30 GMT Subject: Update on *nekw and the N-word In-Reply-To:
Message-ID:
>[ Moderator's response: > There is a serious mixing of levels here, in that a Romance-specific > development is being projected back to Nostratic, although other Indo- > European languages do not have this phonotactic constraint, e. g. Greek. > Before we can even accept it as a parallel, we have to determine what > the digraph
represents in Bomhard, a unit phoneme or a cluster. > --rma ] A unit phoneme, probably a lateral affricate (> Semitic *s', a lateral fricative). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Mon Mar 8 08:31:38 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 08:31:38 GMT Subject: Trojan and Etruscan In-Reply-To: <[email protected]> Message-ID:
mcv at wxs.nl (Miguel Carrasquer Vidal) wrote: >Now assuming Greek Trooa is from the same root Sorry, I was being 8-bitty again. That's Troi"a, with i-diaeresis. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From glengordon01 at hotmail.com Mon Mar 8 09:19:39 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Mon, 8 Mar 1999 01:19:39 PST Subject: PIE gender Message-ID:
ALEXIS RAMER: >>There has been some discusion here of the (assumed) fact that >>the feminine gender is an innovation, and one not shared by >>the Anatolian lgs. WR SCHMIDT: >[...] I'd like to suggest that linguistic gender may have once been >more related to biological gender than - AFAIK - has heretofore been >thought A rich, cerebral dessert, I might say. :) But, how does one know that IE's view of the world was based on animism to start with? -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From mcv at wxs.nl Mon Mar 8 10:04:11 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 10:04:11 GMT Subject: Greek question & the pre-history of *nekwt In-Reply-To: <[email protected]> Message-ID:
mcv at wxs.nl (Miguel Carrasquer Vidal) wrote: >The spelling
stands for >/nekwt-s/. The problem is that we would expect
if the >word is to be derived from PIE *nekwt- ~ *nokwt-. The single
>suggests PIE *g(h)w. But I must agree with Rich's "moderator comment" elsewhere that in this case the spelling
may reflect all of PIE *kw, *gw or *ghw [*gwh if you prefer]. After all, if the etymon were *kw, the geminate spelling should not be
but
, and there is no way of writing that in cuneiform (nor in ASCII, as the recurrent confusions about labiovelars show). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Mon Mar 8 10:45:32 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 10:45:32 GMT Subject: IE and Substrates In-Reply-To: <[email protected]> Message-ID:
JoatSimeon at aol.com wrote: >I think we should keep in mind that the European linguistic situation in >historical times is probably much simpler than it was in the Mesolithic or >early Neolithic. >Reasoning by analogy from the situation in New Guinea or eastern pre-Columbian >North America, there were probably _many_ more languages and language-families >in Europe before the Indo-European expansion. Not just one or a few non-IE >families which were then replaced by Indo-European. The IE expansion would >then represent a massive linguistic simplification, a "reformatting" of a >previously crowded scene. True, except that this "reformatting" clearly had already happened in the *early* Neolithic, and at least for the broad continental area from Greece to Holland, with its two large historically connected cultural areas (the Balkans and the LBK/TRB zone), we can expect a single or at most two linguistic substrates. While the late Neolithic "Secondary Products Revolution" (use of more intensive mixed farming techniques) may have caused a doubling or tripling or so of the population density, along with a number of social changes, that's all small potatoes compared with the Mesolithic/Early Neolithic transition (fiftyfold increase in population densities). ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From mcv at wxs.nl Mon Mar 8 12:52:40 1999 From: mcv at wxs.nl (Miguel Carrasquer Vidal) Date: Mon, 8 Mar 1999 12:52:40 GMT Subject: Greek question & the pre-history of *nekwt In-Reply-To: <010b01be667d$6104c400$c93963c3@niywlxpn> Message-ID:
"Peter &/or Graham"
wrote: >> BTW: is Hittite
/dz, z^/, /ts,c/ or /z/? >No doubt someone will prove me wrong, but I believe Hittite was deciphered >at first by German speakers - so z was used as in German, which is a great >pain. It = /ts/. OK, I'll prove you wrong :-) Hittite was deciphered by a Czech, Hrozny', the
in whose name is /z/. The
derives from the conventions used for Akkadian cuneiform. Akkadian was deciphered by Germans. ======================= Miguel Carrasquer Vidal mcv at wxs.nl Amsterdam From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 13:51:44 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 07:51:44 -0600 Subject: /m/ in 1st Person Pronouns In-Reply-To: <[email protected]> Message-ID:
Please try to remain calm, Mr. Gordon. Actually the study I am thinking of showed, as I now recall, a tendency for 1st person pronouns to have nasals. The matter of /m/ or /n/ was not, and to my knowledge has not been, adressed. My "mama" thing is just a guess at what lies behind the facts. It does not imply that all languages have 1st person pronouns with /m/, and more than recognizing the "mama" syndrome implies that in all languages the word for 'mother' has /m/. Nor does it imply anything about "borrowing" of pronouns, a notion I am quite unkeen on. DLW From roslynfrank at hotmail.com Mon Mar 8 14:36:58 1999 From: roslynfrank at hotmail.com (roslyn frank) Date: Mon, 8 Mar 1999 06:36:58 PST Subject: gender Message-ID:
Hello, Over the past months this thread on questions of gender in (P)IE has provided different opinions on the issue. Would it be possible for someone to: 1) list several of the most well-known bibliographic references on this particular topic; and 2) perhaps summarize the *current* thinking on the issue. I may the second request because discussions groups tend to "discuss" but often in the process the overall outlines of what is standard in the current (canonical??) debate get somewhat blurred. Also, it's possible that I may have missed some of the early contributions by list members. Currently I am preparing a paper for the upcoming ICLC '99 conference in Stockholm. In it I briefly discuss the problem of gender in Euskera. (Bai, badakit euskaraz hitz egiten... Kaixo Larry eta Miguel!) Because of my interest in this particular question, I wonder if anyone could speculate on when (along a rough time continuum) gender entered IE languages, i.e., when (P)IE acquired gender. And finally, has anyone contemplated the possibility that there might have been an even earlier stage that needs to be reconstructed (e.g. perhaps in the case of Euskera) that eventually gave rise to a animate/inanimate dichotomy (e.g., as it is found today in Euskera)? Any ideas on that, Larry? This would imply that cognitively speaking, there could have been an earlier structure that was not based on an "animate/inanimate" contrast but on another ontological type or definition of "being." Best regards, Roz Frank March 8, 1999 Department of Spanish & Portuguese University of Iowa Iowa City, IA 52242 U.S.A. e-mail: roz-frank at uiowa.edu [currently on-leave in Panama] From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 14:54:20 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 08:54:20 -0600 Subject: Trojan and Etruscan In-Reply-To: <[email protected]> Message-ID:
On Thu, 4 Mar 1999, Miguel Carrasquer Vidal wrote: > The problem is that you're mixing up various reflexes from > various languages here. The Latin forms with -sc- (Tusci, > Tuscania/Toscana, Etrusci) are simply extensions of the roots > Tu(r)s- and Etrus- with the Latin adjectival suffix -cus (*-ko-). This is probably true, but it is also possible that the use of such suffixes could have been suggested by the nature of the sound, which the Egyptian evidence indicates was /sh/, not /s/. > Now assuming Greek Trooa is from the same root, it can be derived > from *Trosia, with Greek loss of intervocalic -s-, just like > Latin Etruria < *Etrusia with intervocalic -s- > -r-. Again the > suffix -ia is Latin and Greek, not necessarily Tyrrhenian. Again, it could be as above. > Which reminds me, there is also Greek Tyrrhe:n- < *turse:n-. > > For the vowel, it is difficult to decide between /o/ or /u/, but > >as /a/ occurs in some words that might be additional variants > >(tarhuntassa, tauros, tarsus, tarquin), with lowering before /r/ being the > >culprit in these, I favor /o/. Thus the original form would be /trosha/. I take this opportunity to note that the forms with /u/ are all western, so that the use of /u/ could conceivably be merely from the Greek change of /ou/ to /u/, carried westward by colonists. DLW From iffr762 at utxvms.cc.utexas.edu Tue Mar 9 12:55:31 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Tue, 9 Mar 1999 06:55:31 -0600 Subject: Celtic influence In-Reply-To:
Message-ID:
On Sat, 6 Mar 1999 JoatSimeon at aol.com wrote: > In other words, French has about 200 words borrowed from Gaulish -- including > many very common items of everyday speech -- while OE has 12 from Brythonic. Both still overwhelmingly non-Celtic, as noted before. That is the forest, regardless of the trees. > Furthermore, the emergence of a standardized written form of OE (based on the > Wessex dialect) took place centuries _after_ the Anglo-Saxon settlements in > Britain. For the first 200 years and more, the Saxons were > illiterate. Class dialects have little to do with literacy, especially the very marginal kind of literacy of early medieval Europe. DLW From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 14:59:48 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 08:59:48 -0600 Subject: Salmon. In-Reply-To: <010a01be667d$5e09d380$c93963c3@niywlxpn> Message-ID:
On Thu, 4 Mar 1999, Peter &/or Graham wrote: > >salmon in the Danube. > Salmon trout are found in the Danube according to Mallory - but not the > other kind of salmon. I think I'll break down and actually go look at Grzimek again. DLW From X99Lynx at aol.com Tue Mar 9 13:50:13 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Tue, 9 Mar 1999 08:50:13 EST Subject: *p>f Revisited - When was German invented? Message-ID:
[ moderator re-formatted ] In a message dated 3/8/99 08:49:13 AM, rma wrote: <<[ Moderator's comment: And what of the very similar, though completely separate, Armenian shift? --rma ]>> Once again, I'm just following through on the commentary made in Bernard Comrie's book that attributes the "First Sound Shift" in German to the conversion of IE sounds into "the nearest equivalents" of a prior non-IE language. It is interesting to see where it goes. (I am aware that there is a "reconstructed obstruent system" based on a breakdown of glottalized/voiced and unvoiced stops that explains the Germanic/Armenian shifts as "archaisms" rather than innovations.) If the Germanic consonant "shift" is due to conversion from a non-IE language, then how can the Armenian shift can be explained?: 1. An obvious explanation that comes to mind is that Armenian was another language that "converted" to IE from a similiar non-IE language with roughly the same sound shifts. Mallory in "In search of the Indo-Europeans" summarizes the case for Armenian originating in the Balkans. Neolithic and Bronze Age archaeology show a clear lines of continuity from the mouth of the Elbe to the mouth of the Danube with evidence of such material cultures as "Globular Amphora". Strabo, the Greek geographer of the 1st Century AD, tells us that tradition says Armenia was founded out of Thessaly (a town called Armenium); and that Armenians continue to follow Thessalian habits in clothes, etc. If non-IE speakers occupied a corridor running from the mouth of the Danube up past the gap west of the Carpathians and up to Jutland "sometime before 1000 BC" - then the Armenian shift might represent a conversion of some of those non-IE speakers to IE just as it did - perhaps later on - in Germanic. The result was however more proximate to and therefore more "Greek." When Armenian migrated it managed to preserve the shift because it became isolated from the IE mainstream that would have removed those vestiges of the old sound system - just as Germanic remained relatively isolated. Or became isolated when the eastward spread of the Celts cut off the NW-SE routes across the eastern midsection of Europe. 2. Perhaps another explanation is that Armenian - in its Balkan form - represented a Greekified German, already converted to IE but heavily influenced by Greek and later on tranformed by Urartian and Iranian influences. Although it has always been contested by certain historians, the "Getae", who lived north of the Danube were explicitly identified by Strabo and others as being neither Thracian nor Kelts. Strabo obviously identified the Getae with Germanic tribes: "As for the southern part of Germany beyond the Albis, the portion which is just contiguous to that river is occupied by the Suevi; then immediately adjoining this is the land of the Getae,... who occupy the whole plain from north of the Danube to Germany..." (Geo 7.3.1 et seq) The Getae are identified as "Dacians" occasionally, but what this tells us about them I don't know since Dacian is hardly pin-point identifiable. Oddly, the "Massagetae" are located in the Caucasus region by Herodotus, 400 years earlier, on the far side of the Scythians. This puts them relatively close by the Armenians. If Phrygian is descended from Thracian, as the classical historians suggest and Mallory notes, then the Armenian connection with the Pontus and the western shore of the Black Sea could explain proto-Germanic settlers coming along with that migration. Strabo states that Thracian and Getae intermarried, an apparent variant on the "Basternak" identity later mentioned by Tacitus and Ptolemy for the inhabitants of the Danube Delta, the "Peucini" - also often associated with the Chernyakovian material culture which by the first century BC had strong Gothic elements. In connection with this, Miguel Carrasquer Vidal has written in past post: <
> And... <> Note that in the above analysis Greek is already a separate language. If we shorten the dates - so that Greek appears in Greece roughly at the same time Linear B makes its appearance - than Armenian is an independent language with strong affinities to German but in a position to make strong lexical borrowings from Greek. Or that the conversion from non-IE itself was the result of Greek or a closely related language. The reality check says that no written evidence of Armenian exists before 200BC and that the Armenians (per Mallory) date their own origins to 800 BC. Finally, are there any IE languages that have closer early syntactic similarities to German/Armenian than Greek? Regards, Steve Long From iffr762 at utxvms.cc.utexas.edu Mon Mar 8 15:08:09 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 09:08:09 -0600 Subject: Ix-nay on the ostratic-nay In-Reply-To: <[email protected]> Message-ID:
On Thu, 4 Mar 1999, Miguel Carrasquer Vidal wrote: > iffr762 at utxvms.cc.utexas.edu wrote: > > With regard to reconstructing 1sg pronouns, there is (or so I seem > >to recall) a cross-linguistic tendency for these to be formed with /m-/, > >probably from a weaker variant of what might be called the "mama > >syndrome": sounds that babies tend to make early tend to be pressed into > >service as words that mamas and babies might use to relate to each other, > >like "mama" and "me". > I don't think so. See coming response to Glenny. Both /m/ and /n/ tend to occur in words for female care-givers, with /n/ typically referring to more secondary ones, as in "nanny". 1st pronouns do show a statistically significant tendency to use nasals, which appears to me to be a sort of opposite side of the coin phenemenon. If a mother is going to imagine that her baby, who is in fact only babbling, is talking to her, then "mama" and "me" are the words she will want to hear the baby say. From rmccalli at sunmuw1.MUW.Edu Mon Mar 8 17:31:53 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Mon, 8 Mar 1999 11:31:53 -0600 Subject: non-IE/Germanic In-Reply-To:
Message-ID:
[ moderator re-formatted ] >One thing is not clear to me. What is the significance of the presence >in the list of Romance borrowings from Germanic (?all from Vennemann >1984)? [ moderator snip ] >Max W. Wheeler
I have to admit to scrounging around and using Theo Vennemann's lists --which are just lists of words he believes to be of non-IE origin borrowed from Germanic languages. I have not finished yet. Among other things, I need to track down more sources and check them out with the Oxford Dictionary. As for guV-, you're absolutely correct, but I wanted to wait until I had the correct form of the original. Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From proto-language at email.msn.com Mon Mar 8 15:47:15 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Mon, 8 Mar 1999 09:47:15 -0600 Subject: gender Message-ID:
Dear Alexis and IEists: -----Original Message----- From: manaster at umich.edu
Date: Sunday, March 07, 1999 11:50 PM >On Thu, 25 Feb 1999, Patrick C. Ryan wrote: >> I do not believe that there is anything which the current "laryngeal" theory >> explains that this re-formulation of it will not equally well explain. >This is what you have not even begun to demonstrate, as you >well know from our private discussions, so it does not >seem right to me to make this claim. Yes, it is premature. I said this because I have surveyed the theory many times in the past, and found it poorly formulated --- although I did not put these criticisms down on paper. I am in the process of doing that now. Pat From rmccalli at sunmuw1.MUW.Edu Mon Mar 8 17:43:47 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Mon, 8 Mar 1999 11:43:47 -0600 Subject: rate of change In-Reply-To:
Message-ID:
[ moderator re-formatted ] >Max W. Wheeler
>On Wed, 24 Feb 1999, Rick Mc Callister wrote: > >> But before 1500, Spanish & Portuguese were farther apart than they are now. >Oh yeah? Who says? It wouldn't take long to list some significant >changes in Spanish since 1500 which have moved it away from Portuguese. >But it won't be worth it without a good reason to believe the claim made >above. You missed the context. I was speaking about lexical items. Yes-- Spanish has dropped future subjunctive and has reduced /sh, zh/ > /x, h/ /s, z/ > /s, S/ /dz, ts/ > /s, th/ and pretty much mutated /L/ > /j, zh, Y, sh/ BUT lexically, Spanish and Portuguese are more alike grammatically, some Spanish and Portuguese dialects are replacing condicional with imperfect & imperfect subjunctive Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From maxw at cogs.susx.ac.uk Mon Mar 8 17:06:25 1999 From: maxw at cogs.susx.ac.uk (Max W Wheeler) Date: Mon, 8 Mar 1999 17:06:25 +0000 Subject: rate of change In-Reply-To:
Message-ID:
On Thu, 4 Mar 1999, Rick Mc Callister wrote: > There is no such language as "Gallego-Spanish". There is, however, > galego or Galician, called gallego in Spanish. It is closer to Portuguese > than to Spanish and, in my experience, is more difficult to understand than > Brazilian Portuguese or standard Continental Portuguese. The Galician > literary standard, however, is a bit easier to read. But Galician is a > series of spoken dialects. > Note: > Spanish lobo /loBo/ > Portuguese lobo /loBu, lobu/ > Galician /tsoBu, shoBu, LoBu/ But these so-called Galician forms are not Galician but (Asturo-)Leonese. See A. Zamora Vicente, Dialectologia Espan~ola, 1967, 122-130. Max ___________________________________________________________________________ Max W. Wheeler
School of Cognitive and Computing Sciences University of Sussex, Falmer, Brighton BN1 9QH, UK Tel: +44 (0)1273 678975; fax: +44 (0)1273 671320 ___________________________________________________________________________ From proto-language at email.msn.com Tue Mar 9 15:00:36 1999 From: proto-language at email.msn.com (Patrick C. Ryan) Date: Tue, 9 Mar 1999 09:00:36 -0600 Subject: Greek question & the pre-history of *nekwt Message-ID:
Dear Rich and IEists: -----Original Message----- From: Patrick C. Ryan
Date: Tuesday, March 09, 1999 2:05 AM
>[ Moderator's response: > It may be what you favor, but it flies in the face of the data: Sanskrit > *requires* a labiovelar, or the accusative would be **nas.t.am rather than > the attested _naktam_. And what is represented by that "*s/t -?" ? > --rma ] Not at all. I am suggesting that the IE accusative was *nektom for those branches which either derived from forms without the w-extension or deleted it. *negh(-w)-t- -> *nek(h)t-. As for the *-s/t-, I believe that Pokorny has erred in reconstructing *neuk-, 'dark'. This looks like a set of derivatives of the *negh-w- stem I postulate plus *-s, which had the same effect on the *-gh- as *-t- did: *negh-w-s -> *neugh-s- -> *neuk(h)s-.
Pat [ Moderator's response: I give up. I will not argue the question with someone who does not see that the question exists; I do not have the time. --rma ] From mclssaa2 at fs2.mt.umist.ac.uk Mon Mar 8 09:11:28 1999 From: mclssaa2 at fs2.mt.umist.ac.uk (Anthony Appleyard) Date: Mon, 8 Mar 1999 09:11:28 GMT Subject: Laryngeals In-Reply-To: <[email protected]> Message-ID:
For the Nostratic and/or Indoeuropean lists as you think suitable:- .................................... "Patrick C. Ryan"
wrote (Subject: Re: Laryngeal symbols) replying to nicholas.widdows at traceplc.co.uk:- >>> I believe that the "laryngeals" in IE stem from earlier /?,h,?,H/, ... >> ... use another symbol for ayin, Patrick! It's throwing everybody >> off. Suggestion: /`/ or /3/ >Well, I plead in my defense that the upside down question-mark is generally >used in print for 'ayin, and, before I changed to MSN 2.5, it came through >when produced by Alt-168. And this should go in the FAQ: High-order characters (= with code values over 127) in email are the Chaos Bringer, don't use them; DOS and Windows and Mac etc all are liable to display or corrupt them differently; some emailers transmit them modulo 128, e.g. turning DOS e-umlaut into tabulate. > How about [2] and [3] for the pharyngals, from the Arabic letters? I agree, particularly as I believe also that the H2 laryngeal was the {h.} sound as in Arabic {h2aram} = "sacred, forbidden", (Muh2ammad}, and H3 was the ayin (e.g.root H3-D-W in Arabic {h3aduuw} = "enemy" and Greek {odussomai}). I believe that the usual H1 was the glottal stop. If anyone needs a second different H1, it was likely the ordinary {h} sound. And we need a reasonably compact name for the {h.} sound, like we have for its voiced counterpart `ayin'. > In view of the fact that [3] is used for the Egyptian vulture, which was > really an /r/, .I am reluctant to adopt that suggestion. I thought that the Egyptian vulture (Neophron percnopterus) was the glottal stop. The 3-like sign that Egyptologists use for that sign is specific to Egyptology. The Egyptian letter sign for {r} was the mouth or the lion. (Distinguish from the `Gyps fulvus' vulture hieroglyph, which has another use.) Likely also the reason why single-reed is sometimes glottal stop and sometimes {y} is that it used to me always {y}, but some time in predynastic or Old Kingdom times in Egyptian initial {y} became silent like it did in the Old Norse branch of Common Germanic. In emailing we are restricted to the standard 95 reliably emailable ascii characters and may need to adjust usage accordingly. >>The X-SAMPA symbols for fricatives are: >>palatal [C] [j\] ... >> and [H] is the semivowel in [French]
. > I sure do not like that one. I don't either. This `H' probably got in because whoever invented the IPA (International Phonetic Alphabet) had (in those days of hand typesetting) much more consideration for printers than many maths and nuclear science etc men did, and e.g. for this sound chose `h' set upside-down because it looked rather like `y'. It would have helped linguists if Microsoft Word etc had had an option "set next character upside down". From rmccalli at sunmuw1.MUW.Edu Mon Mar 8 17:14:36 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Mon, 8 Mar 1999 11:14:36 -0600 Subject: rate of change In-Reply-To:
Message-ID:
[ moderator re-formatted ] >> But before 1500, Spanish & Portuguese were farther apart than they are now. >Surely not in terms of basic vocabulary. In some cases, yes. Both modern Spanish & Portuguese have
/familya/ which SHOULD have evolved as *hameja /amexa/ in Spanish *famia /famia/ in Portuguese Latinate relexification did affect a fair share of basic words. The development of literary standards affected lexical choice, with the Latinate words or words from Ibero-Romance literary standards often winning out. In certain domains, one language became dominant. Spanish borrowed a large percentage of sailing terms from Portuguese, etc. Most basic vocabulary is pretty much the same as it was but a fair share of it has spilled from one language to the other --especially in regional dialects, which with mass communication have become generally known. So Mexican giz [from Portuguese], instead of standard tiza "chalk" is understood. Argentine Spanish shares a lot of terms for food, plants and animals [as well as slang] with Brazilian Portuguese --and these are known to any school kid who has read Borges & Quiroga. In some cases, the words have acquired limited meanings Spanish mun~eca /muN~eka/ "doll, pretty girl" [also wrist, originally from a word for "bump, lump"] is cognate with Portuguese boneca /bunek@/ "doll, pretty girl" BUT since in Rio, this word is applied to transvestites who have a beauty contest and "escola de samba" at Carnaval, in Latin American slang it means "transvestite, transexual" Thanx to TV, movies, radio, cassettes/CDs and immigration, even more vocabulary is flowing between the languages and some words get relexified In Brazil, the linguistic center has shifted to the South, and now is moving from Rio to Sa~o Paulo, which has a large --if not huge-- Spanish speaking population. Argentina, Cuba & Puerto Rico have large Galician populations. Buenos Aires is the largest Galician city in the world. Although Galician is a separate language, it is much closer to Portuguese than Spanish. Given that it is essentially a series of rural dialects, western Galician would be [or would have been] closer to Old Portuguese. Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From glengordon01 at hotmail.com Mon Mar 8 20:12:06 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Mon, 8 Mar 1999 12:12:06 PST Subject: Update on *nekw and the N-word Message-ID:
ME (GLEN): >>IE *nek-/*nok- "to bear, to carry, to convey" >> (I've never seen this root. Does anyone know? PETER: >Try: >Avestan fra-nas- = to bring; (nas = to reach) >Vedic naSa:mi = to reach >Greek e:negkon, ene:nokha, etc all < e-nek- (aorist and perfect > forms of) to carry >Old Norse nest = provisions for a journey >OCS nesti etc to carry, bear, bring >Lithuanian neSu etc. >Latvian nesu etc. Hmm, thanx alot Miguel and Peter. Gee, I could be looney but wouldn't a reconstruction of *?nek^- be in order rather than just *nek^- based on the Greek form? Why the long /e/ for augment? If *?nek^- is correct, then a connection with a Nostratic *nitl- becomes more and more unlikely (as I should expect). -------------------------------------------- Glen Gordon glengordon01 at hotmail.com Kisses and Hugs -------------------------------------------- From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 15:57:42 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 09:57:42 -0600 Subject: Celtic and English Again In-Reply-To: <005e01be67d4$a93c94c0$af3fac3e@niywlxpn> Message-ID:
I've been told by Egytians that colloquial Egyptian Arabic has a fair share of Coptic "influence". I don't know if they were referring to lexicon, morphology or both. Standard Arabic, of course, does have some Greek lexical substrate, although what I've seen are mainly learned words. [snip] >Perhaps a comparable situation can be found in Egypt, which was >Egyptian-speaking for yonks, then Greek speaking for nearly a thousand >years, but now speaks Arabic with very little, if any, trace of either >"substrate". [snip] Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From petegray at btinternet.com Mon Mar 8 20:37:22 1999 From: petegray at btinternet.com (Peter &/or Graham) Date: Mon, 8 Mar 1999 20:37:22 -0000 Subject: Hittite spelling Message-ID:
>Hittite spelling ... distinguish[es] (in medial position at least) >C from CC, where usually the single consonant etymologically >derives from a PIE voiced one and the geminate from a PIE >voiceless consonant. What is actually the state of play with this? It began as a hypothesis, with some evidence in its favour, and some against. Is it turning into one of those things that everyone agrees on because it's tidy, or is the emerging agreement soundly based? Peter From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:06:48 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:06:48 -0600 Subject: Non-IE roots in Germanic/@, a, e, i, j, o, u In-Reply-To: <[email protected]> Message-ID:
[ moderator correction: Miguel Carrasquer Vidal wrote: ] >Larry Trask
wrote: [ moderator snip ] >>I think everyone agrees that Basque
`ax' is a loan from Latin >>
`hatchet'. The Latin word would have been borrowed as >>*
; the [h] is a suprasegmental feature in Basque; the */l/ would >>have undergone the categorical early medieval change of intervocalic /l/ >>to /r/; and the diphthongization of /a/ to /ai/ in an initial syllable >>is a familiar though sporadic in Basque: compare
`sacred, >>holy', from some Romance development of Latin
. >Might the word not have been borrowed directly as
, with >metathesis of the /i/ (especially if Latin
already had a >degree of allophonic palatalization)? That, or analogy with the >other tool words in (h)ai(t)z-. And in the case of saindu, much the same would have happened in that sanctu /sanktu/ > *santyu which in Spanish from the Basque region became the common name Sancho [it became common name Santo, noun/adjective santo everywhere else] and in Basque *santyu > *sayntu > saindu /sayndu/ [or is it /san~du/?] My reconstruction is probably missing something but the same metathesis of /y/ is there, right? Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From larryt at cogs.susx.ac.uk Mon Mar 8 20:59:10 1999 From: larryt at cogs.susx.ac.uk (Larry Trask) Date: Mon, 8 Mar 1999 20:59:10 +0000 Subject: IE and Substrates Message-ID:
JoatSimeon writes: >I think we should keep in mind that the European linguistic situation in >historical times is probably much simpler than it was in the Mesolithic or >early Neolithic. >Reasoning by analogy from the situation in New Guinea or eastern pre-Columbian >North America, there were probably _many_ more languages and language-families >in Europe before the Indo-European expansion. Not just one or a few non-IE >families which were then replaced by Indo-European. The IE expansion would >then represent a massive linguistic simplification, a "reformatting" of a >previously crowded scene. I endorse this absolutely. I think it's probably right, and I think the modest amount of evidence we have supports it. Larry Trask COGS University of Sussex Brighton BN1 9QH UK larryt at cogs.susx.ac.uk From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:12:55 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:12:55 -0600 Subject: Celtic influence In-Reply-To:
Message-ID:
Italian also has essere & stare; although it uses them a bit different from Spanish & Portuguese. French seems to have merged them --e^tre is from stare but its conjugated forms are from the Latin root of essere. > Yes, I agree there is seemingly Celtic (grammatical) influence in >most of Western Romance, most notably French. It is just a little more >difficult to nail down, without actual knowledge of the Celtic languages >in question. For example we may note the "two BE verbs" syndrome in >Iberian. > > DLW Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From larryt at cogs.susx.ac.uk Mon Mar 8 21:05:06 1999 From: larryt at cogs.susx.ac.uk (Larry Trask) Date: Mon, 8 Mar 1999 21:05:06 +0000 Subject: IE, Genetic Data, Languages of Anatolia Message-ID:
Wolfgang Behr writes: > If I remember things correctly, there will > be a workshop on SC in Cambridge (at the McDonald Institute of Archeo- > logy) sometime this year, so maybe we will see a convincing defense > of Starostin before long ??? Not this year, I'm afraid. The proposed Cambridge symposium on S-C has been postponed, pending the production of a monograph by Starostin on S-C which is to serve as a basis of discussion. Maybe next year. Larry Trask COGS University of Sussex Brighton BN1 9QH UK larryt at cogs.susx.ac.uk From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:22:21 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:22:21 -0600 Subject: /Anatolian /-nt-/ and Greek /-nth-/ In-Reply-To: <[email protected]> Message-ID:
So this would be the same root as the 3rd Singular verb ending -nt- ? e.g. Latin ama-nt "love-they all" >iffr762 at utxvms.cc.utexas.edu wrote: [ moderator snip ] >>I suppose we could say that the form was originally >>/-ndh-/, but the Anatolian forms in /-nt/ are generally considered older. >The IE etymon is *-nt- (probably identical to the >Luwian/Slavic/Tocharian collective (plural) suffix *-(e/o)nt-). >======================= >Miguel Carrasquer Vidal Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From rmccalli at sunmuw1.MUW.Edu Tue Mar 9 16:27:37 1999 From: rmccalli at sunmuw1.MUW.Edu (Rick Mc Callister) Date: Tue, 9 Mar 1999 10:27:37 -0600 Subject: Greek question & the pre-history of *nekwt In-Reply-To: <004a01be67db$a2b62f60$ca9ffad0@patrickcryan> Message-ID:
[snip] >-----Original Message----- >From: Patrick C. Ryan
>Date: Friday, March 05, 1999 10:14 PM [mucho snip] Then write <X> :> I mean :> >Rich, I never write anything as
because I frequently am switching from >email to .html and whatever is between the < and > is treated as an >instruction rather than copy in .html. [gran esnipo] Rick Mc Callister W-1634 MUW Columbus MS 39701 rmccalli at sunmuw1.muw.edu From iffr762 at utxvms.cc.utexas.edu Tue Mar 9 02:19:47 1999 From: iffr762 at utxvms.cc.utexas.edu (iffr762 at utxvms.cc.utexas.edu) Date: Mon, 8 Mar 1999 20:19:47 -0600 Subject: Results of Researches into Salmonids Message-ID:
No, the thing I was vaguely remembering is not the "salmon trout" (salmo trutta). It is the so-called "Danube salmon", or "huchen" (hucho hucho) which is not actually a salmon, or even a trout, but a very close relative of these. Pictures (p. 49 of "The Encyclopedia of Aquatic Life") show something that looks sort of like a monster salmon or trout (weights of over one hundred pounds have been reported). The fish is big enough that in the Volga it gets confused with sturgeon. (Go figure: it does not actually look anything like a sturgeon.) There are two kinds, the European and the Asian. The European kind lives only in the Danube system, while the Asian kind is described as living "from the Volga to the Amur", whatever that means (presumably centrqal and northern Asia). Turning to Malory, and to Diebold as reported by Malory, it seems that somebody has screwed up, for it is said that huchen do not occur in "the Pontic-Caspian steppe". As the Volga flows into the Caspian, I find it difficult to see how this can be right. Perhaps Diebold was not aware of the Asian species? But if Diebold is right that no PIE word for this fish can be reconstructed, then the Caspian part of the Pontic-Caspian steppe would be excluded as a possible homeland, by the usual arguments (which are necessarily decisive.) Speaking of the Caspian, there is (or was) a sub-species of tiger called the Caspian tiger. Though in recent times it has been restricted to the mountains (Elburz?) south of Teheran, it was formerly found along some of the rivers of the Eastern steppe (the Oxus and all that), as were pigs, its main prey. This too seems negative (thought not necessarily decisively so) for this region having been the much-discussed homeland. DLW From X99Lynx at aol.com Tue Mar 9 17:14:10 1999 From: X99Lynx at aol.com (X99Lynx at aol.com) Date: Tue, 9 Mar 1999 12:14:10 EST Subject: IE and Substrates and Time Message-ID:
In a message dated 3/8/99 6:14:14 AM, you wrote: <<
> This seems to me to be very important to any analysis of how IE diffused in Europe. 1. Why do we assume that the IE languages would not act precisely like the non-IE languanges and splinter into extremely local variations? What glue would hold IE together ESPECIALLY if you take the view that PIE entered or expanded in Europe before 4000BC along with agriculture? This gives us a huge period of time for PIE speaking settlers to sit in their own local areas throughout Europe and somehow maintain "a massive linguistic simplification" instead of breaking down into a whole patchwork of PIE descendents. The theory that says that either PIE or the standard IE protolanguages were being spoken in Europe in even 2500BC requires a very small number of language groups to put a hold on localization for a millenium while Hittite, Sanskrit and Mycenean were just getting ready to rear their heads as the first historically identifiable IE languages. What was holding them together as one language or perhaps a set of no more than what?, four or five proto-languages for a thousand years? 2. You analogize the coming of PIE to the coming of the European languages to the patchwork of pre-Columbian American languages. But it took European languages no more than two centuries in most places in America to displace the prior languages in a much greater mass of land. Compare this to the Renfrew or even the Mallory hypotheses that have PIE (as a contiguous language) cross Europe a few square miles per year over as much as 3000 years. The time of conversion is not the point here, it is rather the amount of time intervening afterwards. 3. A critical question this raises seems to me to be how these languages were standardized. The idea of a proto-IE or even a proto-Keltic throughout Europe before say 1800 BC gives us a language being spoken mainly by illiterate sedentary farmers who would have no knowledge if their language had varied from those of their neighbors a hundred miles away. An yet it has them all having spoken fundamentally the same language for as much as 2000 years before hand. If a sound shift did arise out of nowhere because of some sudden predisposition or fashion towards fricatives or aspirates, how was that shift passed on? The English, Spanish and French of the 1600's all had core institutions for regularizing speech and grammar. The hornbook, the Bible, the priest or preacher, the Castilian or Etonian administrator or cleric, the school teacher and of course the itinerant merchant were all instruments of both continuity and change for such a large displacement of language. The written word itself - our only direct evidence of languages and dialects no longer spoken and syntacts no longer used - is something totally absent from the PIE scene in Europe before 1300 BC. What standardized those PIE speakers in Europe so that they didn't turn into the "the situation in New Guinea" over the course of thousands of years? I think one viable answer is that they didn't. The solution is time - to reduce the amount of time they would have to develope thousands of different IE daughter languages in every nook and cranny of the European continent. And it also brings us closer in time to recognizable standardizing influences - like merchants, priests, manufacturing specialists and urban centers. This would also give us a much faster process of conversion to IE, much closer to the analogy given above to the conversion of the American languages - "a massive linguistic simplification." Regards, Steve Long From fcosw5 at mail.scu.edu.tw Wed Mar 10 00:17:05 1999 From: fcosw5 at mail.scu.edu.tw (Steven Schaufele) Date: Tue, 9 Mar 1999 16:17:05 -0800 Subject: Anatolians Message-ID:
Miguel Carrasquer Vidal wrote: > ... > It's a generally recognized fact that a PIE stop system *t, *d, > *dh is typologically unacceptable. What about a stop system distinguishing between voiceless, voiced, and aspirated (unmarked for voicing)? Or am i being naive? Steven Schaufele, Ph.D., Asst. Prof. of Linguistics, English Department Soochow University, Waishuanghsi Campus, Taipei 11102, Taiwan, ROC (886)(02)2881-9471 ext. 6504 fcosw5 at mail.scu.edu.tw http://www.prairienet.org/~fcosws/homepage.html ***O syntagmata linguarum liberemini humanarum!*** ***Nihil vestris privari nisi obicibus potestis!*** From JoatSimeon at aol.com Tue Mar 9 19:38:03 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Tue, 9 Mar 1999 14:38:03 EST Subject: Anatolians Message-ID:
>mcv at wxs.nl writes: >that "wool" didn't exist in the vocabulary even in pre-Neolithic times. -- sheep didn't develop wool, as we know it, until well after domestication. Use of wool as a fabric is comparatively late -- well after the beginning of the neolithic. >The plough was also used since the very beginning of the Neolithic, -- no, nyet, not true. Not unless you redefine "plough" to suit the argument and include wooden shovels and digging sticks. No animal traction, no plow. The ard, the earliest true plow, is 4th millenium BCE (same period as wheeled vehicles) and this is well-attested achaeological fact. >That leaves only "yoke", with the undoubted Hittite reflex
as a >possible candidate for being a late Neolithic innovation. -- this is a rather drastic case of attacking the evidence rather than trying to work with it. Evidence primary, hypothesis secondary, please. >but there is a Luwian attestation: asuwa. This looks very much like an Indo- >Iranian borrowing (Skt. as'va < PIE *ek^wos), were it not for the fact that >Luwian "dog" is -- the obvious, parsimonious explanation is that the Anatolian languages used ordinary IE terminology for the horse. >yielded a treatise on horses, containing a number of words of Indo-Iranian >origin, written by a Mitannian called Kikkuli). -- and the English terminology for formal riding is largely French and Spanish in origin, although English-speakers have been riding horses as long as there's been an English language (or proto-Germanic, come to that). Meaningless. >Hittite cognates (Hittite "wheel" is not *kwekwlo- or *rotHo- but >
, related only to Tocharian
"circle, wheel"), -- and having cognates in Tocharian and Hittite is about as secure a way to put a word into the PIE category as I can think of. Two unrelated IE language families widely separated in time and space -- what do you want, an egg in your beer? The only plausible argument for that is that this is an archaic term, since both Tocharian and Anatolian separated from PIE early. >"shaft" and "harness" when Hittite doesn't even share its basic kinship >terminology with Indo-European and has a different word for "four". -- excuse me, but kinship terminology has some bearing on horse harness technology? Run that one by me again? From sw271 at cus.cam.ac.uk Tue Mar 9 08:52:37 1999 From: sw271 at cus.cam.ac.uk (Sheila Watts) Date: Tue, 9 Mar 1999 08:52:37 +0000 Subject: Greek question & the pre-history of *nekwt In-Reply-To: <010b01be667d$6104c400$c93963c3@niywlxpn> Message-ID:
>No doubt someone will prove me wrong, but I believe Hittite was deciphered >at first by German speakers - so z was used as in German, which is a great >pain. It = /ts/. I am frankly appalled by this level of ethnocentricity. What's the idea, we shouldn't allow non-English speakers to decipher ancient languages because we can only handle orthography that reads like English? If anyone is working in linguistics who finds it a problem when an orthographical symbol has different phonetic value in different languages, he or she should get out fast and try maths instead. Sheila Watts _______________________________________________________ Dr Sheila Watts Newnham College Cambridge CB3 9DF United Kingdom phone +44 1223 335816 From mclssaa2 at fs2.mt.umist.ac.uk Tue Mar 9 08:44:25 1999 From: mclssaa2 at fs2.mt.umist.ac.uk (Anthony Appleyard) Date: Tue, 9 Mar 1999 08:44:25 GMT Subject: Celtic and English Again Message-ID:
Peter &/or Graham
wrote:- > On the lack of influence from Celtic in English: > ... Egypt, which was Egyptian-speaking for yonks, > then Greek speaking for nearly a thousand years The upperclass may well have learned Greek, but the mass of the population may have stuck to the late form of Egyptian called Coptic. For example, the modern Arabic placename Aswan continues Ancient Egyptian `Suan' (or similar) and ignores the Greekized name `Elephantine'. (That and the Egyptian name referred to big round rocks in the Nile there, that looked like elephants wallowing in the water.) > but now speaks Arabic with very little, if any, trace of either "substrate". There are at least these carry-overs from Ancient Egyptian into Egyptian Colloquial Arabic (ECA) (as distinct from educated speech):- (1) Unstressed vowels becoming the same as adjacent stressed vowels, and dropping when possible, e.g. standard Arabic {kabiir} = "big", but ECA {kibiir) = "big", {wa kbiir} = "and big". (2) Initial glottal stop + unstressed vowel often dropping when the previous word ends in a vowel, whether or not in standard Arabic that glottal stop was a {hamzat al was.l}. > Does this suggest that languages can indeed be replaced without great effect > on the invading language, if other circumstances are right, and that the lack > of influence from Celtic on English is not really so remarkable? Anglo-Saxon diphthongizes short front vowels before {r} and {l} or if the next vowel is a back vowel. That occurs also in Old Norse; but where did the Anglo-Saxons pick it up from? From JoatSimeon at aol.com Tue Mar 9 19:46:59 1999 From: JoatSimeon at aol.com (JoatSimeon at aol.com) Date: Tue, 9 Mar 1999 14:46:59 EST Subject: Chariots Message-ID:
>petegray at btinternet.com writes: >with inconclusive results about when horses were strong enough to carry a >person on their back. -- Horses were always strong enough to carry a person on their back _for a while_. Zebras, wild horses, and ponies no larger than the neolithic/Bronze Age chariot pony could all do this. The question actually relates to how long they could be ridden and how much gear the rider could carry. From glengordon01 at hotmail.com Tue Mar 9 09:07:48 1999 From: glengordon01 at hotmail.com (Glen Gordon) Date: Tue, 9 Mar 1999 01:07:48 PST Subject: Lenis and Fortis in IE Message-ID:
MIGUEL (on the topic of potential Greek borrowings of Anatolian): >Probably because Anatolian t was aspirated, or sounded aspirated >to the Greeks. Alright so Anatolian *t was /t
/? I've been thinking about your idea on fortis and lenis stops existing in IE (which is eerily similar to an idea I had about Pre-IE which has been evolving for six monthes or more now). I'm already prone to accept your idea in some form. About Pre-IE, I was considering a while back that although it seems unlikely to me that IE had ejectives (since their glottalic quality seems conveniently to disappear with almost no trace), I considered an alternative idea - that Pre-IE in fact had lenis and fortis stops that were the result of a shift from earlier ejectives (This is in connection with Uralic actually but I will digress). However, I figure that the _fortis_ stops are what Gam. call the "glottalic" and would thus correspond to the *d/*g series. The lenis consonants are the voiced aspirate (*dh) and voiceless plain stops (*t) of old, all of which I had interpreted as voiceless and I believe I mentioned this earlier on the list. Pre-IndoEtruscan (Stage 1) *t
*t? *t Pre-IndoEtruscan (Stage 2) *t
*t: *t IndoEtruscan *t
*t *tT Etruscan t t th IE *t
*t *tT Traditional t d dh In this scenario, Hittite medial geminates would correspond to the aspirate stops in opposition to a merged set corresponding to both the voiceless affricates (*dh, *gh, *bh) and the voiceless inaspirates (*d, *g). Maybe fortis/lenis distinctions in IE proper might have validity but I suspect a more evolved situation from this distinction (cf *t > IE *tT (*dh)). Sanskrit voiced aspirates would have evolved from voiceless affricates as are found in original voiceless form after mobile *s- and in all environments in Greek. The original voicelessness of the "voiced inaspirates" can be found in Germanic and in the Latin initial stops for example. What I like about this idea is that the "fortis" consonants correspond exactly to an earlier "ejective" set that thus explains the lack of *b (which would have been *p? > *p: and then uniquely merging with *p - I guess lips are too weak to make the distinction :) The glottalic theory therefore still supplies the best explanation so far of lack of *b but there is no need for supporting ejectives in actual IE proper. [ Moderator's comment: Modern Estonian has a three-way opposition in the obstruents, lenis ~ fortis ~ geminate (fortis) (traditionally "short" ~ "long" ~ "overlong"). According to Ilse Lehiste, a native speaker, the word for "Help!" is [ap:i]--and the obstruent may be held for some time. --rma ] Optionally, assuming only that you accept Etruscan and IE relationship, a correspondance can be seen between the two as shown above. Note if Etruscan
matches IE *bhi then it suggests to me that a loss of *p: was very early and affects both languages. Suggestion: Pre-IEtr [*t
, *t, *tT] > [*t
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i don't know
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The organic chemical compound C12H22O11 is better known as what additive?
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Overview of Food Ingredients, Additives & Colors
Overview of Food Ingredients, Additives & Colors
International Food Information Council (IFIC) and
U.S. Food and Drug Administration
November 2004; revised April 2010
Additional Information
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What Is a Color Additive?
A color additive is any dye, pigment or substance which when added or applied to a food, drug or cosmetic, or to the human body, is capable (alone or through reactions with other substances) of imparting color. FDA is responsible for regulating all color additives to ensure that foods containing color additives are safe to eat, contain only approved ingredients and are accurately labeled.
Color additives are used in foods for many reasons: 1) to offset color loss due to exposure to light, air, temperature extremes, moisture and storage conditions; 2) to correct natural variations in color; 3) to enhance colors that occur naturally; and 4) to provide color to colorless and "fun" foods. Without color additives, colas wouldn't be brown, margarine wouldn't be yellow and mint ice cream wouldn't be green. Color additives are now recognized as an important part of practically all processed foods we eat.
FDA's permitted colors are classified as subject to certification or exempt from certification, both of which are subject to rigorous safety standards prior to their approval and listing for use in foods.
Certified colors are synthetically produced (or human made) and used widely because they impart an intense, uniform color, are less expensive, and blend more easily to create a variety of hues. There are nine certified color additives approved for use in the United States (e.g., FD&C Yellow No. 6. See chart for complete list .). Certified food colors generally do not add undesirable flavors to foods.
Colors that are exempt from certification include pigments derived from natural sources such as vegetables, minerals or animals. Nature derived color additives are typically more expensive than certified colors and may add unintended flavors to foods. Examples of exempt colors include annatto extract (yellow), dehydrated beets (bluish-red to brown), caramel (yellow to tan), beta-carotene (yellow to orange) and grape skin extract (red, green).
How Are Additives Approved for Use in Foods?
Today, food and color additives are more strictly studied, regulated and monitored than at any other time in history. FDA has the primary legal responsibility for determining their safe use. To market a new food or color additive (or before using an additive already approved for one use in another manner not yet approved), a manufacturer or other sponsor must first petition FDA for its approval. These petitions must provide evidence that the substance is safe for the ways in which it will be used. As a result of recent legislation, since 1999, indirect additives have been approved via a premarket notification process requiring the same data as was previously required by petition.
Under the Food Additives Amendment, two groups of ingredients were exempted from the regulation process.
GROUP I - Prior-sanctioned substances - are substances that FDA or USDA had determined safe for use in food prior to the 1958 amendment. Examples are sodium nitrite and potassium nitrite used to preserve luncheon meats.
GROUP II - GRAS (generally recognized as safe) ingredients - are those that are generally recognized by experts as safe, based on their extensive history of use in food before 1958 or based on published scientific evidence. Among the several hundred GRAS substances are salt, sugar, spices, vitamins and monosodium glutamate (MSG). Manufacturers may also request that FDA review the industry's determination of GRAS Status.
When evaluating the safety of a substance and whether it should be approved, FDA considers: 1) the composition and properties of the substance, 2) the amount that would typically be consumed, 3) immediate and long-term health effects, and 4) various safety factors. The evaluation determines an appropriate level of use that includes a built-in safety margin - a factor that allows for uncertainty about the levels of consumption that are expected to be harmless. In other words, the levels of use that gain approval are much lower than what would be expected to have any adverse effect.
Because of inherent limitations of science, FDA can never be absolutely certain of the absence of any risk from the use of any substance. Therefore, FDA must determine - based on the best science available - if there is a reasonable certainty of no harm to consumers when an additive is used as proposed.
If an additive is approved, FDA issues regulations that may include the types of foods in which it can be used, the maximum amounts to be used, and how it should be identified on food labels. In 1999, procedures changed so that FDA now consults with USDA during the review process for ingredients that are proposed for use in meat and poultry products. Federal officials then monitor the extent of Americans' consumption of the new additive and results of any new research on its safety to ensure its use continues to be within safe limits.
If new evidence suggests that a product already in use may be unsafe, or if consumption levels have changed enough to require another look, federal authorities may prohibit its use or conduct further studies to determine if the use can still be considered safe.
Regulations known as Good Manufacturing Practices (GMP) limit the amount of food ingredients used in foods to the amount necessary to achieve the desired effect.
Summary
Food ingredients have been used for many years to preserve, flavor, blend, thicken and color foods, and have played an important role in reducing serious nutritional deficiencies among consumers. These ingredients also help ensure the availability of flavorful, nutritious, safe, convenient, colorful and affordable foods that meet consumer expectations year-round.
Food and color additives are strictly studied, regulated and monitored. Federal regulations require evidence that each substance is safe at its intended level of use before it may be added to foods. Furthermore, all additives are subject to ongoing safety review as scientific understanding and methods of testing continue to improve. Consumers should feel safe about the foods they eat.
Questions and Answers about Food and Color Additives
Q What is the role of modern technology in producing food additives?
Q. How are ingredients listed on a product label?
A. Food manufacturers are required to list all ingredients in the food on the label. On a product label, the ingredients are listed in order of predominance, with the ingredients used in the greatest amount first, followed in descending order by those in smaller amounts. The label must list the names of any FDA-certified color additives (e.g., FD&C Blue No. 1 or the abbreviated name, Blue 1). But some ingredients can be listed collectively as "flavors," "spices," "artificial flavoring," or in the case of color additives exempt from certification, "artificial colors", without naming each one. Declaration of an allergenic ingredient in a collective or single color, flavor, or spice could be accomplished by simply naming the allergenic ingredient in the ingredient list.
Q. What are dyes and lakes in color additives?
A. Certified color additives are categorized as either dyes or lakes. Dyes dissolve in water and are manufactured as powders, granules, liquids or other special-purpose forms. They can be used in beverages, dry mixes, baked goods, confections, dairy products, pet foods and a variety of other products.
Lakes are the water insoluble form of the dye. Lakes are more stable than dyes and are ideal for coloring products containing fats and oils or items lacking sufficient moisture to dissolve dyes. Typical uses include coated tablets, cake and donut mixes, hard candies and chewing gums.
Q. Do additives cause childhood hyperactivity?
A. Although this hypothesis was popularized in the 1970's, results from studies on this issue either have been inconclusive, inconsistent, or difficult to interpret due to inadequacies in study design. A Consensus Development Panel of the National Institutes of Health concluded in 1982 that for some children with attention deficit hyperactivity disorder (ADHD) and confirmed food allergy, dietary modification has produced some improvement in behavior. Although the panel said that elimination diets should not be used universally to treat childhood hyperactivity, since there is no scientific evidence to predict which children may benefit, the panel recognized that initiation of a trial of dietary treatment or continuation of a diet in patients whose families and physicians perceive benefits may be warranted. However, a 1997 review published in the Journal of the American Academy of Child & Adolescent Psychiatry noted there is minimal evidence of efficacy and extreme difficulty inducing children and adolescents to comply with restricted diets. Thus, dietary treatment should not be recommended, except possibly with a small number of preschool children who may be sensitive to tartrazine, known commonly as FD&C Yellow No.5 (See question below). In 2007, synthetic certified color additives again came under scrutiny following publication of a study commissioned by the UK Food Standards Agency to investigate whether certain color additives cause hyperactivity in children. Both the FDA and the European Food Safety Authority independently reviewed the results from this study and each has concluded that the study does not substantiate a link between the color additives that were tested and behavioral effects.
Q. What is the difference between natural and artificial ingredients? Is a naturally produced ingredient safer than an artificially manufactured ingredient?
A. Natural ingredients are derived from natural sources (e.g., soybeans and corn provide lecithin to maintain product consistency; beets provide beet powder used as food coloring). Other ingredients are not found in nature and therefore must be synthetically produced as artificial ingredients. Also, some ingredients found in nature can be manufactured artificially and produced more economically, with greater purity and more consistent quality, than their natural counterparts. For example, vitamin C or ascorbic acid may be derived from an orange or produced in a laboratory. Food ingredients are subject to the same strict safety standards regardless of whether they are naturally or artificially derived.
Q. Are certain people sensitive to FD&C Yellow No. 5 in foods?
A. FD&C Yellow No. 5, is used to color beverages, dessert powders, candy, ice cream, custards and other foods. FDA's Committee on Hypersensitivity to Food Constituents concluded in 1986 that FD&C Yellow No. 5 might cause hives in fewer than one out of 10,000 people. It also concluded that there was no evidence the color additive in food provokes asthma attacks. The law now requires Yellow No. 5 to be identified on the ingredient line. This allows the few who may be sensitive to the color to avoid it.
Q. Do low-calorie sweeteners cause adverse reactions?
A. No. Food safety experts generally agree there is no convincing evidence of a cause and effect relationship between these sweeteners and negative health effects in humans. The FDA has monitored consumer complaints of possible adverse reactions for more than 15 years.
For example, in carefully controlled clinical studies, aspartame has not been shown to cause adverse or allergic reactions. However, persons with a rare hereditary disease known as phenylketonuria (PKU) must control their intake of phenylalanine from all sources, including aspartame. Although aspartame contains only a small amount of phenylalanine, labels of aspartame-containing foods and beverages must include a statement advising phenylketonurics of the presence of phenylalanine.
Individuals who have concerns about possible adverse effects from food additives or other substances should contact their physicians.
Q. How do they add vitamins and minerals to fortified cereals?
A. Adding nutrients to a cereal can cause taste and color changes in the product. This is especially true with added minerals. Since no one wants cereal that tastes like a vitamin supplement, a variety of techniques are employed in the fortification process. In general, those nutrients that are heat stable (such as vitamins A and E and various minerals) are incorporated into the cereal itself (they're baked right in). Nutrients that are not stable to heat (such as B-vitamins) are applied directly to the cereal after all heating steps are completed. Each cereal is unique -- some can handle more nutrients than others can. This is one reason why fortification levels are different across all cereals.
Q. What is the role of modern technology in producing food additives?
A. Many new techniques are being researched that will allow the production of additives in ways not previously possible. One approach is the use of biotechnology, which can use simple organisms to produce food additives. These additives are the same as food components found in nature. In 1990, FDA approved the first bioengineered enzyme, rennin, which traditionally had been extracted from calves' stomachs for use in making cheese.
Types of Food Ingredients
The following summary lists the types of common food ingredients, why they are used,
and some examples of the names that can be found on product labels. Some additives are
used for more than one purpose.
Types of Ingredients
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Sugar
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Name the Trinidad and Tobago cabinet minister who resigned as vice president of FIFA in 2011 amid ongoing ethics investigations?
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What Is the Difference Between Sucrose and Sucralose?
What Is the Difference Between Sucrose and Sucralose?
Are Sucrose and Sucralose the Same?
This is the structure of sucralose or Splenda, an artificial sweetener. Ben Mills, public domain
Sucrose and sucralose both are sweeteners, but they aren't the same. Here's a look at how sucrose and sucralose are different.
Sucrose Versus Sucralose
Sucrose is a naturally occurring sugar, commonly known as table sugar. Sucralose, on the other hand, is an artificial sweetener, produced in a lab. Sucralose or Splenda is trichlorosucrose, so the chemical structures of the two sweeteners are related, but not identical. The molecular formula of sucralose is C12H19Cl3O8, while the formula for sucrose is C12H22O11. Unlike sucrose, sucralose is not metabolized by the body. Sucralose contributes zero calories to the diet, compared with sucrose, which contributes 16 calories per teaspoon (4.2 grams). Sucralose is about 600 times sweeter than sucrose.
About Sucralose
Sucralose was discovered by scientists at Tate & Lyle in 1976 during taste-testing of a chlorinated sugar compound. One report is that researcher Shashikant Phadnis thought his coworker Leslie Hough asked him to taste the compound (not a usual procedure), so he did and found the compound to be extraordinarily sweet compared with sugar.
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The compound was patented and tested, first approved for use as a non-nutritive sweetener in Canada in 1991. Sucralose is stable under a wide pH and temperature range, so it can be used for baking. It is known as E number (additive code) E955 and under trade names including Splenda, Nevella, Sukrana, Candys, SucraPlus, and Cukren.
Learn More
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i don't know
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Dyscalculia is less technically known as (what?)-blindness?
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Learning Disabilities: Fact and Fiction
Learning Disabilities: Fact and Fiction
Learning Disabilities: Fact and Fiction
Feb 24, 2011
In observance of Learning Disabilities Week, we here at Study.com want to clear up some misconceptions about common learning challenges such as dyslexia, dyscalculia and attention deficit hyperactivity disorder (ADHD).
By Megan Driscoll
Struggling to Learn
Education researchers believe that 5-10 percent of American kids ages 6-17 are affected by learning disabilities (LD). While experts don't know exactly what causes most learning disabilities, they do believe symptoms result from differences in brain structure or function.
Some common misconceptions about learning disabilities include:
Learning disabilities are like other forms of brain disorders. Learning disabilities are separate and distinct from problems caused by emotional dysfunction, mental retardation or hearing, visual or motor disabilities.
He's not smart. In fact, individuals with learning disabilities have 'normal' intelligence. They just suffer from a neurobiological dysfunction that makes it more difficult for them to learn.
She's faking it. Learning disabilities are a very real phenomenon, with a proven biological basis. Recent research has even found some genetic links for LD in families.
It's the student's background. Learning disabilities are not specific to any racial, cultural or socioeconomic category. Students from all backgrounds are equally susceptible.
Three of the most common challenges to learning that students face are dyslexia, dyscalculia and ADHD.
Dyslexia
The most common learning disability is dyslexia, which accounts for 80 percent of U.S. students with LD. The condition tends to affect more boys than girls.
In a nutshell, dyslexia is a language problem that makes it difficult for students to read. The trouble is not with vision; it is the brain that struggles to parse the sounds that make up words. People with dyslexia have a hard time writing or thinking about the sounds in a word or breaking a word down into its component parts. As a result, translating thought to language (writing) and language to thought (listening or reading) presents a significant challenge.
Early diagnosis is important for dyslexia; without intervention, students can fall further and further behind in the classroom. Kids with untreated dyslexia often struggle with their work and become frustrated at school. Many also suffer from low self-esteem and are more prone to misbehavior. There are many alternative ways to teach reading to dyslexic students, however, so early intervention can lead to a relatively normal school life.
Dyscalculia
'Dyscalculia' is an umbrella term used to refer to a wide range of math disabilities. Although less well known than dyslexia, dyscalculia affects a significant number of children.
There are two main types of dyscalculia. Some individuals have visual-spatial problems, making it difficult for the brain to process what the eye sees. These people may have a hard time visualizing patterns or parts of math problems. Others struggle with processing language; in effect, the brain doesn't fully understand what the ear hears. Those who are affected by this condition struggle to grasp math vocabulary, which can result in challenges developing mathematical skills.
If dyscalculia goes undiagnosed, it can lead to lifelong frustration with math. But when educators are able to identify it, they can use alternative methods for teaching math that allow people with dyscalculia make progress.
Attention Deficit Hyperactivity Disorder
Attention deficit hyperactivity disorder, or ADHD, isn't technically a learning disability. It is, though, very common in students with LD and can cause plenty of challenges at school on its own.
Referred to by some as attention deficit disorder (ADD), ADHD is a brain condition that makes it difficult for individuals to stay focused and/or in control of behavior. While it is normal for all students to be inattentive, impulsive or hyperactive at times, these issues are more common and severe in individuals with ADHD.
Attention deficit hyperactivity disorder is typically treated with a combination of medication and behavioral therapy. While some students with ADHD require special education to help keep them on track, others are able to function in a normal classroom once their symptoms are under control.
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Number
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How many dots make up the BlackBerry symbol logo?
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learning disabilities facts, information, pictures | Encyclopedia.com articles about learning disabilities
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Learning Disabilities
Learning disabilities applies to difficulties in reading, mathematics, and written language. Although children with learning disabilities can have difficulty with spoken language and language comprehension, most of the research revolves around the ability to read and understand written information. For further information about oral communication one should look at material in speech and language, which is beyond the scope of this entry.
Learning difficulties can be present in reading (phonics, comprehension), mathematics (calculation, reasoning), language (receptive, expressive), and written expression. Learning disabilities are assumed to be due to central nervous system dys-function (National Joint Committee for Learning Disabilities [NJCLD] 1991) and reflect a discrepancy between ability and achievement.
Diagnosis of Learning Disabilities
The diagnosis of learning disabilities varies depending on where one resides, with different states having different requirements for a learning disability diagnosis. Differences among states vary between psychometric measurement practices, which are called discrepancy models. However, most definitions share the requirement that a significant discrepancy exist between ability and achievement. The Intelligence Quotient (IQ) test becomes an important part of the diagnosis in these definitions. Such a discrepancy model leads to differing numbers of children identified as learning disabled (Sofie and Riccio 2002). Children and adolescents who are in the low average range of intelligence have a more difficult time qualifying for services as they must score very low on an achievement test in order to qualify (Semrud-Clikeman et al. 1992).
Children who have language difficulties frequently score poorly on the verbal portion of the IQ test, thus lowering their scores (Aaron 1997; Morris et al. 1998; Siegel 1992). These children and those from backgrounds other than the middle and upper class may be penalized by standardized tests that are far from culture-free (Greenfield 1997; Siegel 1990; Stanovich 1986). The highest concentration of poor readers has been found in certain ethnic groups and in poor urban neighborhoods (Snow, Burns, and Griffin 1998). Children from impoverished backgrounds or those from a different culture may not have acquired sufficient knowledge in order to answer the IQ test questions correctly. In fact, research has found that many of these children are not classified as learning disabled but rather as slow learners and often not considered bright enough to profit from remediation (Siegel 1990). The current methods of diagnosing children with learning disabilities assume that intelligence is a prerequisite for reading attainment. Research has indicated that IQ scores account for only 25 percent of the variance in reading scores and, as such, is not an important variable in predicting how a child will read (Aaron 1997; Swanson, Hoskyn, and Lee 1999). R. Valencia (1995) found that major achievement tests may underestimate the learning of minority children, particularly those whose primary language is not English. A study found that IQ explained only 6 percent of the variance of a Hispanic child's variance and only 10 percent of an African-American child's grades (Figueroa and Sassenrath, 1989).
Some authors suggest that children reading below grade level should be provided with reading support no matter what ability level they possess. Sally Shaywitz and her colleagues (1992) found that reading disabilities occur along a continuum with no clear difference between children with reading problems and those usually classified as slow learners. Further research has found more similarities than differences between slow learners and those with learning disabilities with few differences present between these two groups on measures of reading, spelling, and phonics knowledge (Siegel 1990). Linda Siegel concluded that the more the task is related to reading the less important intelligence is to reading achievement.
Assessment Issues
Given the above concerns, it is important to provide a comprehensive evaluation of a child with a possible learning disability. Reading is a multidimensional skill involving the ability to read words from sight, sound out words (phonological coding), read fluently and with good speed, and to understand what is read. In any part of this reading process problems can arise and disrupt the reading process. For example, a child who reads haltingly and needs to sound out almost every word will often experience difficulty with comprehension because it takes so long to read a passage and the child is concentrating on the words rather than the information. Evaluation of this child's reading rate and sight-word vocabulary are important aspects. Reading a passage to him/her and checking the comprehension of the passage assists one in understanding whether difficulties in comprehension are due to true comprehension problems or to the difficulty with the reading process. Similarly a child who has difficulty sounding out words may well have an intact sight-word vocabulary. In this case the child will benefit from using this strength with remediation in phonics.
Comorbidity Issues
Learning disabilities often occur in conjunction with other disorders or conditions. Comorbidity refers to multiple disorders within one individual. Learning disabilities occur concurrently with other conditions (for example, sensory impairment or serious emotional disturbance), but is not a result of the comorbid disorder (NJCLD 1991). For example, a child who is hearing-impaired would not qualify for LD services due solely to the hearing impairment.
Attention deficit hyperactivity disorders (ADHD) and learning disabilities are frequently comorbid. However, the inattention and impulsivity characteristic of ADHD make it difficult to determine if academic difficulty is due to the presence of learning disabilities or is a consequence of attention deficits (Semrud-Clikeman et al. 1992). Language disorders, depression, and anxiety are often experienced by those diagnosed with learning disabilities (American Psychiatric Association 1994). Social skills deficits are also frequently found in children diagnosed with learning disability (San Miguel et al. 1996).
Neuropsychology of Learning Disabilities
Learning disabilities is a heterogeneous disorder. The most common type of learning disability is language-based and due to difficulties with the sounding out of words—also called phonological coding deficits (Teeter and Semrud-Clikeman 1997). In this type of learning disability the child has difficulty hearing and/or understanding the differences in the sounds of a word (Mann 1991). For example, the word cat may not be heard as three different sounds—c a t. Reading requires that a child learn the relationship between the written letters and the sound segments—also called sound-symbol learning (Torgesen 1993). This is the most common type of learning disability.
Another type of learning disability involves difficulty with the visual or orthographic features of a word (Stanovich 1992). For example the outward configuration of words such as left and felt are relatively similar—high letter, low letter, two high letters—and may be confused by a child with this type of learning disability. These types of learning disabilities are less common. Visual memory is important in reading and children with this type of learning disability seem to have difficulty recalling what they see (Terepocki, Kruk, and Willows 2002). Children are evaluated in their ability to discriminate phonetically similar words like main from mane and homonyms (e.g., see and sea).
The majority of learning disabilities are reading based and most of the research involves children with reading disabilities (or dyslexia). However, it is important to realize that learning disabilities can also be identified in mathematics and written language. These types of learning problems are not as commonly evaluated or reported as a reading disability. Written language disabilities can have profound effects on a child's ability to generate and organize ideas in written form (Nodine, Barenbaum, and Newcomer 1985). Less is known about written language disabilities than reading disabilities but a study that evaluated children with brain injuries found that these children had intact reading skills but deficits in mathematics and written language, particularly if the damage was in the right hemisphere.
The incidence of math-based learning disabilities suggests that approximately 6 percent of children show a learning disability in this area (Miles and Forcht 1995). Difficulties can be found in mathematics calculations that are often related to difficulties with visual-spatial skills. Children with this type of disability may also show difficulties with social understanding. When mathematics problems and visual-spatial delays occur together, the child may have a nonverbal learning disability. These difficulties involve the child's inability to understand the context of the social situation, to interpret facial and body gestures, and to act accordingly. The relationship between the mathematics difficulties and these social deficits is not fully understood and further research is needed in this area (Semrud-Clikeman and Hynd 1990).
Neuro-Imaging and Learning Disabilities
Differences in brain anatomy have been consistently found in the area where sound-symbol relationships are believed to take place. Neuroimaging has now allowed further evaluation of the brain in living children. Studies found differences in the area of the brain responsible for sound-symbol interpretation (Hynd et al. 1990) as well as in the left hemisphere and frontal areas of the brain believed to be responsible for speaking ( Jernigan et al. 1991; Semrud-Clikeman et al. 1991). Neurons were found to be out of place, additional neurons in places where they should not be were found, and smaller volumes of the planatemporale were found. This area is responsible for auditory processing (Hynd and Semrud-Clikeman 1989). Such regional differences imply a neurodevelopmental process that went awry during gestation rather than brain damage or environmental influences. It is important to note that this asymmetry/symmetry may not be solely responsible for learning disabilities, although it is likely a major contributor to such difficulties (Morgan and Hynd 1998; Steinmetz and Galaburda 1991).
Electrophysiology and Learning Disabilities
Electrophysiological techniques have also been used in the study of learning disabilities to examine the neurobiological mechanisms that underlie these disabilities. The brain has ongoing electrical activity whose waveform can be measured and recorded. Large populations of neurons are measured by electrodes placed on the scalp with changes in the ongoing waveform occurring in response to a cognitive event, such as attention or stimulus discrimination.
Several decades of research have demonstrated different patterns of activation in the brains of children with learning disabilities and those of control groups. Abnormal electrical responses have been found in populations with learning disabilities when they are asked to process phonological information. Studies of components not involving conscious processing have demonstrated that adults and children with reading disabilities process auditory information differently than do normal readers. These components occur later in subjects with learning disabilities, indicating low-level auditory processing deficits. (McAnally and Stein 1996; Baldeweg et al. 1999). This physiological abnormality has also found to be correlated with phonological deficits.
Genetics of Learning Disabilities
The genetics of learning disabilities became of an area of significant interest beginning in the 1990s. Reading disabilities run in families and this familiarity may be due in part to genetic influences and in part to environment. These genetic influences are likely to have a direct impact on the development of the brain or a specific region of the brain that is probably involved in language.
Genetic influences appear to be more prominent in children with phonological coding deficits than in those with visual coding deficits (Pennington 1991). These studies have been generally involved identical and fraternal twins. Deficits in specific processes have been found in phonological coding (the ability to discriminate sounds in words) and phonemic analysis (the ability to sound out words) compared to in visual-spatial deficits (DeFries et al. 1991). The concordance of phonetically based learning problems was 71 percent for identical twins but only 49 percent for fraternal twins. Bruce Pennington and his colleagues (1991) found evidence of a major gene transmission in a large sample of families with reading disabilities linking a small set of genes that indirectly affect reading. Although chromosomes 6 and 15 have been linked to reading problems, it is likely that the difficulty is due to several genes that have not been fully evaluated (Smith, Kimberling, and Pennington 1991). Genetic analysis of children with mathematics or written expression disabilities is another area that requires study.
Environmental influences also impact the brain and culture may change the development of neurons in a specific manner (e.g., reading left to right rather than right to left). Arabic and Hebrew readers have been found to show differences in hemispheric activation on reading tasks—particularly tasks that involve orthographic processing (Eviatar 2000). In addition, preliminary studies have indicated that those readers that read right to left do not show the same right hemispheric preference for the processing of faces and emotion as do those who read left to right (Eviatar 1997; Vaid and Singh 1989). Genetics and neuro-imaging studies may provide more information about these differences.
Familial risk for learning disabilities is clearly significant and substantial in many of the research findings (Gilger, Pennington, and DeFries 1991). Environment may play a role in the development of reading disabilities but no difference has been found between preschool literacy rate in children with reading problems and those without reading problems (Scarborough 1991). What has been found that within the family, the child with a predisposition for a reading problem is less interested in reading and reading-like activities than those without such a predilection (Scarborough, Dobrich, and Hager 1991). Moreover, differences in amount of time being read to, looking at books, and listening to stories were found between siblings with and without later reading difficulties.
Family Aspects of Learning Disabilities
The discussion of the genetics of learning disabilities leads into family aspects as many parents also have a learning disability. It is important to recognize this possibility, particularly when developing interventions and recommendations for these families. It may be unrealistic to ask a parent who also has a learning disability to read to their child, as the action may be fraught with anxiety and difficulty for the parent. It is also important to realize that parents who experienced difficulty in learning themselves may find coming to a school for a parent-teacher conference to be frightening and intimidating (Semrud-Clikeman 1994).
There are few studies in this area but prenatal and postnatal factors have been found to be important in the development of learning problems in the first two years of life (Werner and Smith 1981). Families that were characterized as chaotic or in poverty showed a higher probability of children experiencing learning problems than those without—these variables become more significant as the child becomes older (Teeter and Semrud-Clikeman 1997). Socioeconomic status, home conditions, and educational level of family members appear to act either as complicating factors or as compensatory factors for children with reading problems (Badian 1988; Keogh and Sears 1991).
Robert Jay Green (1992) draws from biological, sociological, and familial sources in evaluating the impact of families on achievement and learning. He suggests that each of these factors interact with one another and either improve learning or impede skill development. These factors work less strongly on biologically based difficulties (e.g., genetically based type of learning disability) than on those environmentally based. However, difficulties in learning and attention are due to the influences of many genes and may well respond to environmental changes that can assist the child in over-coming learning difficulties in an environment that is helpful and exacerbate the difficulties in a less than optimal environment. Green's (1992) model assumes that achievement difficulties can be partially caused or maintained by family factors as well as those present in the school system and social environments. Given these concerns it is important to link school-based interventions with family support.
Interventions
Children with phonological coding deficits appear to respond well to interventions that stress direct training of phonics and place the training within a context (Cunningham 1990). Such a context—metacognitive training—allows the child to learn when to use a particular tactic and how to decide if it is effective (Cunningham 1989). The Reading Recovery Program (Clay 1993) has shown good promise in assisting children with their learning. The program emphasizes understanding the reading process in addition to emphasizing decoding skills. Teaching word families within this context has also been found to be helpful (i.e., an, in, fan, tan, or man).
Early identification of children at risk for learning difficulties is also recommended with specific training in phonemic awareness, rhyming skills, and word families provided in preschool and kindergarten (Felton and Pepper 1995; Wise and Olson 1991). Such early intervention has been found to be most appropriate for children with a family history of learning disabilities (Scarborough 1991). These children demonstrate early on difficulties in language, both in understanding and expressing their thoughts, that later translates into problems in reading readiness (Wise and Olson 1991). Programs, such as FastForword, LindamoodAuditory System, and the Slingerland or Orton-Gillingham method, are helpful to some children with learning disabilities. Websites can be readily found for each of these interventions.
Conclusion
Learning disabilities is a field that is constantly changing. With the advent of techniques that allow scholars to study the brain in action, we may understand not only the normal process of reading but also what happens when the system is not working. The hope is that we will be able to prevent learning disabilities or, at the least, to develop innovative and successful interventions. It is also hoped that we will become more adept at identifying children at earlier ages to prevent some of the emotional and social difficulties that can be associated with a learning disability. Neuroscience is now promising new avenues in our study of learning disabilities as is genetics. Families who have a history of learning disability need further study to provide appropriate support for them as well as to assist with early interventions. Schools are becoming more adept at working with children with differing types of learning disability and it is hoped that our ability to assess minority children appropriately will also improve.
COPYRIGHT 2001 The Gale Group Inc.
Learning disability
A disorder that causes problems in speaking, listening, reading, writing, or mathematical ability.
A learning disability , or specific developmental disorder, is a disorder that inhibits or interferes with the skills of learning, including speaking, listening, reading, writing, or mathematical ability . Legally, a learning disabled child is one whose level of academic achievement is two or more years below the standard for his age and IQ level. It is estimated that 5-20% of school-age children in the United States , mostly boys, suffer from learning disabilities (currently, most sources place this figure at 20%). Often, learning disabilities appear together with other disorders, such as attention deficit/hyperactivity disorder (ADHD). They are thought to be caused by irregularities in the functioning of certain parts of the brain . Evidence suggests that these irregularities are often inherited (a person is more likely to develop a learning disability if other family members have them). However, learning disabilities are also associated with certain conditions occurring during fetal development or birth , including maternal use of alcohol, drugs, and tobacco, exposure to infection, injury during birth, low birth weight, and sensory deprivation .
Aside from underachievement, other warning signs that a person may have a learning disability include overall lack of organization, forgetfulness, and taking unusually long amounts of time to complete assignments. In the classroom, the child's teacher may observe one or more of the following characteristics: difficulty paying attention, unusual sloppiness and disorganization, social withdrawal, difficulty working independently, and trouble switching from one activity to another. In addition to the preceding signs, which relate directly to school and schoolwork, certain general behavioral and emotional features often accompany learning disabilities. These include impulsiveness, restlessness, distractibility, poor physical coordination, low tolerance for frustration, low self-esteem , daydreaming , inattentiveness, and anger or sadness.
Types of learning disabilities
Learning disabilities are associated with brain dysfunctions that affect a number of basic skills. Perhaps the most fundamental is sensory-perceptual ability—the capacity to take in and process information through the senses. Difficulties involving vision , hearing , and touch will have an adverse effect on learning. Although learning is usually considered a mental rather than a physical pursuit, it involves motor skills, and it can also be impaired by problems with motor development. Other basic skills fundamental to learning include memory , attention, and language abilities.
The three most common academic skill areas affected by learning disabilities are reading, writing, and arithmetic. Some sources estimate that between 60-80% of children diagnosed with learning disabilities have reading as their only or main problem area. Learning disabilities involving reading have traditionally been known as dyslexia ; currently the preferred term is developmental reading disorder . A wide array of problems is associated with reading disorders, including difficulty identifying groups of letters, problems relating letters to sounds, reversals and other errors involving letter position, chaotic spelling, trouble with syllabication, failure to recognize words, hesitant oral reading, and word-by-word rather than contextual reading. Writing disabilities, known as dysgraphia, include problems with letter formation and writing layout on the page, repetitions and omissions, punctuation and capitalization errors, "mirror writing," and a variety of spelling problems. Children with dysgraphia typically labor at written work much longer than their classmates, only to produce large, uneven writing that would be appropriate for a much younger child. Learning abilities involving math skills, generally referred to as dyscalcula (or dyscalculia), usually become apparent later than reading and writing problems—often at about the age of eight. Children with dyscalcula may have trouble counting, reading and writing numbers, understanding basic math concepts, mastering calculations, and measuring. This type of disability may also involve problems with nonverbal learning, including spatial organization.
Treatment
The principal forms of treatment for learning disabilities are remedial education and psychotherapy . Either may be provided alone, the two may be provided simultaneously, or one may follow the other. Schools are required by law to provide specialized instruction for
children with learning disabilities. Remediation may take place privately with a tutor or in a school resource center. A remediator works with the child individually, often devising strategies to circumvent the barriers caused by the disability. A child with dyscalcula, for example, may be shown a "shortcut" or "trick" that involves memorizing a spatial pattern or design and then superimposing it on calculations of a specific type, such as double-digit multiplication problems. The most important aspect of remediation is finding new ways to solve old problems. In this respect, remediation diverges from ordinary tutoring methods that use drill and repetition, which are ineffective in dealing with learning disabilities. The earlier remediation is begun, the more effective it will be. At the same time that they are receiving remedial help, children with learning disabilities spend as much time as possible in the regular classroom.
While remediation addresses the obstacles created by the learning disability itself, psychotherapy deals with the emotional and behavioral problems associated with the condition. The difficulties caused by learning disabilities are bound to affect a child's emotional state and behavior. The inability to succeed at tasks that pose no unusual problems for one's peers creates a variety of unpleasant feelings, including shame, doubt, embarrassment, frustration, anger, confusion, fear , and sadness. These feelings pose several dangers if they are allowed to persist over time. First, they may aggravate the disability: excessive stress can interfere with the performance of many tasks, especially those that are difficult to begin with. In addition, other, previously developed abilities may suffer as well, further eroding the child's self-confidence. Finally, destructive emotional and behavioral patterns that begin in response to a learning disability may become entrenched and extend to other areas of a child's life. Both psychoanalytic and behaviorally oriented methods are used in therapy for children with learning disabilities.
The sensitivity developed over the past two decades to the needs of students with learning disabilities has extended to adults as well in some sectors. Some learning disabled adults have been accommodated by special measures such as extra time on projects at work. They may also be assigned tasks that does not require a lot of written communication. For example, a learning disabled person might take customer service phone calls, rather than reading and processing customer comment cards.
Because there is no "cure" for learning disability, it will continue to affect the lives of learning-disabled people, and the strategies they may have learned to succeed in school must also be applied in their vocation.
Further Reading
Tuttle, Cheryl Gerson, and Gerald A. Tuttle, eds. Challenging Voices: Writings By, For, and About People with Learning Disabilities. Los Angeles : Lowell House, 1995.
Wong, Y.L., ed. Learning About Learning Disabilities. San Diego : Academic Press, 1991.
Further Information
Association for Children and Adults with Learning Disabilities. 4900 Girard Rd., Pittsburgh , PA 15227–1444, (412) 881–2253.
National Center for Learning Disabilities. 99 Park Ave., New York , NY 10016, (212) 687–7211.
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The Oxford Companion to the Body
© The Oxford Companion to the Body 2001, originally published by Oxford University Press 2001.
learning disabilities What connections exist between the body and ‘learning disability’ or ‘mental retardation’? We assume that there is a realm of mental nature separable from physical nature, at least for investigative purposes; we also often see mental disorders as being analogous to physical ones, or physical conditions as causing mental ones. We assume that mental ability or disability is a part of an individual's make-up, and therefore that what is congenital is also largely incurable. All these assumptions are modern, in the historian's sense of the term: they belong to the last three centuries.
According to Galen , the supreme medical authority before modern times, human reason was activated by ‘animal spirits’ which moved around the brain and, if sluggish, caused amentia (mindlessness); however, any normal individual could experience this condition temporarily. Sometimes a landowner's heir might suffer from congenital incompetence, but this was a problem for lawyers, not doctors; it was not distinguished from the assumed incompetence of the entire labouring population, and where people did not own property there was no problem. Nor was congenital incompetence necessarily permanent: God might cure it providentially. People whom we might now call ‘learning disabled’ were depicted by artists; but neither their behavioural gestures and bodily features, nor their social role, were clearly distinct from those of jesters and professional fools whose minds were perfectly sound. Medical writers did not research the causes of mental (or physical) monstrosity, since these were God's responsibility; rather, monstrosity demonstrated His marvellous creative powers. Only mavericks among them, such as astrologers or followers of the derided Paracelsus, had a specifically medical interest in connections between the body and permanent lack of reason. Even for them, reason tended to mean divine illumination rather than the personal mental equipment described by modern psychology.
In the seventeenth-century roots of that psychology we begin to find a learning disabled type recognizable to ourselves, defined by the purely mental characteristics of an individual. The influential philosopher John Locke summarized these as a lack of ability to think ‘abstractly’, and psychology has refined this picture very little since then. However, the approach to physiological phenomena associated with ‘idiocy’ (as it was then technically known) has changed frequently. These changes have social and political connections. Locke was also a leading Whig theoretician, and saw idiots as people who lacked the mental equipment needed to exercise their individual autonomy, the basis of the new Whig political philosophy of government by consent. As a medical practitioner himself, he thought this lack might be caused by their having different bodily mechanisms. He did not investigate further, possibly because the discipline of anatomy was controlled by his political opponents. His Tory contemporary, Thomas Willis, believed there was an anatomical distinction between the brains of ‘stupid’ and ‘mad’ people, although he also continued to believe Galen's hypothesis of slow-moving ‘animal spirits’. Descartes's discussion of the mind (one of the sources for modern accounts of a distinctly human psychology) located the reasoning soul in the pineal gland , which previously had been merely a valve controlling the flow of animal spirits. Anatomists under Descartes's influence, dissecting the corpses of mad people and idiots, claimed that the former possessed excessively flexible pineal glands, the latter excessively rigid ones.
Eighteenth-century medical theorists opened up an empire of the mind, developing psychological classifications in terms similar to those of bodily disease. At the same time their interest in the physiology of idiots largely reverted to external characteristics, particularly facial features (physiognomics) and skull shape ( phrenology ). In the mid nineteenth century, with the rise of colonialism and anthropology , theories of idiocy and race were united. The mental characteristics of idiots were identified with the alleged psychological inabilities and corresponding external physical characteristics of non-whites. Fetal development was thought to retrace the primitive stages of human history which the non-white races still exhibited; sometimes development was arrested, a notion embodied in the ‘mongol’, whose facial features apparently betrayed a low level of psychological competence comparable with that of the mongoloid races. Segregated institutions and then sterilization programmes arose from this culture, with the aim of improving the health of the race. Administered largely by practitioners of physical medicine, they appeared first in the Anglo-Saxon countries; in Germany the same culture led to mass exterminations of learning disabled people at the end of the 1930s.
Since then a rapid refinement in the diagnostic technology of chromosomes and genes has renewed our interest in internal bodily causes. There has been a correspondingly rapid increase in the number of psychological labels attached to syndromes (e.g. ‘fragile X’); the human genome project now promises to locate DNA markers for the lower band of a socially determined ‘normal IQ’. This profusion of learning disabled conditions has interacted with rapid changes in their social status and acceptance. Pathology advances in some directions while retreating in others. At the time of writing, for example, genetically-related autism has fanned out into an autistic ‘spectrum’, annexing and reinventing ‘Asperger's syndrome’ as a mild variant which may affect the apparently normal population. Its socially segregating effects are inseparable from the diagnosis itself, by which autistic people are said to belong mentally in a separate world from others; this notion reinforces a separate professional specialization, creating more research and labelling. In a simultaneous but contrary tendency, numbers of prospective parents reject termination after a positive test for Down's syndrome, partly because children and young adults with this condition have become increasingly integrated in the community.
People began by wanting a physical diagnosis of learning disability, for various religious and political reasons, in the seventeenth century when biochemistry was inconceivable. But whatever the precision of today's diagnostic techniques in this respect, it has not been matched, either in psychology or in cognitive and behavioural genetics, by a corresponding precision in the diagnosis and description of the ‘mental’ aspects; these remain as fluid and subject to social context as ever.
Christopher Goodey
Bibliography
Wright, D. and and Digby, A. (1996). From idiocy to mental deficiency: historical perspectives on people with learning disabilities. London.
Trent, J. (1994). Inventing the feeble mind: a history of mental retardation in the United States. Berkeley.
The Columbia Encyclopedia, 6th ed.
Copyright The Columbia University Press
learning disabilities, in education, any of various disorders involved in understanding or using spoken or written language, including difficulties in listening, thinking, talking, reading , writing, spelling, or arithmetic . They may affect people of average or above-average intelligence. Learning disabilities include conditions referred to as perceptual handicaps, minimal brain dysfunction (MBD), dyslexia , developmental aphasia, and attentional deficit disorder (ADD); they do not include learning problems due to physical handicaps (e.g., impaired sight or hearing, or orthopedic disabilities), mental retardation , emotional disturbance, or cultural or environmental disadvantage. Techniques for remediation are highly individualized, including the simultaneous use of several senses (sight, hearing, touch), slow-paced instruction, and repetitive exercises to help make perceptual distinctions. Students are also assisted in compensating for their disabilities; for example, one with a writing disability may use a tape recorder for taking notes or answering essay questions. Behavior often associated with learning disabilities includes hyperactivity (hyperkinesis), short attention span, and impulsiveness. School programs for learning-disabled students range from a modified or supplemental program in regular classes to placement in a special school, depending upon the severity of the disability. The field of learning disabilities is considered to have emerged as a separate discipline in 1947 with the publication of the book Psychopathology and Education of the Brain-Injured Child by neuropsychiatrist Alfred A. Strauss and Laura E. Lehtinen. The need to help students with these disabilities was first recognized on the federal level in 1958, when Congress appropriated $1 million to train teachers for the mentally retarded. Famous people considered to have had a learning disability include Winston Churchill, Thomas Edison, and Nelson Rockefeller.
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geology
metamorphic rock
Rock, in geology, naturally occurring and coherent aggregate of one or more minerals. Such aggregates constitute the basic unit of which the solid Earth is comprised and typically form recognizable and mappable volumes. Rocks are commonly divided into three major classes according to the processes that resulted in their formation. These classes are (1) igneous rocks, which have solidified from molten material called magma; (2) sedimentary rocks, those consisting of fragments derived from preexisting rocks or of materials precipitated from solutions; and (3) metamorphic rocks, which have been derived from either igneous or sedimentary rocks under conditions that caused changes in mineralogical composition , texture, and internal structure. These three classes, in turn, are subdivided into numerous groups and types on the basis of various factors, the most important of which are chemical, mineralogical, and textural attributes.
Rocks can be any size. Some are smaller than these grains of sand. Others, like this large rock …
(Left) © Bobanny; (right) © Martin Fowler/Shutterstock.com
General considerations
Rock types
Igneous rocks are those that solidify from magma , a molten mixture of rock-forming minerals and usually volatiles such as gases and steam. Since their constituent minerals are crystallized from molten material, igneous rocks are formed at high temperatures. They originate from processes deep within the Earth—typically at depths of about 50 to 200 kilometres (30 to 120 miles)—in the mid- to lower-crust or in the upper mantle. Igneous rocks are subdivided into two categories: intrusive (emplaced in the crust), and extrusive (extruded onto the surface of the land or ocean bottom), in which case the cooling molten material is called lava .
The Earth’s surface and crust are constantly evolving through a process called the rock cycle.
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Sedimentary rocks are those that are deposited and lithified (compacted and cemented together) at the Earth’s surface, with the assistance of running water , wind , ice , or living organisms. Most are deposited from the land surface to the bottoms of lakes, rivers, and oceans. Sedimentary rocks are generally stratified—i.e., they have layering. Layers may be distinguished by differences in colour, particle size, type of cement, or internal arrangement.
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geochemical cycle
Metamorphic rocks are those formed by changes in preexisting rocks under the influence of high temperature, pressure , and chemically active solutions. The changes can be chemical (compositional) and physical (textural) in character. Metamorphic rocks are often formed by processes deep within the Earth that produce new minerals, textures, and crystal structures. The recrystallization that takes place does so essentially in the solid state, rather than by complete remelting, and can be aided by ductile deformation and the presence of interstitial fluids such as water. Metamorphism often produces apparent layering, or banding, because of the segregation of minerals into separate bands. Metamorphic processes can also occur at the Earth’s surface due to meteorite impact events and pyrometamorphism taking place near burning coal seams ignited by lightning strikes.
Rock cycle
Geologic materials—mineral crystals and their host rock types—are cycled through various forms. The process depends on temperature, pressure, time, and changes in environmental conditions in the Earth’s crust and at its surface. The rock cycle illustrated in Figure 1 reflects the basic relationships among igneous, metamorphic, and sedimentary rocks. Erosion includes weathering (the physical and chemical breakdown of minerals) and transportation to a site of deposition . Diagenesis is, as previously explained, the process of forming sedimentary rock by compaction and natural cementation of grains, or crystallization from water or solutions, or recrystallization. The conversion of sediment to rock is termed lithification .
Abundance of rock types
An estimate of the distribution of rock types in large structural units of the terrestrial crust is given in the Table. The relative abundance of main rock types and minerals in the crust is shown in the Table.
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The texture of a rock is the size, shape, and arrangement of the grains (for sedimentary rocks) or crystals (for igneous and metamorphic rocks). Also of importance are the rock’s extent of homogeneity (i.e., uniformity of composition throughout) and the degree of isotropy . The latter is the extent to which the bulk structure and composition are the same in all directions in the rock.
Rocks have many different textures. Layered sandstone produces a gritty texture, whereas coquina …
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Analysis of texture can yield information about the rock’s source material, conditions and environment of deposition (for sedimentary rock) or crystallization and recrystallization (for igneous and metamorphic rock, respectively), and subsequent geologic history and change.
Classification by grain or crystal size
The common textural terms used for rock types with respect to the size of the grains or crystals, are given in the Table . The particle-size categories are derived from the Udden-Wentworth scale developed for sediment. For igneous and metamorphic rocks, the terms are generally used as modifiers—e.g., medium-grained granite. Aphanitic is a descriptive term for small crystals, and phaneritic for larger ones. Very coarse crystals (those larger than 3 centimetres, or 1.2 inches) are termed pegmatitic.
For sedimentary rocks, the broad categories of sediment size are coarse (greater than 2 millimetres, or 0.08 inch), medium (between 2 and 1/16 millimetres), and fine (under 1/16 millimetre). The latter includes silt and clay , which both have a size indistinguishable by the human eye and are also termed dust. Most shales (the lithified version of clay) contain some silt. Pyroclastic rocks are those formed from clastic (from the Greek word for broken) material ejected from volcanoes. Blocks are fragments broken from solid rock, while bombs are molten when ejected.
Porosity
The term rock refers to the bulk volume of the material, including the grains or crystals as well as the contained void space. The volumetric portion of bulk rock that is not occupied by grains, crystals, or natural cementing material is termed porosity. That is to say, porosity is the ratio of void volume to the bulk volume (grains plus void space). This void space consists of pore space between grains or crystals, in addition to crack space. In sedimentary rocks, the amount of pore space depends on the degree of compaction of the sediment (with compaction generally increasing with depth of burial), on the packing arrangement and shape of grains, on the amount of cementation, and on the degree of sorting . Typical cements are siliceous, calcareous or carbonate, or iron-bearing minerals.
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Sorting is the tendency of sedimentary rocks to have grains that are similarly sized—i.e., to have a narrow range of sizes (see Figure 2 ). Poorly sorted sediment displays a wide range of grain sizes and hence has decreased porosity. Well-sorted indicates a grain size distribution that is fairly uniform. Depending on the type of close-packing of the grains, porosity can be substantial. It should be noted that in engineering usage—e.g., geotechnical or civil engineering—the terminology is phrased oppositely and is referred to as grading. A well-graded sediment is a (geologically) poorly sorted one, and a poorly graded sediment is a well-sorted one.
Total porosity encompasses all the void space, including those pores that are interconnected to the surface of the sample as well as those that are sealed off by natural cement or other obstructions. Thus the total porosity (ϕT) is
where VolG is the volume of grains (and cement, if any) and VolB is the total bulk volume. Alternatively, one can calculate ϕT from the measured densities of the bulk rock and of the (mono)mineralic constituent. Thus,
where ρB is the density of the bulk rock and ρG is the density of the grains (i.e., the mineral , if the composition is monomineralogic and homogeneous). For example, if a sandstone has a ρB of 2.38 grams per cubic centimetre (g/cm3) and is composed of quartz (SiO2) grains having ρG of 2.65 g/cm3, the total porosity is
Apparent (effective, or net) porosity is the proportion of void space that excludes the sealed-off pores. It thus measures the pore volume that is effectively interconnected and accessible to the surface of the sample, which is important when considering the storage and movement of subsurface fluids such as petroleum , groundwater, or contaminated fluids.
Physical properties
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Physical properties of rocks are of interest and utility in many fields of work, including geology, petrophysics, geophysics, materials science , geochemistry, and geotechnical engineering. The scale of investigation ranges from the molecular and crystalline up to terrestrial studies of the Earth and other planetary bodies. Geologists are interested in the radioactive age dating of rocks to reconstruct the origin of mineral deposits; seismologists formulate prospective earthquake predictions using premonitory physical or chemical changes; crystallographers study the synthesis of minerals with special optical or physical properties; exploration geophysicists investigate the variation of physical properties of subsurface rocks to make possible detection of natural resources such as oil and gas, geothermal energy, and ores of metals; geotechnical engineers examine the nature and behaviour of the materials on, in, or of which such structures as buildings, dams, tunnels, bridges, and underground storage vaults are to be constructed; solid-state physicists study the magnetic, electrical, and mechanical properties of materials for electronic devices, computer components, or high-performance ceramics; and petroleum reservoir engineers analyze the response measured on well logs or in the processes of deep drilling at elevated temperature and pressure.
Since rocks are aggregates of mineral grains or crystals, their properties are determined in large part by the properties of their various constituent minerals. In a rock these general properties are determined by averaging the relative properties and sometimes orientations of the various grains or crystals. As a result, some properties that are anisotropic (i.e., differ with direction) on a submicroscopic or crystalline scale are fairly isotropic for a large bulk volume of the rock. Many properties are also dependent on grain or crystal size, shape, and packing arrangement, the amount and distribution of void space, the presence of natural cements in sedimentary rocks, the temperature and pressure, and the type and amount of contained fluids (e.g., water, petroleum, gases). Because many rocks exhibit a considerable range in these factors, the assignment of representative values for a particular property is often done using a statistical variation.
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Some properties can vary considerably, depending on whether measured in situ (in place in the subsurface) or in the laboratory under simulated conditions. Electrical resistivity , for example, is highly dependent on the fluid content of the rock in situ and the temperature condition at the particular depth.
Density
Density varies significantly among different rock types because of differences in mineralogy and porosity. Knowledge of the distribution of underground rock densities can assist in interpreting subsurface geologic structure and rock type.
In strict usage, density is defined as the mass of a substance per unit volume; however, in common usage, it is taken to be the weight in air of a unit volume of a sample at a specific temperature. Weight is the force that gravitation exerts on a body (and thus varies with location), whereas mass (a measure of the matter in a body) is a fundamental property and is constant regardless of location. In routine density measurements of rocks, the sample weights are considered to be equivalent to their masses, because the discrepancy between weight and mass would result in less error on the computed density than the experimental errors introduced in the measurement of volume. Thus, density is often determined using weight rather than mass. Density should properly be reported in kilograms per cubic metre (kg/m3), but is still often given in grams per cubic centimetre (g/cm3).
Another property closely related to density is specific gravity . It is defined, as noted above, as the ratio of the weight or mass in air of a unit volume of material at a stated temperature to the weight or mass in air of a unit volume of distilled water at the same temperature. Specific gravity is dimensionless (i.e., has no units).
The bulk density of a rock is ρB = WG/VB, where WG is the weight of grains (sedimentary rocks) or crystals (igneous and metamorphic rocks) and natural cements, if any, and VB is the total volume of the grains or crystals plus the void (pore) space. The density can be dry if the pore space is empty, or it can be saturated if the pores are filled with fluid (e.g., water), which is more typical of the subsurface (in situ) situation. If there is pore fluid present,
where Wfl is the weight of pore fluid. In terms of total porosity, saturated density is
and thus
where ρfl is the density of the pore fluid. Density measurements for a given specimen involve the determination of any two of the following quantities: pore volume, bulk volume, or grain volume, along with the weight.
A useful way to assess the density of rocks is to make a histogram plot of the statistical range of a set of data. The representative value and its variation can be expressed as follows: (1) mean, the average value, (2) mode, the most common value (i.e., the peak of the distribution curve), (3) median, the value of the middle sample of the data set (i.e., the value at which half of the samples are below and half are above), and (4) standard deviation, a statistical measure of the spread of the data (plus and minus one standard deviation from the mean value includes about two-thirds of the data).
A compilation of dry bulk densities for various rock types found in the upper crust of the Earth is listed in the Table. A histogram plot of these data, giving the percent of the samples as a function of density is shown in Figure 3 . The parameters given include (1) sample division, the range of density in one data column—e.g., 0.036 g/cm3 for Figure 3 , (2) number of samples, and (3) standard deviation. The small inset plot is the percentage of samples (on the vertical axis) that lie within the interval of the “mode - x” to the “mode + x,” where x is the horizontal axis.
Dry bulk densities for various rock types
rock type
mean (grams per cubic cm)
standard deviation
mode (grams per cubic cm)
median (grams per cubic cm)
all rocks
2.22
2.22
Source: After data from H.S. Washington (1917) and R.J. Piersol, L.E. Workman, and M.C. Watson (1940) as compiled by Gary R. Olhoeft and Gordon R. Johnson in Robert S. Carmichael, ed., Handbook of Physical Properties of Rocks, vol. III, CRC Press, Inc. (1984).
In Figure 3 , the most common (modal) value of the distribution falls at 2.63 g/cm3, roughly the density of quartz, an abundant rock-forming mineral . Few density values for these upper crustal rocks lie above 3.3 g/cm3. A few fall well below the mode, even occasionally under 1 g/cm3. The reason for this is shown in Figure 4 , which illustrates the density distributions for granite , basalt , and sandstone. Granite is an intrusive igneous rock with low porosity and a well-defined chemical (mineral) composition; its range of densities is narrow. Basalt is, in most cases, an extrusive igneous rock that can exhibit a large variation in porosity (because entrained gases leave voids called vesicles), and thus some highly porous samples can have low densities. Sandstone is a clastic sedimentary rock that can have a wide range of porosities depending on the degree of sorting, compaction, packing arrangement of grains, and cementation. The bulk density varies accordingly.
Other distribution plots of dry bulk densities are given in Figures 5 and 6 , with a sample division of 0.036 g/cm3 for Figures 5 and 6A and of 0.828 percent for Figure 6B . The Table lists typical ranges of dry bulk densities for a variety of other rock types as prepared by the American geologists Gordon R. Johnson and Gary R. Olhoeft.
Typical density ranges for some other rock types
rock type
slate
2.72–2.84
Source: After data from R.A. Daly, G.E. Manger, and S.P. Clark, Jr. (1966); A.F. Birch (1966); F. Press (1966); and R.N. Schock, B.P. Bonner, and H. Louis (1974) in Robert S. Carmichael, ed., Handbook of Physical Properties of Rocks, vol. III, CRC Press, Inc. (1984).
The density of clastic sedimentary rocks increases as the rocks are progressively buried. This is because of the increase of overburden pressure, which causes compaction, and the progressive cementation with age. Both compaction and cementation decrease the porosity.
Representative densities for common rock-forming minerals (i.e., ρG) and rocks (i.e., ρB) are listed in the Table. The bulk densities for sedimentary rocks , which typically have variable porosity, are given as ranges of both dry ρB and (water-) saturated ρB. The pore-filling fluid is usually briny water, often indicative of the presence of seawater when the rock was being deposited or lithified. It should be noted that the bulk density is less than the grain density of the constituent mineral (or mineral assemblage), depending on the porosity. For example, sandstone (characteristically quartzose) has a typical dry bulk density of 2.0–2.6 g/cm3, with a porosity that can vary from low to more than 30 percent. The density of quartz itself is 2.65 g/cm3. If porosity were zero, the bulk density would equal the grain density.
Saturated bulk density is higher than dry bulk density, owing to the added presence of pore-filling fluid. The Table also lists representative values for density of seawater, oil, and methane gas at a subsurface condition—pressure of 200 bars (one bar = 0.987 atmosphere , or 29.53 inches of mercury) and a temperature of about 80° C (176° F).
Mechanical properties
Stress and strain
When a stress σ (force per unit area) is applied to a material such as rock, the material experiences a change in dimension, volume, or shape. This change, or deformation , is called strain (ε). Stresses can be axial—e.g., directional tension or simple compression—or shear (tangential), or all-sided (e.g., hydrostatic compression). The terms stress and pressure are sometimes used interchangeably, but often stress refers to directional stress or shear stress and pressure (P) refers to hydrostatic compression. For small stresses, the strain is elastic (recoverable when the stress is removed and linearly proportional to the applied stress). For larger stresses and other conditions, the strain can be inelastic, or permanent.
Elastic constants
In elastic deformation , there are various constants that relate the magnitude of the strain response to the applied stress. These elastic constants include the following:
(1) Young’s modulus (E) is the ratio of the applied stress to the fractional extension (or shortening) of the sample length parallel to the tension (or compression). The strain is the linear change in dimension divided by the original length.
(2) Shear modulus (μ) is the ratio of the applied stress to the distortion (rotation) of a plane originally perpendicular to the applied shear stress; it is also termed the modulus of rigidity.
(3) Bulk modulus (k) is the ratio of the confining pressure to the fractional reduction of volume in response to the applied hydrostatic pressure. The volume strain is the change in volume of the sample divided by the original volume. Bulk modulus is also termed the modulus of incompressibility.
(4) Poisson’s ratio (σp) is the ratio of lateral strain (perpendicular to an applied stress) to the longitudinal strain (parallel to applied stress).
For elastic and isotropic materials, the elastic constants are interrelated. For example,
and
limestone
Thermal properties
Heat flow (or flux), q, in the Earth’s crust or in rock as a building material, is the product of the temperature gradient (change in temperature per unit distance) and the material’s thermal conductivity (k, the heat flow across a surface per unit area per unit time when a temperature difference exists in unit length perpendicular to the surface). Thus,
The units of the terms in this equation are given below, expressed first in the centimetre-gram-second (cgs) system and then in the International System of Units (SI) system, with the conversion factor from the first to the second given between them.
Thermal conductivity
Thermal conductivity can be determined in the laboratory or in situ, as in a borehole or deep well, by turning on a heating element and measuring the rise in temperature with time. It depends on several factors: (1) chemical composition of the rock (i.e., mineral content), (2) fluid content (type and degree of saturation of the pore space); the presence of water increases the thermal conductivity (i.e., enhances the flow of heat), (3) pressure (a high pressure increases the thermal conductivity by closing cracks which inhibit heat flow), (4) temperature, and (5) isotropy and homogeneity of the rock.
Typical values of thermal conductivities of rock materials are given in the Table. For crystalline silicate rocks—the dominant rocks of the “basement” crustal rocks—the lower values are typical of ones rich in magnesium and iron (e.g., basalt and gabbro) and the higher values are typical of those rich in silica (quartz) and alumina (e.g., granite). These values result because the thermal conductivity of quartz is relatively high, while that for feldspars is low.
Typical values of thermal conductivity
(in 0.001 calories per centimetre per second per degree Celsius)
material
0.33
1.56
Source: Modified from compilation by William Van Schmus in Robert S. Carmichael, ed., Handbook of Physical Properties of Rocks, vol. III, CRC Press, Inc. (1984).
Electrical properties
The electrical nature of a material is characterized by its conductivity (or, inversely, its resistivity ) and its dielectric constant, and coefficients that indicate the rates of change of these with temperature, frequency at which measurement is made, and so on. For rocks with a range of chemical composition as well as variable physical properties of porosity and fluid content, the values of electrical properties can vary widely.
Resistance (R) is defined as being one ohm when a potential difference (voltage; V) across a specimen of one volt magnitude produces a current (i) of one ampere; that is, V = Ri. The electrical resistivity (ρ) is an intrinsic property of the material. In other words, it is inherent and not dependent on sample size or current path. It is related to resistance by R = ρL/A where L is the length of specimen, A is the cross-sectional area of specimen, and units of ρ are ohm-centimetre; 1 ohm-centimetre equals 0.01 ohm-metre. The conductivity (σ) is equal to 1/ρ ohm -1 · centimetre-1 (or termed mhos/cm). In SI units, it is given in mhos/metre, or siemens/metre.
Some representative values of electrical resistivity for rocks and other materials are listed in the Table. Materials that are generally considered as “good” conductors have a resistivity of 10-5–10 ohm-centimetre (10-7–10-1 ohm-metre) and a conductivity of 10–107 mhos/metre. Those that are classified as intermediate conductors have a resistivity of 100–109 ohm-centimetre (1–107 ohm-metre) and a conductivity of 10-7–1 mhos/metre. “Poor” conductors, also known as insulators, have a resistivity of 1010–1017 ohm-centimetre (108–1015 ohm-metre) and a conductivity of 10-15–10-8. Seawater is a much better conductor (i.e., it has lower resistivity) than fresh water owing to its higher content of dissolved salts; dry rock is very resistive. In the subsurface, pores are typically filled to some degree by fluids. The resistivity of materials has a wide range—copper is, for example, different from quartz by 22 orders of magnitude.
Typical resistivities
quartz (18 °C)
(1014)–(1016)
For high-frequency alternating currents, the electrical response of a rock is governed in part by the dielectric constant , ε. This is the capacity of the rock to store electric charge; it is a measure of polarizability in an electric field. In cgs units, the dielectric constant is 1.0 in a vacuum. In SI units, it is given in farads per metre or in terms of the ratio of specific capacity of the material to specific capacity of vacuum (which is 8.85 × 10-12 farads per metre). The dielectric constant is a function of temperature, and of frequency, for those frequencies well above 100 hertz (cycles per second).
Electrical conduction occurs in rocks by (1) fluid conduction—i.e., electrolytic conduction by ionic transfer in briny pore water—and (2) metallic and semiconductor (e.g., some sulfide ores) electron conduction. If the rock has any porosity and contained fluid, the fluid typically dominates the conductivity response. The rock conductivity depends on the conductivity of the fluid (and its chemical composition), degree of fluid saturation, porosity and permeability , and temperature. If rocks lose water, as with compaction of clastic sedimentary rocks at depth, their resistivity typically increases.
Magnetic properties
The magnetic properties of rocks arise from the magnetic properties of the constituent mineral grains and crystals. Typically, only a small fraction of the rock consists of magnetic minerals. It is this small portion of grains that determines the magnetic properties and magnetization of the rock as a whole, with two results: (1) the magnetic properties of a given rock may vary widely within a given rock body or structure, depending on chemical inhomogeneities, depositional or crystallization conditions, and what happens to the rock after formation; and (2) rocks that share the same lithology (type and name) need not necessarily share the same magnetic characteristics. Lithologic classifications are usually based on the abundance of dominant silicate minerals, but the magnetization is determined by the minor fraction of such magnetic mineral grains as iron oxides. The major rock-forming magnetic minerals are iron oxides and sulfides.
Although the magnetic properties of rocks sharing the same classification may vary from rock to rock, general magnetic properties do nonetheless usually depend on rock type and overall composition. The magnetic properties of a particular rock can be quite well understood provided one has specific information about the magnetic properties of crystalline materials and minerals, as well as about how those properties are affected by such factors as temperature, pressure, chemical composition, and the size of the grains. Understanding is further enhanced by information about how the properties of typical rocks are dependent on the geologic environment and how they vary with different conditions.
Applications of the study of rock magnetization
An understanding of rock magnetization is important in at least three different areas: prospecting , geology, and materials science. In magnetic prospecting, one is interested in mapping the depth, size, type, and inferred composition of buried rocks. The prospecting, which may be done from ground surface, ship, or aircraft, provides an important first step in exploring buried geologic structures and may, for example, help identify favourable locations for oil, natural gas , and economic mineral deposits.
Rock magnetization has traditionally played an important role in geology. Paleomagnetic work seeks to determine the remanent magnetization (see below Types of remanent magnetization ) and thereby ascertain the character of the Earth’s field when certain rocks were formed. The results of such research have important ramifications in stratigraphic correlation, age dating, and reconstructing past movements of the Earth’s crust. Indeed, magnetic surveys of the oceanic crust provided for the first time the quantitative evidence needed to cogently demonstrate that segments of the crust had undergone large-scale lateral displacements over geologic time , thereby corroborating the concepts of continental drift and seafloor spreading, both of which are fundamental to the theory of plate tectonics (see plate tectonics ).
The understanding of magnetization is increasingly important in materials science as well. The design and manufacture of efficient memory cores, magnetic tapes, and permanent magnets increasingly rely on the ability to create materials having desired magnetic properties.
Basic types of magnetization
There are six basic types of magnetization: (1) diamagnetism , (2) paramagnetism, (3) ferromagnetism, (4) antiferromagnetism, (5) ferrimagnetism, and (6) superparamagnetism.
Diamagnetism arises from the orbiting electrons surrounding each atomic nucleus . When an external magnetic field is applied, the orbits are shifted in such a way that the atoms set up their own magnetic field in opposition to the applied field. In other words, the induced diamagnetic field opposes the external field. Diamagnetism is present in all materials, is weak, and exists only in the presence of an applied field. The propensity of a substance for being magnetized in an external field is called its susceptibility (k) and it is defined as J/H, where J is the magnetization (intensity) per unit volume and H is the strength of the applied field. Since the induced field always opposes the applied field, the sign of diamagnetic susceptibility is negative. The susceptibility of a diamagnetic substance is on the order of -10-6 electromagnetic units per cubic centimetre (emu/cm3). It is sometimes denoted κ for susceptibility per unit mass of material.
Paramagnetism results from the electron spin of unpaired electrons. An electron has a magnetic dipole moment —which is to say that it behaves like a tiny bar magnet—and so when a group of electrons is placed in a magnetic field, the dipole moments tend to line up with the field. The effect augments the net magnetization in the direction of the applied field. Like diamagnetism, paramagnetism is weak and exists only in the presence of an applied field, but since the effect enhances the applied field, the sign of the paramagnetic susceptibility is always positive. The susceptibility of a paramagnetic substance is on the order of 10-4 to 10-6 emu/cm3.
Ferromagnetism also exists because of the magnetic properties of the electron. Unlike paramagnetism, however, ferromagnetism can occur even if no external field is applied. The magnetic dipole moments of the atoms spontaneously line up with one another because it is energetically favourable for them to do so. A remanent magnetization can be retained. Complete alignment of the dipole moments would take place only at a temperature of absolute zero (0 kelvin [K], or -273.15° C). Above absolute zero, thermal motions begin to disorder the magnetic moments. At a temperature called the Curie temperature , which varies from material to material, the thermally induced disorder overcomes the alignment, and the ferromagnetic properties of the substance disappear. The susceptibility of ferromagnetic materials is large and positive. It is on the order of 10 to 104 emu/cm3. Only a few materials—iron, cobalt, and nickel—are ferromagnetic in the strict sense of the word and have a strong residual magnetization. In general usage, particularly in engineering, the term ferromagnetic is frequently applied to any material that is appreciably magnetic.
Antiferromagnetism occurs when the dipole moments of the atoms in a material assume an antiparallel arrangement in the absence of an applied field. The result is that the sample has no net magnetization. The strength of the susceptibility is comparable to that of paramagnetic materials. Above a temperature called the Néel temperature , thermal motions destroy the antiparallel arrangement, and the material then becomes paramagnetic. Spin-canted (anti)ferromagnetism is a special condition which occurs when antiparallel magnetic moments are deflected from the antiferromagnetic plane, resulting in a weak net magnetism. Hematite (α-Fe2 O 3) is such a material.
Ferrimagnetism is an antiparallel alignment of atomic dipole moments which does yield an appreciable net magnetization resulting from unequal moments of the magnetic sublattices. Remanent magnetization is detectable (see below). Above the Curie temperature the substance becomes paramagnetic. Magnetite (Fe3O4), which is the most magnetic common mineral, is a ferrimagnetic substance.
Superparamagnetism occurs in materials having grains so small (about 100 angstroms) that any cooperative alignment of dipole moments is overcome by thermal energy.
Types of remanent magnetization
Rocks and minerals may retain magnetization after the removal of an externally applied field, thereby becoming permanent weak magnets. This property is known as remanent magnetization and is manifested in different forms, depending on the magnetic properties of the rocks and minerals and their geologic origin and history. Delineated below are the kinds of remanent magnetization frequently observed.
CRM ( chemical, or crystallization, remanent magnetization) can be induced after a crystal is formed and undergoes one of a number of physicochemical changes, such as oxidation or reduction, a phase change, dehydration, recrystallization, or precipitation of natural cements. The induction , which is particularly important in some (red) sediments and metamorphic rocks, typically takes place at constant temperature in the Earth’s magnetic field .
DRM (depositional, or detrital, remanent magnetization ) is formed in clastic sediments when fine particles are deposited on the floor of a body of water. Marine sediments, lake sediments, and some clays can acquire DRM. The Earth’s magnetic field aligns the grains, yielding a preferred direction of magnetization.
IRM ( isothermal remanent magnetization) results from the application of a magnetic field at a constant (isothermal) temperature, often room temperature.
NRM ( natural remanent magnetization ) is the magnetization detected in a geologic in situ condition. The NRM of a substance may, of course, be a combination of any of the other remanent magnetizations described here.
PRM (pressure remanent, or piezoremanent, magnetization) arises when a material undergoes mechanical deformation while in a magnetic field. The process of deformation may result from hydrostatic pressure, shock impact (as produced by a meteorite striking the Earth’s surface), or directed tectonic stress. There are magnetization changes with stress in the elastic range, but the most pronounced effects occur with plastic deformation when the structure of the magnetic minerals is irreversibly changed.
TRM ( thermoremanent magnetization ) occurs when a substance is cooled, in the presence of a magnetic field, from above its Curie temperature to below that temperature. This form of magnetization is generally the most important, because it is stable and widespread, occurring in igneous and sedimentary rocks. TRM also can occur when dealing exclusively with temperatures below the Curie temperature. In PTRM ( partial thermoremanent magnetization) a sample is cooled from a temperature below the Curie point to yet a lower temperature.
VRM ( viscous remanent magnetization) results from thermal agitation. It is acquired slowly over time at low temperatures and in the Earth’s magnetic field. The effect is weak and unstable but is present in most rocks.
Hysteresis and magnetic susceptibility
The concept of hysteresis is fundamental when describing and comparing the magnetic properties of rocks. Hysteresis is the variation of magnetization with applied field and illustrates the ability of a material to retain its magnetization, even after an applied field is removed. Figure 9 illustrates this phenomenon in the form of a plot of magnetization (J) versus applied field (Hex). Js is the saturation (or “spontaneous”) magnetization when all the magnetic moments are aligned in their configuration of maximum order. It is temperature-dependent, reaching zero at the Curie temperature. Jr,sat is the remanent magnetization that remains when a saturating (large) applied field is removed, and Jr is the residual magnetization left by some process apart from IRM saturation, as, for example, TRM. Hc is the coercive field (or force) that is required to reduce Jr,sat to zero, and Hc,r is the field required to reduce Jr to zero.
Magnetic susceptibility is a parameter of considerable diagnostic and interpretational use in the study of rocks. This is true whether an investigation is being conducted in the laboratory or magnetic fields over a terrain are being studied to deduce the structure and lithologic character of buried rock bodies. Susceptibility for a rock type can vary widely, depending on magnetic mineralogy, grain size and shape, and the relative magnitude of remanent magnetization present, in addition to the induced magnetization from the Earth’s weak field. The latter is given as Jinduced = kHex, where k is the (true) magnetic susceptibility and Hex is the external (i.e., the Earth’s) magnetic field. If there is an additional remanent magnetization with its ratio (Qn) to induced magnetization being given by
then the total magnetization is
where kapp, the “apparent” magnetic susceptibility, is k(1 + Qn).
Magnetic minerals and magnetic properties of rocks
The major rock-forming magnetic minerals are the following iron oxides: the titanomagnetite series, xFe2TiO4 · (1 - x)Fe3O4, where Fe3O4 is magnetite, the most magnetic mineral; the ilmenohematite series, yFeTiO3 · (1 - y)Fe2O3, where α-Fe2O3 (in its rhombohedral structure) is hematite; maghemite, γ-Fe2O3 (in which some iron atoms are missing in the hematite structure); and limonite (hydrous iron oxides). They also include sulfides—namely, the pyrrhotite series, yFeS · (1 - y)Fe1 - xS.
The Table gives some typical values of the apparent susceptibility for various rock types, which usually include some remanent as well as induced magnetization. Values are higher for mafic igneous rocks, especially as the content of magnetite increases.
Approximate "apparent susceptibilities" for rock types
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What is the cube root of 1728?
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Colorado Parks & Wildlife - Geology
COLORADO PARKS & WILDLIFE
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The Park features a 3,405 surface-acre reservoir lying on the South Platte River at the southern edge of South Park. Formed behind Elevenmile Canyon Dam, other drainages emptying into the reservoir include Cross, Prudence, Union, Balm-of-Gilead, Simms and Spring creeks.
The South Platte River Valley is mantled with Wisconsin-aged glacial outwash material (Pleistocene alluvium) which covers older formations. The southeastern portion of the park has been covered by Como-age surface deposits. Most of the park is underlain by Precambrian rocks: Silver Plume granite east and south of Howbert Point and Pikes Peak granite along the river west of Howbert.
The western and southern edges consist of Thirtynine Mile andesite deposits; igneous and metamorphic rocks of Tertiary origin. Cross Creek also cuts through another Tertiary deposit called Trachyte (also an igneous and metamorphic rock).
Along the southwestern reservoir margin, Wall Mountain Tuff, part of a south-dipping sequence of welded Tuffs that incorporated volcanic ash and pumice, is exposed as steep cliffs. Thirtynine Mile andesite has been deposited over both the granite and Tuff formations on the southern reservoir edge.
Pleistocene alluvium is alluvium that was formed during the Pleistocene Epoch. The Pleistocene Epoch occurred between 1.8 million to 10,000 years before the present and covers the time of the world’s recent period of repeated glaciation. This is also the period during which the rise of early humans occurred. Wisconsin-age refers to the final period of glaciation within the current ice age, as well as to being geographically located within central North America. This age began about 110,000 years ago and ended between 15,000 to 10,000 years before the present.
Alluvium is simply soil or sediments deposited by a river or other running water and it is typically made up of a variety of materials, including fine particles of silt and clay, and larger particles of sand and gravel. Flowing water associated with glaciers may also deposit alluvium, but deposits directly from ice are not alluvium.
Precambrian rock is rock that was formed during the Precambrian Era. The Precambrian Era spanned a period of time from the formation of the Earth (around 4.5 billion years ago) to the evolutionary point of abundant macroscopic hard-shelled animals, which marked the start of the Cambrian Era, some 542 million years ago.
Granite is a common and widely occurring type of intrusive, felsic, igneous rock. Igneous rock is formed by the solidification of cooled magma and it is intrusive if the crystallization or solidification occurred underground. Felsic is a term referring to silicate minerals, magma and rocks that have been enriched with lighter elements like silicon, oxygen, aluminum, sodium and potassium. Granite has a medium to coarse texture and can be pink to dark gray or even black. Outcrops of granite tend to form tors and rounded massifs. Granite is nearly always massive, hard and tough.
Pikes Peak granite is a widespread geologic formation found in the front range of Colorado, including around the Pikes Peak region. Silver Plume granite is slightly pinkish in color and occurs in the central portion of the Front Range, much of it around Rocky Mountain National Park. They were both created by cooled magma but were the result of different geologic events.
Andesite is an igneous, volcanic rock, of intermediate composition, with fine to large grained crystal texture. The mineral assemblage of andesite is typically dominated by plagioclase (tectosilicate minerals found within the feldspar family) plus pyroxene and/or hornblende. Alkali feldspar may be present in minor amounts. Andesites are characteristic of subduction zones, where two tectonic plates meet and move towards one another, with one moving beneath the other. Thirtynine Mile Andesite simply refers to the type of andesite formed around the extinct Thirtynine Mile volcano area. The Tertiary period of geologic time covers roughly the time span between the demise of non-avian dinosaurs and the beginning of the most recent ice-age, approx. 65 to 1.8 million years ago.
Andesite is formed extrusively, from hot magma that has flowed out onto the Earth's surface as lava or has exploded violently into the atmosphere to fall back as pyroclasts (fragments of pre-existing rock composed primarily of volcanic material) or Tuff (volcanic ash ejected from vents). The main effect of extrusion is that the magma cools much more quickly in the open air or seawater and there is little time for the growth of crystals. Often a residual portion fails to crystallize at all, instead becoming an interstitial natural glass or obsidian.
Trachyte is another igneous, volcanic rock. The mineral assemblage consists of essential alkali or sanidine feldspar and is usually somewhat porous in appearance, and very often has minute irregular steam cavities which make the broken surfaces of specimens of these rocks rough and irregular. It is from this characteristic that trachyte derives its name. Feldspar is the name of a group of rock forming minerals and sanidine refers to the type of feldspar that contains potassium that has been placed under high temperatures, such as volcanic activity.
Tuff is a type of rock consisting of consolidated volcanic ash ejected from vents during a volcanic eruption. The products of volcanic eruption are volcanic gases, lava, steam, and tephra. Magma is blown apart when it interacts violently with volcanic steam and gasses. The solid material produced and thrown into the air by such volcanic eruptions is called
tephra, regardless of composition or fragment size. If the resulting pieces of ejected material are small enough (sand-sized or smaller particles), the material is called volcanic ash. These particles are small, slaggy pieces of magma and rock that have been tossed into the air by outbursts of steam and other gasses; magma may have been torn apart as it became vesicular (containing many vesicles) by the expansion of the gasses within it.
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Refraction is the change of direction of a wave such as light due to change of its what when passing from one medium to another?
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Refraction | Define Refraction at Dictionary.com
refraction
noun
1.
Physics. the change of direction of a ray of light, sound, heat, or the like, in passing obliquely from one medium into another in which its wave velocity is different.
2.
Ophthalmology.
the ability of the eye to refract light that enters it so as to form an image on the retina.
the determining of the refractive condition of the eye.
3.
Astronomy.
Also called astronomical refraction. the amount, in angular measure, by which the altitude of a celestial body is increased by the refraction of its light in the earth's atmosphere, being zero at the zenith and a maximum at the horizon.
the observed altered location, as seen from the earth, of another planet or the like due to diffraction by the atmosphere.
Origin of refraction
1570-80; < Late Latin refrāctiōn- (stem of refrāctiō). See refract , -ion
Related forms
Examples from the Web for refraction
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Aether and Gravitation William George Hooper
The deception is due to refraction, and the material and shape of the bottle furnish a sufficient explanation.
General Science Bertha M. Clark
The formula for refraction which Ptolemy helped to shape, is geometrical in form.
Scenes and Characters Charlotte M. Yonge
The changing arising from refraction and reflection is wonderful.
Olla Podrida Frederick Marryat (AKA Captain Marryat)
The refraction of light as it passes through an intervening cloud, or a stratum of moist and cold air.
British Dictionary definitions for refraction
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noun
1.
(physics) the change in direction of a propagating wave, such as light or sound, in passing from one medium to another in which it has a different velocity
2.
the amount by which a wave is refracted
3.
the ability of the eye to refract light
4.
the determination of the refractive condition of the eye
5.
(astronomy) the apparent elevation in position of a celestial body resulting from the refraction of light by the earth's atmosphere
Collins English Dictionary - Complete & Unabridged 2012 Digital Edition
© William Collins Sons & Co. Ltd. 1979, 1986 © HarperCollins
Publishers 1998, 2000, 2003, 2005, 2006, 2007, 2009, 2012
Word Origin and History for refraction
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n.
1570s, from Late Latin refractionem (nominative refractio) "a breaking up," noun of action from past participle stem of Latin refringere "to break up," from re- "back" (see re- ) + comb. form of frangere "to break" (see fraction ).
Online Etymology Dictionary, © 2010 Douglas Harper
refraction re·frac·tion (rĭ-frāk'shən)
n.
The turning or bending of any wave, such as a light or sound wave, when it passes from one medium into another of different density.
The ability of the eye to bend light so that an image is focused on the retina.
Determination of the refractive characteristics of the eye and often the correction of refractive defects with lenses. Also called refringence.
re·frac'tion·al or re·frac'tive adj.
re·frac'tive·ness or re'frac·tiv'i·ty (rē'frāk-tĭv'ĭ-tē) n.
The American Heritage® Stedman's Medical Dictionary
Copyright © 2002, 2001, 1995 by Houghton Mifflin Company. Published by Houghton Mifflin Company.
refraction
(rĭ-frāk'shən)
The bending of a wave, such as a light or sound wave, as it passes from one medium to another medium of different density. The change in the angle of propagation depends on the difference between the index of refraction of the original medium and the medium entered by the wave, as well as on the frequency of the wave. Compare reflection . See also lens , wave.
The apparent change in position of a celestial body caused by the bending of light as it enters the Earth's atmosphere.
Our Living Language : The terms refraction and reflection describe two ways that waves, as of sound or light, change course upon encountering a boundary between two media. The media might consist of two different substances, such as glass and air, or a single substance in different states in different regions, such as air at different temperatures or densities in different layers. Reflection occurs, as in a mirror, when a wave encounters the boundary but does not pass into the second medium, instead immediately changing course and returning to the original medium, typically reflecting from the surface at the same angle at which it contacted it. Refraction occurs, as in a lens, when a wave passes from one medium into the second, deviating from the straight path it otherwise would have taken. The amount of deviation or "bending" depends on the indexes of refraction of each medium, determined by the relative speed of the wave in the two media. Waves entering a medium with a higher index of refraction are slowed, leaving the boundary and entering the second medium at a greater angle than the incident wave. Waves entering a medium with a lower index are accelerated and leave the boundary and enter the second medium at a lesser angle. Incident light waves tend to be fully reflected from a boundary met at a shallow angle; at a certain critical angle and at greater angles, some of the light is also refracted; looking at the surface of water from a boat, for instance, one can see down into the water only out to where the sight line reaches the critical angle with the surface. Light passing through a prism is mostly refracted, or bent, both when it enters the prism and again when it leaves the prism. Since the index of refraction in most substances depends on the frequency of the wave, light of different colors is refracted by different amounts—hence the colorful rainbow effect of prisms. The boundary between media does not have to be abrupt for reflection or refraction to occur. On a hot day, the air directly over the surface of an asphalt road is warmer than the air higher up. Light travels more quickly in the lower region, so light coming down from the sky (from not too steep an angle) is refracted back up again, giving a "blue puddle" appearance to the asphalt—a mirage.
The American Heritage® Science Dictionary
Copyright © 2002. Published by Houghton Mifflin. All rights reserved.
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The becquerel (Bq) is a unit of measurement of what?
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Refrection of light | Article about Refrection of light by The Free Dictionary
Refrection of light | Article about Refrection of light by The Free Dictionary
http://encyclopedia2.thefreedictionary.com/Refrection+of+light
Related to Refrection of light: Refraction of Light , Dispersion of light
refraction,
in physics, deflection of a wave on passing obliquely from one transparent medium into a second medium in which its speed is different, as the passage of a light ray from air into glass. Other forms of electromagnetic radiation electromagnetic radiation,
energy radiated in the form of a wave as a result of the motion of electric charges. A moving charge gives rise to a magnetic field, and if the motion is changing (accelerated), then the magnetic field varies and in turn produces an electric field.
..... Click the link for more information. , in addition to light waves, can be refracted, as can sound waves.
The Nature of Refraction
Refraction is commonly explained in terms of the wave theory of light and is based on the fact that light travels with greater velocity in some media than it does in others. When, for example, a ray of light traveling through air strikes the surface of a piece of glass at an oblique angle, one side of the wave front enters the glass before the other and is retarded (since light travels more slowly in glass than in air), while the other side continues to move at its original speed until it too reaches the glass. As a result, the ray bends inside the glass, i.e., the refracted ray lies in a direction closer to the normal (the perpendicular to the boundary of the media) than does the incident ray. A light ray entering a different medium is called the incident ray; after bending, the ray is called the refracted ray. The speed at which a given transparent medium transmits light waves is related to its optical density (not to be confused with mass or weight density density,
ratio of the mass of a substance to its volume, expressed, for example, in units of grams per cubic centimeter or pounds per cubic foot. The density of a pure substance varies little from sample to sample and is often considered a characteristic property of the
..... Click the link for more information. ). In general, a ray is refracted toward the normal when it passes into a denser medium and away from the normal when it passes into a less dense medium.
The Law of Refraction
The law of refraction relates the angle of incidence (angle between the incident ray and the normal) to the angle of refraction (angle between the refracted ray and the normal). This law, credited to Willebrord Snell, states that the ratio of the sine of the angle of incidence, i, to the sine of the angle of refraction, r, is equal to the ratio of the speed of light in the original medium, vi, to the speed of light in the refracting medium, vr, or sin i/sin r=vi/vr. Snell's law is often stated in terms of the indexes of refraction of the two media rather than the speeds of light in the media. The index of refraction, n, of a transparent medium is a direct measure of its optical density and is equal to the ratio of the speed of light in a vacuum, c, to the speed of light in the medium: n=c/v.
Indexes of refraction are always equal to or greater than 1; for air, n=1.00029; for water, n=1.33. Using indexes of refraction, Snell's law takes the form sin i/sin r=nr /ni, or ni sin i=nr sin r. If the original medium is denser than the refracting medium (ni greater than nr), sin r will be greater than sin i. Thus, there will be some acute angle less than 90° for the incident ray corresponding to an angle of refraction of 90°. This angle of incidence is known as the critical angle. For angles of incidence greater than the critical angle, refraction cannot take place and the incident ray is instead reflected back into the original medium according to the law of reflection reflection,
return of a wave from a surface that it strikes into the medium through which it has traveled. The general principles governing the reflection of light and sound are similar, for both normally travel in straight lines and both are wave phenomena.
..... Click the link for more information. (angle of reflection equals angle of incidence). This phenomenon is known as total internal reflection.
Applications of Refraction
Refraction has many applications in optics and technology. A lens lens,
device for forming an image of an object by the refraction of light. In its simplest form it is a disk of transparent substance, commonly glass, with its two surfaces curved or with one surface plane and the other curved.
..... Click the link for more information. uses refraction to form an image image,
in optics, likeness or counterpart of an object produced when rays of light coming from that object are reflected from a mirror or are refracted by a lens. An image of an object is also formed when this light passes through a very small opening like that of a pinhole
..... Click the link for more information. of an object for many different purposes, such as magnification. A prism prism,
in optics, a piece of translucent glass or crystal used to form a spectrum of light separated according to colors. Its cross section is usually triangular. The light becomes separated because different wavelengths or frequencies are refracted (bent) by different amounts
..... Click the link for more information. uses refraction to form a spectrum spectrum,
arrangement or display of light or other form of radiation separated according to wavelength, frequency, energy, or some other property. Beams of charged particles can be separated into a spectrum according to mass in a mass spectrometer (see mass spectrograph).
..... Click the link for more information. of colors from an incident beam of light. Refraction also plays an important role in the formation of a mirage mirage
, atmospheric optical illusion in which an observer sees in the distance a nonexistent body of water or an image, sometimes distorted, of some object or of a complete scene.
..... Click the link for more information. and other optical illusions.
refraction
(ri-frak -shŏn) A phenomenon occurring when a beam of light or other wave motion crosses a boundary between two different media, such as air and glass. On passing into the second medium, the direction of motion of the wave is ‘bent’ toward or away from the normal (the line perpendicular to the surface at the point of incidence). The incident and refracted rays and the normal all lie in the same plane. The direction of propagation is changed in accordance with Snell's law:
n 1 sin i = n 2 sin r
i and r are the angles made by the incident and refracted ray to the normal; n 1 and n 2 are the refractive indices of the two media. The change in direction of motion results from a change of wave velocity as the wave passes from the first to the second medium.
Refraction
The Russian words refraktsiia and prelomlenie may both be translated as “refraction.” When used with respect to light, refraktsiia in the broad sense has the same meaning as prelomlenie—that is, the change in the direction of light rays when the index of refraction of the medium through which the rays pass changes (see
REFRACTION OF LIGHT
). For historical reasons, refraktsiia is more often used when characterizing the propagation of optical radiation in media whose index of refraction varies continuously from point to point; the paths of light rays in such media are smooth curves. The term prelomlenie is more often applied to the case where there is an abrupt change in the direction of light rays at the interface of two homogeneous media with different indexes of refraction. The term refraktsiia is by tradition used in a number of branches of optics, including atmospheric optics, eyeglass optics, and the optics of the eye.
The eye is an optical system that refracts light. A commonly used measure of the power of the eye as a refracting system is the eye’s power under suspension of accommodation. The principal refracting elements of the eye are the cornea and the lens. The power of these elements varies from 52.59 to 71.30 diopters; the average value is 59.92 diopters. In the normal, or emmetropic, eye, the power of the eye is matched to its dimensions. This means that parallel rays of light that enter the eye are focused at the center of the retina in the region of the macula lutea. A clear image of the object being viewed is then obtained on the retina—a situation that is a necessary condition for good vision.
Errors in refraction result in myopia or hyperopia. The power of accommodation of the eye changes with age: it is less than normal in infants and may again decrease in old age. This change in accommodation power with advancing age is called presbyopia. Anomalies in refraction cannot be treated through medication. Special systems of optical lenses (eyeglasses) are used to correct vision when errors of refraction exist.
refraction
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i don't know
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What is the chess playing robot called in TV's Thunderbirds?
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Thunderbirds - Wikiquote
Thunderbirds
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Thunderbirds is a mid- 1960s Sylvia and Gerry Anderson television show which used a form of puppetry called " Supermarionation ". Two seasons were produced, comprising thirty-two episodes in total. Production commenced in 1964 and the series premiered on British television in September 1965.
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Contents
[International Rescue has succeeded in saving the Fireflash aircraft via emergency elevator cars, but one driven by Virgil has crashed off the runway and is upside down]
Scott: Are you okay, Virgil?
[Virgil is trying to crawl right side up within his elevator car]
Virgil: Okay, Scott. Made good timing.
Scott: Great, Virgil! Just great.
Sun Probe [1.11][ edit ]
Brains: [On finding they've brought Braman, Brains' chess-playing robot, with them on a voyage to save Thunderbird 3] Oh no! Virgil, we've brought the wrong box!
Virgil: Base from Thunderbird 2, calling base from Thunderbird 2!
Alias Mr. Hackenbacker [2.3][ edit ]
[Brains is driving into the London Airport under the pseudonym of Mr. Hackenbacker]
Brains: This is Hiram K. Hackenbacker calling Jeff Tracy. Come in, Jeff Tracy.
Jeff: Go ahead, er... Mr... Hackenbacker.
Brains: I am now entering the London Airport.
Jeff: Good luck Br- I mean Mr. Hackenbacker.
About[ edit ]
I started to think that there really ought to be dumps around the world with rescue gear standing by, so that when a disaster happened, all these items of rescue equipment could be rushed to the disaster zone and used to help to get people out of trouble ... I was thinking, 'Rescue, yes, rescue, but how to make it science fiction? What about an international rescue organisation?
Gerry Anderson on the premise as quoted in Bentley, Chris (2005) [2000]. The Complete Book of Thunderbirds (2nd ed.). o. 8-9
Lew watched ["Trapped in the Sky"] and at the end he jumped up shouting, 'Fantastic, absolutely fantastic! This isn't a television series – this is a feature film! You've got to make this as an hour!' ... I'm glad we did it, because it made the series much bigger and much more important. But it was still a very, very difficult job.
Gerry Anderson on the premise as quoted in Bentley, Chris (2005) [2000]. The Complete Book of Thunderbirds (2nd ed.). p.26
Since we always tried to minimise walking, we'd show the puppets taking one step only, then promptly cut. Through interspersing the programmes with "meanwhile" scenes – that is, showing what else was going on in the story at the same time – we would then cut back to the puppet who was now already in his craft.
Alan Pattillo on puppet movement Marriott, as quoted in John (1993). Supermarionation Classics: Stingray, Thunderbirds and Captain Scarlet and the Mysterons p.179
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Braman
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It takes roughly how long for the Earth's rotating axis to complete a full circle (precession)?
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Sun Probe/Episode Guide | Thunderbirds Wiki | Fandom powered by Wikia
Edit
The Sun Probe rocket is ready for launch at Cape Kennedy. At Solar Control, Colonel Benson is preparing for the lift-off, and is doing the final checks. In less than 30 minutes, the rocket will launch. Inside the rocket are three solarnauts: Camp, Harris and Asher. Benson has the rocket do a thrust check, and with everything working, the real countdown starts. 10 seconds later, the Sun Probe rocket blasts off. On Tracy Island, a news report shows the Sun Probe taking off, but it was filmed a week a go. The news reporter says they hope to bring up to date pictures of the rocket, and then reminds everyone of what the Sun Probe's mission is. It is hoped that the Sun Probe will be able to capture a few fragments of matter released by the sun. Professor Heinz Bodman then appears on the news and is about to explain the mission in more detail, and Jeff asks where Brains is as he might want to see this. Scott says this stuff is old news to him and he's busy in his lab playing with his new invention. Brains' new invention is a robot called Braman. He is trying to get his robot to learn things, such as the things Brains needs to do in a day, but he is slow to respond. He wonders if teaching him chess would improve his mathematical powers. Scott comes in and tells Brains there is an interesting program on about the Sun Probe so he goes off to watch it. The news report shows how the front part of the rocket is actually a separate module, and can detach. This probe module will fly near a solar flare and collect the matter. If all goes to plan, they will acquire an actual piece of the sun.
Close Encounter with the Sun
Edit
Inside the rocket, the three solarnauts are well protected from the extreme heat they will encounter, and as things get warmer, they have a special refrigeration unit which keeps the temperature inside the rocket cool. They look on a screen and see the sun, and prepare to go into orbit around it. Brains has decided not to watch the report and instead teaches Braman how to play chess, which he seems to pick up quickly. Jeff asks him if he wants to watch, as the rocket will go into orbit in 5 minutes, but Brains says it is actually 4 and one quarter minutes to be precise. He knows the mission by heart. Meanwhile, the solarnauts fire the rocket's retros to slow it down. The radiation and temperature levels are fine, and they've done it -they are now orbiting the sun. The probe module is detached and the solarnauts watch as it heads straight towards a solar prominence. It passes by it successfully, and it appears that the mission is complete -they have got the sun fragments. The news report shows the probe reattach to the front of the rocket. Brains is watching from the back and suddenly says that he does not think they are going to make it. Jeff asks why as everything is going fine, but then the reporter says that something has gone wrong! He says that there is a problem with the rocket, as it is now on a collision course with the sun itself. Jeff asks what went wrong and Brains believes that it was when the sun probe module reattached to the main rocket, the rocket had to steer onto a collision course with the sun. Brains thinks that the radiation levels at that distance from the sun have interfered with the computers inside the rocket, locking down the control systems. This means that the solarnauts cannot fire the retros and break away. Brains mentions that the Solar Control Centre in Cape Kennedy can use a radio beam to make the rocket's retros fire, but the distance between the control centre and the rocket is now so great that he doubts their beam will break through the radiation. Colonel Benson then appears on the screen, as he explains that their efforts to fire the rocket's retros have failed, but he has a request: he asks International Rescue to contact the Solar Control Centre.
A Two Way Rescue
Edit
Jeff contacts Benson and finds out everything they know. He tells him this will be a tough one. Meanwhile the solarnauts try the retros again, but nothing happens, and they realise the radiation levels must be preventing the Earth from using the radio beam to get the retros working. Harris has the refrigeration unit taken up another level, so things aren't that hot inside the rocket yet. Back on Tracy Island, everyone discusses on what they are going to do. The solution is obvious -they will have to use their equipment to get the Sun Probe's retros fired. They have two choices: either Thunderbird 2 can do it, as it has a more powerful transmitter than Thunderbird 3. However, Thunderbird 3 can go into space, and get closer to the rocket, meaning it has much more chance of success. Gordon says both have a chance of success, and Jeff agrees. He has Brains get the equipment needed ready, whilst Alan, Tin-Tin and Scott are to blast off in Thunderbird 3 when it is ready. Meanwhile, he has Virgil go and work out where the best place Thunderbird 2 should be to try transmitting a signal to the rocket. Later on, the Thunderbird 3 team are ready. In the lounge, there is a certain sofa which can go underground. Scott, Alan and Tin-Tin are on this sofa, which heads down as an empty one moves up to replace it, The sofa moves on a rail to where Thunderbird 3 is, and once it reaches the bottom of the ship, it moves up to put the three crew members inside of it. As Scott and Tin-Tin put their safety belts on, Alan goes to the control room and launches Thunderbird 3. Alan and Scott get changed and figure out how long it will take them to get in range. Alan tells them that they will reach the danger zone within 65 hours, giving Tin-Tin plenty of time to make sure all the electronics are set up, as she will be the one using the radio beam. Back on Earth, inside Thunderbird 2's hangar Virgil and Brains are getting everything they need ready to be put in one of the pods. The main thing they are taking is a transmitter truck, but Brains also decides to take with them a mobile computer, and points out that it is in a box behind them. Minutes later, Virgil and Brains are onboard Thunderbird 2, and take off. Jeff tells Gordon that he has never been so unsure on the success of a mission. Meanwhile the Sun Probe is going to collide with the sin within 24 hours, and the auto refrigeration unit is at the maximum level. Part of the cockpit begins to smoke from the intense heat. Thunderbird 3 has gotten within several hours worth of distance, and Alan contacts the solarnauts. He has Tin-Tin use the radio beam, but the signal it sends is too weak and he and Scott realise that they will need to move Thunderbird 3 closer towards the sun for it to work. They are not happy about this as it means they will have to get much closer to the sun as they thought, and think that the problem the Sun Probe had with the retro could also happen to Thunderbird 3. However they don't want to let the three solarnauts die. Word reaches Tracy Island of the problem, and whilst Jeff is fine with his own sons being put into a potentially life threatening situation, he is not fine with Tin-Tin. Kyrano then appears and says that if he were to ask her, he knows what the answer would be. He and his daughter owe Jeff their lives, and so it is the right thing for her to do. Virgil then contacts his father and says that they have arrived in the Himalayas, and will be landing in just over 3 minutes. Thunderbird 2 is unfortunately in a snow storm, but Virgil manages to land. He lets his father know and finds out from him that the first radio beam attempt from Thunderbird 3 has been a failure, and they are going to be moving closer to the sun. Virgil hopes he and Brains will have more luck. The two go down to the pod and roll out in the transmitter truck, heading to a place where they should be able to send a clear signal beam. As they set things up, Alan has Tin-Tin try and use Thunderbird 3's beam again, and whilst it travel further than before, it still comes up short. Scott says they will have to continue towards the sun for another 2 hours before they get in range. Alan hopes they can all stand up to the heat. Meanwhile, back on Earth, Brains activates the transmitter truck's beam and whilst it is very powerful, it isn't quite strong enough to reach the Sun Probe. Brains says he can work on the transmitter and do some adjustments which should give the signal a boost, and they can try it again when he is done. Meanwhile the Sun Probe is beginning to burn up, and Harris says some of the systems aren't working properly any more. He and the others can't stand the heat, and they can't get the refrigeration unit to do anything. The crew of Thunderbird 3 are getting hot also, but Alan has Tin-Tin try the beam for a third time. It still isn't quite powerful enough to get to the Sun Probe. Alan doesn't want to get any closer to the sun and asks if there is anything Tin-Tin can do about making the beam stronger. Tin-Tin suggests overloading the beam with more power, and Alan lets her do it. The beam is sent out for the fourth time, but this time, it works, and reaches the Sun Probe. Seconds after this happens, the rocket's retros finally fire, and the ship begins to turn around, away from the sun. Asher and Camp have passed out but Harris realises that the retros have just fired, and that they are going to live.
Thunderbird 3 in Trouble
Edit
Back on Thunderbird 3, Alan says they've done it and they can head for home. He fires Thunderbird 3's retros...but they don't work! Now Thunderbird 3 is on a collision course with the sun! Jeff and Gordon are watching the news, where a reporter says the Sun Probe has changed course. He is about to thank International Rescue for what they have done, when he finds out something terrible -the tracking station has reported that the International Rescue spacecraft is now on a collision course with the sun. Gordon says the retros must have failed on Thunderbird 3, whilst Jeff says they need to contact Brains straight away. He tells Brains and Virgil what has happened, and Virgil asks what Brains what on Earth they can do about it. Brains says that Thunderbird 3's beam transmitter could still be operating, locking the craft onto the sun. The radiation has interfered with the ship's systems. They could neutralize Thunderbird 3's beam signal to stop it, and the retros should fire. He doesn't know the beam's frequency, but could work it out by using the mobile computer they have in the pod. Meanwhile, Alan thinks the reason the retros haven't fired have got something to do with the beam being left on, and asks if Tin-Tin has switched it off. She doesn't respond as she has passed out due to the heat, and so has Scott. Alan heads down towards where Tin-Tin is.
Braman Saves the Day
Edit
Brains and Virgil are back in Thunderbird 2, and head towards the box with the mobile computer in it...but when they open it up, they find Braman -they've got the wrong box! Meanwhile Alan reaches the room Tin-Tin is in, but collapses without managing to switch the beam off. Virgil asks if Brains could work out the formula for the frequency on paper, but finds out that without a computer, it would take weeks. Virgil asks if he could use Braman, since he is a computer, and Brains says of course. He switches the robot on and tells him he wants him to work out the following equation. Brains gives Braman a very long and complicated equation to work out. After making a lot of clicking noises, Braman has an answer: 450,969. Brains hopes his creation is right and then he and Virgil go back out to the truck. Virgil lets his father know on what they are going to try, and then Brains has the transmitter lined up and turned on. The beam comes closer and closer to reaching the target, and as Brains and Virgil nervously watch, they eventually get a signal from Thunderbird 3 -it is now moving away from the sun, meaning the retros have fired. Virgil tells his father the news and he is very relieved, saying that he is proud of International Rescue today. A few days later, after Thunderbird 3 has returned, Brains has improved his robot -so much so that it beats him in a game of chess! Brains can't believe it, as he just doesn't understand how a robot can have be more intelligent than him. Jeff says it must have just been a fluke -he has been working hard lately and didn't concentrate on the game. Brains goes with that logic. As Alan, Scott and Tin-Tin thank Brains for his hard work, Braman shows a bit of humanity by also thanking him.
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i don't know
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The crossed-ropes acting as ladders to masts on old sailing ships are called?
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Acts of pardon - A letter of marque for a "reformed" pirate, thus making him a privateer; or setting a pirate free. Admiral of the Black - A title given to the leader of the Brethren of the Coast. aft - At, in, toward, or close to the stern of a ship. ahoy - An interjection used to hail a ship or a person or to attract attention. American Main - The eastern coastal lands of North America. Amidships - The middle of the ship, either in regard to her length or breadth. Anchor - a heavy weight, often shaped with hooked ends, lowered into the water to keep a ship in one place. Arr! - An exclamation. ARTICLES � Contract signed by pirates when signing with a ship. It stated the rules as well as shares of profits. avast - A command meaning stop or desist. aye (or ay) - Yes; an affirmation. ballast - Heavy material that is placed in the hold of a ship to enhance stability. Barbary Coast - The Mediterranean coastline of North Africa, from Egypt to the Atlantic coastline. barkadeer - A small pier or jetty vessel. Barnacle - Small, razor-sharp shellfish that collect in large numbers on the ships' hulls. barque (also bark) - A sailing ship with from three to five masts, all of them square-rigged except the after mast, which is fore-and-aft rigged; a small vessel that is propelled by oars or sails. Beam - Measurement across the ship at her wildest part. belay - (1) to secure or make fast (a rope, for example) by winding on a cleat or pin. (2) To stop, most often used as a command. belaying pin - A short wooden rod to which a ship's rigging is secured. A common improvised weapon aboard a sailing ship, because they're everywhere, they're easily picked up, and they are the right size and weight to be used as clubs. Becalmed - When a sailing ship cannot move because there is no wind. Before the mast - The position of the crew whose living quarters on board were in the forecastle. The term is also used more generally to describe seamen as compared with officers, in phrases such as "he sailed before the mast." bilge - (1) The lowest part inside the ship, within the hull itself which is the first place to show signs of leakage. The bilge is often dank and musty, and considered the most filthy, dead space of a ship. (2) Nonsense, or foolish talk. bilged on her anchor - A ship holed or pierced by its own anchor. bilge rat - (1) A rat living in the bilge of a ship. It is considered the lowliest creature by pirates, but many pirates take to eating the animals to survive. (2) An insulting name given by a pirate. bilge water - Water inside the bilge sometimes referred to as bilge itself. Binnacle - The wooden housing for the ship's compass usually situated beside or before the wheel. black jack - A leather tankard. black spot - A black smudge on a piece of paper used by pirates as a threat. A black spot is often accompanied by a written message specifying the threat. Most often a black spot represents a death threat. Blimey! - An exclamation of surprise. Block and tackle - An arrangement of pulleys and ropes used to raise heavy loads, and to increase the purchase on ropes used for the running rigging. Blow � A short, intense gale or storm blow the man down - To kill someone. boatswain (also bosn or bosun) - A warrant officer or petty officer on a merchant ship who is in charge of the ships rigging, anchors, cables, and deck crew. boom - A long spar extending from a mast to hold or extend the foot of a sail. booty - Treasure. Boucan or� French word for a grill used to smoke meat. The word buccaneer came from boucan. Smoking meat for sale to passing ships was common from about 1620 to 1670. Men were illegally hunting and smoking the meat until the Spanish cracked down on them. Many took up pirating since their livelihood was over. These men at the time were known as Buccaneers bounty - Reward or payment, usually from a government, for the capture of a criminal, specifically a pirate. BOW OR FORE � The Pointed front of a ship, also known as the prow. Bowline - Rope made fast to the leech or side of a sail to pull it forward. bowsprit - The slanted spar at a ship's prow which is the furthest front of the ship. It is usually used as a lead connection for a smaller, navigational sail. It was from the bowsprit that Blackbeard's head was hung as a trophy. Break consort - To dissolve the agreement between two ships. Brethren of the Coast - A self-given title of the Caribbean buccaneers between 1640-1680 who made a pact to discontinue plundering amongst themselves. After 1680, a new generation of pirates appeared, who did not trust each other and the fraternity ended. brigantine (also brig) - A two-masted sailing ship, square-rigged on both masts. bring a spring upon her cable - To come around in a different direction. Bring to - Check the movement of a ship by arranging the sails in such a way that they counteract each other and bring the ship to a halt. broadside - a general term for the vantage on another ship of absolute perpendicular to the direction it is going. To get along broadside a ship was to take it at a very vulnerable angle. This is of course, the largest dimension of a ship and is easiest to attack with larger arms. A "Broadside" has come to indicate a hit with a cannon or similar attack right in the main part of the ship. Buccaneer - A pirate, especially one of the freebooters who preyed on Spanish shipping in the West Indies during the 17th century. The buccaneers were first hunters of pigs and cattle on the islands of Hispaniola and Tortugas, but were driven off by the Spanish and turned to piracy. Buccaneers were said to be heavy drinking, cruel pirates. bucko - A familiar term meaning friend. Bulkhead - A vertical partition inside a ship. Bumboo - A drink made with watered rum and flavored with sugar and nutmeg. cable - A heavy rope or chain for mooring or anchoring a ship. cackle fruit - Hens eggs. capstan - An apparatus used for hoisting weights, consisting of a vertical spool-shaped cylinder that is rotated manually or by machine and around which a cable is wound. careen - To take a ship into shallower waters or out of the water altogether and remove barnacles and pests such as mollusks, shells and plant growth from the bottom. Often a pirate needs to careen his ship to restore it to proper speed. Careening can be dangerous to pirates as it leaves the ship inoperable while the work is being done. carouser - One who drinks wassail and engages in festivity, especially riotous drinking. case shot - A collection of small projectiles put in cases to fire from a cannon; a canister-shot. Castles - These were raised sections of ships. They came from earlier times when archer4s would use the raised platforms to gain an advantage over their foe. Those ships had extremely high castles. Castles were either fore (forward) or aft (rear) Cat o'nine tails (or cat) - a whip with nine lashes used for flogging. "A taste of the cat" might refer to a full flogging, or just a single blow to "smarten up" a recalcitrant hand. Catch a Tartar - When a ship is lured into a trap. Caulk - To repair leaking gaps between the timbers of a ship by filling them with fiber and sealing them with oakum and pitch (tar). Chain Shot - Two cannonballs chained together and aimed high in order to destroy masts and rigging. chandler, or ship-chandler - see sutler. chantey (also chanty, shantey or shanty) - A song sung by sailors to the rhythm of their movements while working. Chart - A map of land and sea used by sailors for navigation. chase - A ship being pursued. ie: "The chase is making full sail, sir" translates to "The ship we're after is going as fast as she can." chase guns - cannon situated at the bow of a ship, used during pursuit. Clap in irons - To be put in manacles and chains. clap of thunder - A strong, alcoholic drink. Clean bill of health - The document issued to a ship showing that the port it sailed from suffered from no epidemic or infection at the time of departure. clipper - A fast moving ship. code of conduct - A set of rules which govern pirates� behavior on a vessel. coffer - A chest in which treasure is usually kept. cog - A small warship. Colors - The flags worn by a ship to show her nationality. come about - to bring the ship full way around in the wind. Used in general while sailing into the wind, but also used to indicate a swing back into the enemy in combat. CommissionS � Governments would issue these licenses to privateers. They authorized raids on foreign shipping Compass - A navigational instrument with 32 points to determine direction. Consort - A vessel sailing in company with a pirate ship. Convoy - A group of vessels that travels together for protection against pirates. Corsair - (1) A pirate, especially along the Barbary Coast; a romantic term for pirate. This term was used for Christian and Muslim privateers in the Mediterranean between the 16th and 19th centuries. The Barbary corsairs centered on North African states and were often "hired" by Muslim nations to attack Christian ships. The Christian Corsairs were known as the Maltese corsairs and they took their orders from the Knights of St. John to attack the Turks. (2) A pirate ship, often operating with official sanction. coxswain - A person who usually steers a ship's boat and has charge of its crew. crack Jennys tea cup - To spend the night in a house of ill repute. crimp - To procure (sailors or soldiers) by trickery or coercion, or one who crimps. crow's nest - A small platform, sometimes enclosed, near the top of a mast, where a lookout could have a better view when watching for sails or for land. cutlass - A short, heavy sword with a curved blade used by pirates and sailors. The sword has only one cutting edge and may or may not have a useful point. dance the hempen jig - To hang. Davy Jones' Locker - A fictional place at the bottom of the ocean. In short, a term meaning death. Davy Jones was said to sink every ship he ever over took, and thus, the watery grave that awaited all who were sunk by him was given his name. To die at sea is to go to Davy Jones' Locker. Deadeyes - A round wooden block with three holes for extending the shrouds. deadlights - (1) Strong shutters or plates fastened over a ship's porthole or cabin window in stormy weather. (2) Thick windows set in a ship's side or deck. (3) Eyes. ie: "Use yer deadlights, matey!" Dead Man�s Chest � A true location now called Dead Chest Island in the Virgin Islands. Robert Louis Stevenson ran across the reference while reading �At Last: A Christmas in the West Indies�, a travel book by Charles Kingsley. N Stevenson used the phrase in his book �Treasure Island�, combining it with a little sea-ditty as thus: Fifteen men on the dead man�s chest. Yo-Ho-Ho and a bottle of rum. Drink and the devil had done for the rest. dead men tell no tales - Standard pirate excuse for leaving no survivors. Dirk � A long thin Knife. It was used for fighting in close quarters, as well as cutting rope. doubloon - A Spanish gold coin. draft - The depth of a vessel's keel below the water line, especially when loaded; the minimum water depth necessary to float a ship. draught (also draft) - (!) The amount taken in by a single act of drinking. (2) The drawing of a liquid, as from a cask or keg. driver - A large sail suspended from the mizzen gaff; a jib-headed spanker. East Indiaman - A large armed English or Dutch merchant vessel used to transport valuable cargoes of porcelain, tea, silks, and spices in trade with Asia. execution dock - The usual place for pirate hangings, specifically on the Thames in London, near the Tower. fathom - A unit of length equal to six feet, used principally in the measurement and specification of marine depths. Figurehead � A carved figure perched on the front or bow of a sailing vessel that helped establish a ship�s identity. This also refers to the captain when the spouse is on board. fire in the hole - A warning issued before a cannon is fired. fire ship - A ship loaded with powder and tar then set afire and set adrift against enemy ships to destroy them. Flibustier or Filibuster - French term for pirates during the golden age (approximately the same time the term buccaneer came into wide usage) flogging - The act of beating a person severely with a rod or whip, especially the cat or the punishment of being beaten. fluke - The broad part of an anchor. Fo'c's'le (or Forecastle) - (1) The section of the upper deck of a ship located at the bow forward of the foremast. (2) A superstructure at the bow of a merchant ship where the crew is housed. fore (also forrard) - At, to, or toward the front end of the ship. Foul wind - A ship in the eye of the wind where she could not sail. Freeboard - The distance from the water to the gunwale. Freebooter - another term for a pirate, probably originating from a corruption of the Dutch vrijbuiters (plunderers), combining the words vrij meaning free and buit meaning loot Frigate - A fast warship, usually armed with between 20 and 30 guns. furl - To roll up and sec... gabion - A cylindrical wicker basket filled with earth and stones, used in building fortifications. gaff - A spar attached to the mast and used to extend the upper edge of a fore-and-aft sail. galleon - A large three-masted sailing ship with a square rig and usually two or more decks, used from the 15th to the 17th century especially by Spain as a merchant ship or warship. Gallows - The wooden frame used for hanging criminals. gally - A low, flat vessel propelled partly, or wholly by oars. gangplank - A board or ramp used as a removable footway between a ship and a pier. gangway - (1) A passage along either side of a ships upper deck. (2) A gangplank. (3) An interjection used to clear a passage through a crowded area. gibbet (cage) - Chains in which the corpses of pirates are hung and displayed in order to discourage piracy. Gold Road - A road across the Isthmus of Panama used to transport gold by train of pack mules. Good quarter is granted - The prey is spared. go on account - A pleasant term used by pirates to describe the act of turning pirate. The basic idea was that a pirate was more "free lance" and thus was, more or less, going into business for himself. grapple (also grappling hook, grappling iron, or grapnel) - An iron shaft with claws at one end, usually thrown by a rope and used for grasping and holding, especially one for drawing and holding an enemy ship alongside. grog (see also spirits) - An alcoholic liquor, especially rum diluted with water. Admiral Vernon is said to have been the first to dilute the rum of sailors (about 1745.) grog blossom - redness on the nose or face of persons who drink ardent spirits to excess. Grommet � A name British seamen gave to an apprentice sailor, or ship�s boy. The word comes from the Spanish word grumete, which has the same meaning. Also known as a small ring or eyelet on a sail gun - A cannon. Gunport - a hole, sometimes with an opening shutter, for a cannon to fire through Gunwale - The upper planking along the sides of a ship. gunwalls - The sides of the top deck which act as a railing around the deck, and have openings where heavy arms or guns are positioned. hail-shot - A shot that scatters like hail when fired from a cannon. Halyard - A rope used to hoist a sail or a flag. Handing a sail - rolling a sail up, analogous to shortening a sail hands - The crew of a ship; sailors. handsomely - Quickly or carefully; in a shipshape style. hang the jib - To pout or frown. hardtack (also sea biscuit) - A hard biscuit or bread made from flour and water baked into a moisture-free rock to prevent spoilage; a pirate ships staple. Hardtack has to be broken into small pieces or soaked in water before eaten. haul wind - To direct a ship into the wind. hearties - A term of familiar address and fellowship among sailors. heave down - To turn a vessel on its side for cleaning. heave to - An interjection meaning to come to a halt. Helm - The tiller or wheel which controls the rudder and enables a vessel to be steered. Helmsman - the person who steers the ship. hempen halter - The hangman�s noose. Hispaniola - The former name of the island that is today made up of Haiti and the Dominican Republic and home of the first buccaneers in Tortola. ho - Used to express surprise or joy, to attract attention to something sighted, or to urge onward as in Land ho! or Westward ho! hogshead - (1) A large cask used mainly for the shipment of wines and spirits. (2) A unit of measurement equal to approximately one hundred gallons. Hold - The storage area at the bottom of a vessel. holystone - A piece of soft sandstone used for scouring the wooden decks of a ship. hornswaggle - To cheat. hulk - British prison ships that captured pirates and privateers. Hull - The outer shell of a ship. interloper - One that trespasses on a trade monopoly, as by conducting unauthorized trade in an area designated to a chartered company; a ship used in unauthorized trade. Jacob�s Ladder - The rope ladder used to climb aboard the ship. jack - A flag, especially one flown at the bow of a ship to indicate her nationality. Jack Ketch - The hangman. To dance with Jack Ketch is to hang. Jack Tar , or tar - A sailor. jib - A triangular sail stretching from the foretopmast head to the jib boom and in small craft to the bowsprit or the bow. jolly boat - A light boat carried at the stern of a larger sailing ship. Jolly Roger - A pirate flag depicting a skull-and-crossbones. It was an invitation to surrender, with the implication that those who surrendered would be treated well. A red flag indicated "no quarter." Junk - A wooden sailing ship commonly used in the Far East and China. jury mast - a temporary or makeshift mast erected on a sea vessel after the mainmast has been destroyed. Often, in combat, the mast was the most damaged (providing the ship didn't sink). Without the mast, a ship was powerless, so a term grew out of the need to make masts to power damaged ships. keel - The underside of a ship which becomes covered in barnacles after sailing the seas. keelhaul - To punish someone by dragging them under a ship, across the keel, until near-death or death. Both pirates and the Royal Navy were fond of this practice. Ketch - A small, two-masted ship or boat. killick - A small anchor, especially one made of a stone in a wooden frame. Knot - A measure of a ship's speed in nautical miles per hour; so-called after the knots tied at regular intervals in the logline. lad - A way to address a younger male. Land Ho! � A traditional calling when a sailor sights land. landlubber or just lubber - A person unfamiliar with the sea or seamanship. The term doesn't derive from "land lover," but rather from the root of lubber, meaning clumsy or uncoordinated. Thus, a landlubber is one who is awkward at sea for familiarity with the land. The term is used to insult the abilities of one at sea. lanyard (or laniard) - A short rope or gasket used for fastening something or securing rigging. lass - A way to address a younger female. lateen sail - A triangular sail set on a long sloping yard. Latitude - Position north or south of the equator, measured according to a system of lines drawn on a map parallel with the equator. Lay rough - When a seaman slept on the deck instead of a hammock or bed. league - A unit of distance equal to three miles. lee - The side away from the direction from which the wind blows. Letter of Marque - a document given to a sailor (privateer) giving him amnesty from piracy laws as long as the ships plunders are of an enemy nation. A large portion of the pirates begin as privateers with this symbol of legitimacy. The earnings of a privateer are significantly better than any of a soldier at sea. Letters of marque aren't always honored, however, even by the government that issues them. Captain Kidd had letters of marque and his own country hanged him anyway. line - A rope in use as part of the ship's rigging, or as a towing line. When a rope is just coiled up on deck, not yet being used for anything, it's all right to call it a rope. list - To lean or cause to lean to the side. loaded to the gunwalls - To be drunk. log - (1) A record of a ship's speed, its progress, and any shipboard events of navigational importance, or the book in which the record is kept. (2) A knotted length of line with a piece of wood at the end which is thrown into the water to determine how many "knots" run out in a set period of time. Log Book - The book in which details of the ship's voyage are recorded long boat - the largest boat carried by a ship which is used to move large loads such as anchors, chains, or ropes. pirates use the boats to transport the bulk of heavier treasures. long clothes - A style of clothing best suited to land. A pirate, or any sailor, doesn't have the luxury of wearing anything loose that might get in the way while climbing up riggings. Landsmen, by contrast, could adorn themselves with baggy pants, coats, and stockings. Longitude - Position east or west in the world, measured according to a system of lines drawn on a map from north to south. lookout - A person posted to keep watch on the horizon for other ships or signs of land. Lose the weather gage - When the enemy comes between the ship and the wind. loot - Stolen goods; money. Lubber - A person not accustomed to the ways of ships and sea. lugger - A two-masted sailing vessel with a lugsail rig. lugsail - A quadrilateral sail that lacks a boom, has the foot larger than the head, and is bent to a yard hanging obliquely on the mast. Mainmast - The ship's principal mast. main sheet - The rope that controls the angle at which a mainsail is trimmed and set. man-of-war - A vessel designed and outfitted for battle. Marlinspike - A pointed tool used for unraveling rope in order to splice it. maroon - To abandon a person on a deserted coast or island with little in the way of supplies. It is a fairly common punishment for violation of a pirate ship's articles, or offending her crew because the victim�s death cannot be directly connected to his former brethren. marooned - To be stranded, particularly on a desert isle. Mast � These were upright beams which sails were suspended from. The number of masts varied on the size and type of vessel. Their names were: Mainmast (Largest mast centrally located). Fore-mast (front of the ship). Aft-mast (rear of mainmast). Mizzenmast (usually lateen-rigged, rear and sometimes from of ship, used to improve steering). Bowsprit (extended our at an angle over the bow). Masthead - the top of a mast mate or Matey - A piratical way to address someone in a cheerful, if not necessarily friendly, fashion. me - My. measured fer yer chains - To be outfitted for a gibbet cage. Midshipman - Non-commissioned rank below lieutenant in the navy. mizzen - A fore-and-aft sail set on the mizzenmast. mizzenmast - The largest and, perhaps, most important mast located in the mizzen; the third mast or the mast aft of a mainmast on a ship having three or more masts. Mount the muzzle - The gunner�s command for elevating a great gun or cannon. mutiny - To rise against authority, especially the captain of a ship. Nelsons folly - Rum. New World - The continents of North and South America, called "new" because they were only discovered by Europeans after 1492. nipper - A short length of rope used to bind an anchor cable. nipperkin - A small cup or drink. no prey, no pay - A common pirate law meaning a crew received no wages, but rather shared whatever loot was taken. No Purchase, No Pay � A term used to mean �no plunder, no pay�. At the time the English word �purshase� referred to any plunder, loot or booty. A pirates sailing under this term (in the ships articles) would have to seize loot or forfeit pay. No quarter given - Usually accompanied with the hoisting of the red flag. It means that no mercy would be shown and all souls on board killed. Oakum - The packing material used to fill the planks in a wooden ship. overhaul - (1) To slacken a line. (2) To gain upon in a chase; to overtake. parrel (also parral) - A sliding loop of rope or chain by which a running yard or gaff is connected to, while still being able to move vertically along, the mast. Peg Leg � This was a nickname given by pirate to those who had replaced a let with a wooden prosthetic. The Spanish name is Pie de Palo, the Dutch is Houtebeen. Two of the best known peg-legged pirates were Francois le Clerc and Cornelis Jol Pewter - A mixture of lead and tin used to make the hard-wearing cups and dishes used by pirates. Picaroon - term meaning both pirate and slaver. Pieces of Eight (Peso) - Spanish silver coins worth one peso or eight "reales.," sometimes literally cut into eight pieces, each worth one real. pillage - To rob of goods by force, especially in time of war; plunder. pink - A small sailing vessel with a sharply narrowed stern and an overhanging transom. pinnace - A light boat propelled by sails or oars, used as a tender for merchant and war vessels; a boat for communication between ship and shore. piracy - Robbery committed at sea. pirate - One who robs at sea or plunders the land from the sea without commission from a sovereign nation; the opposite of a privateer. Pirate Round - Route from North America to the Indian Ocean. Plate Fleet - Fleet of Spanish ships used to carry silver and gold to Europe. plunder - To take booty; rob. Ponton - an English prison hulk, or converted ship hull, where captured pirates were held. poop deck - The highest deck at the stern of a large ship, usually above the captain�s quarters. port - (1) A seaport. (2) The left side of the ship when you are facing toward her prow. Powder - Common term for gunpowder. Powder Chest - An explosive device made of wood and filled with gunpowder and shot with a fuse running from the ship�s closed quarters to repel boarders. Powder Monkey - A gunner�s assistant. pressgang - A company of men commissioned to force men into service such as on a vessel, specifically a pirate ship. Privateer - a privateer is a sailor with a letter of marque from a government. This letter "allows" the sailor to plunder any ship of a given enemy nation. Technically a privateer was a self employed soldier paid only by what he plundered from an enemy. In this, a privateer was supposed to be above being tried for piracy. A privateer is theoretically a law-abiding combatant, and entitled to be treated as an honorable prisoner if captured. Most often, privateers were a higher class of criminal, though many turned plain pirate before all was said and done. Prize - a captured ship provost - The person responsible for discipline on board a ship. prow -- The "nose" of the ship, also see bow. quarter - derived from the idea of "shelter", quarter is given when mercy is offered by pirates. To give no quarter is to indicate that none will be spared. Quarter is often the prize given to an honorable loser in a pirate fight. If enraged, however, a pirate would deprive the loser any such luxury. quarterdeck - The after part of the upper deck of a ship. Quartermaster - The officer who represented the crew in all issues aboard ship. He was in-charge food and supplies, division of the booty, and distributed the punishment to the guilty. Rail - The timber plank on top of the gunwale long the sides of a vessel. Ratlines - Crossed ropes on the shrouds (the ropes which run from the side of the ship to the mast) that form a rope ladder enabling sailors to climb to the top of the mast. red ensign - A British flag. reef - An underwater obstruction of rock or coral which can tear the bottom out of a ship. reef sails - To shorten the sails by partially tying them up, either to slow the ship or to keep a strong wind from putting too much strain on the masts. rigging - The system of ropes, chains, and tackle used to support and control the masts, sails, and yards of a sailing vessel. rope's end - Another term for flogging. ie: "Ye'll meet the rope's end for that, me bucko!" rum - An intoxicating beverage, specifically an alcoholic liquor distilled from fermented molasses or sugar cane. Rum Punch - A drink consisting of rum, lime juice and sugar. The recipe consisted of one of sour, two of sweet, three of strong, four of weak (ice). run a rig - To play a trick. run a shot across the bow - A command to fire a warning shot. rutters - Detailed instructions listing all that is known about a place or rout. Sail - Sail ho! - An exclamation meaning another ship is in view. The sail, of course, is the first part of a ship visible over the horizon. salmagundi - A salad usually consisting of chopped meat, anchovies, eggs, and onions, often arranged in rows on lettuce and served with vinegar and oil. scallywag - A villainous or mischievous person. schooner - A fore-and-aft rigged sailing vessel having at least two masts, with a foremast that is usually smaller than the other masts. scourge of the seven seas - A pirate known for his extremely violent and brutal nature. scuppers - Openings along the edges of a ship's deck that allow water on deck to drain back to the sea rather than collecting in the bilge. "Scupper that!" is an expression of anger or derision meaning "Throw that overboard!" scurvy - (1) A disease caused by deficiency of vitamin C often affecting sailors. (2) Mean and contemptible; a derogatory adjective suitable for use in a loud voice, as in "Ye scurvy dogs!" scuttle - (1) A small opening or hatch with a movable lid in the deck or hull of a ship. (2) To sink by means of a hole in a ships hull. Sea Legs - The ability to adjust one's balance to the motion of a ship, especially in rough seas. After walking on a ship for long periods of time, sailors became accustomed to the rocking of the ship in the water. Early in a voyage a sailor was said to be lacking his "sea legs" when the ship motion was still foreign to him. After a cruise, a sailor would often have trouble regaining his "land legs" and would swagger on land. Sea rover - pirate; pirate's ship Seams - the line where the ship's planks joined, if not sealed properly the ship would leak Setting a sail - letting the sail down, the opposite of handing sheet - A line running from the bottom aft corner of a sail by which it can be adjusted to the wind Ship shape - All in order onboard the ship. Shiver me timbers! - An expression of surprise or strong emotion. Shorten sail - to reduce the amount of sail hanging from the yards shrouds - One of a set of ropes or wire cables stretched from the masthead to the sides of a vessel to support the mast. Silk sling - A ribbon that held the pistol dangling from a pirate�s neck. Sink me! - An expression of surprise. six pounders - Cannons. skysail - A small square sail above the royal in a square-rigged vessel. sloop - A single-masted, fore-and-aft-rigged sailing boat with a short standing bowsprit or none at all and a single headsail set from the forestay. This boat was much favored by the pirates because of its shallow draught and maneuverability. smartly - Quickly. "Smartly there, men!" = "Hurry up!" snow - A square-rigged vessel, differing from a brig only in that she has a trysail mast close abaft the mainmast, on which a large trysail is hoisted. Son of a gun � A male child born aboard a ship; a bastard child Spanish Main - Lands taken by Spain from Mexico to Peru including the Caribbean islands. spanker (see also driver) - The after sail of a ship or bark, being a fore-and-aft sail attached to a boom and gaff. spike - To render (a muzzle loading gun) useless by driving a spike into the vent. spirits - An alcoholic beverage, especially distilled liquor. Splice - To weave two rope ends together in order to join them. splice the main brace - To have a drink or perhaps several drinks. Spoiled Sails - Sails that were shredded in battle. Sprung seam - a seam that is no longer sealed and is leaking spyglass - A telescope. Squadron � A group of ten or less warships square-rigged - Fitted with square sails as the principal sails. squiffy - Somewhat intoxicated; tipsy. starboard - The right side of the ship when you are facing toward her prow. Stay � Standing rigging fore and aft and supporting a mast. stern - The rear part of a ship. Stern Lights � The ship�s windows in the stern Strike Amain - Lowering the topsails as a sign of submission. strike colors - To lower, specifically a ships flag as a signal of surrender. sutler - A merchant in port, selling the various things that a ship needs for supplies and repairs. swab - (1) To clean, specifically the deck of a ship. (2) A disrespectful term for a seaman. ie: "Man that gun, ye cowardly swabs!" Swabbers - Unhandy seaman, fit only to clean the ship. Sweet Trade � The career of piracy. swing the lead - The lead was a weight at the bottom of a line that gave sailors a way to measure depth when near land. To Swing the Lead was considered a simple job, and thus came to represent one who is avoiding work or taking the easy work over the hard. In today's terms, one who swings the lead is a slacker. Swivel Gun - A small gun or cannon mounted on a swivel and set on the rail of a vessel. tack - (1) The lower forward corner of a fore-and-aft sail. (2) The position of a vessel relative to the trim of its sails or the act of changing from one position or direction to another. tackle - A system of ropes and blocks for raising and lowering weights of rigging and pulleys for applying tension. take a caulk - To take a nap. On deck of a ship, between planks, was a thick caulk of black tar and rope to keep water from between decks. This term came about either because sailors who slept on deck ended up with black lines across their backs or simply because sailors lying down on deck were as horizontal as the caulk of the deck itself. tender - A vessel attendant on other vessels, especially one that ferries supplies between ship and shore; a small boat towed or carried by a ship. Tiller - a pole attached to the rudder of a ship, used for steering the ship topgallant - Of, relating to, or being the mast above the topmast, its sails, or its rigging. Topman - sailor in charge of the topsails topmast - The mast below the topgallant mast in a square-rigged ship and highest in a fore-and-aft-rigged ship. topsail - A square sail set above the lowest sail on the mast of a square-rigged ship or a triangular or square sail set above the gaff of a lower sail on a fore-and-aft-rigged ship. transom - Any of several transverse beams affixed to the sternpost of a wooden ship and forming part of the stern. Treasure Map � A fictional device dreamed up by authors. Pirates did not buy their loot. It probably came about after Captain Kidd�s capture when he was reported to have seized more booty than was found with him. Most people found that the burial rumor was a possible explanation for the lack of booty. The burial theory has been with us ever since. trysail - A small fore-and-aft sail hoisted abaft the foremast and mainmast in a storm to keep a ship's bow to the wind. Vaporing � The pirate ritual of screaming war cries and banging of weapons against the ship�s gunwales to scare their prey prior to attacking. Wading � A small piece of cloth placed in the barrel of a pistol or cannon after the powder. Waggoner � A pirate term for a sea atlas or book of sea charts. walk the plank - Perhaps more famous than historically practiced, walking the plank is the act of being forced off a ship by pirates as punishment or torture. The victim, usually blindfolded or with bound hands or both, is forced to walk along a plank laid over the ship's side and fall into the water below. The concept first appeared in nineteenth century fiction, long after the great days of piracy. History suggests that this might have happened once that can be vaguely documented, but it is etched in the image of the pirates for its dastardly content. warp - To move (a vessel) by hauling on a line that is fastened to or around a piling, anchor, or pier. Watch � The ship�s lookout who changed at the turning of the glass. Weather � The side from which the wind is blowing. weigh anchor - To haul the anchor up; more generally, to leave port. Weigh � To lift, such as weighing the anchor of a ship wench - A young woman or peasant girl, sometimes a prostitute. wherry - A light, swift rowboat built for one person usually used in inland waters or harbors. yard - A long tapering spar slung to a mast to support and spread the head of a square sail, lugsail, or lateen. yardarm - The main arm across the mast which holds up the sail; Either end of a yard of a square sail. The yardarm is a vulnerable target in combat, and is also a favorite place from which to hang prisoners or enemies. Black Bart hung his governor of Martinique from his yardarm. yawl (or dandy) - A two-masted fore-and-aft-rigged sailing vessel similar to the ketch but having a smaller jigger- or mizzenmast stepped abaft the rudder; a ships small boat, crewed by rowers. ye - You. Yellow Jack - A yellow flag flown to indicate the presence of an illness, often yellow fever, aboard a ship. Often the flag is used to trick pirates into avoiding potential targets. yo-ho-ho - An exclamation associated with pirates. 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MarineWaypoints.com - Nautical Glossary
C [ Charlie ] - [ meaning ]
Cabin - A room or living compartment for passengers or crew.
Cabin Sole - The floor or bottom surface of the enclosed space under the deck of a boat
Cable - (1) A strong rope or chain for pulling or securing anything, usually a ship's anchor. (2) A nautical measurement of distance, a tenth of a nautical mile, 100 fathoms , or approximately 200 yards
Cable Ship - A specially constructed ship for the laying and repairing of telegraph and telephone cables across channels, seas, lakes, and oceans.
Caboose - Old term for the galley of a vessel situated normally on the deck and not between decks.
Cabotage - The carriage of goods or passengers for remuneration taken on at one point and discharged at another point within the territory of the same country.
Call Sign - A group of letters and numbers used for identification during radio transmission.
Calm - Little or no wind and flat seas
Calving - Breaking away of a mass of ice from a glacier or iceberg.
Cam Cleat - A mechanical cleat used to hold a line automatically. It uses two spring loaded cams that come together to clamp their teeth on the line, which is place between them.
Camber - The curvature of an object such as a sail, keel or deck. Usually used when referring to an objects aerodynamic or hydrodynamic properties. The weather decks of ships are rounded up or arched in an athwartship direction for the purpose of draining any water that may fall on them to the sides of the ship where it can be led overboard through scuppers; the camber is the crown or arch of a weather deck.
Camel - Hollow vessel of iron, steel or wood, that is filled with water and sunk under a vessel. When water is pumped out, the buoyancy of the camel lifts the ship. Very valuable aid to salvage operations.
Can or Can Buoy - A cylindrical navigation buoy painted green and having an odd number used in the United States as a navigational aid. At night they may have a green light.
Canal - A manmade waterway used to connect bodies of water that do not connect naturally. Canals use locks to raise and lower boats when connecting bodies of water that have different water levels.
Canoe Stern - A pointed stern, such as those on a canoe.
Cant - (1) A term signifying an inclination of an object from a perpendicular; to turn anything so that it does not stand perpendicularly or square to an object. (2) Those timbers in a ship near the bow or stern which are sharply angled from the keel. (3) The operation of turning a ship's head one way or another.
Cant Frames - Angled frames in the extreme forward or aft ends of a ship which form the sharp ends of the vessel's hull.
Canvas - Tightly woven cloth used for sails, awnings, covers, dodgers and biminis; slang for sails.
Cap - A piece of trim, usually wood, used to cover and often decorate a portion of the boat, i.e., caprail.
Capsize - To turn a boat over
Capstan - A revolving cylindrical device used for heaving in lines or anchors - A vertical, spool-shaped rotating drum around which cable, hawser or chain is wound for hoisting anchors, sails and other heavy weights. A capstan rotates around a vertical axis, as opposed to a windlass, which revolves around a horizontal axis.
Captain - The person who is in charge of a vessel and legally responsible for it and its occupants.
Car - A sliding fitting that attaches to a track allowing for the adjustment of blocks or other devices attached to the car.
Caravel - Small trading vessel also used for exploration. Three-masted, being square-rigged on the two forward masts, and having a lateen rigged mizzen mast. Christopher Colmbus' small squadron, the Santa Maria, Pinta, and Nina, were all Caravels, as were Magellan's ships in his famous circumnavigation.
Cardinal Points - The compass points of North, East, South and West. Intercardinal or half-cardinal points are Southeast, Southwest, Northwest and Northeast
Careen - To list a vessel so that a large part of her bottom is above water. This is done to remove weed and marine growth, to examine the bottom, to repair it and to put on preservative or anti-fouling.
Careenage - A suitable beach, being steep and sandy, where ships could be careened for cleaning or repair.
Cargo - Ship supplies.
Cargo Handling - The act of loading and discharging a cargo ship.
Cargo Hatch - An opening in a ship's deck for the loading and discharging of any kind of cargo.
Carline or Carling - Timbers used to support the deck planking of a wooden ship; also for supporting hatches.
Carlins - Structural pieces running fore and aft between the beams.
Carrack - Old three-masted trading vessel which was square-rigged on the fore and main masts, and lateen rigged on the mizzen mast. Similar to the Caravel, but larger and more robust.
Carrick Bend - [ image ] - A knot used to tie two lines together.
Carriers - Owners or operators of vessels providing transportation to shippers. The term is also used to refer to the vessels.
Carry On - To continue sailing under the same canvas despite the worsening of the wind.
Cast Adrift - To abandon a ship at sea; to place people in a ship's boat or raft and leave them.
Cast Off - To let go of a line; to leave a dock or a mooring; to untie or loose a rope or line.
Castaway - A shipwrecked sailor as compared with one who has been marooned or deliberately put ashore.
Cat's Skin - Light, warm wind on surface of sea.
Catamaran - A multihull with two hulls separated by a deck or crossbeams from which a trampoline is suspended; abbreviated "cat."
Catboat - A small boat with the mast stepped far forward, carrying a single sail
Cathead - On older sailing ships, a heavy piece of curved timber projecting from the bow for the purpose of holding anchors in position for letting go or for securing them after weighing.
Catching Up Rope - Light rope secured to a buoy to hold vessel while stronger moorings are attached.
Catenary - The curve (sag) of a rope, cable or chain hung between two points such as the anchor rode or towing line; the deeper the curve, the more catenary.
Catharpings - In square-rigged vessels, short lines at the lower end of the futtock shrouds used to bring in the shrouds tighter to give room to brace the yards at a sharper angle when sailing close hauled.
Cat-O'-Nine-Tails - Similar to a whip, an instrument of punishment where seamen were flogged on their bare backs.
Catspaw - (1) A ruffle on the water indicating a breath of wind during a calm (2) A twisting hitch made in the bight of a rope to form two eyes, through which the hook of a tackle is passed for hoisting purposes. [ image ]
Catug - Short for Catamaran Tug. A rigid catamaran tug connected to a barge. When joined together, they form and look like a single hull of a ship.
Catwalk - On a ship, a raised bridge running fore and aft from the midship, and also called "walkway". It affords safe passage over the pipelines and other deck obstructions.
Caulking/Calking - Forcing material into the seams of the planks in a boat's deck or sides to make them watertight; the material itself. Oakum was once the material used for this purpose, and was then sealed with hot pitch to prevent it from rotting. Today there are polymers used for sealing all kinds of fittings.
Cavitation - Loss of effective propeller thrust caused by the blades cutting across the column of water sucked along by the propeller instead of working in it. Can also lead to heavy vibration of the vessel.
Celestial Navigation - To calculate your position using time, the position of celestial bodies, and mathematical tables. Position is determined by measuring the apparent altitude of one of these objects above the horizon using a sextant and recording the times of these sightings with an accurate clock. That information is then used with tables in the Nautical Almanac to determine one's position.
Celestial Sphere - An imaginary sphere surrounding the globe that contains the sun, moon, stars and planets.
Center of Buoyancy - A point through which all buoyant forces on an immersed hull are assumed to act.
Center of Effort (CE) - Point at which all of the force of the wind can be thought to concentrate; the point in the sail plan that is the balance point for all the aerodynamic forces
Center of Lateral Resistance (CLR) - Center point of all underwater area of the hull where the hull's lateral resistance can be said to be centered.
Centerboard - A board that can be raised and lowered by pivoting in a watertight box called the trunk or well to increase the draft and lateral area of the hull, preventing the boat from sliding sideways. Unlike a daggerboard, which lifts vertically, a centerboard pivots around a pin, usually located in the forward top corner, and swings up and aft.
Centerboard Trunk - Watertight housing for the centerboard.
Centerline - The imaginary line running from bow to stern along the middle of the boat.
Certificate - A legal paper or license of a boat or its captain.
Certificate of Registry - A document specifying the nation of registry of the vessel.
Chafe - Abrasion, wear or damage to a line caused by rubbing against another object
Chafing Gear - Canvas, cloth, leather, tubing, rubber or other material placed around a line or cable to protect it from wear and abrasion
Chain Locker - The compartment, near and below the hawse holes at the bow, for stowing the anchor chains; a compartment in the lower part of a ship for stowing an anchor chain.
Chain Pipe - A pipe of large diameter, through which the chains pass into the chain lockers.
Chain Plate - A metal plate, strap, or rod bolted to the hull structure to which the lower ends of shrouds and stays are attached
Chandler - A person who deals in the selling of provisions, dried stores, supplies, equipment, etc.
Chandlery - A marine hardware store.
Channel - A navigable route on a waterway, usually marked by buoys. Channels are deep enough for ships or boats to navigate without running aground.
Channel Fever - Seaman's name for the excitement on board as the ship approachs her destination, giving the crew some liberty ashore.
Chanty or Shanty - Shanties are the work songs that were used on the square-rigged ships of the Age of Sail. Their rhythms coordinated the efforts of many sailors hauling on lines.
Characteristic - The distinguishing qualities of a navigational light, including its color and whether it is fixed or flashing (and the flashing sequence).
Charley Noble - Galley smokestack or chimney.
Chart - A representation on a plane surface of the spherical surface of the earth. The equivalent of a map for use by navigators.
Chart Datum - The water level used to record data on a chart. Usually the average low tide water level. It is the level below which depths on a chart are measured, and above which keights of a tide are expressed.
Chart Table - A table designated as the area in the boat where the navigator will study charts and plot courses.
Charter - The renting of a boat
Chearly - An old expression meaning heartily or quickly.
Check - To ease away slowly, as in a line, sheet, or falls of a tackle.
Checking - Slacking a rope smartly, carefully and in small amounts.
Cheek Block - A block with one end permanently attached to a surface.
Cheeks - (1) The two sides of a block. (2) Pieces of timber attached to the mast below the masthead to support the trestle trees .
Cheese Down - To coil down the tail of a line on deck to present a neat appearance.
Chief Engineer - The senior engineer officer responsible for the satisfactory working and upkeep of the main and auxiliary machinery and boiler plant on board ship.
Chief Mate - The officer in the deck department next in rank to the master; second in command of a ship. He is next to the master, most especially in the navigation and as far as the deck department is concerned. The chief mate assumes the position of the Master in his absence.
Chinch - The operation of pressing oakum into a seam as a temporary measure until the seam can be properly caulked.
Chine - The angle of intersection between the topsides and the bottom of a boat. In a hard-chined boat this angle is pronounced.
Chock - (1) A deck fitting to guide an anchor, mooring, towing or docking line. Usually smooth shaped to reduce chafe. (2) A wedge or block to keep an object from moving.
Chock-a-Block - When a line is pulled as tight as is can go, as when two blocks are pulled together so that no further movement is possible (also known as "Two blocked").
Choke the Luff - To temporarily stop all movement of a line through a block by placing the hauling part across the sheave of the block. This jams the sheave and holds it tight, and a pull on the hauling part will release it.
Chop - Small, steep disorderly waves at rapid intervals.
Chord - An imaginary line drawn between the luff and leech of a sail. The chord depth is an imaginary line drawn to the deepest part of the sail from the chord. The ratio of chord depth to chord length represents the sail's draft - a high ratio indicates a full sail; a low ratio, a flat sail.
Chow - Food.
Chute - An opening in the deck near the bow from which the spinnaker is hoisted. Spinnakers are also often referred to as chutes.
Ciguatera - A severe type of food poisoning caused by eating contaminated fish
Circumnavigate - To sail around the world
Circumnavigation - A voyage around the world.
Clap On - To clap on is to temporarily add something to an existing part.
Class - General category into which boats of the same or similar design are grouped for racing.
Classification Society - Worldwide experienced and reputable societies which undertake to arrange inspections and advise on the hull and machinery of a ship. A private organization that supervises vessels during their construction and afterward, in respect to their seaworthiness, and the placing of vessels in grades or "classes" according to the society's rules for each particular type.
Claw Off - Beat to windward to avoid being driven onto a lee shore.
Claw Ring - A "C" shaped fitting which can be slipped over the boom, for example, when the sail has been roller reefed to allow the boom vang to be reattached.
Clean - Referring to the lines of a vessel's hull when they give a a fine and unobstructed run from bow to stern so that she moves through the water smoothly.
Clear - (1) Free, not entangled (2) To finalize all formalities in a Customs House.
Clear for Running - A sheet or halyard coiled so that it will run out quickly without becoming tangled.
Clear the Decks - Remove unnecessary things from the decks usually in preparation for oncoming bad weather.
Cleat - A fitting of wood or metal, secured to the deck, mast, or spar, with two horns around which ropes are made fast. The classic cleat to which lines are belayed is approximately anvil-shaped; verb - to belay.
Clevis Pin - A large pin that secures one fitting to another.
Clew - The lower aft corner of a fore and aft sail, both lower corners of a spinnaker, and the lower corners of a square sail
Clew Outhaul - The tackle used to adjust the clew in and out on the boom.
Clinometer - Instrument showing the angle of heel of a vessel, usually a weighted pointer resembling a pendulum, that swings along an arc that is marked in degrees. *
Clipper - A sharp-bowed sailing vessel of the mid-19th century, having tall masts and sharp lines; built for great speed; the generic name used to describe types of fast sailing ships.
Clock Calm - Absolutely calm weather with a perfectly smooth sea.
Close Aboard - Close alongside; very near; in close proximity to.
Close Hauled - A point of sail where the boat is sailing as close to the wind (as directly into the wind) as possible; sails are pulled in tight, enabling the boat to point as high as possible to the direction the wind is coming from; Also, "beating" and "on-the-wind".
Close Reach - Sailing with the wind coming from the direction forward of abeam. A close reach is the point of sail between a beam reach and close hauled.
Closest Point of Approach (CPA) - The nearest another vessel will come to yours when both are under way, usually expressed in distance and relative bearing. *
Clothing - Various pieces of rigging which hold a bowsprit in position.
Clove Hitch - [ image ] - Two half hitches around a spar or post. Easy way to make a line temporarily fast to a piling or post. The clove hitch can jam under heavy tension, making it difficult to untie. Worse, is its tendency to untie itself when subjected to repeated strain and release, such as a boat rocking in waves. You can add one or two half hitches on the standing line for a more secure attachment.
Club - A boom on a jib or staysail.
Coach Roof - The cabin roof, raised above the deck to provide headroom in the cabin. Also trunk.
Coachwhipping - Decorative ropework with an even number of strands to form a herring-bone pattern.
Coaming - A low vertical lip or raised section around the edge of a cockpit, hatch, etc. to prevent water on deck from running below.
Coast Pilots - Books covering information about coastal navigation, including navigational aids, courses, distances, anchorages and harbors.
Coastal Navigation - Navigating near the coast, allowing one to find one's position by use of landmarks and other references.
Coastwise - Domestic shipping routes along a single coast.
Cocked Hat - The small triangular space found at the intersection of lines of position on a chart when a ship's position is determined by taking three bearings.
Cockpit - The location from which the boat is steered, usually in the middle or at the stern of the boat.
Cockpit Sole - Floor of the cockpit.
Cockswain - The steersman of a boat, in direct charge of the crew if any. Pronounced "Cock-sun." *
Coffee Grinder - A large and powerful sheet winch
Cofferdam - A void or empty space separating two or more compartments for the purpose of insulation, or to prevent the liquid contents of one compartment from entering another in case of a leak.
COG - Course Over Ground
Coil - To lay a line down in circular turns, known as fakes, or to arrange in loops so it can be stowed. Line is sold by the coil, which contain 200 fathoms
Cold Front - Used in meteorology to describe a mass of cold air moving toward a mass of warm air. Strong winds and rain typically accompany a cold front.
Cold Molding - A method of bending a material into an appropriate shape without heating or steaming the material first to soften it.
Colimation - Correct alignment of the optical parts of an instrument.
Collier - Vessel used for transporting coal.
Collision Avoidance System - Electronic system commonly used to prevent collisions in inland navigable waterways.
Collision Bulkhead - A watertight bulkhead at the forepeak extending to main deck. This bulkhead prevents the entire ship from being flooded in case of a collision.
Collision Mat - A large square of heavy canvas fitted with lines to allow it to be drawn under the hull of a ship where it is damaged. The pressure of the seawater holds it tight against the ship and greatly reduces the inflow of water.
Colors - National flag or insignia flown by a ship at sea.
COLREGS - Convention on International Regulations for Preventing Collisions at Sea; Rules of the Road. Internationally accepted rules by which vessels at sea must keep clear of each other.
Comb the Cat - When flogging a seaman, to run the fingers through the Cat-O'-Nine-Tails after each stroke to separate the strands in preparation for the next stroke.
Combi - Combination passenger/cargo vessel.
Combined Ships - Ships which can carry both liquid and dry bulk cargoes.
Come/Coming About - Bringing the boat from one tack to the other when sailing into the wind, so that the sail is flown in the opposite side by turning through the eye of the wind; Tack
Come Home - An anchor is said to come home when its flukes are not holding in the ground and it drags.
Commander - The naval rank next below that of Captain.
Commission - (1) The documents by which naval officers hold their status as accredited officers in the navy they serve. (2) To place a vessel into active service. Decommission is to remove such a vessel from activity.
Commodore - (1) An intermediate rank between Captain and Rear Admiral, often held by a senior captain when given extra responsibility. (2) The leader of a yacht club.
Companion Way - The area leading down from the deck to the cabin, usually with steps (ladder)
Company - The whole crew of a ship.
Compartments - The spaces between the transverse bulkheads of a ship.
Compass - Navigation instrument, either magnetic, containing a magnetized card indicating the direction to magnetic north (showing magnetic north) or gyro (showing true north).
Compass Card - A card labeling the 360� of the circle and the named directions such as north, south, east and west. Part of a compass, the circular card is graduated in degrees. It is attached to the compass needles and conforms with the magnet meridian-referenced direction system inscribed with direction. The vessel turns, not the card.
Compass Course - The direction of a ship's heading as read on a compass. The compass course has added the magnetic deviation and the magnetic variation to the true course.
Compass Error - The amount the compass is deflected from the true direction by variation (magnetic) and deviation (metallic influences) together
Compass Rose - A circle on a chart, showing all 360�, indicating the direction of geographic north and sometimes also magnetic north.
Complement - The number of officers and crew employed upon a vessel for its safe navigation and operation.
Composite Construction - An object made with more than one type of material.
Compression Post - A vertical post, supporting the coach roof or deck, between a deck-stepped mast and (usually) the keel.
Con - Station, usually on the bridge, from which a ship is controlled; the act of so controlling.
Container Ship - A ship constructed in such a way that she can easily stack containers near and on top of each other as well as on deck. The hull is divided into cells that are easily accessible through large hatches, and more containers can be loaded on deck atop the closed hatches.
Continental Shelf - A region of relatively shallow water surrounding a land mass where the depth increases gradually before it plunges into the deeps of the ocean.
Contline - The spiral grooves between the strands of rope after it has been laid up.
Contraband - Goods which have been prohibited from entering a belligerent state by the declaration of a blockade.
Convoy - One or more merchant ships sailing in company to the same destination under the protection of naval ships.
Co-ordinates - The definition of the exact position on the surface of the globe in relation to two lines, latitude and longitude, which intersect at right angles.
Copper Sheathing - Thin sheets of copper applied to the hull of a wooden ship below the waterline to prevent the toredo worm eating the planks, and also to limit the growth of weed, barnacles or other marine life.
Cordage - Any rope or line.
Corinthian - A 19th century term for a yachtsman who sails his own yacht without the help of a professional skipper.
Corsair - A private ship operating under license from a government against the merchant shipping of an enemy.
Cotter Pin - A small double-pronged bendable pin used to secure a clevis pin or to keep turnbuckles from unwinding.
Counter - The overhang of the stern aft of the stern post. At the stern of the boat, that portion of the hull emerging from below the water, and extending to the transom.
Counter Current - That part of the water which is diverted from the main stream of a current and as a result flows in the opposite direction.
Course - (1) The prescribed compass direction in which a vessel is being steered (2) The lowest yard on a mast (square-rigged vessels). (3) The large square sail that hangs from that yard (4) The sequence of marks rounded in a race
Course Protractor - An instrument with a movable arm to plot a course on a chart
Courtesy Flag - A smaller version of the flag of the country being visited. It is flown from the starboard spreader.
Cove - (1) A small coastal inlet generally protected from the worst of the prevailing winds. (2) A thin, hollowed line cut along a yacht's sheer below deck level and traditionally gilded.
Cover - In sailboat racing, to have a controlling position over competitors by staying between them and the next mark or buoy - a tactical maneuver in which the lead boat stays between the trailing boat and the wind or the next mark.
Cow-Hitch - Any bend or hitch which slips as a result of being improperly tied; an improvised knot which is not a recognized maritime knot as used at sea.
Cowls - Scoop like devices used to direct air into and ventilate a boat.
Coxswain, Cockswain - The helmsman.
CQD - The original distress call made by a ship requiring assistance, giving way to SOS. It stood for CQ, the signal for all stations (still used by Amateur Radio Operators, or Hams), and D for distress; it also meant "Come Quickly, Danger"
CQR Anchor - An anchor that is designed to bury itself into the ground by use of its plow shape. Also called a plow anchor.
Crabbing - Going sideways due to a current's set.
Crack On - To carry sail to the full limit of strength of masts, yards, and tackles.
Cradle - A frame that supports a boat when she's hauled out of the water onto shore.
Craft - Vessel or vessels of practically any size or type.
Crank - Said of a vessel with little stability, whether due to design or to stowage of cargo.
Creep - To search for a sunken object by towing a grapnel along bottom.
Crest - The top of a wave.
Crew - Personnel, excluding the Master, who serve on board a vessel (also excludes the passengers on passenger ships). In some cases a differentiation between officers and ratings is made; but officers are "crew" in a legal sense.
Crew List - List prepared by the master of a ship showing the full names, nationality, passport or discharge book number, rank and age of every officer and crew member engaged on board that ship. This serves as one of the essential ship's documents which is always requested to be presented and handed over to the customs and immigration authorities when they board the vessel on arrival.
Cribbing - Timbers used to support bottom of ship while it is under construction.
Crimp - Person who decoys a seaman from his ship and gains money by robbing and, or, forcing him on board another vessel in want of men.
Cringle - A large reinforced eye in the leech and clew of a sail that allows a line to fasten to it; e.g., the reef cringle and clew cringle.
Cross Bearing - Two or more bearings are noted on the chart in order to determine the ship's position at the intersection of the two
Cross Bracing - Iron or steel straps fastened diagonally across a ship's frames to make a rigid framework.
Cross-Jack Yard - The lower yard on a mizzen mast of a square-rigged ship.
Cross Sea - A sea running in a direction contrary to the wind, which can be confused and dangerous.
Crossing the Line - A ceremony performed on board ships when passengers or crew are crossing the equator for the first time during a voyage.
Crosstrees - Small horizontal spars extending athwartships from one or more places along the mast. The shrouds cross the end of these "spreaders", enabling the shrouds to better support the mast.
Crown - A knot formed by taking the strands of the end of a line and tucking them over and under each other to prevent them from unraveling.
Crow's Nest - A platform and protective coaming setting high up on a mast, to accommodate the look-out aloft while the ship is at sea.
Cruise - Voyage made in varying directions. To sail in various directions for pleasure, in search, or for exercise.
Cuddy - A small sheltered cabin on a boat.
Culage - Laying up of a vessel, in a dock, for repairs.
Cunningham - A line used to control the tension along a sail's luff in order to maintain proper sail shape.
Current - Horizontal movement of the water caused by tidal change, wind, river movement, or circular currents caused by the motion of the earth.
Customary Dispatch - Usual and accustomed speed.
Customs - Government officials responsible for regulating goods, services and supplies into a country.
Customs Manifest - Document listing all personal goods of crew members.
Cut - The shape or design of a sail.
Cut of His Jib - The recognition of a person by his recognizable characteristics (originally, the shape of the nose)
Cut Splice - Two lines spliced together to form an eye.
Cutlass - A short, curved sword associated with naval hand-to-hand combat. *
Cutlass Bearing - The bearing surrounding the propeller shaft where it exits the hull.
Cutter - A single masted sailboat similar to a sloop except sails are arranged so that many combinations of areas may be obtained. A sail plan with two headsails, a main jib and a smaller staysail set between the jib and the mast.
Cutting His Painter - A seaman's personal " painter " is his lifeline, and if it is severed, he dies.
Cutwater - The forward curve of the stem of a ship.
D [ Delta ] - [ meaning ]
Dacron - A synthetic polyester material.
Daggerboard - Similar to a centerboard, except that it is raised and lowered vertically in a trunk rather than pivoted. Like a keel, daggerboards are used to reduce leeway by preventing a sailboat being pushed sideways by the wind.
Danforth Anchor - A brand of lightweight anchor. It has pivoting flukes that dig into the ground as tension is placed on the anchor.
Davit(s) - A small crane that projects over the side of the boat to raise or lower objects (such as smaller boats) from or to the water.
Davy Jones - Nautical slang for the spirit of the sea, usually in the form of a sea devil. Davy Jones's Locker is the bottom of the sea, the final resting place of sunken ships, articles lost or thrown overboard, and of men buried at sea.
Daybeacon - A fixed navigation aid structure, visible during the day, used in shallow waters upon which is placed one or more daymarks.
Daymark - A signboard attached to a daybeacon to convey navigational information presenting one of several standard shapes (square, triangle, rectangle) and colors (red, green, orange, yellow, or black). �Daymarks usually have reflective material indicating the shape.
Daysailor - A small boat intended to be used only for short sails or racing.
Dayshape - Black diamond, ball, and cone shapes hoisted on vessels during the day to indicate restricted movement, ability, or type. For example three balls means aground.
Dead Ahead - A position directly in front of the vessel.
Dead Astern - A position directly aft or behind the vessel.
Dead on End - Said of wind when exactly ahead; and of another vessel when her fore and aft line coincides with observer's line of sight.
Dead Horse - Seaman's term for the period of work on board ship for which he has been paid in advance when signing on.
Dead Marine - An empty wine bottle after its contents have been drunk.
Dead Reckoning - The process of plotting a theoretical position or future position based on advancing from a known position using speed, time, and course, without aid of objects on land, of sights, etc. Term comes from deduced reckoning, abbreviated first to "ded reckoning".
Deadeyes - Circular blocks in the shrouds or stays to adjust tension.
Deadfreight - Space booked by shipper or charterer on a vessel but not used
Deadhead - (1) A floating log. (2) A useless member of the crew, a person skylarking . *
Deadlight - Fixed ports that do not open which are placed in the deck or cabin to admit light.
Deadrise - The measurement of the angle between the bottom of a boat and its widest beam. A vessel with a 0� deadrise has a flat bottom, high numbers indicate deep V shaped hulls.
Deadweight - A common measure of ship carrying capacity. The number of tons (2240 lbs.) of cargo, stores and bunkers that a vessel can transport. It is the difference between the number of tons of water a vessel displaces "light" and the number of tons it displaces "when submerged to the 'deep load line'." A vessel's cargo capacity is less than its total deadweight tonnage. The difference in weight between a vessel when it is fully loaded and when it is empty (in general transportation terms, the net) measured by the water it displaces. This is the most common, and useful, measurement for shipping as it measures cargo capacity.
Deadwood - Heavy longitudinal timbers fastened over the keelson. The timbers of the bow and stern are fastened to the deadwood.
Deck - A permanent covering over a compartment, hull or any part of a ship serving as a floor.
Deck Beam - A beam which supports a deck.
Deck Gang - The officers and seamen comprising the deck department aboard ship. Also called deck crew, deck department, or just deck.
Deck Girders - Continuous longitudinals fastened under the deck.
Deck House - A small house erected upon the deck of a ship for any purpose. A low building or superstructure, such as a cabin, constructed on the top deck of a ship.
Deck Log - Also called Captain's Log. A full nautical record of a ship's voyage, written up at the end of each watch by the deck officer on watch. The principal entries are: courses steered, distance run, compass variations, sea and weather conditions, ship's position, principal headlands passed, names of lookouts, and any unusual happenings such as fire, collision, etc.
Deck Officer - As distinguished from engineer officer, refers to all officers who assist the master in navigating the vessel when at sea, and supervise the handling of cargo when in port.
Deck Plate - A metal plate fitting on the deck that can be opened to take on fuel or water
Deck Prism - A prism inserted into the deck which provides light down below.
Deck Stepped - A mast that is stepped (placed) on the deck of a boat rather than through the boat and keel stepped. The mast of a deck stepped boat is usually easier to raise and lower and are usually intended for lighter conditions than keel stepped boats.
Deckhand - Seaman who works on the deck of a ship and remains in the wheelhouse attending to the orders of the duty officers during navigation and maneuvering. He also comes under the direct orders of the bosun.
Deckhead - The underside of the deck, viewed from below the ceiling.
Declination - The angular distance North or South of the equator, measured from the center of the earth. It thus corresponds to latitude on the earths surface.
Deep V - Refers to the shape of a boat's (usually power boat) hull. A deep V hull is usually good at cutting through rough waves at high speeds.
Deep Waterline - The line to which a vessel is submerged with a full cargo on board.
Departure - (1) The last position on a chart, when a ship is leaving the land. (2) The number of nautical miles that one place is eastwards or westwards of another.
Depression - An area of low barometric pressure. The wind circulates clockwise in the Southern Hemisphere and counter-clockwise in the Northern Hemisphere. Generally these are bad weather systems.
Depth Sounder - An instrument that uses sound waves to measure the distance to the bottom.
Derelict - Any abandoned vessel.
Derrick - A hoisting apparatus consisting of a block and tackle rigged at the end of a beam.
Design Waterline (DWL) - Also length waterline or load waterline (LWL) - This is the length of the boat where it meets the water when loaded to its designed capacity.
Deviation - (1) Differences between the compass reading and an actual magnetic direction caused by magnetic forces in the vicinity of the compass, which are usually the result of masses of metal, speaker magnets, etc. (2) Vessel departure from specified voyage course.
Deviation Card - A listing of a particular boat's steering deviation on each point of the compass
Devil - Caulker's name for the seam in the upper deck planking next to a ship's waterways. There was very little space to get at this seam, making it a difficult and awkward job. This is the origin of the expression "Between the devil and the deep blue sea, since there is only the thickness of the ship's hull planking between this seam and the sea. also known as the garboard seam.
Devil to Pay - Old seafaring term meaning something very difficult or awkward. see Devil
Dewatering - In controlling damage, to pump out a compartment. 1
Dewpoint - Temperature at which moist air becomes saturated
Dingbat - Slang term for a small swab made of rope and used for drying decks.
Dinghy - A small open boat often used as tender and lifeboat for a larger craft; a small open boat, usually carried aboard a yacht for going ashore
Dink - Nickname for a dinghy
Dirk - A small naval sword worn by midshipmen or their equivalents when in full dress uniform.
Disabled Ship - When a ship is unable to sail efficiently or in a seaworthy state as a result of engine trouble, lack of officers or crew, damage to the hull or ship's gear.
Discharges - An essential document for officers and seamen as it serves as an official certificate confirming sea experience in the employment for which he was engaged.
Disembark, Debark - Leave the vessel.
Dismast - The loss of a mast on a boat.
Displacement - The weight of a floating boat measured as the weight of the amount of water it displaces. A boat displaces an amount of water equal to the weight of the boat, so the boat's displacement and weight are identical.
Displacement Hull - A type of hull that plows through the water, displacing a weight of water equal to its own weight, even when more power is added.
Displacement Speed - The theoretical speed that a boat can travel without planing, based on the shape of its hull This speed is 1.34 times the length of a boat at its waterline. Also known as hull speed.
Distance Made Good - The distance traveled after correction for current, leeway and other errors that may not have been included in the original distance measurement.
Distress Signals - Any signal that is used to indicate that a vessel is in distress and needs help. Flares, smoke, audible alarms, EPIRB, electronic beacons and others are all types of distress signals.
Ditty Bag - A small bag for carrying or stowing all personal articles.
Ditty Box - A small wooden box, with lock and key, in which seamen keep sentimental valuables, stationery, and sundry small stores.
Diurnal - Daily; occurring once a day.
Dividers - A navigational tool used to measure distances on a chart.
Dock - The area a boat rests in when attached to a pier or wharf; also the act of taking the boat to the pier to secure it
Dodger - Screen of cloth or other material to give the crew protection against the weather, wind and water spray.
Dog - Heavy latch by which doors, hatches, portholes, etc., are secured; verb - to latch
Dog Watch - see Watch
Dog's Breakfast - An old salt I know uses this term in reference to a "tangled mess of lines".
Doghouse - The short deckhouse or main hatchway which is raised above the level of the cabin top or coachroof.
Doldrums - The area of calm which lies inside the trade winds near the equator.
Dolphin - A mooring buoy or spar. A group of piles driven close together and bound with wire cables into a single structure.
Dolphin Striker - A short spar under the cap of the bowsprit used for holding down a jib boom.
Donkey Boiler - A steam boiler on a ship deck used to supply steam to deck machinery when the main boilers are shut down.
Donkey Engine - An auxiliary engine used for furnishing power for a variety of small mechanical chores.
Donkey House - The structure on deck where the donkey engine is located.
Donkey's Breakfast - Merchant seaman's name for his bed or mattress.
Donkeyman - Crew who tends a donkey boiler, or engine, and assists in engine-room.
Door - A passage through a bulkhead or other vertical divider of spaces. Doors can be closed, sometimes with a watertight seal, to prevent progressive flooding.
*
Dorade - A horn type of vent designed to let air into a cabin and keep water out.
Dory - A hard-chined dinghy with flared sides, considered a useful weight-carrying work boat.
Double Bottom - General term for all watertight spaces contained between the outside bottom plating, the tank top and the margin plate. The double bottoms are sub-divided into a number of separate tanks which may contain boiler feed water, drinking water, fuel oil, ballast, etc.
Double Clews- An old term for getting married.
Double Ender - Any Boat Designed with a pointed bow and stern.
Doubler Plate - An extra plate of the same strength or stronger than the original plating secured to the original plating for additional strength.
Doubling - Name given to that portion of the mast of a large sailing vessel where an upper mast overlaps the lower mast, as a topmast with the lower mast.
Douse - To take down a sail quickly; the entire action of getting a sail out of the wind and furling it.
Downhaul - (1) Line attached to the bottom of the boom used to flatten the sail by pulling the boom down, and thus tightening the luff of the sail. (2) A line used for hauling down a jib or staysail.
Downwind - In the direction the wind is blowing. A boat sailing downwind, away from the wind source with the sails let out all the way, is running with the wind.
E [ Echo ] - [ meaning ]
Earing - A small line used to fasten the upper corners of a square sail to its yard.
Ease, Ease Off - To let out a line or sail slowly; to slacken or relieve tension on a line; to take pressure off.
Ease the Sheets - To let the sheet out slowly while maintaining control.
East - One of the 4 cardinal compass points. East is at 90� on a compass card.
East Wind, Easterly Wind - A wind coming from the east.
Ebb, Ebb Tide - The falling tide when the water recedes out to the sea and the water level lowers; a period or state of decline.
Echo Sounder - An electrical depth sounder or fish finder that uses sound echoes to locate the depth of objects in water. It does so by timing the sound pulses.
Eddy - A small local current usually caused by tidal streams as they ebb and flow around or against obstructions.
Embargo - A temporary injunction against ships or cargo to prevent their arrival or departure in time of war.
Embarkation/Embark - To go aboard the vessel; to put onboard a vessel.
Emergency Tiller - A tiller that is designed to be used in the event that wheel steering fails.
Engine Bed - A structure of wooden or metal supports that make up the mounting for a ship's engine.
Engine Order Telegraph - A set of mechanical signaling devices, connected by cables, by which engine commands are passed from the pilot house to the engine room and by which the engine room responds. 1
Engine Room - Where the engines of a ship are confined.
Ensign - (1) A nautical version of the national flag of the country usually flown at the stern. (2) Adopted by the United States Navy in 1862, the rank of a young officer equivalent to that of midshipman
Entry - The shape of the fore-body of a ship as it thrusts through the sea. A vessel with a slim bow is said to have a fine entry.
EPIRB - Emergency Position Indicating Radio Beacon. An emergency device that uses a radio signal to alert satellites or passing airplanes to a vessel's position.
Equator - An imaginary line around the center of the earth at 0� of latitude.
Equinoctial - The great circle on the celestial sphere in the plane of the earth's equator; also called the celestial equator. The sun is on the equinoctial twice a year, on the equinoxes, March 21 and September 23. On these days the sun rises at 6 a.m. and sets at 6 p.m. (local time) at every place on earth.
Estimated Position - A position based on estimations of a boat's position using estimated speed, currents, and the last known position/fix - of the boat.
ETA - Estimated time of arrival
ETD - Estimated time of departure
Even Keel - When a boat is floating on its designed waterline, upright without any list to either side, it is said to be floating on an even keel.
Eye - A loop or hole which is spliced or tied on the end of a line
Eye of the Wind - Direction from which the wind is blowing; an unsailable sector between close hauled headings.
Eye Splice - [ image ] - A permanent loop spliced in the end of a line, sometimes around a thimble .
Eyebolts - Metal bolts with an eye in the end.
G [ Golf ] - [ meaning ]
Gadget - Any little handy contraption such as a scraper or sailmaker's palm, etc.
Gaff - (1) A spar that holds the upper side of a four sided gaff sail. (2) A pole with a sharp hook at the end used to get a fish on board.
Gaff Rig - Any sailboat with a four-sided mainsail, defined by two booms, one located on the bottom, perpendicular to the mast, and another, located on top, at an angle from the mast.
Gaff Sail - A four sided sail used instead of a triangular main sail. Used on gaff rigged boats.
Gaff Topsail - A light triangular or quadrilateral sail set over a gaff.
Gale - An unusually strong wind. In storm-warning terminology, a wind of 34 to 47 knots (39 to 54 miles per hour or 62-87 kilometers per hour).
Galleon - A development of the carrack , with the high forecastle eliminated.
Gallery - In larger sailing warships, the walk built out from the admiral's or captain's cabin and extending beyond the stern. Often decorated with carved and gilded work, they were also covered and enclosed with elaborate glass windows.
Galley - (1) The kitchen area of a boat. (2) Very old fighting ship propelled by oars.
Galley Pepper - Sailor's term for soot or ashes which sometimes fell into food while it was being cooked.
Galley Slave - A prisoner sold in the slave market. He was forced to serve in the war galleys, where he pulled on one of the oars.
Gallows Frame - A frame used to support the boom when the sail is down.
Galvanizing - The process of coating one metal with another, ordinarily applied to the coating of iron or steel with zinc. The chief purpose of galvanizing is to prevent corrosion.
Gammon Iron - Circular iron band used to hold a bowsprit on the stem of a sailing vessel.
Gangplank - A board with cleats, forming a bridge reaching from a gangway of a vessel to the wharf.
Gangway - A narrow portable platform used as a passage, by persons entering or leaving a vessel moored alongside a pier.
Garboard - The first plank on the outer hull of a wooden vessel next to the keel. In steel ships, the plating next to the keel, or what is known as strake A.
Garnet - On a square-rigged ship, a tackle used for hoisting casks and provisions.
Garters - Slang for the leg irons which were used to secure men under punishment.
Gasket - Ties used to tie up the sails when they are furled to the boom or yards.
Gate Valve - A valve with a faucet type handle used to restrict the flow of water in a line
Gear - A general term for ropes, blocks, tackle, equipment, instruments, riggings, any apparatus used aboard ship; clothing and other personal items taken aboard ship
Gel Coat - The outer resin surface of a fiberglass boat, usually colored.
Gellywatte - Old term for the boat used by the captain to go ashore.
General Quarters - The positions and functions assigned to every member of ship's company to manage emergencies or fight the ship; also, the order spoken to take such positions. 1
Gennaker - A large sail that is a cross between a spinnaker and a genoa. Hoisted without a pole, the tack is attached at the bottom of the headstay.
Genoa - A large foresail or jib that overlaps the mainsail. Also known as a genny. Can be expressed in percentages of overlap, e.g. 150 Genoa is 50% overlap of the mainsail.
Get Spliced - Slang for getting married. A splice joins two lines together permanently.
Ghosting - To make headway when there is no apparent wind.
Gimbals - A system by which an object such as a compass is suspended so that it remains horizontal as the boat heels.
Gingerbread - Gilded carving and scroll work decorating the hulls of ships.
Gird - To haul in or bind something together in order to create more space.
Girdle - Additional thickness of planking on a wooden ship about her waterline to give the vessel more stability.
Girth - The measurement around the body of a ship. The half girth is taken from the center line of the keel to the upper deck beam end.
Give-Way Vessel - A term, from the Navigational Rules, used to describe the vessel which must yield to the "Stand-on Vessel" in meeting, crossing, or overtaking situations. also known as the Burdened Vessel
Glass - In the days of tall ships the barometer was a glass vessel with a thin stem. The fluid in the glass (in most cases water) would move up and down the stem as the pressure of the surrounding atmosphere changed. These movements were used to predict changes in the weather. also the seaman's name for a telescope.
Global Positioning System (GPS) - A navigation system using satellite signals to fix a position with great accuracy.
Glory Hole - Any small enclosed space in which unwanted items are stowed when clearing up decks.
GMT - See Greenwich Mean Time.
Go About - To turn the boat head-to-wind so as to go about on the opposite tack
Go Adrift - To break loose from a mooring, anchor or docking.
Gob Line - A length of rope used in a tug to bowse in the towrope. Gog rope.
Going to Weather - To sail against the prevailing wind and seas.
Gondola - A small boat, highly ornamented, with a high rising stem and sternpost. Used on the canals of Venice, it is propelled by a man standing near the stern using a single oar
Gone Aloft - Sailor's phrase for a seaman who has died.
Gooseneck - The fitting which connects the boom to the mast.
Goose-Wings - Indicates the jib or staysail being boomed out on the opposite side of the mainsail in a following wind, giving a large amount of sail area presented to the wind. see Wing and Wing . The term originates, however, from square riggers, and means to haul the
(weather) tack of a square sail forward, to encourage it to fill when the vessel is hauled so closely on the wind as to begin to backfill the sail.
GPS - See Global Positioning System.
Grabrail - A pillar or handhold on a boat - Hand-hold fittings mounted on cabin tops and sides for personal safety when moving around the boat.
Grapnel, Grapple - A small multi-pronged anchor used on dinghies and small boats. Also used to drag along the bottom to recover something that has sunk.
Grave, to - see Bream
Great Circle - The largest circle which can be inscribed on a sphere by a plane that cuts through the center of the sphere. On the earth, the equator is a great circle, as are all the meridians of longitude which pass through both poles. The shortest distance between two points on the earth's surface lies along the great circle which connects the two points.
Green Buoy/Can - A can buoy. A cylindrical buoy painted green and having an odd number used in the United States as a navigational aid. At night they may have a green light. Green buoys should be kept on the left side when returning from a larger body of water to a smaller one.
Green Daymark - A navigational aid used in the United States and Canada to mark a channel. Green triangular daymarks should be kept on the left when returning from a larger to smaller body of water.
Greenwich Mean Time - GMT for short. Greenwich Meridian Time, also known as Universal Time or Zulu time. A time standard that is not affected by time zones or seasons. It is the time used by navigators in celestial navigation.
Gripe - The tendency of a sailing vessel to head up into the wind when sailing close hauled. Can be caused by the vessel's overall trim, an ill-balanced hull or rig, or by her overall design.
Gripes - Small lines or bands used to hold down and secure boats on deck while at sea.
Grog - Rum diluted with water. In the 1700s the daily ration of rum in the British Navy was diluted with water with the idea of reducing drunkenness. The term groggy was derived from the effects of drinking too much grog.
Grommet - A ring or eyelet normally used to attach a line, such as on a sail.
Gross Tonnage - A common measurement of the internal volume of a ship with certain spaces excluded. One ton equals 100 cubic feet; the total of all the enclosed spaces within a ship expressed in tons each of which is equivalent to 100 cubic feet.
Ground - To touch bottom.
Ground Swells - Long wave formations during calm or light air formed by waves running into shoaling water
Ground Tackle - A collective term for the anchor, anchor rode (line or chain), and all the shackles and other gear used for attachment.
Growler - Small iceberg that has broken away from a larger iceberg.
GRP - Glass Reinforced Polyester. Commonly called fiberglass, a material used for boat construction.
Guardrail - The upper deck rail along both sides of a vessel to prevent anyone on board from falling overboard.
Gudgeon - A ring-shaped fitting into which the rudder pintle is inserted which allows the rudder to pivot.
Gunkholing - Cruising in shallow water and spending the nights in coves.
Gunnels - See Gunwhale
Gunter Rig - Development of the lugsail rig where the sail is cut with a very short luff and lon leech.
Gunwale - The upper edge of a boat's side; the part of a vessel where hull and deck meet. (Pronounced "gunnel")
Gusset - A brace, usually triangular, for reinforcing a corner or angle in the framework of a structure.
Guy - A supporting or steadying line or wire; a line used to control the end of a spar. A spinnaker pole, for example, has one end attached to the mast, while the free end is moved back and forth with a guy.
Gybe - (Jibe) Turning the boat so that the stern crosses the wind, changing direction. To change direction before the wind onto another tack with the boom coming over by the force of the wind. Caution is needed in this maneuver, especially in heavy wind.
Gypsy - A windlass or capstan drum.
Gyres - A large circular ocean current.
H [ Hotel ] - [ meaning ]
H-Beams - Steel beams with cross section like the letter "H."
Hague Rules - Code of minimum conditions for the carriage of cargo under a bill of lading.
Hail - To attempt to contact another boat or shore, either by voice or radio.
Half Hitch - A single turn of line around an object with the end being led back through the bight. It's the basis upon which many nautical knots are constructed.
Half Seas Over - (1) The condition of a vessel stranded on a reef or a rock when the seas break over her deck. (2) Half drunk; incapacitated by drink.
Halyard - A line used to hoist or lower a sail, flag or spar. The tightness of the halyard can affect sail shape.
Hand - A member of the ship's crew.
Hand Bearing Compass - A small portable compass.
Hand Lead - A weight attached to a line used to determine depth by lowering it into the water.
Hand Rail - A hand hold. Usually along the cabin top or ladder.
Handsomely - To do something carefully and in the proper manner.
Handy-billy - A movable block and tackle used on board for a variety of purposes, including the handling of cargo in holds.
Hanging Locker - A locker big enough to hang clothes.
Hanks - Rings or piston hooks by which sails are attach to stays, usually spring-loaded; metal hooks used to secure a sail to a stay; to hank on a sail is to hook it on a stay using the hanks
Harbor - A safe anchorage, protected from most storms; may be natural or man-made, with breakwaters and jetties; a place for docking and loading.
Harbor Dues - Various local charges against all seagoing vessels entering a harbor for the use of the harbor and its facilities; these fees are used to cover maintenance of channel depths, buoys, lights, etc. All harbors do not necessarily have this charge.
Harbormaster - The official who is in charge of a harbor, enforcing all its applicable regulations.
Hard Aground - A vessel which has gone aground and is incapable of refloating under her own power.
Hard Alee - The command given to inform the crew that the helm is being turned quickly to leeward, turning the boat windward
Hard Chine - An abrupt intersection between the hull side and the hull bottom of a boat.
Hard Over - Turning the wheel or tiller as far as possible
Harden-up - To sail a boat closer to the wind - to steer closer to the wind, usually by pulling in on the sheets
Hatch - A sliding or hinged opening in the deck, providing people with access to the cabin or space below; an opening in a boat's deck fitted with a watertight cover.
Hatch Covers - Covers for closing up hatchways.
Hatchway - One of the large square openings in the deck of a ship through which freight is hoisted in or out, and access is had to the hold.
Haul - To pull in or heave on a line by hand; to pull.
Haul Around - Change from a run to a reach
Haul Out - Remove a boat from the water.
Hauling Part - The part on the object which is hauled upon.
Hawse - That part of a ship's bow where the hawse holes and hawse pipes are situated.
Hawse Hole - A hole in the hull for mooring lines, cable, or chain to run through.
Hawse Pipe - Pipes made of heavy cast iron or steel through which the anchor chain runs; placed in the ship's bow on each side of the stem, or in some cases also at the stern when a stern anchor is used.
Hawse Plug or Block - A stopper used to prevent water from entering the hawse hole in heavy weather.
Hawser - A heavy line or cable used for towing, mooring or anchoring a large vessel
Hazard - An object that might not allow safe operation. A group of rocks just under the water or a submerged wreck could be a navigational hazard.
Haze - To make life onboard for the crew as uncomfortable as possible, by keeping them at work at all hours, often unnecessarily.
Head - (1) A marine toilet or the compartment containing a toilet. (2) Generally, the top or forward part. (3) The upper corner of a triangular sail. (4) The top portion of a mast.
Head Down - To turn the boat away from the wind. also Fall Off.
Head Sea - A sea which is traveling in the opposite direction to that of the boat
Head to Wind - Where the boat is pointed directly into the wind, sails luffing
Head Up - Change direction so as to point closer to where the wind is coming from. The opposite of falling off.
Headboard - A small wooden, metal or plastic insertion at the head of a mainsail.
Headed - When the wind shifts toward the bow. Opposite of lifted.
Header - (1) A wind shift further forward relative to the boats direction or heading. (2) A bar or angle under a deck the same size as deck beams. It is used around stair openings in deck, small hatch openings, or at dead end of longitudinals.
Headfoil - A grooved metal extrusion fitted on a forestay and used to secure the luff of a sail by holding its bolt rope in place.
Heading - Direction in which ship's bow is pointing at any instant.
Headsail - A sail set forward of the foremast on the headstay; a foresail
Headstay - The stay leading from the mast to the bow
Headway - The forward motion of a boat through the water. Opposite of sternway.
Heave - (1) To throw, as to heave a line ashore. (2) An upward pull on a line; to lift (3) The rise and fall of a vessel in a seaway.
Heave In - To haul in.
Heave Out - Get out of your bunk. "Heave out and trice up ." *
Heave To - To stop a boat and maintain position (with some leeway) by balancing rudder and sail to prevent forward movement, a boat stopped this way is "hove to"; such as when in heavy seas. The idea is to bring the wind onto the weather bow and hold the ship in that position, where she can safely and easily ride out a storm.
Heaves - Upward displacing swells.
Heaving Line - A light line with a weight on the end used for heaving from ship to shore (or ship to ship) when coming alongside. A heavier cable or hawser is attached which can then be hauled over using the heaving line.
Heavy Seas - When the water has large or breaking waves in stormy conditions.
Heavy Weather - Stormy conditions, including rough, high seas and strong winds.
Heel - (1) To lean over to one side, due to wind pressure on the sails or crew on the side; The amount that a boat is tipped over side-to-side, relative to its normal horizontal position. (2) The after end of a ship's keel. (3) The lower end of a mast.
Heeling Error - The error in a compass reading caused by the heel of a boat.
Helm - The apparatus by which a vessel is steered, including the rudder, steering wheel and tiller.
Helmsman - The one who steers the boat.
Hemisphere - Half of a sphere. On the globe hemispheres are used to describe the halves of the earth north or south of the equator.
High Seas - The area of sea not under the sovereignty of nations with a seaboard.
High Tide - The point of a tide when the water is the highest.
Highliner - The best of its type of fishing boat. Word originates from a time when the crew used to fish from the deck of a vessel. The best fisherman got the highest place on deck, up in the bow, so his line was the highest above the sea.
Hike - Leaning out over the side of the boat to to counteract heel and balance it.
Hiking Stick - An extension to the tiller allowing the helmsman to steer while hiking. This may be desired for improved visibility or stability.
Hiking Straps - Straps to hook your feet under in cockpit when hiking out.
Hitch - (1) A knot used to secure a line to another object such as a ring or cylindrical object or to another line; (2) Common term for an enlistment.
H.M.S. - The prefix placed before the name of a warship of the British Navy to indicate that she is Her (His) Majesty's ship.
Hobby Horsing - The alternate rise and fall of the bow of a vessel proceeding through waves.
Hogged - A vessel whose bow and stern have drooped. The opposite of sagged .
Hoist - To lift or raise, such as a sail or a flag.
Hold - A general name for the spaces below the main deck designated for stowage of general cargo.
Hold Fast - A dog or brace to hold objects rigidly in place.
Holding Ground - The type of bottom that the anchor is set in.
Holding Tank - A storage tank where sewage is stored until it can be removed to a treatment facility.
Holiday - A gap unintentionally left uncovered while painting or varnishing.
Holystone - Sailor's name for a block of sandstone used for scrubbing the wooden decks of a ship; seamen had to get down on their knees to use them. Large holystones were known as "Bibles", while smaller blocks to reach awkward places were known as "Prayer Books"
Hook - Slang for anchor
Hoop - On gaff-rigged sailing vessels the luff of the mainsail is secured to the mast by wooden hoops, which slide up or down the mast as the sail is raised or lowered.
Hoosegow - Jail
Horizon - Where the water and sky or ground and sky appear to intersect.
Horn Timber - A heavy longitudinal timber that angles upward from the stern to support the underside of the fantail.
Horns - (1) The points of the jaws of a boom or gaff where they embrace the mast. (2) The outer ends of the crosstrees.
Horse Latitudes - Areas of the ocean lying between the mostly westerly winds of the higher latitudes, and the trade winds. These areas usually have prolonged calms, and in the older days of sail it could take quite a while to clear out of this area, by which time the seamen had worked off their " dead horses "
Horse Marine - An unhandy seaman.
Horseshoe Buoy - A floatation device shaped like a U and thrown to people in the water in emergencies.
Hounds - Wooden shoulders attached below the masthead to either side of a wooden mast which originally supported the trestle trees .
Hove To - Lying nearly head to wind and stopped, and maintaining this position by trimming sail or working engines.
Hoveller - Person who assists in saving life or property from a vessel wrecked near the coast. Often applied to a small boat that lies in narrow waters ready to wait on a vessel, if required.
Hovercraft - A vessel used for the transportation of passengers and cargo riding on a cushion of air formed under it. It is very maneuverable and is also amphibious.
Hull - The main structural body or shell of the boat, not including the deck, keel, mast, or cabin.
Hull Down - Said of a distant ship when her hull is below horizon and her masts and upper works are visible.
Hull Speed - The maximum speed a hull can achieve without planing - the fastest a keelboat will go, usually dependent on length of the hull at the waterline
Hulling - (1) Floating, but at mercy of wind and sea. (2) Piercing the hull with a projectile. (3) Taking in sail during a calm.
Hurricane - A strong tropical revolving storm of force 12 or higher. In the northern hemisphere hurricanes revolve in a clockwise direction. In the southern hemisphere these storms revolve counterclockwise and are known as typhoons.
Hydrofoil - A craft more or less similar to the Hovercraft insofar as it flies over water and thus eliminates friction between the water and the hull. Under acceleration it rises above water but remains in contact with the surface through supporting legs or foils.
Hydrography - The study of the earth's waters.
Hydrowire - Steel wire, used to support over-the-side sampling apparatus
Hypothermia - A life-threatening condition where there is loss of body heat; the greatest danger for anyone in the water. As the body loses its heat, body functions slow down, and this can quickly lead to death.
I [ India ] - [ meaning ]
I-Beams - Steel beams with cross section like the letter "I."
Iceberg - A floating island of ice. Only one-ninth of the total mass of an iceberg is visible above water level.
ICW - See Intracoastal Waterway.
Idler - Member of a crew who works all day but does not keep the normal watches.
In Irons - A sailboat with its bow pointed directly into the wind, preventing the sails from filling properly and stopping the boat. It can be very difficult to get a boat that is in irons back under sail. also known as "In Stays".
In Soundings - A vessel is in soundings when she is in sufficiently shallow water for soundings to be made and used as an aid in the vessel's navigation.
Inboard - (1) Toward the center of the boat. (2) An engine that is mounted inside the boat.
Inches of Mercury - A unit used when measuring atmospheric pressure. 33.86 millibars.
Indiaman - Any of the large sailing ships engaged in the British trade with India from roughly 1600 to 1880.
Indulgence Passenger - Person given a passage in one of H.M. ships; usually on compassionate grounds.
Inflatable - A dinghy or raft that can be inflated for use or deflated for easy stowage.
Inland Rules - Navigation rules governing waters inside designated demarcation zones
Inland Waters - Term referring to lakes, streams, rivers, canals, waterways, inlets, bays, etc.
Inshore - Near or toward the shore
Inspection Port - A watertight covering, usually small, that may be removed so the interior of the hull can be inspected or water removed.
International Code of Signals - A set of radio, sound, and visual signals designed to aid in communications between vessels without language problems. It can be used with Morse Code, with signal pennants, and by spoken code letters.
International Date Line - The line of longitude 180 degrees opposite Greenwich, England, located in the Pacific that marks the date change
International Rules - Navigation rules governing waters outside designated demarcation zones
International Waterways - Consist of international straits, inland and interocean canals and rivers where they separate the territories of two or more nations.
Intracoastal - Domestic shipping routes along a single coast.
Intracoastal Waterway - A system of rivers and canals along the Atlantic and Gulf Coasts of the United States allowing boats to travel along them without having to go offshore.
Inverter - Electrical power converter; converts square-wave DC current to sine-wave AC current
Irish Hurricane - Old sailor's term for a flat calm with no wind.
Irish Pennants - Loose ends of line left hanging over a ship's side.
Iron Genny - Auxiliary engine
Isinglass - The clear, soft plastic material used for dodger window panels
Isobars - Lines drawn on a weather map indicating regions of equal pressure. When the lines are close together, this indicates a rapid change in air pressure, accompanied by strong winds.
Isobath - Line on a chart linking points of equal depth. also known as a Depth Contour.
Isogonic Lines - A line connecting points of equal magnetic variation on a map.
Itinerary - A schedule of all ports to be visited on a ship's cruise, with dates of arrival and departure and the local agents' names and addresses
J [ Juliet ] - [ meaning ]
Jack - The national flag flown on a jackstaff on the bow of naval ships while anchored.
Jack Lines - Safety lines, usually of flat webbing, that run along the deck between bow and stern used to attach a tether from a safety harness.
Jack Nastyface - Nickname for an unpopular seaman.
Jack Tar - Nickname for a British naval seaman.
Jack With a Lantern - Used by some seamen to describe St. Elmo's Fire .
K [ Kilo ] - [ meaning ]
Kayak - Eskimo word for a light, covered-in canoe type boat.
Keckling - Winding small rope around a cable or hawser to prevent damage by chafing. The rope with which a cable is keckled.
Kedge - (1) A small auxiliary anchor. (2) To kedge is to move a vessel (e.g., a grounded boat) by setting out an anchor and pulling the boat toward it by taking up on the anchor rode
Keel - [ image ] (1) The backbone of a vessel, running fore and aft along the center line of the bottom of the hull; the timber at the very bottom of the hull to which frames are attached. (2) A flat surface built into the bottom of the boat to prevent or reduce the leeway caused by the wind pushing against the side of the boat. A keel also usually has some ballast to help keep the boat upright and prevent it from heeling too much. There are several types of keels, such as fin keels and full keels.
Keel Blocks - Blocks on which the keel of a vessel rests when being built, or when she is in dry dock.
Keel Stepped - A mast that is stepped (placed) on the keel at the bottom of the boat rather than on the deck. Keel stepped masts are considered sturdier than deck stepped masts.
Keelhauling - A severe naval punishment for serious offenses in which the victim was hauled from one yardarm to the other under the keel of the ship. The victim rarely survived; he would either be cut to ribbons by the shellfish on the ship's bottom or drown.
Keelson - A beam attached to the top of the floors to add strength to the keel on a wooden boat.
Keep Her Full - To keep the sails full and drawing
Kelter - Good order and readiness.
Kenning - Sixteenth-century term for a sea distance at which high land could be observed from a ship. Varied between 14 and 22 miles according to average atmospheric conditions in a given area.
Kentledge - Permanent pip iron ballast specially shaped and placed along each side of keelson. Name is sometimes given to any iron ballast.
Ketch - A sailboat with two masts. Generally, the shorter mizzen mast is aft of the main mast, but forward of the rudder post, while a similar vessel, the yawl, has the mizzen mast aft of the rudder post. The mizzen mast of a ketch is larger than that of a yawl.
Killick - Nautical name for an anchor. Originally, was a stone used as an anchor.
King Plank - The center plank on a wooden deck.
King Post - A vertical post usually employed as a support - Also called a Sampson post
King Spoke - The top spoke (usually marked) on the steering wheel when the rudder is centered.
Kippage - Former name for the equipment of a vessel, and included the personnel.
Kite - A light sail, such as a spinnaker, used to make the most of light following winds.
Knee - An angle or channel from deck beam to shell frame taking the place of a bracket.
Knees - Supporting braces made into a right angle, used for strength when two parts are joined.
Knock - A wind shift that forces a boat to sail below its mean wind course.
Knockabout - A type of schooner without a bowsprit.
Knockdown - A boat that has rolled so that she is lying on her side or even rolled completely over (can be caused by a sudden gust or squall). A boat with appropriate ballast should right herself after being knocked down.
Knot - (1) A speed of one nautical mile (6,076 feet or or 1,852 meters) per hour. It is incorrect to say knots per hour. (2) A method of attaching a rope or line to itself, another line or a fitting.
Kraken - Enormous sea monster supposed to have been seen off coasts of America and Norway. Sometimes mistaken for an island.
L [ Lima ] - [ meaning ]
Labor, to - Description of a vessel when she rolls or pitches excessively while underway in heavy seas.
Lacing - A length of line or thin rope; A line used to attach a sail to a spar.
Ladder - Stairway of inclined or vertical steps on board ship.
Lading - That which is loaded into a ship. The act of loading.
Lagan - Jettisoned goods that cast overboard and are buoyed for subsequent recovery.
Lagoon - An area of water totally or partially enclosed by coral islands, atolls, and reefs.
Laid Up - A boat in a dry dock.
Land Breeze - A wind moving from the land to the water due to temperature changes in the evening, where the temperature of the land falls below the sea temperature.
Landfall - Arrival at land
M [ Mike ] - [ meaning ]
Magnetic Bearing - The bearing of an object after magnetic variation has been considered, but without compensation for magnetic deviation.
Magnetic Course - The course of a vessel after magnetic variation has been considered, but without compensation for magnetic deviation.
Magnetic Deviation - Compass error. The difference between the reading of a compass and the actual magnetic course or bearing due to errors in the compass reading. These errors can be caused by metals, magnetic fields and electrical fields near the compass. The act of checking for magnetic deviation is called swinging.
Magnetic North - The direction to which a compass points. Magnetic north differs from true north because the magnetic fields of the planet are not exactly in line with the north and south poles. Observed differences between magnetic and true north is known as magnetic variation.
Magnetic Variation - The difference between magnetic north and true north, measured as an angle. Magnetic variation is different in different geographic locations, so the nearest compass rose to each location on a chart must be used.
Main Beam - Transverse structural member supporting the deck and, in most modern sailboats, the deck-stepped mast; also the designated location of the ship's Official Number and (in some instances) Tonnage (affixed to or cut into the beam)
Main Deck - The uppermost complete deck.
Main Mast - The tallest mast; the forward mast of a yawl or ketch; the mast furthest aft on a schooner
Main Topsail - A topsail on the main mast.
Mainsail - The principal sail that is set on the main mast.
Mainsheet - The line that controls the angle of the mainsail in its relation to the wind.
Make Fast - To attach a line to something so that it will not move.
Make Way - Moving through the water.
Man the Yards - On square-rigged ships, a form of ceremonial salute to honor the visit of a high official. The yards were lined by men standing upon them, and there was also a man standing on the truck of each topgallant mast.
Manhole - A hole in a tank, boiler or compartment on a ship, designed to allow the passage of a man for examination, cleaning, and repairs.
Manifest - A document containing the ship's name and port of registry, a full list of the ship's crew, passengers, full details of her cargo, and other relevant information.
Manila - Before the introduction of man-made fibers, much of the rope used at sea was made from manila. Made from the fibers of banana plants in the Philippines, manila did not rot when it was exposed to seawater.
Marconi Rig - The most common type of sail used today, a triangle-shaped mainsail defined by the mast and one horizontal boom perpendicular to the mast.
Marina - A place where boats can find fuel, water and other services. Marinas also contain slips where boats can stay for a period of time.
Mariner - In general, a person employed in a sea-going vessel. In some cases, applied to a seaman who works on deck.
Marines - Military persons expert at small arms carried aboard warships to kill enemy officers, gunners, etc., also may be used to enforce the captain's authority. *
Mark - An object used as a reference point while navigating.
Marl - To wrap a small line around another.
Marline - Pronounced "marlin" - small line used for whipping, seizing, and lashing.
Marling Hitch - [ image ] - Used for lashing down sails, awnings, etc., a series of round turns where the end is passed over the standing part and under the bight and pulled taut on each turn.
Marlinspike - Pointed tool used for line work, for opening line strands for splicing, and especially for prying tight knots apart.
Marlinspike Sailor - One who is adept at splicing, knotting, and working with line and canvas.
Maroon - To deliberately put a sailor ashore and leave him there while the ship sails away.
Marry, to - The operation of bringing two lines together; term also applied to other objects.
Marry the Gunner's Daughter - Old Navy nickname for a flogging, particularly when across a gun.
Martingale - On square-rigged ships, the stay which holds the jib-boom down against the pull of the fore topgallant-mast stays.
Mast - The vertical pole or spar that supports the boom and sails. a mast on a mechanically propelled vessel holds electronics antennas, lights, etc.
Mast Boot - A protective cover wrapped around the mast at the deck on a keel stepped boat to prevent water from entering the boat.
Mast Head - The top of the mast
Mast Hoops - Rings around a mast which can slide vertically, attached to the forward edge of a sail, which hold the sail in place. *
Mast Partners - Reinforcements for a mast where it passes through a deck. *
Mast Slot/Groove - The opening up the back (aft) edge of the mast in which the mainsail luff rope slides when it is hoisted. Some masts have an external sail track.
Mast Step - The fitting in the bottom of the boat in which the bottom or heel if the mast sits.
Mast Tangs - Fittings on the mast to which the forestay and shrouds attach.
Mast Track - A track or groove in the back of the mast to which the sail is attached by means of lugs or the bolt rope.
Master - The Captain of a vessel. Highest officer aboard ship. Oversees all ship operations. Keeps ships records. Handles accounting and bookkeeping. Takes command of vessel in inclement weather and in crowded or narrow waters. Handles communications.
Master-At-Arms - The person empowered by the captain to be armed if necessary to maintain order or make arrests. *
Masthead - The top of a mast.
Masthead Light - Also known as a steaming light. The masthead light is a white light that is visible for an arc extending across the forward 225� of the boat. When lit the masthead light indicates that a vessel under power, including sailboats with engines running. Masthead lights are usually located halfway up the mast rather than at the top.
Masthead Rig - A design in which the forestay runs to the top of the mast.
Mate - A deck officer ranking next below that of master. Usually divided into first, second, third, etc. to indicate seniority.
MAYDAY - An internationally recognized distress signal used on a radio to indicate a life threatening situation. Mayday calls have priority over any other radio transmission and should only be used if there is an immediate threat to life or vessel. Mayday comes from the French M'aidez which means help me. For urgent situations that are not immediately life threatening there is the PAN PAN identifier. Less urgent messages such as navigational hazards should send a SECURITE message.
Mean Low Water (MLW) - A figure representing the average low tide of a region.
Mean Lower Low Water (MLLW) - There are two low tides in each tidal cycle (so usually two low tides in each day). These two low tides are not quite the same height because one tide is generated by the gravitational interaction with the sun (which is small), and the other is generated by the gravitational interaction with the moon (which is not so small). Since the two low tides (or water levels) are different levels of low, one is naturally the higher low water (higher low tide) and the other is the lower low water (lower low tide). So Mean Lower Low Water is the average of the lower low water height of each tidal day (ie average of the lowest low tide from each day). The averages are taken over a period called the National Tidal Datum Epoch (a 19-year epoch).
Measured Mile - A course marked by buoys or ranges measuring one nautical mile. Measured miles are used to calibrate logs.
Mediterranean Berth - A method of docking with a boat's stern to the dock.
Meet Her - An order to the helmsman to put on opposite rudder to check the swing of the ship. *
Mercator Projection - Method of producing a chart in which the parallels of latitude and the meridians of longitude intersect each other at right angles.
Merchant Navy - The merchant ships on the official registers of any nation.
Meridian - A semi great circle joining the north and south poles. Known as lines of longitude, they cross the equator and all parallels of latitude at right angles.
Mermaid - A mythical creature, half human and half fish.
Mess - Dining room facilities and kitchen for crew separate from the passenger dining room and kitchen.
Mess Deck - Where meals are eaten
Messenger - A small line used to pull a heavier line or cable. The messenger line is usually easier to throw, lead through holes or otherwise manipulate than the line that it will be used to pull.
Messroom - A dining room on a ship.
Meteorology - The study of weather patterns in order to predict changes in the weather.
Midchannel Buoy - A red and white vertically striped buoy used in the United States to mark the middle of a channel. Midchannel buoys may be passed by on either side.
Middle Ground - Shoal area between two navigational channels.
Midshipman - A non-commissioned naval rank. Midshipmen play a part, under supervision, in most of the ship's activities, and are in training for higher command.
Midships - In the middle portion of the boat - Roughly halfway between a ship's stem and stern, and where the beam usually is the widest.
Midwatch - the watch or work shift beginning at midnight, usually lasting until 4:00am or 8:00am. 1
Mile - Distance at sea is measured in nautical miles, which are about 6067.12 feet, 1.15 statute miles or exactly 1852 meters. Nautical miles have the unique property that a minute of latitude is equal to one nautical mile - Measurement of speed is done in knots where one knot equals one nautical mile per hour.
Millibar - A unit used to measure the barometric pressure of the atmosphere. 1 millibar equals 0.03 inches of mercury.
Mizzen - A small sail set on the mizzenmast.
Mizzenmast - The mast aft of the mainmast in a sailing ship - the shorter mast behind the main mast on a ketch or yawl, or the third aftermost mast of a three-masted schooner or square-rigged ship.
Mold - A pattern or template. Also a shape of metal or wood over or in which an object may be hammered or pressed to fit.
Mold Loft - The large enclosed floor where the lines of a vessel are laid out and the molds or templates made.
Monkey - (1) A small wooden cask in which grog was carried. (2) A type of marine steam reciprocating engine where two engines were used together on the same propeller shaft.
Monkey Fist - A large heavy knot usually made in the end of a heaving line to aid in accurate throwing.
Monkey Jacket - A thick serge jacket worn by seamen while keeping watch at night or in stormy weather.
Monohull - A boat with one hull.
Mooncusser - Legendary opportunists who lured vessels onto shoals during nights when there was no moonlight to illuminate the coastline.
Moonraker - On square-rigged ships, a small light square sail set above the skysail in fair weather. If the sail were triangular, it would be called a Skyscraper.
Moor - To attach a boat to a mooring, dock, post, anchor, etc.
Mooring - An anchor or weight, permanently attached to the sea floor, with a buoy going to the surface, used to hold the boat in a certain area.
Mooring Bitt - A strong pair of iron, steel or wooden posts on a ship's deck, around which ropes or cables are wound and held fast.
Mooring Buoy - A buoy secured to a permanent anchor sunk deeply into the bottom.
Mooring Line - A line used to secure a boat to an anchor, dock, or mooring.
Morse Code - A language of "dots" and "dashes" used to send messages, either sound using radio waves, or light using a searchlight or Aldis lamp .
Motor - (1) An engine. (2) The act of using an engine to move a boat.
Motor-sailing - Sailing with the motor on and in gear
Mount - An attachment point for another object.
Mouse - Any small collar made with spunyarn or light line to hold something in place.
Mouse a Hook - The passing of several turns of line across the jaw of a hook to prevent something on the hook, such as an eye or a line, from jumping clear.
Mudhook - Sailor's slang for anchor.
Multi-Hull - A vessel formed of two or more hulls. A catamaran has two hulls, and a trimaran has three hulls.
Mushroom Anchor - A type of anchor with a heavy inverted mushroom shaped head. Mushroom anchors are used to anchor in mud and other soft ground.
Muster - To assemble passengers and/or crew.
Mutiny - A forceful resistance to recognized authority. A refusal to obey a legal order of a superior officer is also considered mutiny.
O [ Oscar ] - [ meaning ]
Oakum - A material made of tarred hemp or manila rope fibers, used for caulking seams of decks and sides of a wooden ship in order to make them watertight.
Oar - A pole with a blade at the end used to row a rowboat. Oars are different than paddles because they have a provision to be secured to the rowboat for rowing, such as an oarlock. The three parts to an oar are: the blade, the part which enters the water; the shaft, the main body of the oar: and the loom, the inboard end on which the rower pulls.
Oarlock - A device to attach oars to a rowboat, allowing the operator to row rather than paddle the boat.
Observed Position - A position or fix determined by observing landmarks or other objects to find the position.
Occulting Lights - A navigational light which turns on and off in a regular pattern, but is on more than it is off, so the period of light is longer than the period of darkness.
Off and Fair - Order to take off a damaged part of a vessel, to restore it to its proper shape and condition, and to replace it in position.
Off Soundings - In blue water beyond the 100-fathom line.
Off the Wind - Sailing with the wind coming from the stern or quarter of the boat.
Officer - Any of the licensed members of the ship's complement.
Officer's Mess - Dining room facilities for officers separate from the crew and passenger dining room.
Official Number - Definition and cross-reference to Tonnage.
Offing - Seaward, a safe distance from shore; To keep an offing is to keep a safe distance away from the coast because of navigational dangers, fog, or other hazards.
Offshore - Away from land, toward the water.
Offshore Wind - Wind blowing from off the shore.
Offwind - Any point of sailing away from the wind.
Oil Bag - Used in emergencies, this is a container which allows oil to drip into the sea in heavy weather. An oil slick is produced which prevents waves from breaking over the deck of a boat.
Oiler - A member of a ship's engineering crew who assisted the chief engineer with lubricating and maintaining the engine.
Old Salt - A very experienced and/or old sailor
On a Tack - A sailboat is always on one tack or the other; that is the sail is always on one side or the other.
On Board - On or in a ship.
On the Beach - Said of a seaman who has retired from sea service.
On the Beam - The direction at right angles to a ship's heading or the line of her keel
On the Bow - To the bow of the boat, forward of the beam.
On the Hard / On the Ways - Hauled out of the water for repairs or storage
On the Quarter - A direction of forty-five degrees or less from the stern.
On the Wind - Sailing close hauled. Sailing toward the wind as much as possible with the wind coming from the bow.
One o'clock gun - In Edinburgh, Scotland, cannon fired from the Royal Castle in order that the fleet's clocks could be synchronized. Now, a remark to become timely. *
One-design - Any boat built to certain standards or rules so that is like all others in the same class.
Onshore - Toward the shore
OOD - Navy term meaning Officer of the deck.
Open - A location that is not sheltered from the wind and seas. An open location would not make a good anchorage.
Ordinary Seaman (OS) - An apprentice Able Seaman, assists AB's, bosun, and officers, keeps facilities clean.
Orlop - Name given to the lowest deck in a ship.
Out of Trim - Sails that are not properly arranged for the point of sail that the boat is on. The sails may be luffing or have improper sail shape, or the boat may be heeling too much. These conditions will slow the boat down.
Out Point - To sail closer to the wind than another boat on the same tack.
Outboard - (1) Toward or beyond the boat's sides. (2)�A detachable engine mounted on a boat's stern.
Outdrive - A propulsion system for boats with an inboard engine operating an exterior drive, with drive shaft, gears, and propeller; also called stern-drive and inboard/outboard.
Outer Skin - The outside plating of a vessel.
Outhaul - A control line that adjusts tension along the foot of the sail, pulling the clew away from the tack; used to maintain proper sail shape.
Outrigger - A structure which extends outboard beyond the edge of the hull for some special purpose. Some Polynesian canoes use outriggers to support an "ama" or small secondary hull, while fishing boats may use outriggers to suspend lines or nets over the water.
Overboard - In the water outside of the vessel.
Overfall - Dangerously steep and breaking seas due to opposing currents and wind in a shallow area.
Overhang - The area of the bow or stern projecting above and beyond a perpendicular from the water line at stem or stern.
Overhaul - (1) Repairing or refitting. (2) To overtake another ship at sea. (3) To extend a tackle so that distance between blocks is increased.
Overhead - Nautical equivalent of ceiling
Overlap - The distance the bow of a boat is forward of another's stern
Overstand - Sailing beyond a racing mark or buoy whereby you sail a greater distance
Overtaking - Passing another vessel.
P [ PaPa ] - [ meaning ]
Pack-Ice - Numbers of large pieces of floating ice that have come together and lie more or less in contact.
Pad Eye - A loop shaped fitting attached to the deck, spar, boom, etc., used to secure a line or block to some part of the vessel.
Paddle - A stick with a blade in the end of it used to propel a small boat through the water; The act of using a paddle to propel a boat.
Paddy's Purchase - Seaman's scornful name for any lead of a rope by which effort is lost or wasted.
Painter - A line tied to the bow of a small boat for use in towing, securing or tying up
Pallett - A flat tray, generally made of wood but occasionally of steel, on which goods particularly those in boxes, cartons or bags, can be stacked. Its purpose is to facilitate the movement of such goods, mainly by the use of forklift trucks.
Palm - A leather tool worn on the hand with a thimble shaped structure on it, and used when sewing canvas or sails.
PAN PAN - An urgent message used on a radio regarding the safety of people or property. A PAN PAN message is not used when there is an immediate threat to life or property, instead the MAYDAY call is used. PAN PAN situations may develop into MAYDAY situations. As with a MAYDAY, PAN PAN messages have priority on the radio channels and should not be interrupted. In the case of a less urgent safety message, such as a hazard to navigation, the appropriate signal to use is SECURITE.
Pancake Ice - Small, circular sheets of newly-formed ice that do not impede navigation.
Panting - Describes the pulsating, in and out movement of ship's plating subjected to variations in water pressure, especially during heavy weather as the ship alternately rises and plunges deep into the water.
Panting Beam - Beam placed from shipside to shipside to support the shell plating against panting.
Panting Frames - Frames placed in the forward and after sections of the hull to resist the panting action of the shell plating.
Panting Stringer - A horizontal stiffener with a breast hook giving added strength against panting.
Parachute Flare - An emergency signal flare that will float down on a parachute after launch, hopefully improving its visibility.
Parallax Error - Error that can be introduced when not reading an instrument, such as a compass, directly from its front, due to the separation of the indicator and the scale being read.
Parallel Rule - Tool used for transferring course and bearing to and from the compass rose on a chart
Parallels - Latitude lines.
Parbuckle - A means of hauling up or lowering a cylindrical object.
Parcel a Rope - To put a narrow piece of canvas around it after it has been wormed , and before it has been served .
Parcel a Seam - After a seam is caulked, to lay over it a narrow piece of canvas and then pour on hot pitch and tar .
Parclose - Limber hole of a ship.
Part - Break; e.g., the line parted under strain
Parting Strop - Strop inserted between two hawsers, and weaker than the hawsers, so that strop, and not hawsers, will part with any excessive strain.
Partners - A framework of supporting structures used to support areas where high loads come through openings in the deck, such as the opening in the deck through which the mast passes.
Passage - A journey from one place to another.
Passed West - Died. Perhaps derived from the sun setting in the west.
Passenger Ship - A ship that is authorized to carry more than twelve passengers.
Patrimonial Sea - The waters adjacent to a country over which it claims jurisdiction. also, Territorial Waters.
Pay Off - (1) Said of ship's head when it moves away from wind, especially when tacking. (2) To discharge a crew and close Articles of Agreement of a merchant ship.
Pay Out - To ease out or slacken a line, chain or cable or let it run in a controlled manner.
Peak - The upper corner of a four sided sail or outer end of the gaff.
Pedestal - Columnar support for the steering wheel in the cockpit.
Peggy - Merchant Navy nickname for seaman whose turn of duty it is to keep the mess clean.
Pelorus - A card marked in degrees and having sightings on it that is used to take bearings relative to the ship, rather than magnetic bearings as taken with a compass.
Pendant - The line by which a boat is connected to a mooring buoy; a short rope hanging from a spar having at its free end a spliced thimble or a block. Sometimes called "Pennant".
Pennant - A small tapering flag, which can be used for identification or communication.
Personal Flotation Device (PFD) - Official terminology for life jacket. When properly used a PFD will support a person in the water. Also called a life jacket, life preserver or life vest.
Personal Watercraft (PWC) - Small boat similar to and including jetskis
Petty Officer - Rank intermediate between officer and rating, and in charge of ratings; more or less equivalent to the rank of sergeant.
Phonetic Alphabet - Alphabet used by the Navy when making sure that a letter is understood; i.e. "BRAVO OSCAR ALPHA TANGO spells BOAT"
Pier - A loading/landing platform or structure extending at an angle from the shore.
Pig Stick - A pig stick is a staff that carries a flag or pennant, usually the burgee of the boat owner's yacht club or private signal, above a mast of a sailboat.
Piggin - Very small wooden pail having one stave prolonged to form a handle. Used as a bailer in a boat.
Pile - A wood, metal or concrete pole driven into the bottom. Craft may be made fast to a pile; it may be used to support a pier or a float.
Pile-Driver - (1) A piece of equipment used to drive piles into the ground. (2) Name given to a ship which because of her short length, cannot ride two consecutive waves, and pitches violently into the second.
Piling - Support, protection for wharves, piers etc.; constructed of piles.
Pillar - Any steel bar or column, fitted vertically, to support a deck, or any part of a ship's structure. Also called a stanchion.
Pillow - Block of timber mounted on the deck just inside the bow on which the inner end of the bowsprit was supported.
Pilot - An individual with specific knowledge of a harbor, canal, river or other waterway, qualified to guide vessels through the region. Some areas require that boats and ships be piloted by a licensed pilot.
Pilotage - The act carried out by a pilot of assisting the master of a ship in navigation when entering or leaving a port. Sometimes used to define the fee payable for the services of a pilot. Also, the act of navigating a vessel coastwise when land is near and the water is relatively shallow.
Pilothouse - A compartment on or near the bridge of a ship that contains the steering wheel and other controls, compass, charts, navigating equipment and means of communicating with the engine room and other parts of the ship. Also known as wheelhouse
Piloting - Navigation by using visible references, the depth of the water, etc.
Pin End - In sailboat racing, the mark or buoy that signifies one side of the starting line, opposite of the race committee boat.
Pin Rail - A rail fastened along the inside of the bulwarks of a vessel and pierced to hold belaying pins
Pinch - To sail too close to the wind so that the sails start to luff.
Pinching - Sailing too close to the wind
Pinnace - Formerly, a small, two-masted sailing vessel sometimes with oars.
Pintle - A tapered metal pin which fastens the rudder to the stern by dropping into gudgeons .
Pipe - Another name for the bo'sun's whistle .
Pipe Down - A call on the bo'sun's pipe at night for the hands to turn in, for silence in the messdecks, and for lights to be extinguished. Also a term used by a sailor to another to make them stop talking.
Piracy - The act of taking a ship on the high seas from those lawfully entitled to it.
Pitch - (1) The alternate rise and fall of the bow of a vessel proceeding through waves; also called hobby horsing (2) The theoretical distance advanced by a propeller in one revolution. (3) Tar and resin used for caulking between the planks of a wooden vessel.
Pitchpole - Said of a boat which turns end over end in very rough seas.
Plain Sailing - Anything that is straightforward and easy.
Plane, Planing - To gain hydrodynamic lift, causing the boat to lift, rising slightly out of the water so that it is gliding over the water rather than plowing through it, reaching speeds in excess of those normally associated with its waterline length.
Planing Hull - A type of hull shaped to glide easily across the water at high speed.
Planing Speed - The speed needed for a boat to begin planing.
Plank Sheer - On a wooden vessel, the outermost deck plank covering the gunwale . also called Covering Board
Planking - Wood boards used to cover the ribs, frames, deck or hull of a wooden vessel.
Plating - Flat steel stock of various thicknesses used in the construction of a ship to form the sides and decks.
Play - The difference between the diameter of a shaft rod, etc., and that of the hole in which it works.
Plimsoll Line - The mark stencilled in and painted on a ship's side, designated by a circle and horizontal lines to mark the highest permissible load water lines under different conditions.
Plot - To mark a course on a chart.
Plug - (1) A tapered device, usually made from wood or rubber, which can be forced into a hole to prevent water from flowing through it. Plugs should be available to fit every through hull fitting on the boat. (2) The pattern on which the hulls of small craft are molded in fiberglass.
POB - Persons on board.
Pod - A group of whales.
Point - To sail as close as possible to the wind. Some boats can point better than others, sailing closer to the wind.
Points - [ image ] - Division of the circumference of the magnetic compass card into thirty-two points, each of 11� 15'.
Points of Sail - The headings of a sailboat in relation to the wind, i.e., upwind, close reach, reach, broad reach, downwind.
Polaris - The North Star; visible in the northern hemisphere and indicates the direction of north. In the southern hemisphere the Southern Cross is used to find the direction of south.
Pole - (1) A spar. Such as a pole used to position a sail (e.g., spinnaker pole or whisker pole, which serves the same purpose for a jib). (2) One of the two points around which the earth spins, known as the north and south poles.
Pontoon - A hollow, watertight tank used to give buoyancy.
Poop Deck - The short aftermost raised deck of a vessel.
Poop Rail - A rail surrounding the poop deck.
Pooped - Hit by a wave over the stern; having a wave wash over the stern of the boat. This can be a very dangerous situation.
Popple - A short, confused sea.
Port - (1) The left side of the boat when facing forward; originally called larboard. The opposite of starboard. (2) - A porthole. A window in the side of a boat, usually round or with rounded corners. (3) A harbor.
Port Tack - Sailing with the wind coming from the port side, with the boom on the starboard side.
Port of Call - Country, island or territory the vessel visits.
Porthole - Openings in a ship's hull for ventilation, light and other purposes.
Poseidon - The Greek god of the sea.
Position Line or Line of Position - A line drawn on a chart, as a result of a bearing, along which the boat is positioned
POSH - Port Out, Starboard Home ... Used for Cruising Liners years ago for the "BEST" Cabins. Hence the name!
Pram - A flat bottomed, blunt nosed dinghy (or small boat).
Pratique - Certificate given to a ship arriving from a foreign port, by the port's health officer, indicating that there are no cases of disease aboard the ship and the health of all on board is good.
Preferred Channel Buoy - Also known as a junction buoy. A red and green horizontally striped buoy used in the United States to mark the separation of a channel into two channels. The preferred channel is indicated by the color of the uppermost stripe. Red on top indicates that the preferred channel is to the right as you return.
Prevailing Winds - The typical winds for a particular region and time of year.
Preventer - (1) Line and blocks or the boom vang used to keep the boom in place while reaching or running and to prevent an out of control swing during an accidental jibe. (2) Any additional line or wire temporarily rigged to back up any standing rigging in heavy weather.
Primage - Money paid by shipper to Master of ship for diligence in care of cargo. Not now paid to Master, but added to freight. Amount was usually about 1% of freight.
Prime Meridian - The meridian from which longitude is measured eastwards or westwards. The longitude of the prime meridian, passing through Greenwich, England, is 0�
Privateer - A ship owned and armed by a private individual that is empowered by a government to fight with enemy ships and capture enemy shipping in time of war.
Privileged Vessel - A vessel which, according to the applicable Navigation Rule, has right-of-way. Also known as the "stand on" vessel.
Prize - An enemy vessel captured at sea by a privateer or a ship of war. The term is also applied to contraband cargo taken from a merchant ship.
Procuration - The acting of one person on behalf of another; a document authorizing one person to act on behalf of another.
Profile Plan - The side elevation of a ship's form.
Progressive Flooding - When water from a leak passes successively from one compartment to the next, usually in the absence of watertight bulkheads or watertight doors left open. This is what eventually sank the Titanic. *
Prop - Slang for propeller.
Prop Walk - Sideward force created by a spinning propeller.
Propeller - A rotating device, with two or more blades, that acts as a screw in propelling a vessel. Sometimes called a screw.
Propogation - Movement of crest of a progressive wave. Can also refer to radio waves.
Protest - The method by which a racing yacht may object to the actions of a rival on the basis of a breach of the racing rules. A protest committee will hear both sides, and if the protest is upheld, the offending yacht may be penalized.
Protest Signal - A signal which is hoisted during a sailing race to protest the actions of another (for rules infractions)
Prow - The bow and forward part of the vessel above the waterline.
Puff - A sudden burst of wind stronger than the current wind conditions.
Pulpit - An elevated guardrail set up at the bow of a vessel. When erected at the stern, it is called a pushpit.
Pumpout - Removing waste from a holding tank.
Punt - A small flat bottomed boat square at either end.
Puoy - Spiked pole used for propelling a barge or boat by resting its outboard end on an unyielding object.
Purchase - Any sort of mechanical device to increase power employed in raising or moving heavy objects. Where two or more blocks are involved in a purchase, it is generally known as a tackle (pronounced "taykle").
Purse Seine - The small boats used to drag and close the Seine .
Purser - A ship's officer who is in charge of accounts, especially on a passenger ship.
Purser's Grin - Hypocritical smile, or sneer.
Pushpit - A pulpit located on the stern.
Put About - To change the course of a sailing vessel.
Put In - To enter a port or harbor
Q [ Quebec ] - [ meaning ]
Q Flag, Quarantine Flag - The Quebec pennant is flown when first entering a country, indicating that the people on the ship are healthy and that the vessel wants permission to visit the country. The flag means "My vessel is healthy and I request free pratique.
Quadrant - (1) A nautical instrument, on the arc of which is a finely graduated scale showing degrees and minutes, with adjustable reflectors, etc.; used to find the altitude of heavenly bodies, angular distances, etc. (2) On a steering gear, the rudder quadrant is a section of a wheel or sheave fastened to the rudder head.
Quarantine - A harbor restriction placed on a ship which has an infectious disease on board, or which has arrived from a country where such a disease is prevalent. The crew may not go ashore until the ship is granted pratique .
Quarter - (1) That portion of the vessel forward of the stern and abaft of the beam. "On the quarter" applies to a bearing 45� abaft the beam. Every boat has a starboard and a port quarter. (2) Mercy shown to captives or enemies, such as giving quarter to the passengers of a seized vessel. *
Quarter Berth - A bunk which runs under the cockpit
Quarter Boat - Boat carried at davits on quarter of ship, and kept ready for immediate use when at sea.
Quarter Spring - Line led forward, from quarter of a vessel, to prevent her from moving astern.
Quarterdeck - The part of the upper deck which is abaft the mainmast, or in that general location of a ship without one. The quarterdeck was normally reserved for officers.
Quartering Sea - Winds and waves on a boat's quarter
Quartermaster - An able-bodied seamen entrusted with the steering of a vessel when entering or leaving a harbor. He is also involved with the use and upkeep of navigational equipment.
Quarters - Living space for the crew.
Quay - A solid wharf or structure built of stone along the edge of a harbor used for loading and offloading of cargo, and embarkation and disembarkation of passengers.
Queen Topsail - Small staysail located between the foremast and mainmast.
Quick Flashing Light - A navigational aid with a light that flashes about once per second.
R [ Romeo ] - [ meaning ]
Race - (1) A strong, confused tide or current. (2) A competition of skill and seamanship between yachts.
Rack - The operation of temporarily holding two lines together by seizing .
Radar - Radio Detection and Ranging. An electronic instrument that uses radio waves to find the distance and bearing of other objects. Used to avoid collisions, particularly in times of poor visibility.
Radar Arch - An arch to mount the radar, usually at the stern of the boat.
Radar Reflector - An object designed to increase the radio reflectivity of a boat so that it is more visible on radar. Many small boats are made with fiberglass and other materials that do not reflect radar very well on their own.
Radiation Fog - Fog over land caused by condensation of vapor in the air above cooler ground.
Radio - An instrument that uses radio waves to communicate with other vessels. VHF very high frequency - radios are common for marine use, but are limited in range. Single Side Band SSB - radios have longer ranges.
Radio Beacon - A navigational aid that emits radio waves for navigational purposes. The radio beacon's position is known and the direction of the radio beacon can be determined by using a radio direction finder.
Radio Direction Finder (RDF) - A navigational instrument which provides a bearing to a radio beacon.
Radio Operator - An officer who operates and controls the shipboard communication equipment.
Radiowaves - Invisible waves in the electromagnetic spectrum that are used to communicate (radio) - and navigate (radar).
Radome - A bun-shaped cover placed over a radar scanner to prevent risk of fouling and to protect it from the weather.
Raft - A small flat boat, usually inflatable.
Rafting - (1) When two or more boats tie up alongside each other. (2) Overlapping of edges of two ice-floes, so that one floe is partly supported by the other.
Rail - (1) The edge where the deck joins the hull; top edge of bulwarks. (2) The railing around the deck.
Rake - The inclination of a vessel's mast from its vertical position. The rake may be either forward or aft, and can be deliberately induced (by adjustment of the standing rigging) to flatten sails, balance steering, etc. Normally slightly aft. The term can also be used to describe the degree of overhang of a vessel's bow and stern.
Ram - A strengthened or armored projection from the bow of a warship for the purpose of disabling or sinking an enemy ship by ramming her.
Range - (1) Sighting two objects in a line to indicate a course to be steered (2) The distance a boat can travel using the fuel stored aboard.
Rap Full - As close to the wind as possible, with all sails full, and no wrinkles in them.
Rate - The rank held by a naval seaman.
Rating - (1) Term describing the status of seamen, corresponding to rank in the case of officers. (2) A method of measuring a yacht's expected performance relative to another yacht while racing. Over the years many formulas have been experimented with, in order to enable diverse yachts to race competitively against each using a handicap based upon the rating.
Ratlines - Small lines tied between the shrouds that form steps to function as a ladder to climb the rigging.
Rattle Down - The operation of securing the ratlines to the shrouds.
RDF - Radio Direction Finder. The RDF is used with a radio beacon to find a radio bearing to help determine the vessel's position.
Reach - (1) A point of sail between close-hauled and a run, with the wind coming from abeam. (2) A distance, or fetch. (3) Straight stretch of water between two bends in a river or channel.
Reaching - Any point of sail with the wind coming from the side of the boat. If the wind is coming from directly over the side, it is a beam reach. If the wind is coming from forward of abeam it is a close reach. If the wind is coming from over the quarter, it is called a broad reach.
Ready About - An expression used to the crew to indicate that the boat is about to tack.
Reciprocal - A bearing 180� from the other. A direction directly opposite the original direction.
Reciprocating Engine - A form of steam engine where a piston moves back and forth inside a cylinder, transmitting its motion to a driving shaft by a connecting rod and crank.
Reckoning - The record of courses steered and distances traveled since the time a ship's position was last fixed by shore or astronomical observations.
Reduction Gears - The gears that reduce engine speed to propeller speed.
Reef - (1) The rolled up part of a sail, tied with the reef lines, that is used to reduce sail area for heavy winds; To reduce the sail area. (2) A group of rocks or coral generally at a depth shallow enough to present a hazard to navigation.
Reef Cringles - Reinforced cringles or thimbles in the sail designed to hold the reefing lines when reefing the sail.
Reef Knot - [ image ] - Also known as the square knot, it is formed by two half hitches in which the ends always fall in line with the outer parts. This knot is used to loosely tie lines around the bundles of sail that are not in use after reefing.
Reef Lines - Short pieces of line fastened to the sail at reef points, used for tying a reef to reduce sail area. The reef line will pass through reef cringles, which will become the new tack and clew of the reefed sail.
Reef Points - Short lengths of line attached to the sail used to tie the extra sail out of the way when reefing.
Reefer - (1) Slang for refrigerator. (2) Refrigerator ship; a vessel designed to carry goods requiring refrigeration, such as meat and fruit.
Reefing - The operation of reducing a sail by taking in one or more of the reefs.
Reeve - To pass or lead a line through a block or other object. When the end of a line is passed through anything, it is said to be "rove" through it.
Refit - Removal of worn or damaged gear and the fitting of new gear in replacement.
Registry - The country in which the vessel is registered.
Relative Bearing - Direction or bearing of an object relative to a boat's heading.
Relieve the watch - Rested crewmembers take over the operation of the vessel from those who have worked a turn. Also, "Relief" is the person who will take your duties. *
Render - (1) The action of a line as it passes over the sheave of a block. (2) The act of easing away gently.
Repel Boarders - An order announced for the ship's company to arm themselves to prevent boarding of their ship. *
Repositioning - Vessel moves to a new area for a new season.
Reserve Buoyancy - The lifting power. It may be measured by the volume of a watertight hull above the load water line.
Return Port - The proper return port of a discharged seaman.
Revenue Cutter - A single masted cutter built expressly for the prevention of smuggling and the enforcement of customs regulations.
Reverse Sheer - When the sheer curves down towards the bow and stern.
Rhumb Line - A straight line compass course between two points. A line on the earth's surface which intersects all meridians at the same angle.
Ribband - Strips of material temporarily holding parts of a ship in position.
Ribs - The frames or timbers of a ship as they rise from the keel to form the shape of the hull.
Ride To - Lie at anchor
Riding Light - An all around white light displayed at night by a ship when she is anchored.
Rig - The way a boats spars and sails are arranged. To rig a vessel is to fit her with masts, spars, sails and running and standing rigging; term is also used to mean the setting up a device, e.g., to rig a lifeline, a tackle, etc
Rigger - One whose occupation is to rig or unrig vessels.
Rigging - A general term applying to all the lines, stays and shrouds necessary for spars and sails. The standing rigging is the mast, shrouds and stays, while running rigging refers to halyards and sheets that control the sails
Right Ascension - Right Ascension of a celestial body is the arc of the equinoctial between Aries and the meridian of the object, always reckoning eastward from Aries.
Right of Way - The right to maintain a course according to the Rules of Navigation. When two boats are on intersecting courses, one is the "stand-on" vessel (has "right of way" and must hold its course steady) so the other "give-way" vessel may steer clear.
Righting Arm - The theoretical measurement of force by which a heeled vessel is returned to upright by virtue of its displacement and gravity, expressed in foot/pounds, etc. *
Rip Tide - The rip tide is not a tide, it is a current. When waves hit the beach they hit at an angle and push water ahead of them. This water forms a current that flows parallel to the shore, called the longshore current. When the shape of the beach changes, or its direction (as in from North-South to Northeast-Southwest) the speed of the current changes. Locally this can cause more water to flow into an area than can flow out, and water will pile up. This is much like a traffic jam for the currents. However, the water, which is trapped next to the shore, cannot get out because of the longshore current. Eventually, so much water will pile up that it can break through the longshore current in a small area. The large amount of water rushing through a small break causes a strong current in a small area that flows perpendicular (away) from the shore. This is the rip tide.
Rips - Short, steep waves caused by the meeting of currents.
Rivet - A metal pin by which the plating and other parts of iron and steel vessels are joined. Rivets are known by their heads, such as: Flush, pan, snap, plug, tap, countersunk, mushroom, and swollen neck.
Roach - A curve out from the aft edge (leech) of a sail. Battens are sometimes used to help support and stiffen the roach.
Rocker - The upward curvature of the keel towards the bow and stern.
Rode - The anchor line, cable or chain that connect the anchor to the boat.
Rogue Knot - Seaman's name for a reef knot tied upside down. also called a "granny" knot.
Roll - The alternating motion of a boat, leaning alternately to port and starboard; the motion of a boat about its fore-and-aft axis.
Roller Furling - A method of storing a sail, e.g., by rolling the jib around the headstay.
Roller Reefing - A system of reefing a sail by partially furling it. Roller furling systems are not necessarily designed to support roller reefing.
Rolling Hitch - [ image ] - A hitch used for bending a line to a spar, which if tied properly, won't slip. The end of the line is passed around the spar and then passed a second time around so it rides over the standing part. Then it is carried across and up through the bight.
Rooming - The navigable water to leeward of a vessel.
Rope - When rope comes aboard a vessel and is put to use, it is called line, although some still call it rope if it is over one inch in diameter. A coil of rope that is not designated for any particular use.
Rope Yarn Sunday - A time during working hours granted by the Captain for the off-watch to attend to the condition of their clothing and other personal items, usually an easier day granted as a break from hard work. *
Rose Box - The strainer at the end of the suction pipe of a bilge pump which prevents solid material in the bilges from being sucked into the pump and choking it. Also known as a strum box.
Round - A verb with a variety of meanings. To round in is to haul in quickly; to round up is to bring a sailing vessel head into the wind; to round down a tackle is to overhaul it; to round a mark is to pass a racing mark.
Round Turn - One complete turn of the line around a cleat, spar or another line.
Round Turn and Two Half Hitches - [ image ] - A knot widely used when making a boat fast to a post or bollard.
Rouse Out - Turning out all hands on board ship in the morning, or calling the watch for duty on deck.
Row - A method of moving a boat with oars. The person rowing the boat faces backwards, bringing the blade of the oars out of the water and toward the bow of the boat. They then pull the oars through the water toward the stern of the boat, moving the boat forward.
Rowboat - A small boat designed to be rowed by use of its oars. Some dinghies are rowboats.
Royal - On a square-rigged ship, a light weather sail set next above the topgallant-sail in fair weather.
Rubrail - Also rubbing strake or rub strake. An applied or thickened member at the rail, running the length of the boat; serves to protect the hull when alongside a pier or another boat.
Rudder - A board-shaped swinging vane, controlled by a tiller or wheel, and attached to the rudderpost or stern for steering and maneuvering a vessel.
Rudder Angle Indicator - Piloting instrument showing the number of degrees to port or starboard at which the rudder(s) currently is/are positioned. *
Rudder Post - The post that the rudder is attached to. The wheel or tiller is connected to the rudder post.
Rules of the Road - The rules concerning which vessel has the right of way if there is a possibility of collision between two or more boats; written to prevent accidents and collisions; includes right of way, lights, pennants, and whistle signals
Rummage - Originally meant "to stow cargo". Now, means "to search a ship carefully and thoroughly".
Run - (1) Sailing away from the wind with the sails let out all the way; going with the wind, downwind sailing (2) To allow a line to feed freely. (3) The shape of the afterpart of the underbody of a ship in relation to the resistance it creates going through the water.
Run Aground - To take a boat into water that is too shallow for it to float in, i.e: the bottom of the boat is resting on the ground.
Run Out - To put out a mooring, hawser or line from a ship to a point of attachment outside her.
Running - Sailing in the same direction as the wind with the wind coming from the stern.
Running Backstay, Runners - Adjustable stays used to support and control tension on the mast when the wind is from abaft the beam; temporary backstays used to stabilize the mast and prevent undue flexing due to the pumping action of the sea.
Running Bowline - [ image ] - A type of knot that tightens under load. It is formed by running the standing line through the loop formed in a regular bowline, or by tying around a bight in the line.
Running Fix - A fix taken by taking bearings of a single object over a period of time. By using the vessel's known course and speed, the location of the vessel can be found.
Running Lights - Lights required to be shown on boats underway between sunset and sunrise; they tell other vessels not only where you are, but what you are doing
Running Rigging - All control lines such as sheets and halyards used to control the sails
S [ Sierra ] - [ meaning ]
S.S. - Prefix before a ship's name to indicate that she is a steamship.
Sacrificial Anode - A metal, usually zinc in salt water or aluminum in fresh, affixed to the outside of a vessel intended to erode by galvanic electric current (caused by the immersion of dissimilar metals in water, much like a battery) so that useful metal parts are not corroded. *
Saddle - A block of wood or a bracket attached to a spar to support another spar attached to it.
Safety Harness - A device worn around a person's body that can be tethered to jack lines to help prevent a person from falling overboard.
Safety Pin - (1) Any pin that is used to prevent a fitting from falling open. (2) A pin used to keep the anchor attached to its anchor roller when not in use.
Sagged - When from some cause a vessel's form is so altered that the ends of the keel are much above the level of its midship portion, it is said to be "sagged." The opposite of hogged .
Sail - A large piece of fabric designed to be hoisted on the spars of a sailboat in such a manner as to catch the wind and propel the boat.
Sail Shape - The shape of a sail, with regard to its efficiency. Controls such as the cunningham, boom vang, outhaul, traveler, halyards, leech line, sheets, and the bend of the mainmast all can affect sail shape. Also sail trim.
Sail Track - A slot into which the bolt rope or lugs in the luff of the sail are inserted to attach the sail.
Sail Trim - The positioning and shape of the sails to the wind; To sheet in or out the sails for the most optimal performance and speed
Sailboat - A boat which uses the wind as its primary means of propulsion.
Sailcloth - A fabric, usually synthetic, used to make sails.
Sailing By The Lee - Sailing on a run with the wind coming over the stern from the same side as the boom (danger of jibing).
Sailing Directions - Publications that describe features of particular sailing areas, such as hazards, anchorages, etc.
Sailing Ice - Small masses of drift ice with waterways in which a vessel can sail.
Sailing Rig - The equipment used to sail a boat, including sails, booms and gaffs, lines and blocks, etc.
Sailor - Man or boy employed in sailing deep-water craft. Word is sometimes loosely used to include men who go to sea. Used officially to denote a seaman serving on deck.
St. Elmo's Fire - An electrical discharge caused by certain atmospheric conditions, which takes place around the rigging. Known by many other names, it was regarded by many superstitious seamen as a favorable omen, foretelling the end of stormy weather. And others believed they would die within 24 hours if light from this phenomenon fell upon their face.
Sallying - Rolling a vessel, that is slightly ice-bound, so as to break the surface ice around her. May sometimes be done when a vessel is lightly aground, but not ice-bound. Can be accomplished by having most of the crew run side-to-side.
Salon - Also saloon; the main social cabin of a boat
Salvage - Recovery and reclamation of damaged, discarded or abandoned material, ships, craft and floating equipment for reuse, repair, re-fabrication or scrapping. Also the property which has been recovered from a wrecked vessel, or the recovery of the vessel herself.
Sampson Post - A strong vertical post used to attach lines for towing or mooring.
Sargasso Sea - An area of the North Atlantic east of the Bahamas where a powerful eddy in the water causes Sargasso weed to collect in vast quantities and float on the surface.
Scandalize - A method of reducing sail in a fore-and-aft rig by hauling up the tack and lowering the peak of a sail. It was used by older sailing trawlers to reduce speed through the water while operating a trawl. Also the yards in a square-rigged ship are said to be scandalized when they are not set square to the masts after the ship has anchored. Scandalizing the yards of a ship was a sign of mourning for a death on board.
Scantlings - The dimensions of all parts which go into the construction of a ship's hull.
Scarf or Scarph - The joining of two timbers by beveling the edges so the same thickness is maintained throughout the length of the joint.
Schooner - A fore-and-aft rigged sailboat with two or more masts. The aft mast is the same size or larger than the forward ones.
Scope - The ratio of the length of an anchor line, from a vessel's bow to the anchor, to the depth of the water.
Scow - A boat with a flat bottom and square ends.
Screw - A boat's propeller.
T [ Tango ] - [ meaning ]
Tabernacle - A hinged mast step located on deck. Since it is hinged, the mast may be raised and lowered easily.
Tabling - Extra fabric sewn around the edges of sails to reinforce the bolt rope sections.
Tachometer - A gauge that measures engine revolutions per minute.
Tack - (1) The lower forward corner of a triangular sail (2) The direction that a boat is sailing with respect to the wind. A sailboat cannot sail directly into the wind, and must therefore sail a zig zag course to windward, at about a 45 degree angle to the wind. (3) To change a boat's direction, bringing the bow through the eye of the wind.
Tacking - To change a boat's direction, bringing the bow through the eye of the wind.
Tackle - [ image ] - A purchase where two or more blocks are used to increase mechanical advantage, or the power exerted on a line. (pronounced "taykle").
Taffrail - The after rail at the stern of a ship. Also called a Pushpit
Taffrail Log - A propeller drawn through the water that operates a meter on the boat registering the speed and distance sailed
Tail - The end of a line.
Take In - To remove a sail.
Tall Buoy - A float with a flag at the top of a pole. Used to mark a position such as for a mooring, a race or a man overboard.
Tally Board - Board, bearing instructions, that comes to a wrecked ship with a life-saving rocket line.
Tally Book - Book in which is kept a reckoning of items of cargo received or discharged from a hatch or vessel.
Tang - A metal fitting on the mast that the stays attached to the mast; a fitting on the mast for securing rigging.
Tanker - A tanker is a bulk carrier designed to transport liquid cargo, most often petroleum products.
Tanks - Are of two kinds: First, those built in permanently and part of the ship's structure, used for the reception of water ballast, fuel, oil, or liquid cargo; second, those constructed specially and removable if necessary. These vary greatly in size and shape and the purpose for which used.
Tar - (1) Old nickname for a sailor, who would treat his canvas coats and hats with tar as a protection against the weather. (2) The distilled residue of gum extracted from pine trees, used for preserving many things.
Taut - Stretched tight with no slack.
Telltales - Ribbon, yarn, or other lightweight material attached to rigging or sails to indicate wind action or direction. Proper use of the telltales can help sailors improve their sail trim.
Tender - (1) Describing a boat that lacks stability. (2) A small dinghy or launch used to transport crew and equipment from shore to a larger boat (3) One who serves as a precautionary standby, such as a line tender
Tenon - The bottom of the mast, with a shape designed to fit into the mast step.
Territorial Waters - That portion of the sea up to a limited instance which is immediately adjacent to the shores of any country and over which the sovereignty and exclusive jurisdiction of that country extend.
Tether - A line attached between a safety harness and a secure part of the boat.
The Hard - Land
Thimble - A pear-shaped, grooved metal fitting around which an eye splice is made
Third Assistant Engineer - Maintains lighting fixtures. Repairs malfunctioning accessories in living quarters. Assist other engineers as directed.
Third Mate - Makes sure emergency survival equipment (lifeboats, life rings, etc.) are in order. Assists other officers as directed.
Thole, Thole Pin - Metal or wooden peg inserted in gunwale of a boat for an oar to heave against when rowing without crutch or rowlock.
Three Point Hydroplane - A hydroplane that has two sponsons, one at each side of the hull. The sponsons lift the hull so that, at high speeds, only they and the propeller are in contact with the water, hence three points.
Three Sheets to the Wind - A phrase with a nautical derivation, meaning a man under the influence of drink or unsteadiness through drink.
Throat - The forward upper corner of a four-sided sail. Also refers to the jaws of a gaff.
Thwart - A seat or brace running laterally across the width of a rowing boat.
Thwartships - Across the width of a boat. Also Athwartships.
Ticket - A certificate issued as a result of an examination of competency and experience. Some refer to their USCG license as their ticket
Tidal Atlas - Small charts showing tidal stream directions and rate of flow.
Tidal Current - The horizontal movement of the water due to tide
Tidal Range - The difference in depth between high and low tide.
Tiddley - Term meaning smart or neat.
Tide - The predictable, periodic regular rising and lowering of water in some areas due to the pull of the sun and the moon. Tidal changes can happen approximately every 6 or 12 hours depending on the region.
Tide Rip - Short waves or ripples made by a tide as it ebbs or flows over an uneven bottom, or where two currents meet at sea.
Tide Table - A publication predicting the time and height of high tide and low tide.
Tiller - A bar or handle for turning a boat's rudder or an outboard motor, thereby steering the boat.
Tiller Extension - Hinged extension of the tiller which allows the skipper to control the tiller while hiking or sitting forward.
Timber Hitch - [ image ] - Method of securing a line around a spar by taking the standing part around the spar, then a half hitch around itself and the end tucked three or four times around its own part.
Timbers - On wooden vessels, the frames or ribs of a ship, connected to the keel, which give shape and strength to the ship's hull.
Toe-rail - A small low rail around the deck of a boat. The toe rail may have holes in it to attach lines or blocks and to allow drainage. A larger wall is known as a gunwale.
Tom Cox's Traverse - Work done by a man who bustles about doing nothing. Usually amplified by adding "running twice round the scuttle butt and once round the longboat".
Ton - A measure of weight ashore and a measure of capacity on a vessel.
Tonnage - A measure of a vessel's interior volume; The weight or displacement of a ship.
Top - on square-rigged ships, a platform at the masthead resting on the trestletrees and crosstrees . In addition to being a work platform, it extended the topmast shrouds to give additional support to the topmast.
Top Hamper - That portion of a vessel above the main deck. *
Topgallant - (1) The mast section next above the topmast and and below the royal mast. (2) The yard supported by that mast. (3) The third lowest square sail. It is stretched between the topgallant yard and the top yard.
Topmast - A second mast carried at the top of the fore or main mast, used to fly more sail.
Topmen - Seamen who worked on the masts and yards of square-rigged ships.
Topping Lift - (1) A line by which the end of a spar is hoisted or lowered. (2) A line that holds up the boom when it is not being used. (3) A line from the upper mast which controls the height of the spinnaker pole.
Topsail - The sail above the lowermost sail on a square-rigged ship; also, the sail set above and sometimes on the gaff on a gaff rigged boat.
Topsail Schooner - A schooner with a square rigged sail on the forward mast.
Topside - Above the main deck.
Topsides - (1) The sides of a vessel between the waterline and the deck. (2) Referring to on or above the deck; "I'm going topsides".
Touch and Go - To touch the ground, with the keel, for a minute or so and then proceed again.
Tow - To pull a boat with another boat, such as a tugboat towing a barge. When used as a noun, it refers to the vessel being towed.
Track - (1) Prospective course over the ground for boat to follow. (2) A strip of metal attached to a mast to take the slides affixed to the luff of a sail.
Trade Winds - Steady regular winds in a belt approximately 30� North and 30� South of the equator.
Traffic Separation Zone - The area between opposing shipping lanes, restricted to most navigation except for crossing with caution
Trailing Edge - The aft edge of a sail, more commonly called the leech.
Tramp Service - Vessels operating without a fixed itinerary or schedule or charter contract.
Transit - Two navigational aids separated in distance so that they can be aligned to determine that a boat lies on a certain line. Transits can be used to determine a boat's position or guide it through a channel. Also called a range.
Transom - The athwartship portion of a hull at the stern. The flat, vertical aft end of a ship.
Transverse - Placed at right angles to the keel, such as a transverse frame, transverse bulkhead, etc.
Transverse Bulkhead - A bulkhead placed athwartships.
Trapeze - A belt and line or wire used to help a crew hike out beyond the edge of a boat to counteract the boat's heel. Usually used on small vessels for racing.
Traveler - A slide which travels on a track to which the mainsheet may be attached. The sail shape can be subtly altered by changing the mainsheet position on the traveler.
Trawl - A large net with its mouth held open, towed by a trawler along the bottom to catch bottom fish.
Trawler - A fishing vessel designed to tow a trawl for catching bottom fish.
Trawlwire - Heavy-duty wire used to lower heavy instruments overboard from the trawl winch.
Treenails - In wooden ship construction, these were cylindrical pins of oak which were used to secure the planks to her timbers. Pronounced "trennels".
Trestle Trees - Two short pieces of timber fixed horizontally fore and aft on each side of the lower masthead of a square rigged vessel and used to support the topmast, the lower crosstrees, and the top.
Triatic Stay - A stay leading from one mast, such as the main mast to another, such as the mizzen mast.
Trice - To haul up by pulling downwards on a rope that is led through a block or sheave.
Trice Up - The order or action of tying up hammocks in the morning, thus generally applied to putting one's berth and area into order for the day. *
Trick - A spell of duty connected with the navigation of a vessel; more particularly, at the wheel or look-out.
Tricolor Light - A running light allowed on some sailboats instead of the normal bow and stern lights. The tricolor light contains the red and green side lights and the white stern light in a single fitting that is attached to the top of the mast.
Trim - (1) To adjust the sails for best advantage. (2) Fore and aft balance of a boat. If either the bow or stern is depressed, the vessel is said to be down by the bow or down by the stern. (3) To trim is to adjust. It does not just apply to sheets. You can trim the boat or ship (i.e. improve it�s balance)
Trim Tab - An adjustable section of the rudder that allows the rudder to be corrected for lee helm or weather helm.
Trimaran - A multihulled boat with three hulls.
Trip an Anchor - The act of breaking out the flukes of an anchor if they are caught on some obstruction, preventing it from being normally weighed.
Tripline - A line attached to the crown of an anchor and used to help free it in the event it becomes fouled.
Trolling - To fish by trailing a baited line from behind a slowly moving boat.
Tropics - The region around the equator between the Tropic of Cancer and the Tropic of Capricorn. The tropics are known for their warm weather.
Trough - The bottom of a wave, the valley between the crests.
Truck - A cap for the top of the mast.
True Course - A course steered by the compass that has been corrected for variation and deviation
True North Pole - The north end of the earth's axis and also called North Geographic Pole. The direction indicated by 000� (or 360�) on the true compass rose, it is the direction of the North Pole from any place on the earth's surface.
True Wind - The speed and direction of the wind felt or measured when stationary. The motion of a boat will cause the wind to appear to be coming at a different direction and speed, which is known as apparent wind
Trunk - The tall, narrow, waterproof box that houses a vessel's centerboard and allows it to be retracted into the ship's hull.
Trysail - A small, heavy triangular loose-footed sail fitted aft of the mast and used primarily in very strong winds.
Tug, Tugboat - A powerful, strongly built boat designed to tow or push other vessels, and to assist in maneuvering a ship in a confined area.
Tumble Home - The distance the ship's side falls in towards the center line above the load water line. Opposite of flare.
Tuning - The adjustment of the standing rigging, the sails and the hull to balance the boat for optimum performance.
Turk's Head - [ image ] - An ornamental knot to provide a stopper on the end of a line.
Turn - Complete encirclement of a cleat, bollard, pin or winch by a line.
Turn of the Bilge - The point where the bottom and the sides of a ship join.
Turn Up - To fasten a rope securely by taking turns around a cleat or bollard.
Turn To - Get to work. *
Turnbuckle - A threaded, adjustable fitting, used for stays, lifelines and sometimes other rigging. It is used to to maintain correct tension on standing rigging. Can also be used to pull objects together.
Turning Block - Horizontally mounted block used to re-direct a line on deck.
Turning Mark - A buoy on the race course around which boats must turn.
Turtle - (1) To tip the boat over so that the boat is upside down with the mast pointing down to the sea bottom. (2) A bag in which a spinnaker or other large sail can be stowed with the lines attached so that it can be rapidly raised.
Turtle Back - The top of a wheelhouse, forecastle, etc., having the form of a turtle's back.
'tween Decks - The space between any decks.
Twine - Small line used for whipping other light duties.
Twing - Similar to a Barber hauler, a twing adjusts the angle of sheeting.
Two Half Hitches - A knot with two half hitches loops - on the standing part of the line.
Two-block - To reach the end; to bring one object hard up against another, as when two blocks in a block and tackle arrangement are brought together.
Typhoon - A strong tropical counterclockwise revolving storm the southern hemisphere. In the northern hemisphere these storms revolve clockwise and are known as hurricanes.
U [ Uniform ] - [ meaning ]
Ullage - (1) An old term to denote a lazy sailor who is of little use on the ship. (2) Damaged goods, especially provisions.
Unbend - To cast adrift
Under Bare Poles - Having no sails up. In heavy weather the windage of the mast and other spars can still be enough to move the boat.
Under the Lee - On the lee side of an object, protected from the wind.
Under Foot - Said of anchor when it is under ship's forefoot, and cable is nearly up and down.
Undertow - Strong offshore current extending to the shore.
Underway - Not attached to the shore or the ground in any manner. Usually, but not necessarily, moving through or making way through the water.
Unfurl - To unfold or unroll a sail. The opposite of furl.
Unmoor - To cast off hawsers by which a vessel is attached to a buoy or wharf.
Unreeve - To run a line completely through and out of a block, fairlead, etc.
Unrig - To remove or disassemble gear after it is used.
Unseaworthiness - The state or condition of a vessel when it is not in a proper state of maintenance, or if the loading equipment or crew, or in any other respect is not ready to encounter the ordinary perils of sea.
Unship - To remove from a ship. To remove an item from its place.
Up and Down - Said of cable when it extends vertically and taut from anchor to hawsepipe.
Upper Deck - The highest continuous deck which runs the full length of the ship without a fall or interruption.
Upwind - To windward, in the direction of the eye of the wind; toward the wind; in the direction from which the wind is coming
W [ Whiskey ] - [ meaning ]
Waist - That part of the upper deck of a ship between the forecastle and the quarterdeck, or on sailing ships, between the fore and main masts.
Waister - An old term to describe an untrained or incompetent seaman, or one who was worn out after many years of work.
Wake - Moving waves, track or path that a boat leaves behind it, when moving through the water; the track of disturbed water a boat leaves as it moves.
Wall Knot - A stopper not in the end of a line.
Wardrobe - All the various sails carried on board a yacht.
Wardroom - Officer's recreation area.
Warming the Bell - Striking "bells" a little before the proper time at the end of a watch. More generally, doing something unjustifiably or unnecessarily early.
Warp - (1) To warp is to move a vessel by lines - move a boat by hauling on lines attached to docks or anchors. (2) The longitudinal threads in canvas and other textiles. (3) Hawser used when warping. (4) The line by which a boat rides to a sea anchor. (5) Mooring ropes.
Warrant Officer - A range of ranks above enlisted men and below commissioned officers, usually having specialized knowledge and skills. *
Wash - (1) Broken water at bow of a vessel making way. (2) Disturbed water made by a propeller or paddle wheel. (3) The rush or sweeping of waves on a bank, shore, or vessel.
Washboards - Boards used to close the companionway.
Washing Down - Said of a vessel when she is shipping water on deck and it is running off through scuppers and freeing ports.
Watch - The day at sea is divided into six four hour periods. Three groups of watchstanders are on duty for four hours and then off for eight, then back to duty; also refers to those standing watch as an individual, pair, or group. In order to prevent the same men from keeping the same watch each day, the watch between 1600 and 2000 is divided into two half watches, known as the first and last dog watches, in order to produce an odd number of watches each day.
Watch Bell - Bell used for striking the half hours of each watch.
Watch Buoy - A buoy moored near a Lightship from which she can check her position to make sure that she has not moved by dragging.
Water Ballast - Sea water used for ballast, let into the double bottom, or into a water-ballast tank, or trimming tanks.
Water Breaker - Small cask used for carrying drinking water in a boat.
Water Stop - A dowel driven through a hole that is drilled across a seam, to prevent leakage, usually in structural members. 1
Waterline - The line where the water comes to on the hull of a boat. Design waterline is where the waterline was designed to be, load waterline is the waterline when the boat is loaded, and the painted waterline is where the waterline was painted. Actual waterline is where the waterline really is at any given time.
Waterline Length - The length of the boat at the waterline.
Waterlogged - Completely filled with water.
Watertight Bulkhead - A bulkhead that will not let water pass from one side of it to the other.
Watertight Compartment - A compartment having a watertight bulkhead at each end.
Waterway - A river, canal or other body of water that boats can travel on.
Wave - Oscillations of the sea caused by wind blowing along the surface and moving in the direction from which the wind blows.
Waveson - Goods floating on surface of sea after a wreck.
Way - A vessel's movement through the water; such as headway, sternway, or leeway.
Way Enough - Order given to a boat's crew when going alongside under oars. Denotes that boat has sufficient way, and that oars are to be placed inside the boat.
Waypoint - A charted feature or chosen position on a chart
Ways - The framework of timber, etc., on which a vessel is built, from which she is launched into the water.
Wear - 1) To wear a boat is the operation of bringing a sailing vessel onto the other tack by bringing the wind around the stern, as opposed to tacking, where the wind is brought around the bow. 2) In respect to the flying of flags, a ship flies her national flag or ensign, but wears a personal flag.
Weather - In the direction from which the wind blows, as in weather side of the ship, the side from which the wind is blowing; to windward.
Weather Board - Windward side of a vessel.
Weather Deck - A deck exposed to the wind and sea.
Weather Helm - The natural tendency of a sailboat to come up into the wind. The helm must be held over to keep the boat from coming up
Weather Proverbs - The ability of a seaman to foretell weather by the appearance of the sky, change of wind direction, etc. was handed down in the form of proverbs. Some well known are:
Mackerel skies and mares' tails
Make tall ships carry short sails
Red sky at night, sailor's delight;
Red sky in the morning, sailors take warning.
Rainbow in the morning, sailors take warning,
Rainbow toward night, sailors' delight.
A backing wind says storms are nigh,
But a veering wind will clear the sky.
Seagull, seagull, sit on the sand,
It's never good weather when you're on the land.
When a halo rings the moon or sun,
The rain will come upon the run.
If wooly fleeces deck the heavenly way,
Be sure no rain will mar a summer's day.
With the rain before the wind,
Stays and topsails you must mind,
But with the wind before the rain,
Your topsails you may set again.
When boat horns sound hollow,
Rain will surely follow.
Weather Side - The windward side.
Weathercock - (1) A weathercock is a weathervane, especially one in the form of a rooster. (2) As a verb, it means to have a tendency to veer in the direction of the wind.
Weatherly - A sailing vessel is said to be weatherly when she can sail closer to the wind than the average, thus gaining an advantage when the destination is to windward.
Weeping - When water oozes through the seams of a vessel's shell, or a steam boiler, etc., they are said to weep.
Weigh - To haul up; as, weigh the anchor.
Weigh Anchor - To raise anchor in preparation for departure.
Well Deck - The two spaces on the main deck of an older type merchant ship, one between the forecastle and the midships housing which supports the bridge, and the other between this midships area and the poop deck . Most modern merchant vessels are now built with the bridge aft and an uninterrupted flush deck from the bridge to the bow of the ship.
Well Found - Said of a vessel that is adequately fitted, stored, and furnished.
West - One of the 4 cardinal compass points. West is at 270� on a compass card.
West Wind, Westerly Wind - Wind coming from west.
Wet - A maritime term meaning stupid.
Wet Dock - Repairs made without removing the vessel from the water.
Wet Locker - A locker equipped with a drain so that wet clothes can be stored in it without damaging other objects in the boat.
Wetted Surface - The whole of the external surface of a vessel's hull that is in contact with the water in which she is floating.
Whack - An old term for a seaman's daily rations.
Whaler - A ship engaged in the whale fishery.
Wharf - Man-made structure of wood or stone parallel to the shoreline, used for loading and offloading of cargo, embarkation and disembarkation of passengers, or making fast. Virtually the same as a quay , except a quay is generally built only of stone.
Wharfage - Charge to a ship for using a wharf.
Wharfinger - One who owns or manages a wharf.
Wheel - (1) Device used for steering a boat. (2) Slang for a ship's propeller.
Wheelhouse - The deckhouse of a vessel where the helm is located.
Wheelsman - Another name for the helmsman; one who steers a ship via a wheel.
Where Away? - Inquiry addressed to a look-out man, demanding precise direction of an object he has sighted and reported.
Whip, Whipping - [ image ] - To bind the strands of a line with a small cord. Winding twine or heavy thread around the end of a line to keep it from unraveling
Whisker Pole - A pole connected to the mast and the clew of the jib, to hold the jib out when going downwind
Whistle Buoy - A navigational buoy with a whistle.
Whistling for Wind - Based on an old tradition that whistling at sea will cause a wind to rise.
Whistling Psalms to the Taffrail - Nautical phrase that means giving good advice that will not be taken.
White Horses - Fast-running waves with white foam crests.
Wholesome - Said of craft that behaves well in bad weather.
Wide Berth - To avoid something by a large distance.
Widow-maker - A term for the bowsprit (many sailors lost their lives falling off the bowsprit while tending sails).
Wildcat - A special type of drum or sprocket on a windlass constructed to handle the anchor chain links. Also referred to as a chain gypsy.
Winch - A metal drum shaped device used to increase hauling power when raising or trimming sails, loading and discharging cargo, or for hauling in lines. A machine that has a drum on which to coil a rope, cable or chain for hauling, pulling or hoisting.
Winch Head - A drum (usually of small diameter and concave) on a winch. Designed for taking and holding the turns of a rope.
Wind Dog - An incomplete rainbow, or part of a rainbow. It is supposed to indicate approach of a storm.
Wind Rose - A diagram usually shown on pilot charts that indicates the frequency and intensity of wind from different directions for a particular place
Wind Scoop - A funnel shaped device used to force wind in a hatch and ventilate the below decks area.
Wind Shadow - The wind being blocked by a land mass, obstruction, or sails from another boat. This creates a windless area on boats downwind away from them.
Winding - Turning a vessel end for end between buoys, or along-side a wharf or pier.
Windlass - A special form of winch used to hoist the anchors. It has two drums designed to grab the links of the anchor chains and is fitted with ratchet and braking device suitable for "paying out" chain. - A windlass revolves around a horizontal axis, as opposed to a capstan, which rotates around a vertical axis.
Window - A transparent portion of a jib or mainsail.
Windshift - The natural occurrence of the movement of the wind. Sailors use windshifts to sail a shorter distance on a race course.
Windward - Towards the wind. Windward is an adjective meaning the direction from which the wind is blowing. The windward side of a boat is the one which the wind hits first. "Sailing to windward" means sailing towards the wind. Opposite of leeward.
Windward Mark - A racing mark or buoy that is set upwind.
Wing and Wing - Sailing directly downwind with two sails set. Usually the mainsail on one side and a headsail on the other, or one headsail on each side.
Wishbone - A boom composed of two separate curved pieces, one on either side of the sail. With this rig, sails are usually self tending and loose-footed.
Without Prejudice - Words used when a statement, comment, or action is not to be taken as implying agreement or disagreement, or affecting in any way a matter in dispute, or under consideration.
Working Sheet - The sheet that is currently taught and in use to control a sail. The opposite of the lazy sheet.
Worm - The operation of passing a small line in a spiral between the lays of a rope, in preparation for parcelling and serving. Rope is wormed, parcelled and served to protect it from water which could rot it, or from chafing
Wrack - (1) To destroy by wave action. (2) Seaweed thrown ashore by sea.
Wreck - The hull of a ship which is a total loss through weather stress, collision, fire, sinking, stranding or any other cause.
Y [ Yankee ] - [ meaning ]
Y Valve - Liquid flows through into the valve and flows out through one of two tubes which is selected by changing the angle of a lever.
Yacht - A sailboat or powerboat used for pleasure, not a working boat.
Yankee - (1) A fore-sail flying above and forward of the jib, usually seen on bowsprit vessels. (2) A foresail used on yachts similar to a genoa, but cut narrower, with its leech not overlapping the mainsail, and a higher clew.
Yar - Fit and beautiful (describing a boat)
Yard - A spar from which a square sail is hung. A long spar, tapered at the ends, attached at its middle to a mast and running athwartships at right angles to the mast; used to support the top of a square sail. The yard can pivot (be braced) around the mast. At rest (braced square) the yard runs athwartships. Each yard takes its name from the section of mast that supports it, and the sails take their names from the yards.
Yardarm - That part of yard that lies between the lift and the outboard end of the yard.
Yarn - A tall tale sea story
Yaw - Swinging off course, usually in heavy seas. The bow moves toward one side or the other of the intended course.
Yawl - A two masted sailboat with the shorter mizzen mast placed aft of the rudder post. A ketch is similar, but the mizzen mast is forward of the rudder post.
Yawl Boat - Smaller powered boat used to provide steerage-way when not under sail.
Yellow Jack - Slang name for the Q Flag . Also an old term for yellow fever.
Z [ Zulu ] - [ meaning ]
Zebra Mussel - A small freshwater mollusk that was accidentally introduced to North American waters via ballast water from a transoceanic vessel. The zebra mussel has had significant negative economic and ecological effects: It clogs water intake pipes and attaches to and fouls boat hulls, dock pilings and other objects.
Zenith - The point of the celestial sphere which is directly overhead.
Zenith Angle - The angle between the zenith and a heavenly body.
Zephyr - A gentle breeze; the slightest movement of air.
Zincs - Sacrificial anodes placed on a vessel to prevent electrolysis of vital metal parts.
Zulu - Used to indicated times measured in Coordinated Universal Time, a successor to Greenwich Mean Time. A time standard that is not affected by time zones or seasons.
* Contributors:
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i don't know
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A dosimeter measures human absorption of what over a time period?
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Dosimetry facts, information, pictures | Encyclopedia.com articles about Dosimetry
Encyclopedia of Espionage, Intelligence, and Security
COPYRIGHT 2004 The Gale Group Inc.
Dosimetry
█ LARRY GILMAN
Dosimetry measures the amount of radiation energy absorbed over a given period of time by an object (e.g., human body) or by part of that object (e.g., an organ or tumor). Here, radiation refers not only to ionizing radiation of the sort emitted by radioactive materials—fast particles and gamma rays—but to light, radio waves, or ultrasound. Dosimetry is essential wherever radiation is utilized to treat cancer; the treatment must deliver a sufficient dose to target tissues without delivering too large a dose to other parts of the body. Dosimetry is also needed, wherever radioactive materials are handled in significant quantities, to track the cumulative exposure of individuals and to moniotor for accidental releases of radioactive material.
A device that measures cumulative radiation exposure is a dosimeter. A Geiger counter is a radiation detector, but not a dosimeter, because it gives only a moment-to-moment reading of radiation intensity; a strip of photographic film, however, whose degree of exposure indicates how much radiation it has absorbed (up to its saturation limit), can act as a dosimeter. Filmstrip dosimeters are, in fact, still used to measure exposure to ionizing radiation. By grading the sensitivity of a specially formulated film strip from one end to the other, it can be made to indicate net, cumulative radiation exposure as a bar of darkening that grows from the most sensitive end of the film to the least sensitive end. Such "badge dosimeters" are common in the nuclear weapons and nuclear-power industries. However, they have the disadvantage that they must be developed to be read, and so do not give the bearer immediate knowledge of their exposure level.
Another type of dosimeter is the pen ionization dosimeter. These devices contain a long, narrow chamber filled with a few cubic centimeters of nonconducting gas. A metallic contact touches the interior of the chamber at each end. When the dosimeter is to be used, an initial electric charge is placed on the gas tube; that is, an imbalance of electrons is created between the two ends. Since the gas in the tube is normally nonconducting, electrons cannot travel through it to even out the charge imbalance. However, ionizing radiation passing through the gas forcibly frees electrons from atoms in the gas (i.e., partly ionizes the gas), and these negatively charged electrons are free to flow toward the end of the tube having a positive charge. The more ionizing radiation the pen dosimeter is exposed to, therefore, the more of its initial charge is enabled to leak through the gas tube; the amount of charge lost is a measure of the amount of radiation that has passed through the tube. A pen dosimeter can be read by its bearer at any time, and so gives a current reading of exposure; however, pen dosimeters readings can be affected by mechanical shock or vibration.
A more modern dosimeter design is the thermoluminescent dosimeter (TLD). A TLD contains a tiny crystal of lithium fluoride (sometimes mounted in a finger-ring) that undergoes cumulative structural changes as it is exposed to ionizing radiation. When heated, the crystal glows, giving off an amount of light that is proportional to its radiation exposure. This light is observed by an electronic sensor in a readout unit and recorded digitally. This data can be stored in a central database, a convenient feature if an organization wishes to systematically monitor radiation exposure of a large body of personnel. Databasing of TLD data has been used, for example, by Canada to monitor the exposure of its troops to radiation from depleted-uranium munitions used by NATO in Bosnia. TLDs, unlike film badges, can be re-used; however, they must be inserted in a reader that heats the crystal and records the light emitted, a process that may take 20 to 30 seconds and erases the data in the crystal.
An even more recent entry in the dosimeter field is the optically stimulated luminescence dosimeter (OSLD). In this design, a thin film of crystalline aluminum oxide undergoes cumulative structural changes as it is exposed to ionizing radiation; when an exposure reading is desired, the crystal is exposed to green laser light. The amount of blue light emitted by the film in response is proportional to its radiation exposure. Unlike a TLD, an OSLD can supply an instant readout that can be repeated if necessary.
Solid-state devices that measure radiation by detecting ionization leakage current through a transistor device also exist. Radiation detectors and dosimeters based on such solid-state technology have been available since the 1980s, but have not edged out other dosimeter technologies in terms of cheapness, sensitivity, and accuracy.
Dosimetry for laser light, radio waves, and ultrasound, which is often required in medical contexts, is more difficult than dosimetry of ionizing radiation. One method of measuring dose delivered to a volume of tissue is to measure the temperature increase of the tissue; the more increase, the more radio or sound energy has been absorbed. However, these techniques do not work for tissue embedded in living organisms (where temperature measurement is difficult and where heat is rapidly conducted away) or for whole-body exposure, as biologically tolerable doses of laser, radio, and sound energy produce undetectably slight changes in body temperature. Absorption by the body of radio waves is particularly different from absorption of ionizing radiation; the body acts as a complex antenna whose performance is strongly affected by its posture and orientation and by nearby objects. Dosimetry for radio and ultrasound therefore relies heavily on computational models rather than on direct measurements.
█ FURTHER READING:
COPYRIGHT 2005 Thomson Gale
Dosimetry
A forensic investigation could potentially involve the detection of radiation. In this situation, measuring the amount of radiation present is important, both as evidence and to discern whether the radiation presents a potential hazard to the investigators.
Dosimetry measures the amount of radiation energy absorbed over a given period of time by an object such as the human body or a part of that object (e.g., an organ or tumor).
A device that measures cumulative radiation exposure is a dosimeter. A Geiger counter is a radiation detector, but not a dosimeter, because it gives only a moment-to-moment reading of radiation intensity. A strip of photographic film, however, whose degree of exposure indicates how much radiation it has absorbed (up to its saturation limit), can act as a dosimeter. Filmstrip dosimeters are, in fact, still used to measure exposure to ionizing radiation. By grading the sensitivity of a specially formulated film strip from one end to the other, it can be made to indicate net, cumulative radiation exposure as a bar of darkening that grows from the most sensitive end of the film to the least sensitive end. Such "badge dosimeters" are common in the nuclear weapons and nuclear-power industries. However, they have the disadvantage that they must be developed to be read, and so do not give the bearer immediate knowledge of their exposure level.
Another type of dosimeter is the pen ionization dosimeter. These devices contain a long, narrow chamber filled with a few cubic centimeters of nonconducting gas. A metallic contact touches the interior of the chamber at each end. When the dosimeter is to be used, an initial electric charge is placed on the gas tube. This creates an imbalance of electrons between the two ends. Since the gas in the tube is normally nonconducting, electrons cannot pass through it to even out the charge imbalance. However, ionizing radiation passing through the gas forcibly frees electrons from atoms in the gas, and so partially ionizes the gas. The negatively charged electrons are free to flow toward the end of the tube having a positive charge. The more ionizing radiation the pen dosimeter is exposed to, therefore, the more of its initial charge is enabled to leak through the gas tube. The amount of charge lost is a measure of the amount of radiation that has passed through the tube. A pen dosimeter can be read by its bearer at any time, and so gives a current reading of exposure; however, pen dosimeters readings can be affected by mechanical shock or vibration.
A more modern dosimeter design is the thermoluminescent dosimeter (TLD). A TLD contains a tiny crystal of lithium fluoride (sometimes mounted in a finger-ring) that undergoes cumulative structural changes as it is exposed to ionizing radiation. When heated, the crystal glows, giving off an amount of light that is proportional to its radiation exposure. This light is observed by an electronic sensor in a readout unit and recorded digitally. This data can be stored in a central database, a convenient feature if an organization wishes to systematically monitor radiation exposure of a large body of personnel or share data in forensic investigations. Databasing of TLD data has been used, for example, by Canada to monitor the exposure of its troops to radiation from depleted-uranium munitions used by NATO in Bosnia. TLDs, unlike film badges, can be re-used; however, they must be inserted in a reader that heats the crystal and records the light emitted, a process that may take 20 to 30 seconds and erases the data in the crystal.
An even more recent dosimeter design is the optically stimulated luminescence dosimeter (OSLD). In this design, a thin film of crystalline aluminum oxide undergoes cumulative structural changes as it is exposed to ionizing radiation; when an exposure reading is desired, the crystal is exposed to green laser light. The amount of blue light emitted by the film in response is proportional to its radiation exposure. Unlike a TLD, an OSLD can supply an instant readout that can be repeated if necessary.
Solid-state devices that measure radiation by detecting ionization leakage current through a transistor device also exist. Radiation detectors and dosimeters based on such solid-state technology have been available since the 1980s, but have not edged out other dosimeter technologies in terms of cheapness, sensitivity, and accuracy.
Dosimetry for laser light, radio waves, and ultrasound is more difficult than dosimetry of ionizing radiation. One method of measuring dose delivered to a volume of tissue is to measure the temperature increase of the tissue; the more increase, the more radio or sound energy has been absorbed. However, these techniques do not work for tissue embedded in living organisms (where temperature measurement is difficult and where heat is rapidly conducted away) or for whole-body exposure, as biologically tolerable doses of laser, radio, and sound energy produce undetectably slight changes in body temperature. Absorption by the body of radio waves is particularly different from absorption of ionizing radiation; the body acts as a complex antenna whose performance is strongly affected by its posture and orientation and by nearby objects. Dosimetry for radio and ultrasound therefore relies heavily on computational models rather than on direct measurements.
see also Analytical instrumentation; Isotopic analysis; Radiation damage to tissues; Radiological threat analysis.
Cite this article
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Ionizing radiation
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What technical term, also slang for street, refers to the forces resisting the forward movement of an aircraft?
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Free Flashcards about Radiation Protection
Well- oxygenated rapidly dividing cells are _______ sensitive to damage by radiation.
very sensitive
Atoms that have the same number of protons w/in the nucleus but a different number of neutrons
isotopes
What instrument should be used to locate a lost radioactive source or to detect low-level radioactive contamination?
Geiger-Muller
What instruments can be used to calibrate radiographic and fluorscopic equipment?
ionization chambers
What is an advantage of the cutie-pie?
able to measure a wide range of radiation exposures within a few seconds
This monitoring device can descriminate between x-radiationa and gamma and beta radiation
film badge
This monitring device is not affected by humidity, pressure, or normal temp changes, can be worn for up to 3 months, but does not serve as a permanent record of exposure
thermoluminescent dosimeter
This monitoring device can not be used for procedures that are short
pocket ionization chamber
These record whole-body radiation exposure accumulated at a low rate over a long period of time.
film badge
The term optimization for radiatio protection is synonymous with the term:
ALARA-as low as reasonably achievable
the degree to which the diagnostic study accurately reveals the presence or absence of disease in the patient.
diagnostic efficacy
the main adverse health effect from Chernobyl
increase of thyroid cancerin children and adolescents
1 sievert= _____ rem
International System of Units (SI), unit of equivalent dose
sievert
traditional unit of equivalent dose
rem
2 examples of ionizing radiation
x and gamma
equivalent dose only applies to ________ radiation
ionizing
compared with beta particles, alpha particles are <more/less> penetrating
less
blood changes occur at ____ Sv, which is equivalent to ____rem
.25 Sv/ 25 rem
transference of electromagnetic energy to the atoms of the material
absorption
amount of energy absorbed per unit mass
absorbed dose
the emerging x-ray photon is collectively referred to as:
primary radiation
a reduction in the number of primary photons in the x-ray beam through absorption and scatter as the beam passes through the object in its path
attenuation
the photons that emerge from an object and strike the IR below it
exit, image formation, photons
2 types of interaction that are important in diagnostic radiology
compton scattering and photoelectric absorption
some short term somatic effects
nausea, fatigue, loss of hair, fever, blood disorders, intestinal disorders, diffused redness of skin, shedding of outer layer of skin
long term or late somatic effects
cancer, embryologic effects, formation of cataracts
a dose of radiation below which an individual has a negligible chance of sustaining specific biologic damage
threshold dose
short term somatic effects appear __________
within minutes, hours, days or weeks of the time of exposure
internationally accepted unit for measurement of exposure to x-radiation and gamma radiation
Roentgen
SI unit for absorbbed dose and its traditional equivalent
gray (Gy) and rad
When designing the thickness of protective barriers, the inverse square law applies to the factor of which of the following?
. Distance
What is the recommended cumulative whole-body effective dose equivalent limit?
Age in years multiplied by 10 mSv (1000 mrem)
To what type of radiation exposure does the EDE system apply?
Occupational exposure and exposure of the general public
What is the effective dose equivalent for occupants of controlled areas?
Less than 1000 microsieverts (100 mR)/week
Isoexposure profiles during fluoroscopy show the need for which of the following?
Bucky slot covers and protective curtains
. Why are secondary barriers always given a use factor of 1?
Scatter radiation and leakage radiation are always present when the tube is energized.
What is the EDE limit during pregnancy?
5 mSv (500 mrem)
What are primary protective barriers designed to protect against?
Primary or useful beam radiation
. In determining barrier thickness, what does the use factor or beam direction factor represent?
The fractional amount of time the primary beam is energized and directed at a barrier
In the design of protective structural shielding, what type of radiation is most hazardous and most difficult to protect against?
Primary radiation
The normal process by which somatic sells proliferate is termed:
mitosis
The symptoms of fever and malaise associated with a reduced number of leukocytes is one of the major characteristics of the ___________ syndrome.
hematologic syndrome
The most sensitive phase of the normal cell cycle occurs during the _________ phase.
middle of the M-phase
period of major organogenesis occurs during the __ of fetal development
2nd to 8th week
most sensitive organs to the effects of 200 rems of rad exposure
testes and ovaries
cells that have a specialized function and are in the final stage of their maturation process
differentiated cells
what are the first signs of ARS
Nausea, Vomiting, Diarrhea
A change in the normal proliferation or reproductive rate of a group of cells is called ________.
mitotic delay
A direct effect usually refers to a ___________ caused by x-ray photon or other form of high-energy radiation.
point mutation on a DNA molecule
Th emost common symptoms accompanying the gastrointestinal syndrome are:
dehydrationa and vomiting
a common by product resulting from the irradiation of water in a living cell is a bleach called ______
hydrogen peroxide
energy from ionizing radiation is transferred from a directly ionized molecule to another molecule that is not directly ionized is called
indirect hit theory
In an otherwise healthy person, somatic damage to radiation is approximately ____ % repairable when small exposures are received in fractioned doses
90%
period in which effect of exposure are hidden
latent
period of an acute exposure to radiation in which the effects of the exposure are apparent
manifest
the majority of damage to the body from radiation exposure results from the ________ effect
indirect
epilation
loss of hair
A patient receives an estimated exposure f 3000 millirad of x-rays...what is his person's dose equivalent?
3000 millirem
Air kerma is employed to equate the exposure to radiation traditionally measured by the _______(how is it expressed?)
roentgen and expressed in units of gray
A person is exposed to 200 rad of beta having a quality factor of 2. This person's dose equivalency is _____.
400 rem
A pt is exposed to 95 rad of 1 MeV neutrons having a QF of 6. This person's dose equivalency is ______.
570 rem
primary difference between a Geiger-Muller detector and a cutie pie is:
the voltage impressed on the ionization chamber
Luxel badges detect radiation through a process called __________.
optically stimulated luminosity
the smallest exposure that is detectable through the use of a standard film type personnel monitoring device is approximately _____.
10 mrem
the smallest radiation exposure that can be detected by a biological method is approx _____mrem
25,000 mrem
principle active component of a thermoluminescent dosimeter is a special crystal called
lithium fluoride
the roentgen is most closely related to __ radiation
primary
the short interval of time during which a radiation counter is unable to respond to radiation exposure is called _______.
dead time
a 200 rem exposure is equivalent to _____sieverts
2 Sv
the linear energy transfer (LET) of an x-ray or gamma photon is low because of its ____ .
high penetration
<Alpha, Beta, Gamma> possesses the greatest threat to the internal organs from an external exposure
gamma
the traditional unit of absorbed dose is equivalent to an energy transfer of 100 ergs per gram of any matter and is termed the ____.
rad
the standard international unit for measurement of absorbed dose for all types of ionizing radiation is the _______.
gray
the curie is the traditional unit used to express the ________________.
activity of a radioactive material
the principle source of scatter during fluoroscopy comes from ______.
the patient
primary barriers should have a thickness of _____mm lead ( ")
1.5 mm lead (1/16")
an exposure switch on a mobile radiographic unit should be long enough to allow the radiographer to remain _____cm/______m/______ft away
200 cm/2 m/6 ft
a secondary barrier must have a lead equivalency of ____mm lead ( ")
.75 mm lead (1/32")
the protective lead required around the average x-ray tube is _____mm
1.5 (tube is exposed to primary radiation making it a primary barrier)
after a radioisotope is injected into the body, the rate at which it is expelled by the body is termed the _______
biologic half- life
a radioactive source has a half life of 8 hours. how long would it take to reduce a 400 millicurie/hr source to a level of 50 millicurie/hr
24 hours
as the atomic number of a substance increases, the half value thickness <increases, decreases, stays the same>
decreases (more radiation is attenuated, the half value decreases)
the fraction of time that a radiation beam is directed at a specific barrier or area is termed
use factor
minimum source to skin distance
12"
an x-ray machine operating above 70 kVp requires at least ______mm aluminum of tube filtration
2.5 mm
a gonadal shield with a .5 mm lead equivalent is able to attenuate approximately ____% of the incident x-rays for a 75 kVp beam
88%
radiographer's annual dose limit under ALARA
5 mSv (.5 rem) per year
embryo-fetus exposure should not exceed ______/month
.5 mSv (.05 rem)
for a fixed fluoroscopic unit, the source to skin distance should not be less than ______"
15"
the effective dose limits are based on what type of dose relationship?
linear, non-threshold
according to the NCRP, the air kerma at the level of the pt during fluoroscopy, shall not exceed ________/min
10 cGy (10 rad) per min
two most common filtering materials used for filtration of a diagnostic x-ray beam
aluminum and Lucite
What does the dose equivalent allow us to calculate?
The effective absorbed dose of all types of ionizing radiation
What is the National Council on Radiation Protection monthly radiation effective dose equivalent limit for radiation workers?
0.5 mSv
In radiation from a diagnostic x-ray, a measurement of 0.01 sievert is equal to which of the following?
1 rem
The dose equivalent is calculated by multiplying the absorbed dose by which of the following?
A quality factor
What is the SI unit that refers to the amount of ionizing radiation that may strike an object such as the human body when in the vicinity of a radiation source?
Coulombs per kilogram
The effective dose is calculated using which of the following?
A tissue weighting factor
What unit of measurement is defined as the amount of energy per unit of mass absorbed by the irradiated object?
Gray
How is surface integral exposure calculated?
Exposure times the area of the radiation beam
|
i don't know
|
Bir, iki, uc, dort, bes (loosely westernised) are 1-5 in what language?
|
greek&turks - Google Groups
greek&turks
In < [email protected] > Gregory Dandulakis wrote:
>The story is simple. The Osmanli language had more than 80%
>non-turkish origin words (based on any vocabulary) (mostly
>Persian and Arabic), and a not exactly evaluated amount of
>non-turkish origin grammatical structures. All this was
>wiped out by frenzically working ideologues, who found even-
>tually a political environment to accept their goals. Just
>for comparisons sake imagine an English language cleansed
>by all the non-english origin words and grammatical forms.
>And all this created by a bunch of maniacal ideologues, who
>eventually find some powerful politicians willing to impose
>this new artificial language.
Your using words like "frenzical, maniacal, etc."
clearly give away your feelings on the subject...
Unfortunately neither your feelings nor ignorance
will change the facts about the matter... In fact,
if you get to learn more about it, you may have to
increase your dose and use stronger words in order
to keep that satisfaction... :)
>At least in the Greek case there was an attempt made to bring
>the artificial language closer to old great texts. IN the
>case of modern Turkish, the results were to immitate the
>language of primitive nomads, and the filling to be covered
>with massively invented neologisms.
Maybe what you can't deal with is the fact that,
what you call "language of primitive nomads" is
one of the most structured, regular, precise and
flexible languages... It is spoken in many great
flavors, from Eastern Europe to Western China...
What is called Ottoman Turkish had never been the
language of the Turkish population is general...
Thus the language reform was in fact replacing the
language of the government and the so called elite
with the language of the people... This was done
mostly by reviving and/or popularising older words
and words from different localities of Turkey, as
well as from other Turkish/Turkic languges...
Your statement on "invented neologisms" is nonsense.
Some people may have problem with them because of
their political views and for other reasons... But
Turkish is an agglutinative language. Thus there is
nothing unusual about making new words by appending
suffixes to word stems... In fact, dictionaries will
not even list all the words in use made from a same
word stem but just give the meanings of the ones that
may have acquired figurative meanings, etc. Because
once the words stems and the suffixes are known, words
can be synthesized on the fly by appending appropriate
prefixes to the word stems...
If you forego the figurative meanings, etc. a basic
Turkish dictionary, listing a few hundred word stems
and a few dozen suffixes, would fit in a pamphlet of
a few pages but would be enough to understand most of
the language... Perhaps it is a little difficult for
you to conceive such efficiency...
I suggest you don't learn too much about Turkish, for
I'm affraid what you will find out about it may bother
you even more...
In article Cluster User < [email protected] > wrote:
...
>(however there is no point in arguing with MK,
>since linguistic nationalism is an axiom for him,
>as for gregory, I fail to see his point).
My point is simple. The language which was developed by the
Ottomans, the Osmanly, expressed _directly_ the nature of their
political evolution and cultures contributing to that state.
The Ottomans early on very consiously realized that they
could not sustain an expanding state, as well stabilize
one, by forgetting the true political forces working within
that state. And beyond the original small turkogenic ruling
cast, its whole main cultural carrier, before even the ruling
cast reaching Minor Asia, was the Persian advanced (at the time)
culture. Persian was an integral part of the Ottomans from time
zero. Soon the Arabic world was a dominant force within that
state. So did the Ottomans were forced to mutate to absorbe
as much of the Arabic culture as they could fit. Similar, to
a less extent happened with the Roman culture. So, to pretend
that the Osmanli culture and history, and as a special case the
Osmanli language, is Turkish culture (language) is a gross dis-
tortion of the _actual_ nature and process which made the Ottomans
possible. Consequently, the artificial language called modern
Turkish, created to serve the modern Turkish state, is _NOT_
Osmanli. It is _NOT_ even evolutionarily related to Osmanli.
It is just that: a brand new language, created by philologists,
served political purposes, and has a long way to go before it
becomes a mature and efficient language to serve a modern
state.
In article < [email protected] >, [email protected] (Gregory Dandulakis) writes:
> In article Cluster User < [email protected] > wrote:
> ...
>>(however there is no point in arguing with MK,
>>since linguistic nationalism is an axiom for him,
>>as for gregory, I fail to see his point).
...Consequently, the artificial language called modern
> Turkish, created to serve the modern Turkish state, is _NOT_
> Osmanli. It is _NOT_ even evolutionarily related to Osmanli.
> It is just that: a brand new language, created by philologists,
> served political purposes, and has a long way to go before it
> becomes a mature and efficient language to serve a modern
> state.
(Tekin) Greg, your points about how the Ottomans (and Selcukis) cultivated
a trans-national cultural/languistic domain might have some validity even though
I suspect that many things these civilization are known for sprang directly
from the Turkic/Mongolic cults of the Central Asia. But, that is beyond the
point I like to make here.
It is that Turkish is not an artificial language created by some scholars and
Ataturk during the 1930s and later. If nobody else, which I doubt a great deal,
it was spoken by the Turkomans stretching from Asia Minor to the steps of
Turkistan. Contrary to the dreaming traditionalists of today, what was
significant was the recatologing of the spoken Turkish among the rural
population of Turkey, who were by the way not infected by the Ottoman language.
In addition, I must say, some new words were created by utilizing the roots
of Turkish words. This process is normal since the languages have to evolve
as times change, and should be taken as an adjustment, not as a creation of a
new language.
Secondly, I think Turkish is a highly flexible language. (But, I might have my
bias here). But, I am one of those people that believe that Turkish can expand
its capacity even further. Of course, it is also matter of how much and how
fast the Turks can adopt to the winds of change. It reflects on the language.
:My point is simple. The language which was developed by the
:Ottomans, the Osmanly, expressed _directly_ the nature of their
ottoman turkish.
:political evolution and cultures contributing to that state.
this has a certain element of truth in it.
:The Ottomans early on very consiously realized that they
:could not sustain an expanding state, as well stabilize
:"one, by forgetting the true political forces working within
one could say that the ottomans had a cosmopolitan outlook.
:that state. And beyond the original small turkogenic ruling
:cast, its whole main cultural carrier, before even the ruling
this is a distortion and a partial truth. true, turko - iranian
contacts are ancient, but the essential turkish element that
came to asia minor was free of excessive persian influence.
:cast reaching Minor Asia, was the Persian advanced (at the time)
:culture. Persian was an integral part of the Ottomans from time
this is an exageration.
:zero. Soon the Arabic world was a dominant force within that
this is false.
:state. So did the Ottomans were forced to mutate to absorbe
:as much of the Arabic culture as they could fit. Similar, to
arabic culture as expressed in islamic culture, I don't see
much direct influence other than being open to arabic
loanwords, which at the initail stage was through the medium of
persian. arabs were subjects of the empire, yet there were few
prominant people that could be identified as arabs.
:a less extent happened with the Roman culture. So, to pretend
:that the Osmanli culture and history, and as a special case the
:Osmanli language, is Turkish culture (language) is a gross dis-
no! the language was called turkish. the core vocabulary was
always turkish, and the grammer was turkish (the only exception
was persian constructs and these were used *only* in phrases that
contained perso arabic words and was not used if one of the words
was turkish). previously turkish had influenced persian much more.
:tortion of the _actual_ nature and process which made the Ottomans
:possible. Consequently, the artificial language called modern
:Turkish, created to serve the modern Turkish state, is _NOT_
:Osmanli. It is _NOT_ even evolutionarily related to Osmanli.
the spoken language, core vocabulary, grammer have remained
fairly constant. changes have taken place in "higher"
vocabulary. what you say is simply false.
:It is just that: a brand new language, created by philologists,
:served political purposes, and has a long way to go before it
much of what you say is true, but some of the conclusions you
reach are misleading.
:becomes a mature and efficient language to serve a modern
:state.
the discussion would be more friuitful if you knew some turkish.
:Gregory
your criticism still amounts saying that turks are weak in the
characteristics of a nation, much like turkish criticism of kurds.
fundamental criticism of turkish state policy is still possible
without the "baggage" that you introduce.
In < [email protected] > Gregory Dandulakis wrote:
> ...... Consequently, the artificial language called modern
>Turkish, created to serve the modern Turkish state, is _NOT_
>Osmanli. It is _NOT_ even evolutionarily related to Osmanli.
>It is just that: a brand new language, created by philologists,
>served political purposes, and has a long way to go before it
>becomes a mature and efficient language to serve a modern state.
Your arrogance does not hide your ignorance about
Turkish, nor does it help you learn any better...
Turkish existed since "who knows when", until today
without interruption... I won't oppose your calling
Ottoman a "different" language, but it was based on
Turkish with lots of borrow words, and existed side
by side (concurrently) with Turkish ("in a world of
its own" so to speak)... Ottoman neither superceded
Turkish, nor Turkish came out of Ottoman...
Here is something that may make you feel better...:)
"Rand McNally Cosmopolitan Worls Atlas 1985 edition"
(A shiny, nice, oversized atlas, which icludes a lot
of statistical information), gives the "predominant
languages" of certain countries as follows:
"Azerbaidzhan .. Turkish, Russian, Armenian
"Iran .......... Farsi, Turkish, Kurdish, Arabic
"Tadzhik ....... Tadzhik, Turkish, Russian
"Tsinghai ...... Tibetan, Mongolian, Turkish, Chinese
Of course this isn't a complete list of all countries
where Turkish is spoken. My point here is that, until
recently, the languages spoken in these countries was
simply referred to as "Turkish"... Terms like "Turkic
Languages, Turkic States, Turkic Peoples, etc..." are
themselves "neologisms" (that were, perhaps, invented
and preferred by people who wish that reality was not
what it is:)...
I guess you can either write to Rand McNally and ask
them to correct their "gross mistake:)" or get even
more arrogant and declare that "all those primitive
tribes must be speaking *Artificial Turkish*"... :)
MK
In article Cluster User < [email protected] > wrote:
...
[stuff deleted and left unanswered because of boredom to
repeat myself]
>your criticism still amounts saying that turks are weak in the
>characteristics of a nation, much like turkish criticism of kurds.
>fundamental criticism of turkish state policy is still possible
>without the "baggage" that you introduce.
I do not need to say that as "original". Major scholars from Turkey
of the interwar period were saying that. Turkey is a state at a
search of a nation.
>I suggest you don't learn too much about Turkish, for
>I'm affraid what you will find out about it may bother
>you even more...
Give him a break. His knowledge of Turkish comes from
his late grandpa when he was a kid in Crete. The rest is
his own so called educated deduction from what he heard
or read here and there. What do you expect from that kind of fatal
concoction? A scholarly miracle?
Wow, we are "at the search of a nation" yet strong enough to scare the
shit out of Greek government.
Very very degrading and baseless in your part.
Good day.
>In <59bdq5$ [email protected] >, [email protected] says...
>
>> What is called Ottoman Turkish had never been the
>> language of the Turkish population is general...
>> Thus the language reform was in fact replacing the
>> language of the government and the so called elite
>> with the language of the people... This was done
>> mostly by reviving and/or popularising older words
>
> how is can this be "replacing it the language of the
> people" if one revives words not in use?
>
>> and words from different localities of Turkey, as
>> well as from other Turkish/Turkic languges...
You kind of have point here, as what I attempted
to say was not clear. I guess it would depend on
whether you approach it from the Ottoman end, or
the Turkish end... If you see it as Turkish (the
language of people) being promoted to become the
language of government, what I said about reviving
old words doesn't make sense. But if you look at
it as Ottoman (the language of government/elite)
being changed (replaced is the word that I used),
then what I said would make sense, as old (dead)
words in Ottoman could still be alive in Turkish.
There may have been revived words that were dead
even in the "people's language"... In such cases
your point would be quite appropriate.
> a value judgement was made as to what constitued "foreign"
> some mongolian words and suffixes were also imported.
What's wrong with value judgements...? Are value
judgements inherently wrong for some reason...?
Deep in my heart, I identify with and feel close
to the Mongolians much more than the Arabs... My
primary reasons for this are, that Mongolian and
Turkish are much closer languages, and that I do
"*value*" Mongolian culture more than the Arabic
culture...
Perhaps a side issue may be raised here also. If
a certain word "said/proven" to be Mongolian was
used in Tuvan for centuries and now made its way
into Turkish, would you say that it was borrowed
"knowingly and directly" from Mongolian or would
you say that it was borrowed from Tuvan...?
>> Your statement on "invented neologisms" is nonsense.
>
You define the meanings of the words "invented"
and "neologisms" first, then we can argue about
what is and what is not fact...!
>> Some people may have problem with them because of
>> their political views and for other reasons... But
>> Turkish is an agglutinative language. Thus there is
>> nothing unusual about making new words by appending
>> suffixes to word stems... In fact, dictionaries will
>
> it is still coining neologisms. besides some "stems"
> were also invented "from whole cloth". also some
> "suffixes" were invented.
I sure would appreciate if you specify which ones
these are...?
>(however there is no point in arguing with MK,
>since linguistic nationalism is an axiom for him,
Here we go again... Your point would come across
much more credible if you could show that I am a
"linguistic nationalist" by making a case for it,
but without using the actual words...
>as for gregory, I fail to see his point).
Which point...? :)
> In < [email protected] > Gregory Dandulakis wrote:
>
> Here is something that may make you feel better...:)
>
> "Rand McNally Cosmopolitan Worls Atlas 1985 edition"
> (A shiny, nice, oversized atlas, which icludes a lot
> of statistical information), gives the "predominant
> languages" of certain countries as follows:
>
> "Iran .......... Farsi, Turkish, Kurdish, Arabic
> "Tadzhik ....... Tadzhik, Turkish, Russian
> "Tsinghai ...... Tibetan, Mongolian, Turkish, Chinese
Bulgaria,
> Of course this isn't a complete list of all countries
> where Turkish is spoken. My point here is that, until
> recently, the languages spoken in these countries was
> simply referred to as "Turkish"... Terms like "Turkic
> Languages, Turkic States, Turkic Peoples, etc..." are
> themselves "neologisms" (that were, perhaps, invented
> and preferred by people who wish that reality was not
> what it is:)...
>In article Cluster User < [email protected] > wrote:
>...
>>(however there is no point in arguing with MK,
>>since linguistic nationalism is an axiom for him,
>>as for gregory, I fail to see his point).
>My point is simple. The language which was developed by the
>Ottomans, the Osmanly, expressed _directly_ the nature of their
>political evolution and cultures contributing to that state.
>The Ottomans early on very consiously realized that they
>could not sustain an expanding state, as well stabilize
>one, by forgetting the true political forces working within
>that state. And beyond the original small turkogenic ruling
>cast, its whole main cultural carrier, before even the ruling
>cast reaching Minor Asia, was the Persian advanced (at the time)
>culture. Persian was an integral part of the Ottomans from time
>zero. Soon the Arabic world was a dominant force within that
>state. So did the Ottomans were forced to mutate to absorbe
>as much of the Arabic culture as they could fit. Similar, to
>a less extent happened with the Roman culture. So, to pretend
>that the Osmanli culture and history, and as a special case the
>Osmanli language, is Turkish culture (language) is a gross dis-
>tortion of the _actual_ nature and process which made the Ottomans
>possible. Consequently, the artificial language called modern
>Turkish, created to serve the modern Turkish state, is _NOT_
>Osmanli. It is _NOT_ even evolutionarily related to Osmanli.
>It is just that: a brand new language, created by philologists,
>served political purposes, and has a long way to go before it
>becomes a mature and efficient language to serve a modern
>state.
It is obvious that you are beset with the affliction known as, "major
crannial-deprivation syndrome," frequently observed among the
half-baked literati. While not a life-threatening malady, it often
gives rise to delirium and diaherria of the mouth, causing the
sufferer to write copius amounts of gibberish. The only known cure for
this disease is the sucking of both thumbs, for this will keep you
away from the keyboard. Of course, as an extreme measure, more
education could also help.
Towards the latter, here's a quotation from Nicholas Negroponti, an
eminently qualified Greek-American and author of Being Digital:
"A speech sythesizer takes a stream of text (no different than this
sentence) and follows certain rules to enunciate each word, one by
one. Each language is different and varies in its difficulty to
synthesize.
English is one of the hardest, because we write (right and rite) it in
such an idd and seemingly illogical way (weigh and whey). Other
languages, such as Turkish, are much easier. In fact, Turkish is very
simple to synthesize because Ataturk moved that language from Arabic
to Latin letters in 1929 and, in so doing, made a one-for-one
correspondence between the sounds and the letters. You pronounce each
letter: no silent letters or confusing diphthongs. Therefore at the
word level, Turkish is a dream come true for a computer speech
synthesizer."
In case the relevance of the above is obscured by plain and correct
English, here are the main points:
1. Philologists did not create an artificial language Turkish; they
rescued an existing language from the yoke of the Arabic script.
2. The language existed long before 1929 ( you should know this, as
many Greeks, Armenians, Jews, Arabs of Ottoman days still know and
speak it).
3. If Turkish "is a dream come true" with respect to the digital
imperatives of the computer age, what becomes of your claim that it is
not suitable for a modern state?
Ender M . Kaya
[sarcastic remarks against Gregory deleted as irrelevant]
> Towards the latter, here's a quotation from Nicholas Negroponti, an
> eminently qualified Greek-American and author of Being Digital:
> "A speech sythesizer takes a stream of text (no different than this
> sentence) and follows certain rules to enunciate each word, one by
> one. Each language is different and varies in its difficulty to
> synthesize.
> English is one of the hardest, because we write (right and rite) it in
> such an idd and seemingly illogical way (weigh and whey). Other
> languages, such as Turkish, are much easier. In fact, Turkish is very
> simple to synthesize because Ataturk moved that language from Arabic
> to Latin letters in 1929 and, in so doing, made a one-for-one
> correspondence between the sounds and the letters. You pronounce each
> letter: no silent letters or confusing diphthongs. Therefore at the
> word level, Turkish is a dream come true for a computer speech
> synthesizer."
Probably true, but (as an A.I. researcher specialising in Greek language)
I assure you the same is true of (modern) Greek... :-)
(with the added problem of too much semantic _depth_, in words which are
unsuitable for computers anyway)...
> 3. If Turkish "is a dream come true" with respect to the digital
> imperatives of the computer age, what becomes of your claim that it is
> not suitable for a modern state?
Wow! Hey maan, Computer-Speech becoming the Speech of a Modern State??? :-)
HARDLY the criterion for the suitability of a language, unless intended
for a highly _totalitarian_ type of Regime, such as... (YOU know which).
I always suspected that Big Brother is coming to rule us,
but... speaking to us in Turkish??? :-)
Look, I think you and I should better leave innocent philosophers
and linguists argue between them in Peace, and not disrupt their friendly
discussions... We're much too computerised, and only other interests
and hobbies or forms of knowledge can... save us.
George
In article <59idjt$ [email protected] >, [email protected] says...
:In case the relevance of the above is obscured by plain and correct
:English, here are the main points:
:1. Philologists did not create an artificial language Turkish; they
:rescued an existing language from the yoke of the Arabic script.
that's a minor issue and a trivial one. so is the orthography of present day
turkish.
:2. The language existed long before 1929 ( you should know this, as
:many Greeks, Armenians, Jews, Arabs of Ottoman days still know and
:speak it).
:3. If Turkish "is a dream come true" with respect to the digital
a trivial point! so is arabic in vowelled arabic script and many other
languages using symbols from a variety of sources.
:imperatives of the computer age, what becomes of your claim that it is
:not suitable for a modern state?
the fact that it can be suitable for a modern state (unless one deliberatly
writes nonsense as most politicians do) is true but not for the reason you
give!
In article <59k6a9$ [email protected] >, John_Rambo@John_Rambo.com says...
:
:In article <59idjt$ [email protected] >, [email protected] says...
:
In article <59k7j4$ [email protected] >, John_Rambo@John_Rambo.com says...
:
:>In <59bdq5$ [email protected] >, [email protected] says...
:>
:>>What is called Ottoman Turkish had never been the
:>>language of the Turkish population is general...
:>>Thus the language reform was in fact replacing the
:>>language of the government and the so called elite
:>>with the language of the people... This was done
:>>mostly by reviving and/or popularising older words
:>
:>how is can this be "replacing it the language of the
:>people" if one revives words not in use?
:>
:>>and words from different localities of Turkey, as
:>>well as from other Turkish/Turkic languges...
:You kind of have point here, as what I attempted
:to say was not clear. I guess it would depend on
:whether you approach it from the Ottoman end, or
BS
:the Turkish end... If you see it as Turkish (the
:language of people) being promoted to become the
:language of government, what I said about reviving
:old words doesn't make sense. But if you look at
:it as Ottoman (the language of government/elite)
:being changed (replaced is the word that I used),
:then what I said would make sense, as old (dead)
:words in Ottoman could still be alive in Turkish.
they were found in older ottoman period dictionaries
and manuscripts, otherwise they were in disuse, period.
the literary language was in many respects more
conservative in regards to "purely" turkish words
as well (sivi$ in sivi$ yIlI is an example).
:There may have been revived words that were dead
:even in the "people's language"... In such cases
:your point would be quite appropriate.
words used colloquially were used in the literary
language as well, the reverse was not always true.
:>a value judgement was made as to what constitued "foreign"
:>some mongolian words and suffixes were also imported.
:What's wrong with value judgements...? Are value
:judgements inherently wrong for some reason...?
just don't claim that they neccesarily follow from
logic or science.
:Deep in my heart, I identify with and feel close
what you feel "depp in your heart" I canot argue.
but in many respects turkey is more similar to
neighboring arab countries than to mongolia.
:to the Mongolians much more than the Arabs... My
:primary reasons for this are, that Mongolian and
:Turkish are much closer languages, and that I do
:"*value*" Mongolian culture more than the Arabic
:culture...
"valuing" one culture over another is one of the
most obnoxious aspects of nationalism. anyway
the whole concept of a single "national culture"
is a myth of romantivc nationalism.
:Perhaps a side issue may be raised here also. If
:"a certain word "said/proven" to be Mongolian was
:"used in Tuvan for centuries and now made its way
:into Turkish, would you say that it was borrowed
:"knowingly and directly" from Mongolian or would
:you say that it was borrowed from Tuvan...?
1. if it occured through the process of normal
linguistic contact, as it could have happened
from qIpchaq or caghatay previously then I would
say it was a mongolian word brought in through
the intermediary of
:>>Your statement on "invented neologisms" is nonsense.
:>
:You define the meanings of the words "invented"
:and "neologisms" first, then we can argue about
:what is and what is not fact...!
recently coined words through the non-anonymous
process of someone or some committee deciding it
should be so.
:>>Some people may have problem with them because of
:>>their political views and for other reasons... But
:>>Turkish is an agglutinative language. Thus there is
:>> nothing unusual about making new words by appending
:>>suffixes to word stems... In fact, dictionaries will
:>
:>it is still coining neologisms. besides some "stems"
:>were also invented "from whole cloth". also some
:>"suffixes" were invented.
:I sure would appreciate if you specify which ones
:"these are...?
for example imge, simge (the only point is their
resemblance to their european counterparts,
image, symbol; with a suffix and stem of dubious
function.
:>(however there is no point in arguing with MK,
:>since linguistic nationalism is an axiom for him,
:Here we go again... Your point would come across
:much more credible if you could show that I am a
:"linguistic nationalist" by making a case for it,
:but without using the actual words...
what you are doing: rejecting or adopting words
based on etymology, is exactly what is meant by
"linguistic nationalism".
:>as for gregory, I fail to see his point).
:Which point...? :)
see my answers to him.
:MK
::Deep in my heart, I identify with and feel close
:
:what you feel "depp in your heart" I canot argue.
:but in many respects turkey is more similar to
:neighboring arab countries than to mongolia.
:
::to the Mongolians much more than the Arabs... My
::primary reasons for this are, that Mongolian and
::Turkish are much closer languages, and that I do
it does not follow that culture would be more similar.
culture in hungary is closer to austria than to the
uralic people of siberia, austria has much more in
common with hungary than india.
::"*value*" Mongolian culture more than the Arabic
::culture...
:"valuing" one culture over another is one of the
:most obnoxious aspects of nationalism. anyway
:the whole concept of a single "national culture"
:is a myth of romantivc nationalism.
:
::Perhaps a side issue may be raised here also. If
::"a certain word "said/proven" to be Mongolian was
::"used in Tuvan for centuries and now made its way
::into Turkish, would you say that it was borrowed
::"knowingly and directly" from Mongolian or would
::you say that it was borrowed from Tuvan...?
:
:1. if it occured through the process of normal
:linguistic contact, as it could have happened
:from qIpchaq or caghatay previously then I would
:say it was a mongolian word brought in through
:the intermediary of
of that language. this is the most detailed
characterisation. but this is just a desricption
that is supposed to be useful for linguistic or
historical purposes. in the "zeroth approximation" it
is merely a turkish word, a better "first order"
approximation it is loanword from tuvinian or what
have you. the even more accurate answer is what I
initially said. perhaps one can trace the word even
further...
what it ought to be regarded (giving a "neat little
answer") is a matter of concern only to langauge policy
makers concerned with "linguistic nationalism"
2. if it was deliberatly adopted by some language policy
maker than in addition what has been said the pychology
of the policy maker would be relevant. it was regarded
as turkish on account of its being used in tuvinian,
the fact that it was used in tuvinian was a lame excuse
that was found later to justify its further use etc.
RK
Entellektuel tartismalarinizi zevkle okuyoruz. Aramizda muhakkak ki,
sizlerin-bu tartismaya katilanlarin- egitimlerinizi ve mesleklerinizi
merak eden okuyucu vardir. Ustu kapali olarak aciklarmisiniz?
Saygilar,
> > English is one of the hardest, because we write (right and
> > rite) it in such an idd and seemingly illogical way (weigh and whey).
> > Other languages, such as Turkish, are much easier. In fact, Turkish
> > is very simple to synthesize because Ataturk moved that language from
> > Arabic to Latin letters in 1929 and, in so doing, made a one-for-one
> > correspondence between the sounds and the letters. You pronounce each
> > letter: no silent letters or confusing diphthongs. Therefore at the
> > word level, Turkish is a dream come true for a computer speech
> > synthesizer."
At the word level, how on earth do you decide how each 'k' should sound
in 'Kemal Atatu"rk', 'Kazim Karabekir', 'ku"rk', 'ku"rek', 'yo"ru"k' etc.,
without prior practical knowledge?
Out goes the 'one-to-one correpondence' myth --it had done so
from the day one... Refer to Falih Rifki Atay's memoires why and
how this came about :-)
In <59k9bf$ [email protected] > Cluster User wrote:
>MK wrote:
>>>> with the language of the people... This was done
>>>> mostly by reviving and/or popularising older words
>>>> and words from different localities of Turkey, as
>>>> well as from other Turkish/Turkic languges...
>>>
>>> how is can this be "replacing it the language of the
>>> people" if one revives words not in use?
>>
>> You kind of have point here, as what I attempted
>> to say was not clear. I guess it would depend on
>> whether you approach it from the Ottoman end, or
>
You are full of it... As you can see above,
I was talking about "reviving old words"...
Old words (or interest, economy, love, etc)
need not be completely "dead" to be revived.
I said "old words" and you took it to mean
"words not in use"... Since I am usually the
one picking on words, I didn't want to get
into an argument about what "revive" means.
Instead, I took the easier way of going with
how you understood it...
Unless you can claim that there were no words
that were dropped out of usage in "Ottoman"
while being used continously in "Turkish", what
I said would still make sense... If it doesn't
to you, then fine.
>> the Turkish end... If you see it as Turkish (the
>> language of people) being promoted to become the
>> language of government, what I said about reviving
>> old words doesn't make sense. But if you look at
>> it as Ottoman (the language of government/elite)
>> being changed (replaced is the word that I used),
>> then what I said would make sense, as old (dead)
>> words in Ottoman could still be alive in Turkish.
>
> they were found in older ottoman period dictionaries
> and manuscripts, otherwise they were in disuse, period.
> the literary language was in many respects more
> conservative in regards to "purely" turkish words
> as well (sivi$ in sivi$ yIlI is an example).
It's your lucky day, I'm not even in the mood
for asking you what constitutes "disuse" of a
word and how could you determine that a word
was not in use in the spoken language... I'll
be happy to just drop this...
>> to the Mongolians much more than the Arabs... My
>> primary reasons for this are, that Mongolian and
>> Turkish are much closer languages, and that I do
>> "*value*" Mongolian culture more than the Arabic
>> culture...
> "valuing" one culture over another is one of the
> most obnoxious aspects of nationalism. anyway
> the whole concept of a single "national culture"
> is a myth of romantivc nationalism.
BS... If hotdog is part of Arabic culture and
hamburger is part of Mongolian culture, I have
all the right to prefer/value hamburger over
hotdog... This is not to say there shouldn't be
hotdog, but just to say that "I" don't want it
and I especially don't want anybody trying to
shove it down my throat either... Simple as that!
>> You define the meanings of the words "invented"
>> and "neologisms" first, then we can argue about
>> what is and what is not fact...!
>
> recently coined words through the non-anonymous
> process of someone or some committee deciding it
> should be so.
Let me reply to this in three parts:
1 - Due to its nature, Turkish already has lots
of existing (coined long time ago) but never yet
used words, waiting to be used some day. If you
want to get into this, let me know...
2 - I don't believe that anonymity is necessary,
since we can trace the first usage of many words
to known sources, some of them hundreds of years
ago...
3 - I'll go along with the possible undesirablility
of "committe generated" words, with the comment
that the final decision is made by the general
population in the form of adopting or rejecting
the neologisms... You may very well argue that
even some very "ridiculous" neologisms may have
been suggested by "committees". But at the end,
it may just come to "so what?"...
>>> it is still coining neologisms. besides some "stems"
>>> were also invented "from whole cloth". also some
>>> "suffixes" were invented.
>> I sure would appreciate if you specify which ones
>> "these are...?
> for example imge, simge (the only point is their
> resemblance to their european counterparts, image,
> symbol; with a suffix and stem of dubious function.
"-ge" is one of the most common ("islek") suffixes
in Turkish, its function is not dubious at all.
I think it can be successfully argued that "im-" is
a previously existing and valid stem as well.
The only thing I'll go along here is that "simge"
is from dubious stem. "Derleme dergisi" equates "sim-"
with "im-" but I can't tell based on what, therefore
I don't buy it. Not all "Oz Turkce" dictionaries list
"simge" for probably the same reason. However, it has
already received some acceptance and is used...
I suggest you don't carry that idea of coining words to
"resemble their european counterparts" to far... That
idea can be ridiculed just as much and as easily as what
it tries to ridicule...
>> Here we go again... Your point would come across
>> much more credible if you could show that I am a
>> "linguistic nationalist" by making a case for it,
>> but without using the actual words...
>
> what you are doing: rejecting or adopting words
> based on etymology, is exactly what is meant by
> "linguistic nationalism".
Very few words would I adopt or reject based on
ethymology alone... For all the rest I have what
I believe to be valid reasons, all the way from
simple reasons like wovel harmony and up...
Whenever is needed and appropriate, I try to explain
those reasons. But you are too stuck in your "anti
Turkish nationalism" slogan to see and accept them...
For example, not long ago, in a thread called
"nane sekeri" I wrote:
"Birincisi dilde kopukluga, duzensizlige, gucluge,
"anlam yitmesine/karisimina yol aciyor... Ornegin:
"son, sonar, sonata, sonda, sondaj, sondalama(k),
"sone, sonek, sonlu, sonra, sonses, sonsuz, sonuc"
"gibi sozcuklere baktigimizda, Turkce'deki "son-"
"kokunun icine edilmis oldugunu goruyoruz.
Turkish is an agglunitative language and in my opinion
it needs to preserve the meanings of its stems and its
suffixes, in order to preserve its efficiency...
The stem "son-" in Turkish basicly correspond to "end"
in English. Now look at the words that start with "son-"
above...
"sonar, sonata, sonda, sondaj, sondalama(k), sone" are
foreigh words that have nothing to do with the Turkish
meaning of "son-"...!
"sonar" seems to be a Turkish word with the "-ar" suffix
inappropriately (as it is only used in birer, sekizer,
onar, kirkar, etc.)
"sonata" in Turkish would mean "last-father" (not to say
that there are no other words like that, and I certainly
don't want to hear about "ya$am" again!)
"sonda" in Turkish means "at the end"...
"sondaj" contains the "j" sound, non-existent in Turkish...
"sondalamak" sounds like it would mean along the lines
of "putting an end to something" in Turkish...
All such words are "*destructive*" to Turkish and have
to be learned as "*exceptions*" (as far as the regularity
of Turkish goes) by its speakers...!
Now, if you can't comprehend my such reasons for not
wanting to see these words used in Turkish or can't
accept them being valid reasons (which have nothing to
do with Turkish nationalism), I would say that it is
"*your*" problem and I have nothing more to say to
you about it!
In <59mkg1$ [email protected] > Cluster User wrote:
>what it ought to be regarded (giving a "neat little
>answer") is a matter of concern only to langauge policy
>makers concerned with "linguistic nationalism"
>
>2. if it was deliberatly adopted by some language policy
>maker than in addition what has been said the pychology
>of the policy maker would be relevant. it was regarded
>as turkish on account of its being used in tuvinian,
>the fact that it was used in tuvinian was a lame excuse
>that was found later to justify its further use etc.
BS. Crap. :)
Why would a language policy maker who wouldn't mind
adopting a Mongolian word would need such an excuse...?
Turkish and Mongolian languages are all said to be
Altaic languages for a reason... Classifying of the
languages has been a backwards process. With more
similarities Tuvinian could have been classified as
a Mongolian language just as well. Or mongolian
could have been classified in Turkic or some other
family of languages...
If a Turkish language policy maker wanted to adopt
a word from Uigur, he would make damn sure that it
was not a Tibetan or Indian word... But if that word
ended up being from Mongolian and if that doesn't
bother him, why would he need any lame excuses...?
The bottom line would be whether that bothered him
or not, the rest is irrelevant...!
I just asked you a question about the accepted way
for ethymological entries and you go all over into
policy, etc...
>Consequently, the artificial language called modern
>Turkish, created to serve the modern Turkish state, is _NOT_
>Osmanli. It is _NOT_ even evolutionarily related to Osmanli.
>It is just that: a brand new language, created by philologists,
>served political purposes, and has a long way to go before it
>becomes a mature and efficient language to serve a modern
>state.
These are pure nonsense. I wrote twice about this issue,
but it seems that you didn't get a thing. You are, again, dumping
the same old staff.
It is rather peculiar that some Greeks take highly
critical position on everything related to Turks, even they don't
have any idea about the issue. Maybe these are nothing but simple
extrapolations based on their own history. Here is a quote
about the creation of modern Greek language.
``In case of Greeks the many dialects which prevailed among
them had indeed a common Hellenic foundation, but these dialects
had been affected by so many and such different foreign influences
that the speech of one district was OFTEN INCOMPREHENSIBLE to a
neighboring community only FEW MILES AWAY. The central problem
of linguistic renewal was to agree upon and develop a common literary
medium which, while adhering in the main to the familiar spoken forms,
inclined sufficiently toward the forgotten classical speech to make
incomparable monuments accessible to the living generation. This
difficult problem, a learned patriot, Korais by name, who had made
a long stay in the West, solved, though not wholly to the satisfaction,
it would seem, of the crabbed race of classical philogists. They
complained, at the time, and their complaints in our own day have
by no means ceased, that KORAIS CREATED A HYBRID, AN ARTIFICIAL TONGUE,
but the Greeks themselves, whose judgment from every practical
viewpoint alone counts, GAVE, AND STILL CONTINUE O GIVE, THEIR
COUNTRYMAN'S GRAMMAR AND SYNTAX an enthusiastic endorsement.
``A history of the balkans'', F. Schevill, 1991.
Ironically, when greeks are asked about the basis of relationship
between them and ancient greeks, they unanimously say ``language''.
Isn't that strange?
> > > English is one of the hardest, because we write (right and
> > > rite) it in such an idd and seemingly illogical way (weigh and whey).
> > > Other languages, such as Turkish, are much easier. In fact, Turkish
> > > is very simple to synthesize because Ataturk moved that language from
> > > Arabic to Latin letters in 1929 and, in so doing, made a one-for-one
> > > correspondence between the sounds and the letters. You pronounce each
> > > letter: no silent letters or confusing diphthongs. Therefore at the
> > > word level, Turkish is a dream come true for a computer speech
> > > synthesizer."
Probably, your mother tongue is not Turkish. First, there is not a
one-to-one correspondence between the script and the spoken language in
Turkish. There are definetely silent sounds in most of the Turkish
dialects. I do not buy the claim that computer speech synthesizers will
perform better for Turkish than English. The main problem with the
current technology is that emotions cannot be incorporated with the
synthesized speech. Besides that they work pretty damn good for most
sounds in English, French, and Spanish. And there is no scientific
evidence indicating Turkish will be easier to synthesize.
--
Everything is obvious when explained.
Haluk Aydinoglu
Center for Signal and Image Processing
Georgia Institute of Technology
>> > > English is one of the hardest, because we write (right and
>> > > rite) it in such an idd and seemingly illogical way (weigh and whey).
>> > > Other languages, such as Turkish, are much easier. In fact, Turkish
>> > > is very simple to synthesize because Ataturk moved that language from
>> > > Arabic to Latin letters in 1929 and, in so doing, made a one-for-one
>> > > correspondence between the sounds and the letters. You pronounce each
>> > > letter: no silent letters or confusing diphthongs. Therefore at the
>> > > word level, Turkish is a dream come true for a computer speech
>> > > synthesizer."
>Probably, your mother tongue is not Turkish. First, there is not a
>one-to-one correspondence between the script and the spoken language in
>Turkish. There are definetely silent sounds in most of the Turkish
>dialects. I do not buy the claim that computer speech synthesizers will
>perform better for Turkish than English. The main problem with the
>current technology is that emotions cannot be incorporated with the
>synthesized speech. Besides that they work pretty damn good for most
>sounds in English, French, and Spanish. And there is no scientific
>evidence indicating Turkish will be easier to synthesize.
Seems to me that the asian languages might be the most difficult to
synthesize, because some of the information is conveyed through tonal
quality of the voice as well as the specific sounds. For example,
chinese sounds very musical or "sing-song" to the uneducated ear.
--
If you would like to Email me, my address is "future at blarg dot net"
Check out my home page at http://www.blarg.net/~future/index.html
> Hayirdir, boyle durduk yere neden pozisyon degistirdiniz?
> Dort, bes ay once, falanca ek su islevle kullaniliyorsa
> neden bu ekte ayni islevle kullanilmasin gibi laflar
> ediyordunuz. N'oldu birden boyle?
Sorunu yanitlamaya girmeden, gecmiste "Germen
dillerine ozenti" konusunu kiyasiya tartismis
birisi olmana karsilik, *Ne oldu* yu *N'oldu*
diye yazmani ilginc buldugumu belirteyim...
Sozunu ettigin tartismalarda o konuya nasil
varildigiyla ve benim dediklerimle iliskili
olarak benim animsaybildiklerim sunlar:
- Once Turkce'deki "-man/-men" eki Germen
dillerinden alinmis ve yeni sozcuklerde
kullanilmistir demistin...
- Ona karsilik eski sozcuklerden ornekler
vererek "peki bunlar ne?" diye sorunca,
"ama onlar isim degil sifat" demistin.
(Ayrica, neye isim neye sifat denildigi
de elmayla ayvayla tartisilmisti...:)
- Bundan sonra, benim verdigim orneklerin
icinde 'isimlerin' de oldugu gorulunce,
"ama onlar 'alet' bildiren isim 'yapici
kisi' bildiren isim" degil demistin...
- Daha sonra da, *profesor* Banguoglu'nun
"belki, olabilir, denebilir" falan diye
saymis oldugu eski ornekler arasinda da
olan ve "yapici kisi" bildiren "gocmen"
sozcugu tartisilmisti. Germen dillerine
yaparak girmene karsilik, sonunda onun
"gocmen" sozcugune "eski" demis olmasi
bile senin icin yetmemisti, ve tartisma
bu sozcugun eski olup olmadiginda, veya
eski anlaminin degisik olup olmadiginda
bir sonuca varilamadan bitmisti...
Bu tartisma surecinde, Turkece'deki eklerin
islevlerinin "yapici alet, yapici hayvan ve
yapici kisi" arasinda ayirim gostermedigini
savunmustum. "-man/-men" eki icin de, "alet
bildirir ama yapici kisi" bildirmez demenin
yersiz oldugu gorusumu iletmistim... Ayrica
kendisine yalniz uc bes ornek gosterilen ve
islevi yeterince oturusmus bile denemeyecek
eklerin "esnek" olarak kullanilmasina karsi
olmadigimi soylemistim...
Bu konuda goruslerim degismis degil. Eskide
soylenenleri eksik veya yanlis animsiyorsam
duzeltirsen sevinirim...
> Belki ben sizi yeterince anliyamadim. "Meaning" ve
> "function" kelimelerinden neyi kastediyorsunuz?
Onceki yazimda, "function" sozcugunu nerede
kullanmis oldugumu goremedim... Ekin islevi
ve anlami konusuna getirmek istiyorsan, onu
da gecmiste tartismistik...
Burda bir aciklama daha yapayim. Bir onceki
yazimda verdigim "son-" kokunun anlamininin
karismasi tek bir yabanci kok yuzunden bile
degil...
Eger ornek verdigim "son-" ile baslayan tum
yabanci sozcuklerde "koke dayali" bir anlam
birligi olsaydi, tek bir Turkce kok tek bir
yabanci kokle karismis olurdu. Dolayisiyla,
bir tek 'istisna'nin ogrenilmesi gerekirdi.
Oysa verdigim orneklerde boyle bir baglanti
yok. Oyle olsa sesimi cikarmazdim demiyorum,
"kok+ek" acisindan ne kadar buyuk bir anlam
karismasi/yitirilmesi oldugunu vurguluyorum.
Bu ekler icin de boyle. Anlatmak istedigimi
yeterince aciklayabilmisimdir umarim...
>In <5a42ah$ [email protected] > Mehmet Gulsen wrote:
......
>Bu tartisma surecinde, Turkece'deki eklerin
>islevlerinin "yapici alet, yapici hayvan ve
>yapici kisi" arasinda ayirim gostermedigini
>savunmustum. "-man/-men" eki icin de, "alet
>bildirir ama yapici kisi" bildirmez demenin
>yersiz oldugu gorusumu iletmistim...
Demek oluyorki, boyle bir argumani ekin
ne ``meaning'' ne de ``function''nin bir parcasi
olarak goruyorsunuz.
Peki o zaman ekin - sizin ifadenize gore -
``meaning'' ve ``function''i ne? Mesela, -men/man
ekini bu iki kavram cervesinde tanimliyabilirmisiniz?
.......
>> Belki ben sizi yeterince anliyamadim. "Meaning" ve
>> "function" kelimelerinden neyi kastediyorsunuz?
>Onceki yazimda, "function" sozcugunu nerede
>kullanmis oldugumu goremedim... Ekin islevi
>ve anlami konusuna getirmek istiyorsan, onu
>da gecmiste tartismistik...
Daha onceki mesajlarinizin birinde soyle bir ifade
gormustum:
"-ge" is one of the most common ("islek") suffixes
in Turkish, its function is not dubious at all.
^^^^^^^^
:If a Turkish language policy maker wanted to adopt
:a word from Uigur, he would make damn sure that it
how about the sogdian (iranian) word "kent"?
:was not a Tibetan or Indian word... But if that word
:ended up being from Mongolian and if that doesn't
:bother him, why would he need any lame excuses...?
that it doesn't bother him is another possibility.
:The bottom line would be whether that bothered him
:or not, the rest is irrelevant...!
:
:I just asked you a question about the accepted way
:for ethymological entries and you go all over into
:policy, etc...
it just depends on how detailed the entry is being made.
they are for scholarly purposes, not for langauge policy
purposes. if they are coined words, how they are coined
would be relevant.
I repeat: the literary forms the language were more
conservative, even in terms of words of turkic origin.
:
:It's your lucky day, I'm not even in the mood
:for asking you what constitutes "disuse" of a
:word and how could you determine that a word
:was not in use in the spoken language... I'll
:be happy to just drop this...
the language policy makers had to rumage through *ottoman*
records to find many words. that was the whole point of
"tarama sozlUgU"
:>> to the Mongolians much more than the Arabs... My
:>> primary reasons for this are, that Mongolian and
:>> Turkish are much closer languages, and that I do
:>> "*value*" Mongolian culture more than the Arabic
:>> culture...
:> "valuing" one culture over another is one of the
:> most obnoxious aspects of nationalism. anyway
:> the whole concept of a single "national culture"
:> is a myth of romantivc nationalism.
:
:BS... If hotdog is part of Arabic culture and
:hamburger is part of Mongolian culture, I have
:all the right to prefer/value hamburger over
:hotdog... This is not to say there shouldn't be
you have just admitted to ethnic prejudice / racism.
:hotdog, but just to say that "I" don't want it
you may not like something but if the principle
reason is association with an ethnic group then
that is ethnic prejudice.
:and I especially don't want anybody trying to
:shove it down my throat either... Simple as that!
language policy makers (that's the whole idea of
language policy) are trying to "shove something
down one's throat", nobody else.
:
:Let me reply to this in three parts:
:
:1 - Due to its nature, Turkish already has lots
:of existing (coined long time ago) but never yet
:used words, waiting to be used some day. If you
:want to get into this, let me know...
:
:2 - I don't believe that anonymity is necessary,
:since we can trace the first usage of many words
:to known sources, some of them hundreds of years
:ago...
that does not neccessarily mean they were not in use
previously. anyway, that is not the point. it is a
question about it coming about by somebody deciding
something *ought* to be so.
:3 - I'll go along with the possible undesirablility
:of "committe generated" words, with the comment
:that the final decision is made by the general
:population in the form of adopting or rejecting
in general the means are given to implement it
(access to the media, educational controls, ideological
controls).
:the neologisms... You may very well argue that
:even some very "ridiculous" neologisms may have
:been suggested by "committees". But at the end,
:it may just come to "so what?"...
:
it means that teh pseodoscientific justifications for it
have no meaning. I am not saying that they are "analyticaly"
"bad" either.
:> for example imge, simge (the only point is their
:> resemblance to their european counterparts, image,
:> symbol; with a suffix and stem of dubious function.
:
:"-ge" is one of the most common ("islek") suffixes
:in Turkish, its function is not dubious at all.
in those particular words it is so.
:
:I think it can be successfully argued that "im-" is
:a previously existing and valid stem as well.
:
:The only thing I'll go along here is that "simge"
:is from dubious stem. "Derleme dergisi" equates "sim-"
:with "im-" but I can't tell based on what, therefore
they wouldn't have existed were it not for their european
counterparts.
:I don't buy it. Not all "Oz Turkce" dictionaries list
:"simge" for probably the same reason. However, it has
:already received some acceptance and is used...
:
:I suggest you don't carry that idea of coining words to
:"resemble their european counterparts" to far... That
:idea can be ridiculed just as much and as easily as what
:it tries to ridicule...
:Very few words would I adopt or reject based on
:ethymology alone... For all the rest I have what
:I believe to be valid reasons, all the way from
:simple reasons like wovel harmony and up...
it all amounts to "foreign" is "bad".
:
:Whenever is needed and appropriate, I try to explain
:those reasons. But you are too stuck in your "anti
:Turkish nationalism" slogan to see and accept them...
what I say are facts.
:
:For example, not long ago, in a thread called
:"nane sekeri" I wrote:
: "Birincisi dilde kopukluga, duzensizlige, gucluge,
: "anlam yitmesine/karisimina yol aciyor... Ornegin:
: "son, sonar, sonata, sonda, sondaj, sondalama(k),
: "sone, sonek, sonlu, sonra, sonses, sonsuz, sonuc"
: "gibi sozcuklere baktigimizda, Turkce'deki "son-"
: "kokunun icine edilmis oldugunu goruyoruz.
BTW "son" (end) comes from so*ng* (I'll use son~ here, and written thus
in ottoman script) ) so the the rest can be seperated on turkic
evidence alone.
:Turkish is an agglunitative language and in my opinion
:it needs to preserve the meanings of its stems and its
:suffixes, in order to preserve its efficiency...
and all the neologisms are consistant in their use of suffixes?!
:
:The stem "son-" in Turkish basicly correspond to "end"
:in English. Now look at the words that start with "son-"
:above...
:"sonar, sonata, sonda, sondaj, sondalama(k), sone" are
:foreigh words that have nothing to do with the Turkish
:meaning of "son-"...!
:"sonar" seems to be a Turkish word with the "-ar" suffix
I believe the accentuation is different.
:inappropriately (as it is only used in birer, sekizer,
:onar, kirkar, etc.)
:"sonata" in Turkish would mean "last-father" (not to say
no it wouldn't. compound words are actually rare in turkish.
:that there are no other words like that, and I certainly
:don't want to hear about "ya$am" again!)
why not?! it follows from your logic.
:
:"sonda" in Turkish means "at the end"...
accentuation is different!
:"sondaj" contains the "j" sound, non-existent in Turkish...
so what?
:"sondalamak" sounds like it would mean along the lines
:of "putting an end to something" in Turkish...
actually case endings rarely become word building suffixes, except for
neologisms.
:All such words are "*destructive*" to Turkish and have
a value judgement.
:to be learned as "*exceptions*" (as far as the regularity
:of Turkish goes) by its speakers...!
no, agglutination in turkish does not work that way. "sonata"
would be an indepoendent stem from which other words can be built.
:Now, if you can't comprehend my such reasons for not
:wanting to see these words used in Turkish or can't
:accept them being valid reasons (which have nothing to
:do with Turkish nationalism), I would say that it is
:"*your*" problem and I have nothing more to say to
:you about it!
again, these all amount to the argument that "pure" is
"good" and "foreign" is "bad".
>> Bu tartisma surecinde, Turkece'deki eklerin
>> islevlerinin "yapici alet, yapici hayvan ve
>> yapici kisi" arasinda ayirim gostermedigini
>> savunmustum. "-man/-men" eki icin de, "alet
>> bildirir ama yapici kisi" bildirmez demenin
>> yersiz oldugu gorusumu iletmistim...
> Demek oluyorki, boyle bir argumani ekin
> ne ``meaning'' ne de ``function''nin bir parcasi
> olarak goruyorsunuz.
Bu 'cumlenden' bir anlam cikaramadim... Bir kez
daha biraz degisik bicimde sorarsan yanitlamaya
calisirim...
> Peki o zaman ekin - sizin ifadenize gore -
> ``meaning'' ve ``function''i ne?
"Meaning": ayri anlamlari olan koklere gelerek,
ortaya cikan yeni sozcuklerde gorulen ve onlara
ekin verdigi (ekledigi) "ortak anlam"...
"Function": ekin koklere gelerek koklerin kendi
anlamlarinin otesinde bir anlami olan sozcukler
yaratma yeterliligi/etkenligi... Bir ekin baska
sozcuklere verdigi ortak anlami yeni sozcuklere
vermesi... Buna 'isim/fiil' koklerinin gorevini
degistirmeden birakabildigi gibi, 'isim -> fiil'
veya 'fiil -> isim' yonunde degistirebilmesi de
eklenebilir...
> Mesela, -men/man ekini bu iki kavram cervesinde
> tanimliyabilirmisiniz?
Bu ek 'isim' kokune gelince "asiriya benzerlik",
'fiil' kokune gelince de "eylemi yapan" yonunde
ortak anlam (meaning) ekleyen ve iki durumda da
anlatim gorevi 'isim' olan sozcuk uretme islevi
(funtion) goren bir ektir... (Bu benim izlemim,
baskalari degisik gorebilir.)
>>> Belki ben sizi yeterince anliyamadim. "Meaning" ve
>>> "function" kelimelerinden neyi kastediyorsunuz?
>> Onceki yazimda, "function" sozcugunu nerede
>> kullanmis oldugumu goremedim... Ekin islevi
>> ve anlami konusuna getirmek istiyorsan, onu
>> da gecmiste tartismistik...
> Daha onceki mesajlarinizin birinde soyle bir ifade
>gormustum:
"for example imge, simge (the only point is their
"resemblance to their european counterparts, image,
"symbol; with a suffix and stem of dubious function.
demesine bir karsilikti. Yazdiklarimda, karsilik
verdigim bolumlerde kullanilan sozcukleri oldugu
gibi yinelemek cok sik yaptigim bir sey. Boylece
degisik sozcukler kullanmakla konuyu carpitmisim
denmesinin onune gecmis olabilmek icin... (Belli
kisilerle tartisirken de ozellikle onem verdigim
bir tutum.)
Burda o "function" demese ben de demezdim demeye
getirmiyorum. Bu kullanimi kendi anlayisima ters
degil ama oyle olsa bile tek karsimdakinin kendi
kullandigi anlamda (yukarda acikladigim nedenle)
olmasi icin yerine gore kullanmis olabilirdim de.
Bu yuzden sorunu yanitlamadan nerde kullandigimi
bilmek istedim...
> a) Anlam 1 + Islev 2
> b) Anlam 2 + Islev 1
>
> Gelelim sorularima:
>
> 1) Turkcede her ekin bir veya bir kac b e l i r l i ANLAM ve
>ISLEVI olduguna ve kelime uretiminde bunlarin disina tasilmamasinin
>gerekli olduguna inaniyor musunuz?
Once 'isim/fiil' kokunden 'isim/fiil' yapma yonunden
islevin bence buyuk bir onemi olmadigini belirteyim.
Bu belki Turkce uzerine bir bilgisayar 'programinin'
temel alacagi "kurallar" bakimindan onemli olabilir,
ama konusurken/yazarken bilincinde olunmasi gereken
bir sey degil...
Anlam acisindansa, soruna yanit bence ekin anlaminin
ne kadar belirgin ve kullaniminin da ne kadar yaygin
olduguna gore degisir...
Elimdeki bir kaynagin belli bir 'sayfasindan' alinti
yaparak daha aciklamaya calisayim:
Islek olmayan bir ektir. Gul-ec, tik-ac (tika-c degilse)
kelimelerinde bu ek vardir.
Islek olmayan bir ektir. Tut-am kelimesinde bu ek vardir.
292. -ari, -eri
Islek olmayan bir ektir. Uc-ari kelimesinde bu ek vardir.
293. -amac, -emec
Islek olmayan eklerden biridir. Done-emec misalinde bu ek
vardir.
Daha onlarca ekten bu bicimde soz ediyor, uzatmamak
icin bunlarla yetiniyorum... Ustelik bir o kadar ek
icin de "benzerlik bildirir" veya "iliski bildirir"
gibi belirsiz birseyler demek ve 2-3 ornek vermekle
yetiniyor... (Bunlar benim degil, "profesor doktor"
birisinin 'kitabindan':)
Simdi, birince ornege bakinca "gul-ec" ile "tik-ac"
arasinda nasil bir "ortak anlam" gorebiliyoruz...?
(Ustelik yazar "tik-ac" mi, "tika-c" mi oldugunu da
kesin soyleyemiyor.) Verilen iki ornekten birisinin
"eylemi yapan kisi" oburunun de "alet" bildirdigini
soyleyebilirmiyiz...? Soyleyebilirsek, bunlar asiri
Bu ornek verdigim (ve vermedigim daha bircok) ekler
icin gecerli. Bu eklere yok diyemeyiz. Gecmiste cok
az kullanilmis (islek degil) diye, ilerde de sozcuk
uretmede kullanilmamali demek dogrumudur...? Turkce
eklerin sayisi belli. O islek degil, bu islek degil
dersek, elimizde bir avuc ek kalir. O durumda dilin
gelismesi de buyuk olcude engellenmis olur...
Bu gibi ekler islek olarak kullanilmaya baslaninca,
'zaten' "olmayan" anlamlarinin da disina tasilmasi
kacinilmaz bir durum...
Burada deginmek istedigim baska bir konu da yabanci
dillerde sozcuklere benzeyen sozcklerin uretilmesi.
Ornegin Ingilizce'de yukardaki -ac/-ec, -am/-em, vb
gibi eklere benzeyen seslerle biten yuzlerce sozcuk
var... Simdi -am/-em ekiyle uretilen sozcukler icin
birileri cikar da, "Yav bu adamlar Gunes Dilcisi mi
ne? Bak hep -amli/-emli sozcuk uretiyorlar." derse,
bu isin sonu nereye varir...?
> 2) Her ekin anlam ve islevlerinin ancak belli kombinasyonlarda
>bir araya geldigine (mesela yukaridaki a ve b) inaniyor musunuz? Bir
>kimse -men/man ekini anlam2 - islev2 kombinasyonunda kullanirsa
>hatali bulur musunuz?
Bunu biraz dusunmek isterim... Bu ekle anlam2-islev2
yonunde denedigim birkac 'kombinasyon' oldukca kulak
tirmalayici geldi... Bu baska eklerde var mi bilmem.
Bu "kulak tirmalayici" gelip gelmeme olayi bir yerde
ekin anlaminin/islevinin ne kadar belirgin oldugunun
bir gostergesi olabilir... Bu konuda sen de gorusunu
bildirisen sevinirim.
Now I know that over the last millenium there has been much blood spilt
between Greek and Turk and I accept that whilst the Turks committed
attrocities agaist the Greeks, the Greeks were not slow to return the
favour when their turn came, isn't it time to stop this foolishness.
After the disaster of 1922 both Greece and Turkey were impoverished by
the forced population exchanges. Each country lost a vital part of
itself and its heritage. Perhaps that divorce had to happen, but I know
from what I have seen here in Australia that it is possible for the two
peoples to live together without conflict.
The point I am trying to make is that Greeks and Turks have more in
common with each other than either would like to admit and that the
petty nationalism that has brought both countries to the brink of war in
recent years is ill founded and an anachronism. Both countries have
shown on hundreds of occaisions that their young men can die bravely.
There is no need for this to be demonstrated again and again.
In fraternity Greg Savvinos
In < [email protected] > Haluk Aydinoglu wrote:
>Murat,
>Postinglerinin nicin dagilmadigi hakkinda bir fikrin var mi?
>Buraya bazi cok eski postingler defalarca geldgi halde yeniden
>yolladigin postingler daha once gelmemisti. Istersen serverini
>bir kontrol et.
Ilgi gosterdigin ve kendi 'serverinde' cikmadigi bilgisini
verdigin icin sag ol. Konu baskalarini da ilgilendirebilir
diye SCT'de acik karsilik yaziyorum.
'Newsnet'te yazilarin dagilimi ara sira cok boluk porcukce
oluyor. Kimi 'server'lerde belli yazilarin elendigi konusu
da gene ara sira kusku duyulan ve sozu edilen bir olay.
Ben, ozellikle de katilanlarin oldugunu bildigim konularda,
yazdiklarima bir kac gun icinde karsilik almayinca 'public'
serverlere (Deja News gibi) bir bakarim. Gecmiste benim hic
cikmayan yazilarim oldu saniyorum. Cok ender olduklari icin
ustune dusmemistim. Bu kez 8-9 gun icinde (aralarinda ikinci
baski yaptiklarim da olan) yazilarim cikmayinca sorusturdum
ama 4 gundur gene de bir aciklama alamadim. Birkac gun once
3-4 degisik 'server'den ucuncu baski yaptiklarimin hepsinin
ortalama bir gunde bircok 'server'e dagilmis oldugunu gordum.
Dort gun ust uste yakinmamin/sormamin ardindan, bugun kendi
'server'imden ikinci baski yaptiklarimdan birkaci orda burda
cikmaya basladi. Ilk attiklarimdan hic birini daha gormedim.
Ozellikle, arastirarak yazilmasi bir iki saat almis olabilen
yazilarin hic kimseye ulasmamasi ya da gunler sonra ulasmasi
biraz sinir bozan, en azindan konunun guncelligini yitirmesi
bakimindan da yazmaktan sogutan bir olay... Burda bana karsi
bilerek yapilmis bir durum oldugunu sanmiyorum. Gene de senin
de dedigin gibi, hepimizin uyanik bulunmasinda yarar var...
MK
Bu soruya karsi iletecek bir gorusun yokmuydu...?
>> (Ustelik yazar "tik-ac" mi, "tika-c" mi oldugunu da
>> kesin soyleyemiyor.)
Ozellikle buna hic deginmeden gectigine sasirdim.
Daha once tartistigimiz, benim "-l" eki dedigim,
senin de once "kultur-el" sozcugunde bulup sonra
"$ap$-al" ve "andav-al" gibi orneklerle oldugunu
iyice kanitladigin "-al/-el" ekine cok benziyor.
Tam senlik bir konu diye araya ilistirmistim ama
gozune takilmamis demek... :)
Baskalarinin da ilgilenecegini varsayarak konuyu
ben biraz daha isleyeyim...
Yukarda sozunu ettigim "profesor doktor" bakalim
neler demis:
"Bu ek eskiden beri gorulen ve bugun bir cok misalleri
"bulunan bir ektir. Bunun da fonksiyonunda bir asirilik
"ifadesi vardir. Yaptigi isimler yapani veya yapilani
"veya haraket halini gosterir: kiskan-c, igren-c, korkun-c,
"gulun-c, inan-c, sevin-c gibi.
Burada bir ara verip "ekin fonksiyonunda asirilik
ifadesi var" diye bir anlatim kullanmis oldugunun
altini cizelim...
"Misallerden de anlasiliyor ki bu ek ancak donuslu fiil
"koklerine getirilmektedir. Gerci misallerin bir kisminda
"ekin getirilmis gorundugu donuslu fiil govdesi kullanilmamakta
"ve fiil kokune -c degil de -nc eki getirilmis gibi bir durumla
"karsilasilmaktadir. Bu yuzden ek umumiyetle -nc olarak veya
"-c ve -nc gibi cift sekilli olarak gosterilir.
Boyle usenmeden uzun uzun alinti yapmamin nedeni,
Turkce'nin "-al" ekine "s" sesi eklemekle, Germen
dillerindeki "-sal/-sel" ekine benzeyen "pic" bir
ek yaratilmis, Turkce'deki "-man/-men" eki Germen
dillerine ozenilerek islevi disinda "yapici kisi"
bildirmekte kullanilmis, vb... diyenler "profesor
doktorlarimizin" Turkcemiz'in "kurallarini" nasil
Yok "oyle gorunuyormus da, boyle olabilirmis...",
"boyle oldugu sanilsa bile, baska turlu oldugu da
farzedilebilirmis...", falan filan...
Simdi ben Turkce'de "tika" 'fiil' kokune "-c" eki
getirerek "tiak-c" sozcugunu turettim desem, bana
neler derdin degil mi...? "Profesor doktorumuzun"
"tikac" "tik-ac" da olabilir "tika-c" da olabilir
demesine ne diyecegini bilmeyi cok isterdim. Oysa
senin burda tartismakdaki ereginin bu tur seyleri
sorgulamak, ne de bir katkida bulunmak olmadigini
goruyorum...
"Bu ek asirilik bildirir, donuslu fiil koklerine
getirilir, bilmem ne" diye geveleyen ayni "prof"
iki 'sayfa' ilerde "tika-c" olabilirmis diyor...
"Tikac" nasil bir asirilik bildiriyor ve donuslu
'fiil' koku nerde...?
Neyse, bakalim daha neler demis:
"Fakat bu dogru degildir. Ekin -c oldugu ve -n-'nin donusluluk
"ekinden baska bir sey olmadigi muhakkaktir. Donuslu fiil sekli
"kullanilmayan misallerde bu sekil ya kullanistan dusmus ve
"unutulmustur veya kullanilmadigi halde donuslusu kullanilan
"diger misallere benzetilerek ortaya cikmistir. Bu cesit isim-
"lerin manasi da kokten degil, govdeden turemis olduklarini
"gostermektedir."
Iste, Turkce'nin "disina tasilmamasi gerektigi"
savunulan "*kural*larinin" nasil belirlendigine
bir ornek... "Prof"un verdigi ornekler arasinda
bugun donuslu olmayan kullanimli 'fiil' kokleri
benim gordugum kadariyla "korkmak", "gulmek" ve
"sevmek". Bu uc ornegin biri olan "gulun-c" ise
aciklamasina uymuyor, cunku "gulun-mek" kokunde
donusluluk degil edilgenlik eki var. "Gulunmek"
kendi kendine yapilan bir eylem bildirmez baska
birine/bir seye gulundugunu bildirir. "Hayatini
baskalarinin derlemelerinden derlemeler yaparak
gecirmis proflarin" gozunden boyle ayrintilarin
kacmasi olagandir (Sonu "-l" sesiyle biten koke
"-l-" edilgenlik ekinin "-n-" olarak eklenmesi.
Ustelik yazarin kendisi "-n-" ekini anlatirken,
bunu "gul-u-n-" ornegini vererek "pasiflik" eki
diye kendi de soyluyor... Gel de gul-u-n-me... :)
"Tika-c"i bir yana birakalim, bu ekin "belirli"
anlam ve islevinin "disina tasilarak" uretilmis
bu "gulun-c" sozcugunu hangi "dil milliyetcisi"
veya "Gunes Dilcisi" uretmis ara da bul hadi..!
>> Verilen iki ornekten birisinin "eylemi yapan kisi"
>> oburunun de "alet" bildirdigini soyleyebilirmiyiz...?
Bu soru ilgilendirmedi mi...?
>> Soyleyebilirsek, bunlar asiri belirsizlik goztermez mi?
Ya bu...?
>> Bu ornek verdigim (ve vermedigim daha bircok) ekler
>> icin gecerli. Bu eklere yok diyemeyiz. Gecmiste cok
>> az kullanilmis (islek degil) diye, ilerde de sozcuk
>> uretmede kullanilmamali demek dogrumudur...?
>> Turkce eklerin sayisi belli. O islek degil, bu islek
>> degil dersek, elimizde bir avuc ek kalir. O durumda
>> dilin gelismesi de buyuk olcude engellenmis olur...
>>
>> Bu gibi ekler islek olarak kullanilmaya baslaninca,
>> 'zaten' "olmayan" anlamlarinin da disina tasilmasi
>> kacinilmaz bir durum...
>> Burada deginmek istedigim baska bir konu da yabanci
>> dillerde sozcuklere benzeyen sozcklerin uretilmesi.
>> Ornegin Ingilizce'de yukardaki -ac/-ec, -am/-em, vb
>> gibi eklere benzeyen seslerle biten yuzlerce sozcuk
>> var... Simdi -am/-em ekiyle uretilen sozcukler icin
>> birileri cikar da, "Yav bu adamlar Gunes Dilcisi mi
>> ne? Bak hep -amli/-emli sozcuk uretiyorlar." derse,
>> bu isin sonu nereye varir...?
Hic olmazsa buna karsilik birseyler yazsaydin...
>>> 2) Her ekin anlam ve islevlerinin ancak belli kombinasyonlarda
>>> bir araya geldigine (mesela yukaridaki a ve b) inaniyor musunuz?
>>> Bir kimse -men/man ekini anlam2 - islev2 kombinasyonunda
>>> kullanirsa hatali bulur musunuz?
>> Bunu biraz dusunmek isterim... Bu ekle anlam2-islev2
>> yonunde denedigim birkac 'kombinasyon' oldukca kulak
>> tirmalayici geldi... Bu baska eklerde var mi bilmem.
>>
>> Bu "kulak tirmalayici" gelip gelmeme olayi bir yerde
>> ekin anlaminin/islevinin ne kadar belirgin oldugunun
>> bir gostergesi olabilir... Bu konuda sen de gorusunu
>> bildirisen sevinirim.
> Yine kala kala sizin "kulak tirmala" standardiniza kaldik.
> Meyve suyu karisimi standardindan sonra, bu Turkce icin
> bictiginiz ikinci olcek. Boyle olunca her kelime siz
> isterseniz "Turkce" olabilir (eger kulaginizi tirmalamaz ise).
Gecen yazimda butun yazdiklarima karsilik boyle
bir sey demen gercekten uzucu. Tartismada eregini
ve duzeyini acikca ortaya koyuyor...
Turkce'de 'isim' ve 'fiil' kokunden yapici kisi
belirtme islevi/amlami yeterince belirginlesmis
ekler var. Ornegin, "-cI,-ci,-cu,-cU,..." eki:
al-i-ci, sat-i-ci, ekmek-ci, balik-ci, vb... Bu
kadar islek bir ekin ne 'isimden-isim' ne de
'fiilden-isim' yaparken "kulak tirmalayacagi"
RK diye yazan, kimin nesi oldugu belirsiz biriyle
birlik olup "S. Taner'in yasamina giren erkekler"
diye, "yasam" sozcuguyle dalga gecmenize karsilik
yazdiklarimi da mi animsayamadim...?
Yukarda sozunu ettigin kullanimin baska yonlerden
"hatali" olup olmayacagi konusunda ise bir gorus
olusturabilecek/bildirebilecek kadar bir arastirma
yapmaya da 'zamanim' olmadi. Olunca (veya olursa)
bildiririm.
Burda ilginc olan bir durum da, senin bu konularda
neden tartistigini anlayamamam. Yapici bir katkida
bulunmak istedigini gosterecek hic bir gorus one
suremiyorsun. Banguoglunun falan 'balonlarini' da
patlatali beri onlardan alinti yaparak tartismayi
bile biraktim. Yapmak istedigin nedir...? Yalnizca
soru sormakla dalasip, uzaktan uzaktan isirmak mi?
> Birde gecenlerde Turkcede -ge ekinin islevinin "belli" oldugunu
> yazmistiniz. Simdi ise islevin buyuk bir onemi yok diyorsunuz.
> Onemi olmayan bir seyin belli olup olmamasi neyi degistirir?
> Bu zaten onemli degil der gecistirirsiniz.
Bir onceki yazimda neye onemsiz dedigim bolumler
yukarda duruyor. Istersen bir kez daha oku...
Bu yazimda usenmeden bir o kadar daha yazdim...
Eger yiyorsa, gel sen de once yukarda verdigim
birkac ekin islevini/anlamini istedigin bicimde
anlatmakla basla, ondan sonra o islevlerinin ne
kadar ve neden o kadar onemli oldugunu bildir...
Benim goruslerim yanlissa, sen neden dogrusunu
yazamiyorsun bir turlu anlayamiyorum...? :)
benim yazdiklarimin yanlis oldugunu nasil bilip
asagilamaya calisiyorsun...?
> Herhalde bunlari yazdiktan sonra -man/-men ekinin Turkce olup
> olmadigini tartismak abes olur. Saylik isitliginiz mutmen ise
> Turkludur.
Bakin donup dolasip yine ayni noktaya geldiniz. Size cok basit
bir soru sordum hala cevaplayamadiniz. Enis Surensoy'un ona buna
Turk degil deyip, sonra Turk'un tanimi nedir diyince cevap verememesi
gibi bir sey. Siz de su ana kadar Turkce'de kelime turetilmesinde
olcu ne olmali sorusuna "turetilen kelime kulagi tirmamali" disinda
bir cevap veremediniz. Sizin yazdiklarinizi basitlestirip tekrar
sordum yine cevap yok.
Simdi, baska newsgroup'larada gonderilen yazilarda, riyakar
bir tavirla Turkce'de -ge ekinin "function"nun belli oldugunu,
Tukcenin verimliligi acisindan eklerin anlamina(meaning) sadik
kalinmasi gerektigini, sonar'daki -ar ekinin uygunsuz oldugunu
yazdiniz. Ben "function" ve "meaning"den ne anliyorsunuz diye sorunca,
once "function" ifadesini kullanmadiginizi (onceki mailde) yazdiniz.
Dogru... Bir oncekinde degil, iki mesaj evvelinde kullanmistiniz.
Fakat, ekin "function"i konusunda kafanizda bir fikir varsa neden
bu hususu bana dogrulatma geregini hissetiniz? Yoksa o "function"
kelimeside oyle es-kaza agizdan kacirilmis bir sey miydi? Sanmam... Cunku,
daha sonra, hem "function" hem de "meaning" icin kendinizce
aciklamalarda bulundunuz.
Ben sizin yazdiklarinizi tekrar duzenleyip basit formuller
halinde evet/hayir diye cevaplanabilecek uc tane basit soru sordum.
Bunu yapmaktaki tek gayem sizin eklerin kullanimi konusunda gorusunuzu
bir cerceve icine oturtabilmekti. Cevap olarak gonderilen tonlarca
kel alaka yazinin icinde, konuyla ilgili sadece "kulak tirmalama"
standardi vardi.
Size herkesin onunde bir defa daha sorayim. Kendi yaptiginiz
tanimlar cercevesinde Turkce'de kelime turetimi icin ``kulak tirmalama''
disinda verebileceginiz bir olcut var mi?
Eger yoksa, ona buna, yok Turkce'de -ge ekinin ``fuction''i
belli imis diye ahkam kesmenin anlami ne? Superge'nin -ge'si ile
``ozturkce'' genelge'nin -ge'si arasinda ortak olan ne? Buyurun
kendi tanimlariniz ile aciklayin.
Not: Bakiniz, sordugum soruda anlasilmayacak hic bir sey
yok. 1 Meg. kel alaka seyler yazmanin ise hic bir anlami yok. Boyle
basit ve ucuz taktiklerin arkasina saklanmayin.
In <Pine.SUN.3.91.970115143539.7750B-100000@psy4> Philip Shields wrote:
> As a non-Greek and non-Turk ('recently', at least), what I
> have noticed also is a common love of and attitude towards
> backgammon. Is this more evidence of the cultures' similarities?
This reminds me of an article I posted here a while back.
If a group randomly made of an American, Russian, French,
Greek, Turkish, etc. were sent on a six-month mission to
the South Pole, I had said that I would have bet my last
dollar on the Greek and the Turk ending up becoming best
friends... Especially if they brought in their suitcases
a few food items, some recorded music, a little Ouzo/Raki
and a backgammon board...
Of course, even those would not be really needed because
sometimes it only takes as little as seeing a Greek make
a hand jesture while saying "Poo poo poo..., for a Turk
to come to like a Greek... (This is the same had gesture
that Turks make while saying "Oh hooo oh...":)
MK
Iyi de bu benzerligin onemi ne? Daha once islevin
buyuk bir onemi olmadigini yazmistin (en azindan bilgisayar
programiclari haric)(bkz. asagi).
"Once 'isim/fiil' kokunden 'isim/fiil' yapma yonunden
"islevin bence buyuk bir onemi olmadigini belirteyim.
"Bu belki Turkce uzerine bir bilgisayar 'programinin'
"temel alacagi "kurallar" bakimindan onemli olabilir,
"ama konusurken/yazarken bilincinde olunmasi gereken
"bir sey degil..."
Ikincisi, "genelmek" fiili ne demek? Turkiye'de 17
sene okula gittim. Ne bir ders kitabinda, ne de baska bir yerde
"genel"in fiil olarak kullanildigini gordum. Sen nerede gordun?
>Anlam bakimindan ise, "purofesor
>doktorun" "daha cok yapilani, bazan yapani, bazan yapma
>isini, hulasa fiilin gosterdigi haraketle ilgili nesneleri
>karsilar" diye "ahkam" kesmesine yetecek de artacak kadar
>anlam benzerlikleri olmasi...
-ge ekinin supurge'deki anlami ile genelge'deki anlamini
arasinda nasil bir benzerlik goruyorsun?
mehmet,
:Sozunu ettigin ve benim burda alinti yaptigim yazilarda
:gozunden kacmis olan (ya da oyle isine gelmis) bir konu
:"RK"nin one surdugu,
:"it is still coining neologisms. besides some "stems"
:"were also invented "from whole cloth". also some
:"suffixes" were invented.
:gorusuydu. Gordugun gibi, onemli olan Turkce'de yeni kok
:uretilmis olup/olmadigi konusuydu. (Bunun yanina, "also"
:diyerek, yeni ek uretildigi gorusunu de katmisti). Bunun
:ardindan verdigi orneklere de bir cirpida "with a suffix
:and stem of dubious function" demisti...
:Sen bunca ince dusunen birimisin bilmem, oysa konu "im-"
:ve "sim-" kokleriyken boyle bir sey demesinden ben kesin
:bir anlam cikaramadim. Ozellikle de, onun "stem"in (kok)
:"function"undan (islev) soz edip etmedigini cikaramadim.
:(Sen ona, "Yav, kokun islevi ne demek oluyor" diye neden
:sormadin?)
:Is boyle olunca, ben de asagida gorecegin gibi ikiye bir
:"iliski kurmasini bozmamak icin "function" (islev) yerine
:"meaning" (anlam) kullanip ayni anlatimi "kok ve eklerin
:anlami korunmali" diyerek kullandim. (Hem kokun hem ekin
:islevi olur diyemeyecegim, ama hem kokun hem ekin anlami
:olur diyebilecegim icin.) Gene de konumuzun odaginin kok
:oldugunu ve ekin ikinci 'derecede' soz konusu edildigini
:vurgulayarak, ayni yazinin gerisini okuyalim:
"im" diye bir kok var, ama isim. -ge ise fiil koklerine
getirilir. boyle bir vaziyette im ko"kUnUn isim veya
fiil olup olmadIgI, veya -ge ekinden bir isimden isim
veya fiilden isim i$tikak etme eki kastedildigi anala$IlmIyor.
yani fonksiyonunu muphem. ama cumlemde "function or meaning"
demeliydim. "sim" diye bir kok yok, ne fiil ne isim. eger
ekler ve kokler mana ifade etseydi, ve bunlar yerinde
kullanIlsaydI, neticenin tesadufen bir avrupai kelimeye benzedigi
iddia edilebilirdi. haliyle, sanki bir kokten i$tikak etmi$
gibi gorUnen, ama aslInda oyle olmayan, avrupai kelimelere
benzetilmi$ iki uydurulmu$ kelime var.
> Siz de su ana kadar Turkce'de kelime turetilmesinde olcu ne
> olmali sorusuna
Boyle bir soru sormadin. Sordugun soru suydu:
"In <5abo37$ [email protected] > Mehmet Gulsen wrote:
"2) Her ekin anlam ve islevlerinin ancak belli kombinasyonlarda
"bir araya geldigine (mesela yukaridaki a ve b) inaniyor musunuz?
"Bir kimse -men/man ekini anlam2 - islev2 kombinasyonunda
"kullanirsa hatali bulur musunuz?"
> "turetilen kelime kulagi tirmamali" disinda bir cevap veremediniz.
Sodugun soruya boyle bir karsilik da vermedim. Yukardaki
soruna karsilik verdigim yanit suydu:
"Bunu biraz dusunmek isterim... Bu ekle anlam2-islev2
"yonunde denedigim birkac 'kombinasyon' oldukca kulak
"tirmalayici geldi... Bu baska eklerde var mi bilmem.
"Bu "kulak tirmalayici" gelip gelmeme olayi bir yerde
"ekin anlaminin/islevinin ne kadar belirgin oldugunun
"bir gostergesi olabilir... Bu konuda sen de gorusunu
"bildirisen sevinirim.
Bundan sonra baska isimiz gucumuz yok gibi soylediklerimi
carpitmalarini mi duzeltecegiz...?
Burda, "sunu dedin, bunu dedin" demelerinin disinda soru
olarak bir tek "Onemi olmayan bir seyin belli olup olmamasi
neyi degistirir?" var, o da benim (senin agzindan) "islevin
buyuk bir onemi yok dedigim" savina dayaniyor... Buna da,
"Bir onceki yazimda neye onemsiz dedigim bolumler
"yukarda duruyor. Istersen bir kez daha oku..."
diye karsilik verdim ve okumani istedigim bolum bir onceki
yazimda,
"Once 'isim/fiil' kokunden 'isim/fiil' yapma yonunden
"islevin bence buyuk bir onemi olmadigini belirteyim.
"Bu belki Turkce uzerine bir bilgisayar 'programinin'
"temel alacagi "kurallar" bakimindan onemli olabilir,
"ama konusurken/yazarken bilincinde olunmasi gereken
"bir sey degil..."
dedigim bolumdu. Eger sen bu soylediklerimden benim genel
olarak "islevin buyuk bir onemi yok" dedigimi anliyorsan
baska diyecegim yok...
> Simdi, baska newsgroup'larada gonderilen yazilarda, riyakar
> bir tavirla Turkce'de -ge ekinin "function"nun belli oldugunu,
Ingilizcen belki 'zayif' olabilir, belki ne dedigime burda
bir kez daha bakarsak daha iyi anlayabilirsin:
"In <59obpl$ [email protected] > Murat Kalinyaprak wrote:
"> for example imge, simge (the only point is their
"> resemblance to their european counterparts, image,
"> symbol; with a suffix and stem of dubious function.
"
"-ge" is one of the most common ("islek") suffixes
"in Turkish, its function is not dubious at all.
Burda gorebilecegin gibi, "-ge" ekinin "dubious" olmadigi
savimi ekin yaygin ve islek olmasina dayiyorum (birisinin
bu ekin islevi kuskulu/belirsiz demis olmasina karsilik).
Turkce'de "-ge" eki kadar yaygin/islek bir ekin islevine
belirsiz dersek, islevi belirsiz denemeyecek baska bir ek
de kalmaz. Ben yazdiklarimda "-ge" ekiyle iliskili olarak
ve 'kiyaslamali' (yaygin/islek olmaya dayali) olarak bir
gorus bildirmem disinda, Turkce'deki butun eklerin islevi
belirlidir demis oldugum yonunde bir cikarima yol acacak
bir sey goremiyorum...
> Tukcenin verimliligi acisindan eklerin anlamina(meaning) sadik
> kalinmasi gerektigini, sonar'daki -ar ekinin uygunsuz oldugunu
> yazdiniz.
Sozunu ettigin ve benim burda alinti yaptigim yazilarda
gozunden kacmis olan (ya da oyle isine gelmis) bir konu
"RK"nin one surdugu,
"it is still coining neologisms. besides some "stems"
"were also invented "from whole cloth". also some
"suffixes" were invented.
gorusuydu. Gordugun gibi, onemli olan Turkce'de yeni kok
uretilmis olup/olmadigi konusuydu. (Bunun yanina, "also"
diyerek, yeni ek uretildigi gorusunu de katmisti). Bunun
ardindan verdigi orneklere de bir cirpida "with a suffix
and stem of dubious function" demisti...
Sen bunca ince dusunen birimisin bilmem, oysa konu "im-"
ve "sim-" kokleriyken boyle bir sey demesinden ben kesin
bir anlam cikaramadim. Ozellikle de, onun "stem"in (kok)
"function"undan (islev) soz edip etmedigini cikaramadim.
(Sen ona, "Yav, kokun islevi ne demek oluyor" diye neden
sormadin?)
Is boyle olunca, ben de asagida gorecegin gibi ikiye bir
iliski kurmasini bozmamak icin "function" (islev) yerine
"meaning" (anlam) kullanip ayni anlatimi "kok ve eklerin
anlami korunmali" diyerek kullandim. (Hem kokun hem ekin
islevi olur diyemeyecegim, ama hem kokun hem ekin anlami
olur diyebilecegim icin.) Gene de konumuzun odaginin kok
oldugunu ve ekin ikinci 'derecede' soz konusu edildigini
vurgulayarak, ayni yazinin gerisini okuyalim:
"For example, not long ago, in a thread called
"nane sekeri" I wrote:
"Birincisi dilde kopukluga, duzensizlige, gucluge,
"anlam yitmesine/karisimina yol aciyor... Ornegin:
"son, sonar, sonata, sonda, sondaj, sondalama(k),
"sone, sonek, sonlu, sonra, sonses, sonsuz, sonuc"
"gibi sozcuklere baktigimizda, Turkce'deki "son-"
"kokunun icine edilmis oldugunu goruyoruz.
"Turkish is an agglunitative language and in my opinion
"it needs to preserve the meanings of its stems and its
"suffixes, in order to preserve its efficiency...
"The stem "son-" in Turkish basicly correspond to "end"
"in English. Now look at the words that start with "son-"
"above...
"sonar, sonata, sonda, sondaj, sondalama(k), sone" are
"foreigh words that have nothing to do with the Turkish
"meaning of "son-"...!
Burda da gorebilecegin gibi, konu ettigim "son-" kokunun
anlamini yitirmesi... Bu yazdiklarimdan, senin onerdigin
o "eklerin anlamina (meaning) sadik kalinmasi gerektigi"
gorusunu vuguladigim sonucuna nasil vardigin ilginc...
Ustune atladigin bir tek 'satirda' da neden "it needs to
preserve the meanings of its stems and its suffixes"
dedigimi yukarda acikladim.
> sonar'daki -ar ekinin uygunsuz oldugunu yazdiniz.
Bu da gene yanlis anladigin baska bir ornek... Benim
yazdigim suydu:
"sonar" seems to be a Turkish word with the "-ar" suffix
"inappropriately (as it is only used in birer, sekizer,
"onar, kirkar, etc.)
Benim anlatmak istedigim, Ingilizce bilmeyen bir Turk'un
"sonar" sozcugunu ilk duydugunda, bu sozcugun ona "son-"
kokune "-ar" ekinin getirilmesiyle uretilmis bir sozcuk
gibi gorunebilecegi dusuncesi ("seems to be") idi...
Verdigim diger ornekleri de boyle tek tek ele alarak,
Turkce sozcuklerin cogunlugunu anlamaya kok ve eklerin
anlamlarini bilmenin yetebilecegine karsilik, yabanci
sozcuklerin anlamlarinin ayri ayri ogrenilmesinin
gerektigini gostermeye calismistim...
> Ben "function" ve "meaning"den ne anliyorsunuz diye sorunca,
> once "function" ifadesini kullanmadiginizi (onceki mailde)
> yazdiniz. Dogru... Bir oncekinde degil, iki mesaj evvelinde
> kullanmistiniz. Fakat, ekin "function"i konusunda kafanizda
> bir fikir varsa neden bu hususu bana dogrulatma geregini
> hissetiniz?
Bunu daha once acikladim. Sordugun "bir ekin 'function'
ve 'meaning'inden ne anliyorsun" diye kendi basina bir
soru olsaydi, ona gore yanitlardim. Sorunun "function"
sozcugunu benim belli bir yerde kullanisim ile ilgili
oldugu acikti ve bir onceki yazima baktigimda da nerde
"function" dedigimi goremedim. Bunu da gene "goremedim"
sozcugunu kullanarak aktardim (dedigin gibi "function"
ifadesini kullanmadigimi yazdigim dogru degil)...
> Yoksa o "function" kelimeside oyle es-kaza agizdan kacirilmis
> bir sey miydi? Sanmam... Cunku, daha sonra, hem "function" hem
> de "meaning" icin kendinizce aciklamalarda bulundunuz.
Evet, bu "-man/-men" eki tartismalarinin basindan beri
bir sorun oldu. Genellikle sozcuklerden, koklerde, vb.
soz ederken yaptigim gibi eklerden soz ederken de gene
"anlam" sozcugunu kullanmakle yetinirim/yeglerim... Bu
neden buyuk bir sorun oluyor anlayamiyorum.
> Ben sizin yazdiklarinizi tekrar duzenleyip basit formuller
> halinde evet/hayir diye cevaplanabilecek uc tane basit soru
> sordum. Bunu yapmaktaki tek gayem sizin eklerin kullanimi
> konusunda gorusunuzu bir cerceve icine oturtabilmekti.
Sorduklarini elimden geldigince aciklama ve ornek vererek
yanitlamaya calistim. Eger yalnizca evet/hayir biciminde
yanitlamami istediysen, acikca belirtseydin ben de oyle
yanitlar ya da yanitlamazdim...
> Cevap olarak gonderilen tonlarca kel alaka yazinin icinde,
> konuyla ilgili sadece "kulak tirmalama" standardi vardi.
Nedense ben kulak tirmalama "standardi" diye bir sey one
surdugumu hic animsamiyorum...:) Sen beni bir kasik suda
bogmaya calisirken, basindan asagi bir kova suyu dokunce
"kel alaka" olmus olmali...
> Size herkesin onunde bir defa daha sorayim. Kendi yaptiginiz
> tanimlar cercevesinde Turkce'de kelime turetimi icin ``kulak
> tirmalama'' disinda verebileceginiz bir olcut var mi?
Var. Ayrica senin "kulak tirmalama olcutu" dediginin de
benim verebilecegim "kelime turetme olcutu" ile hic bir
iliskisi yok.
> Eger yoksa, ona buna, yok Turkce'de -ge ekinin ``fuction''i
> belli imis diye ahkam kesmenin anlami ne?
Turkce'de "-ge" eki olan sozcuklerin cogunlugunda anlam
ortakliklari/benzerlikleri oldugunun gorulmesi...
> Superge'nin -ge'si ile ``ozturkce'' genelge'nin -ge'si arasinda
> ortak olan ne? Buyurun kendi tanimlariniz ile aciklayin.
Yapi bakimindan, ikisinde de 'fiil' kokunden 'isim' yapan
"-ge" ekinin bulunmasi. Anlam bakimindan ise, "purofesor
doktorun" "daha cok yapilani, bazan yapani, bazan yapma
isini, hulasa fiilin gosterdigi haraketle ilgili nesneleri
karsilar" diye "ahkam" kesmesine yetecek de artacak kadar
anlam benzerlikleri olmasi...
> Not: Bakiniz, sordugum soruda anlasilmayacak hic bir sey yok.
Benim verdigim yanitlarda da anlasilmayacak bir sey yok.
> 1 Meg. kel alaka seyler yazmanin ise hic bir anlami yok.
Senin kara gozunun 'hatiri' icin oturup bunca yazdigimi
saniyorsan, yaniliyorsun... Senin icin bir anlami olmasa
da belki baskalari icin bir yarari oluyordur. Turkce'de
su uydurulmus, bu uydurulmus diyenlerin de neler neler
uydurdugunu gosterebilmek, Turkce'nin 'ciltlenmis' bir
sozluk ve dilbilgisi 'kitabi' olarak gokten indirilmis
olmadigini ve tersine yuzlerce yildir uydurula uydurula
olustugunu gosterebilmek, okuyanlari bu olusuma kostek
olmak yerine katkida bulunmaya yonlendirebilmek, kendim
yeni birseyler ogrenebilmek, Turkce ile 'alay' edenlerle
on kati 'alay' ederek biraz da eylenmek icin yaziyorum...
> Boyle basit ve ucuz taktiklerin arkasina saklanmayin.
Bu oyunu seninle daha once de oynadik. Kendi sozunu tut
da, bana daha baska sorular sormadan once benim sordugum
sorularin hic yoksa bir ikisini de sen yanitla, olur mu...?
MK
In article <5bnr31$ [email protected] >, [email protected] @ smtp.dorsai.org (Vasos Panagiotopoulos +1-917-287-8087 writes:
> In <5bm7ab$ [email protected] > by Murat Kalinyaprak ( [email protected] )
> on 16 Jan 1997 21:41:31 GMT we perused:
> }>dollar on the Greek and the Turk ending up becoming best
> }>friends... Especially if they brought in their suitcases
>
> I've seen this happen in university and work settings here in
> the USA, which makes my relatives in Greece red with anger when they
> hear of it. In fact, next door to me used to live a Turkish architect
> who married his Greek secretary, and their daughter married an
> Italian. There is one thing we ignore, however, in such an
> "analysis": such people CHOSE to come to the USA (or to go to the
> "South Pole"), they are not the same people who stayed behind. They
> agreed to abide by the USA "social compact". No such compact exists
> "back home". In fact, such Greeks and Turks feel quite uncomfortable
> "back home" and end up staying in the USA. Turk "gastarbeiteren" in
> Germany exhibit none of these warm, fuzzy, friendly traits because
> they are banished to being "ausslanders".
> Also, you must realise that "Turks" are mainly descended from
> formerly grecophone "Anatolians". One would be hard-pressed to find
> "Turks" who resemble the mere sixty-thousand Turk horsemen who forced
[Oguz]
Whether you are aware of it or not, you started your post quite nicely;
but unfortunately, ended up vomitting the Megala Hellenic idealogy
from your subconscious.
What you have posted is a simple yet pityful attempt to dicredit the Turks
of Turkiye as being Greeks with an identity problem. Yes, at the battle of
Malazgirt in 1071 60,000 Turks defeated a combined but diverse Byzantine
force of 200,000 but Turks had already established themselves in eastern
Anatolia and the Caucasus by the millions. Are you implying that the native
inhabitants were so pathetic or that Turks are more super human than believed
by the world, that they let a mere 60,000 Turk warriors take over all Asia
minor within that year and force them to be Turks.
8^) That's hilarious.
The reality is with the Malazgirt victory millions of Turks flowed in
from the Central Asia for a couple of centuries with the prospect of better
lands, wealth and opportunity. The Byzantines were never able to amass any
reasonable threat ever again. As for Eastern Europe, millions of Turks
upon approxiametly 7 mass invasions by Turk tribes such as (Avar, Kuman,
Pomak, Pecenek, Hazar, Bulgar...) have reshaped the slavic racial type
of south eastern Europe before the European conquests of the Ottoman Turks.
> the Anatolians to be "Turk". Now, if only these Anatolians would
> return to their Christian roots, they would soon be indistinguishable
So maybe if the people of the Balkans return to their "ROOTS" we wouldn't have
to worry about a Greece's grandueurous claims on Istanbul, Izmir, & even all
of Western Anatolia, you'll be too busy containing the paranoid fringe wonder
when the Turks are going to come down from the North.
> from Greeks.. and would have no need to fear the ascension of the
> Ayatollah Kakamemies that might plunge modern Turkey into an Iran-like abyss.
Your concern for Turks is making me misty eyed.
Oguz
p.s. I recommend you do a little more reading on the subject and refrain from
nationalistic mythologies.
Bu arada sunuda hatirlatayim. Sct'yi yaklasik 5 yildir
takip ediyorum. Ve, bu platformda bir cok insanla karsilastim.
Sikistiginda, karsi tarafi kel alaka soru bombardimanina tutan
ne ilk kisinin, ne de son olacaksin. "Laf kalabaligina getirilerek
bu saygisizda atlatilir" (Ilkokul Turkce kitabindan) taktigi
"network pest"lerinin cok klasik numaralarindan biridir.
Yani, burada konu -ister begen, ister begenme- senin Turkceye
bakis acin. Oyle gorunuyorki bunu israrla aciklamaktan kaciniyorsun.
Pozisyonunu aciklamayi birak, tutarli bir terminoloji tanimlamaya
bile yanasmiyorsun. Kasitli olarak muphem kalmayi tercih ediyorsun.
Ne de olsa "Sen beni yanlis anlamissin, oyle bir sey demedim" diger
cok sik kullandigin baska bir numara.
>>>> Superge'nin -ge'si ile ``ozturkce'' genelge'nin -ge'si arasinda
>>>> ortak olan ne? Buyurun kendi tanimlariniz ile aciklayin.
>>>
>>> Yapi bakimindan, ikisinde de 'fiil' kokunden 'isim' yapan
>> ^^^^^^^^^^^^^^^^^
Senin terminolojinde anlamla islev arasinda ne fark
var? Anlam islevin bir parcasi mi?
>Bunlarin ustune gene "-ge eki iki kelimede de ayni islevi mi
>goruyor" dedigimi sorusturduguna gore, senin 'aklidan' gecen
>baska bir seyler olabilir... Ne sordugunu anlayabilmek icin,
>bir iki soru da ben sorayim:
>
>Turkce'de "*'fiil' kokunden 'isim' yapan*" kac "-ge" eki var?
Bir tane..
>Ayni ekin ayri sozcuklerde digisik islev gordugu izlenirmi?
Ben senin "islev" kelimesinden ne anladigini bilmiyorum.
Cogu zaman anlamla islevi iki ayri sey, bazende anlami islevin
bir parcasi olarak kullaniyorsun. Once bunun acikliga kavusturulmasi
lazim. Sana cok basitlestirilmis, nerdeyse matematiksel formul
seklinde olan tanimlamalari bu yuzden yazmistim. Seninle bu seviyenin
uzerinde bir terminoloji ile anlasabilecegimizi sanmiyorum. Cunku
yazdiklarinda samimi degilsin.
>Izlenirse, boyle olmasi yanlismidir, bir "kurala" karsimidir?
>
>Sence ekin "islevinin" tanimi nedir...?
Islev senin kullandigin bir terim. Senin soylediklerinde bir
tutarlilik yakaliyabilmek icin bu terimi kullaniyorum.
Eger bu konu ile ilgili yazismalarinda "tutarli" kalacagina
soz verirsen belki ikimizinde sadik kalacagi ortak bir terminoloji
belirleyebiliriz. Var misin?
:oylece bir soyleyip geceyim. Buna iliskin olarak soylemek
:istediklerin olursa, tartisiriz...
:Benim burda one surecegim ise, "im-renmek" 'fiilinde' olan
:"im-" koku (i.e. og-renmek, dav-ranmak, vb)...
o"g akIl manasIna gelen bir isimdir (yanlI$ hatIrlamIyorsam).
geri kalanlar hakiki bir kokten degil, bazI ses taklidi
kelimelerle (isim yerine gecen) -re "eki"nden mute$ekkildir.
kUkrememk (aynI manada eskiden ka*ng*ramak), titremek vs.
(bak "tUrk dilinde fiiller" hacIemreoglu (?)).
:
:"Im-renmek" sozcugunde apacik bir "benzer olmayi istemek,
:benzer seylerinin olmasini istemek, benzer durumda olmayi
:istemek" anlami var...
filologlar "emre" isminin men$eini munaka$a ederken bunun "sevmek",
"istemek" (benzemek degil) manasIna gelen kelimeler yarattIgI
kanaatine varmI$lardIr.
:"Im-ge" nin karsiligi olan eski deyimler arasinda "hayal,
yani "imagine"a tekabul ediyor...
:hulya, imaj, fiction, vb." var...
:
"imrenmek"ten bir immek fiili cIkarIp bundan da imaj manasIna
imge cIkarmak bir hayli canbazlIk ister. son derecede "dubious"
bir $ey!
:Benim gordugum kadariyla da, bu iki sozcuk arasinda kokun
:anlami bakimindan yeterince anlam benzerligi var...
:
:Turkce'de olan "im-" kokune, 'fiilden isim' yapan "-ge"
:eki getirilerek yapilmis oldugunu soyledikten soran, bu
:sozcugun "-ge" ekinin verdigi genel "amlamlar" yonunde
:bir anlami olup olmadigi sorgulanabilir, ve bence de var.
:Ozellikle, "-gi/-gu/-..." ekleriyle yapilmis "saygi, sevgi,
:duygu, gorgu,..." gibi sozcuklere de bakilinca daha da
:belirginlesen bir anlam bagi goruluyor...
bu ayrI bir ektir, dar vokallidir. bir masdar eki, $ark
tUrkcesinde de fiillerin istikbal sigasInda kullanIlIr.
gene bu canbazlIk ve sonradan kelimeyi me$rula$tIrma gayretleri! biligisayar
jargonunda "printer" icin "yazIcI" kullanmak gibi degil.
:
:> yani fonksiyonunu muphem. ama cumlemde "function or meaning"
:> demeliydim.
:Bunu ustlendigin icin sag ol... Seninle tartisirken sorun
:yaratacak bir sey degildi ama sonradan oyle oldu...
yani "quibbling" icin fIrsat olurdu!
:
:> "sim" diye bir kok yok, ne fiil ne isim.
:
:Evet, buna diyebilecegim bir sey yok...
:
hayIr, "image" olmasIydI "imge" olmazdI ve onu me$rula$tIrma
gayretleri yani hokkabazlIklarI olmazdI.
:Bu Avrupaca sozcuklere benzetme olayi bir duzeye kadar olmus
:olabilir ama konunun abartuldigi da apacik...
:
:Bu birisinin bir seyi ne yonde ve na kadar kanitlamaya
bu i$le ugra$anlarIn halet-i ruhiyesini ve dunya gorU$UnU aksettirir.
:calistigina bagli... O kadar ugrasirsan, Turkce'de yuzlerce
:sozcugunun Arapca'ya, Rusca'ya, Maorice'ye, vb. benzetildigi
arapcaya benzetilenler var: en tuhafI efrad yerine erat'tIr.
tUm eski uygurcada "uniform" demek olan nadir bir kelimedir, tam
kelimesine tesadufi benzerligi olmasaydI kullanIlmazdI. belki buna
"kanI" kelimesi bile ilave edilebilir (kanaat'e benzerlik). ruscaya ve
maoriceye kasten benzetilen kelime bilmiyuorum, sonuncusu ise yoktur
( men$ei polinez dillerinden gecme has isim olarak kullanIlan "tayfun"
haric).
:kanisina da varabilirsin... Avrupaca'ya benzetilmis denilen
avrupai kelimesi "avrupaya ait" manasIndadIr, bir mIntIka ifade
eder, bUtUnUyle hint-avrupa ailesini kastetmez.
:sozcuklerin, bir Hint-Avrupa dili olan Farsca gibi dillere
:benzetilmis denmesi hic guc olacak bir sey degil...
:
>> Var. Ayrica senin "kulak tirmalama olcutu" dediginin de
>> benim verebilecegim "kelime turetme olcutu" ile hic bir
>> iliskisi yok.
> Iyi.... Cok guzel... Buyur acikla. Aciklamalarinda da tutarli
> terminoloji kullan (bkz. asagidaki ornek).
Gecen yazimda dedigim gibi, sen de benim sordugum sorulari
yanitlama 'zahmetinde' bulunursan, ben de belki 'zamanimi'
verip uzun uzun aciklarim (kel alaka olmayacaksa:)...
>>> Superge'nin -ge'si ile ``ozturkce'' genelge'nin -ge'si arasinda
3.- Altini cizdigin yerde de "fiilden isim yapan" diye bunu
acikca belirttim.
Bunlarin ustune gene "-ge eki iki kelimede de ayni islevi mi
goruyor" dedigimi sorusturduguna gore, senin 'aklidan' gecen
baska bir seyler olabilir... Ne sordugunu anlayabilmek icin,
bir iki soru da ben sorayim:
Turkce'de "*'fiil' kokunden 'isim' yapan*" kac "-ge" eki var?
Ayni ekin ayri sozcuklerde digisik islev gordugu izlenirmi?
Izlenirse, boyle olmasi yanlismidir, bir "kurala" karsimidir?
Sence ekin "islevinin" tanimi nedir...?
O tanima gore, "-ge" ekinin var olan islevi/islevleri nedir?
Hic olmazsa su son iki soruyu yanitla da, ben de senin sorunu
yanitlayayabileyim...
Arka arkaya gelen ikinci yazini da buraya ekleyip karsilik
vereyim.
In <5blu5h$ [email protected] > Mehmet Gulsen wrote:
>In <5bkp0f$ [email protected] > Murat Kalinyaprak wrote:
>
>>> Superge'nin -ge'si ile ``ozturkce'' genelge'nin -ge'si arasinda
>>> ortak olan ne? Buyurun kendi tanimlariniz ile aciklayin.
>>
>> Yapi bakimindan, ikisinde de 'fiil' kokunden 'isim' yapan
>> "-ge" ekinin bulunmasi.
> Iyi de bu benzerligin onemi ne?
Sen "onemi var mi" diye sordun ya da ben "onemi var" dedimmi
de, "Iyi de..." diyerek basliyorsun sordugun soruya...?
"Aralarinda ortak olan ne" diye sordun, ben de yapi ve anlam
bakimlarindan gordugum iki turlu ortakligi belirttim.
Simdi sen ayrica, bunlarin arasindaki bir ortakligin (ya da
son kullandigin deyimle, benzerligin) onemi var mi veya onemi
ne diye sormak istiyorsan, "iyi de..." demeden bir kez daha
sorabilirsin... Soruyu da biraz aciklamali sorarsan, beni de
"bunun onemi ne" diye sorulan bir soruya, "ne bakimdan" gibi
bir soruyla karsilik vermekten kurtarirsin...
> Daha once islevin buyuk bir onemi olmadigini yazmistin
Burda da "daha once..." diye baslamana gerek yok cunku, yukarda
aciklamaya calistigim gibi, benim burda bir "onem" vurguladigim
durum yok. Ama yazdiklarinin gerisine oyle oldugunu varsaymakla
yaklasalim...
> (en azindan bilgisayar programiclari haric) (bkz. asagi).
>
> "Once 'isim/fiil' kokunden 'isim/fiil' yapma yonunden
> "islevin bence buyuk bir onemi olmadigini belirteyim.
> "Bu belki Turkce uzerine bir bilgisayar 'programinin'
> "temel alacagi "kurallar" bakimindan onemli olabilir,
> "ama konusurken/yazarken bilincinde olunmasi gereken
> "bir sey degil..."
Bu yazinin icinde kac ek vardir dersin...? Buraya kadar okurken
hangi eklerin "isimden isim, isimden fiil, vb." yaptigi gibi bir
dusunce tek tek butun ekler icin gectimi 'aklindan'...?
Benim yukarda neye onemli, neye onemsiz dedigim acik. Su ekin,
bu ekin didik didik didiklendigi bir tartismada bile, eklerin
"isimden isim, isimden fiil, vb." yapma yonundeki islevleri
onemsenmemeli demeye gelen bir sey yazmis oldugumu goremiyorum.
Ayrica, ben "onem" vurgulayacak olsam, buna kendi yegledigim
"ekin anlami" deyimi ile o yonden yaklasirdim...
> Ikincisi, "genelmek" fiili ne demek? Turkiye'de 17 sene okula
> gittim. Ne bir ders kitabinda, ne de baska bir yerde "genel"in
> fiil olarak kullanildigini gordum. Sen nerede gordun?
TDK "Turkce sozluk", 1981, s.317, Orhan Hancerlioglu "Turk dili
sozlugu", 1992, s.229... Bunlari "Nerede gordun?" diye ozellikle
sormus oldugun icin yazdim, "genelmek" 'fiilinin' kullaniminin
yaygin oldugundan veya cok eskiye gittigini sandigimdan degil...
Bu "genelmek" 'fiilini' simdilik bir yana birakalim ve 'fiilin'
kokune inelim... Ve ben sana bir soru sorayim: "Turkce'de "gen-"
diye bir 'fiil' koku varmidir, yokmudur...?
Sen bunu bir yanitla, gerisini de tartisiriz...
>> Anlam bakimindan ise, "purofesor doktorun" "daha cok yapilani,
>> bazan yapani, bazan yapma isini, hulasa fiilin gosterdigi
>> haraketle ilgili nesneleri karsilar" diye "ahkam" kesmesine
>> yetecek de artacak kadar anlam benzerlikleri olmasi...
>
> -ge ekinin supurge'deki anlami ile genelge'deki anlamini
> arasinda nasil bir benzerlik goruyorsun?
Ikisi de "*hulasa fiilin gosterdigi haraketle ilgili nesneleri
karsiliyor*"... :)
In <5bmer2$ [email protected] > Cluster User wrote:
> "im" diye bir kok var, ama isim. -ge ise fiil koklerine
> getirilir. boyle bir vaziyette im ko"kUnUn isim veya
> fiil olup olmadIgI, veya -ge ekinden bir isimden isim
> veya fiilden isim i$tikak etme eki kastedildigi anala$IlmIyor.
Turkce'de "im-" diye bir 'fiil' koku olmadigi soylenebilse,
senin dediklerin de dogru olurdu. Oysa, bence oyle degil...
Once Turkce'de "imek" diye bir yardimci 'fiilin' oldugunu
oylece bir soyleyip geceyim. Buna iliskin olarak soylemek
istediklerin olursa, tartisiriz...
Benim burda one surecegim ise, "im-renmek" 'fiilinde' olan
"im-" koku (i.e. og-renmek, dav-ranmak, vb)...
"Im-renmek" sozcugunde apacik bir "benzer olmayi istemek,
benzer seylerinin olmasini istemek, benzer durumda olmayi
istemek" anlami var...
"Im-ge" nin karsiligi olan eski deyimler arasinda "hayal,
hulya, imaj, fiction, vb." var...
Benim gordugum kadariyla da, bu iki sozcuk arasinda kokun
anlami bakimindan yeterince anlam benzerligi var...
Turkce'de olan "im-" kokune, 'fiilden isim' yapan "-ge"
eki getirilerek yapilmis oldugunu soyledikten soran, bu
sozcugun "-ge" ekinin verdigi genel "amlamlar" yonunde
bir anlami olup olmadigi sorgulanabilir, ve bence de var.
Ozellikle, "-gi/-gu/-..." ekleriyle yapilmis "saygi, sevgi,
duygu, gorgu,..." gibi sozcuklere de bakilinca daha da
belirginlesen bir anlam bagi goruluyor...
> yani fonksiyonunu muphem. ama cumlemde "function or meaning"
> demeliydim.
Bunu ustlendigin icin sag ol... Seninle tartisirken sorun
yaratacak bir sey degildi ama sonradan oyle oldu...
> "sim" diye bir kok yok, ne fiil ne isim.
Evet, buna diyebilecegim bir sey yok...
> eger ekler ve kokler mana ifade etseydi, ve bunlar yerinde
> kullanIlsaydI, neticenin tesadufen bir avrupai kelimeye
> benzedigi iddia edilebilirdi. haliyle, sanki bir kokten
> i$tikak etmi$ gibi gorUnen, ama aslInda oyle olmayan,
> avrupai kelimelere benzetilmi$ iki uydurulmu$ kelime var.
Yukarda yazdiklarim gorusunu biraz degistirirmi bilmem...?
Bu Avrupaca sozcuklere benzetme olayi bir duzeye kadar olmus
olabilir ama konunun abartuldigi da apacik...
Bu birisinin bir seyi ne yonde ve na kadar kanitlamaya
calistigina bagli... O kadar ugrasirsan, Turkce'de yuzlerce
sozcugunun Arapca'ya, Rusca'ya, Maorice'ye, vb. benzetildigi
kanisina da varabilirsin... Avrupaca'ya benzetilmis denilen
sozcuklerin, bir Hint-Avrupa dili olan Farsca gibi dillere
benzetilmis denmesi hic guc olacak bir sey degil...
> RK
>> Gecen yazimda dedigim gibi, sen de benim sordugum sorulari
>> yanitlama 'zahmetinde' bulunursan, ben de belki 'zamanimi'
>> verip uzun uzun aciklarim (kel alaka olmayacaksa:)...
>
> Valla, kac soru sordun bilmiyorum, fakat benim onlara cevap
> vermem icin isi gucu birakip bir kac hafta onlarla ugrasmam
> gerekir.
Yazdiklarim benim de oldukca 'zamanimi' aliyor, ama yeterince
'vakit' ayiramayacaksan tartismayi birakabiliriz...
(Ayrica, yazilanlara gunluk karsilik vermek de gerekli degil)
> Zaten bu sorularin tartisilan konu ile de bir alakasi yok.
> Eger hala hatirliyorsan, bu "thread" benim, Turkce uzerinde
> yaptigin bazi yorumlarin konu ile ilgili "eski" pozisyonunla
> celistigini belirtip, durumu acikliga kavusturmani istememle
> baslamisti.
Ben de sorduklarina elimden geldigi kadar karsilik vermeye
calistim, ilk bir iki yazimda. Yapmadim diyorsan, sordugun
sorulara ve verdigim yanitlara bir kez daha bakabiliriz...
> Bu arada sunuda hatirlatayim. Sct'yi yaklasik 5 yildir takip
> ediyorum. Ve, bu platformda bir cok insanla karsilastim.
> Sikistiginda, karsi tarafi kel alaka soru bombardimanina tutan
> ne ilk kisinin, ne de son olacaksin. "Laf kalabaligina getirilerek
> bu saygisizda atlatilir" (Ilkokul Turkce kitabindan) taktigi
> "network pest"lerinin cok klasik numaralarindan biridir.
Birak bos 'laflari'... Verdigim yanitlar sana yetmiyor, ve
basliyorsun benim yazdiklarimi kendince ozetlemeye ve peki
o oyleyse bu boylemi, sunu soyle diyebilirmiyiz, bunu boyle
diyebilirmiyiz biciminde sormaya...
Burda yapmak istediginin yalniz goruslerimi ogrenmek degil,
goruslerimde celiski oldugunu, goruslerimin yanlis odugunu,
vb. kanitlamaya calismak. Bunun icin "yonlendirici" sorular
sorup duruyorsun...
Boyle bir durumda, karsindakinin de sana karsi: "sordugunun
yanitinin ne oldugunu bilmiyormusun da soruyorsun?" yonunde
tutum almasi dogaldir...
O 'zaman' senin de yapabilecegin iki sey var. Ya sorularima
kisaca "bilmiyorum" der gecersin, (bu kadarina da 'zamanin'
vardir umarim), ya da dalasmak istiyorsan, oturur gerektigi
gibi karsilik vererek yanlis bildiklerimi duzeltir, eksik
bildiklerimi ogretirsin...
> Yani, burada konu -ister begen, ister begenme- senin Turkceye
> bakis acin. Oyle gorunuyorki bunu israrla aciklamaktan kaciniyorsun.
Hic de degil... Sen benim once bir gorus bildirmemi, sonra
da bunun nedenlerini tartismami istiyor gibisin... Ben ise
once nedenleri ortaya sermeyi, ondan sonra "bu nedenlerden
dolayi, benim gorusum budur" demeye getirmek istiyorum. Bu
da senin isine gelmiyor...
> Pozisyonunu aciklamayi birak, tutarli bir terminoloji tanimlamaya
> bile yanasmiyorsun. Kasitli olarak muphem kalmayi tercih ediyorsun.
> Ne de olsa "Sen beni yanlis anlamissin, oyle bir sey demedim" diger
> cok sik kullandigin baska bir numara.
Cok ustune duserek sordugun "islev" ve "anlam" tanimlarina
bir kac yazi oncesi verdigim karsiligi buraya bir kez daha
geciyorum. Al, ne yapacaksan yap bunlarla...
"Meaning": ayri anlamlari olan koklere gelerek,
ortaya cikan yeni sozcuklerde gorulen ve onlara
ekin verdigi (ekledigi) "ortak anlam"...
"Function": ekin koklere gelerek koklerin kendi
anlamlarinin otesinde bir anlami olan sozcukler
yaratma yeterliligi/etkenligi... Bir ekin baska
sozcuklere verdigi ortak anlami yeni sozcuklere
vermesi... Buna 'isim/fiil' koklerinin gorevini
degistirmeden birakabildigi gibi, 'isim -> fiil'
veya 'fiil -> isim' yonunde degistirebilmesi de
eklenebilir...
> Senin terminolojinde anlamla islev arasinda ne fark var? Anlam
> islevin bir parcasi mi?
Sana yukarda yazdiklarimdan daha baska soyleyebilecegim bir
sey yok. Bunun ustune neden bu kadar dustugununun nedenini
de anlayabilmis degilim. Yabanci dil "gramerleri duzeyinde"
derleme yapmaya calisan "profesor doktorlarin", "fonksiyon"
diye diye yirtindiklarina cok takildigindanmi...?
Bak bizim "prof" neler diyor:
- "Bunun da fonksiyonunda bir cokluk, asirilik, devamlilik vadir"
- "Bunun da fonksiyonunda bir asirilik ifadesi vardir"
- "Fonksiyonu menfi fiil yapmaktir"
- "Bu ek fonksiyonlari tamamiyle birbirinin ayni olan ve bu yuzden
"ayni isim altinda toplanan birkac ekten biridir"
- "Fonksiyonunda kuvvetli bir asirilik manasi vardir"
- "Baslica fonksiyonu fiille ilgili bir hal, durun, is ifade etmek
"olup o isle ilgili, o isten dogan varlik, esya, alet, yer v.s.
"gibi cesitli isimler de yapar"
Bunlar "fonksiyon" corbasindan sana bir kasik ornek. Bunlara
bakarken, arada bir de soyle dedigini gordum:)
- "Bu ekte de bir buyultme manasi vardir"
Sen bu "profesor doktorun" "eserini" okusaydin, ne dedigini
benim ne dedigimden daha iyi anlayabilirmiydin...?
>>Turkce'de "*'fiil' kokunden 'isim' yapan*" kac "-ge" eki var?
>
>>Ayni ekin ayri sozcuklerde digisik islev gordugu izlenirmi?
>
> Ben senin "islev" kelimesinden ne anladigini bilmiyorum.
> Cogu zaman anlamla islevi iki ayri sey, bazende anlami islevin
> bir parcasi olarak kullaniyorsun. Once bunun acikliga
> kavusturulmasi lazim.
Once "islev" sorununu 3-29-96 da ilk ortaya cikisina bir bakalim:
"In <4jhi2u$ [email protected] > Mehmet Gulsen wrote:
"In <4j8eke$ [email protected] > Murat Kalinyaprak wrote:
">Cermen ve baska yabanci dillerde ses ve anlam bakimindan
">bizdeki eklere uyan baska ekler de bulursak onlara da ayni
">acidan yaklasmamiz gerekir mi?
"Anlamdan saniyorum "islev"i kastediyorsunuz. Siz oyle bir
"ek biliyormusunuz?
Ondan beri de gerektigini sandigim ya da kullanmaya itildigim
durumlarda, kendim istemesem bile, bu sozcugu baskalarinin da
oyle yaptigini sandigim bicimde kullanmaya calisiyorum...
Is "bu ekin islevi sozcuk yapmaktir" demekte kalsa, bir sorun
cikmazdi belki. Oysa, "bu ekin islevi *alet bildiren* sozcuk
yapmaktir" deyince, ister istemez bir "*anlam*" olayi cikiyor
ortaya ve bu da senin icin bir sorun oluyor sanirim...
Ondan sonra da, bilmem kimle tartisirken "function" demissin,
bununla ne demek istemissin, daha onceki goruslerinle celiski
olmuyormu, bilmem ne diye basliyorsun bir seyler kanitlamaya.
Ben de nereye varmak istedigini bile cikaramadan sorduklarina
karsilik vermeye calisiyorum 'sabrim' yettigince...
> Sana cok basitlestirilmis, nerdeyse matematiksel formul seklinde
> olan tanimlamalari bu yuzden yazmistim.
Sen mi tanim yazdin...? Hangi tanimdan soz ediyorsun...?
> Seninle bu seviyenin uzerinde bir terminoloji ile anlasabilecegimizi
> sanmiyorum. Cunku yazdiklarinda samimi degilsin.
Ben yukarda bir kez daha istedigin tanimlari kendi anladigim
gibi verdim. Gel, sen de ver, bakalim anlasabilecekmiyiz...?
>>Sence ekin "islevinin" tanimi nedir...?
>
> Islev senin kullandigin bir terim. Senin soylediklerinde bir
> tutarlilik yakaliyabilmek icin bu terimi kullaniyorum.
'Insaf' be kardesim! Aramizdaki tartismalarda "islev" deyiminin
ilk gectigi yazinin o bolumunu yukarda verdim... Bizim aramizda
bu sozcugu ilk kimin kullandigini acikca gosteriyor. Ondan once
ise kimseyle ekler konusunda tartistigimi veya "islev" deyimini
kullandigimi animsamiyorum. Yaniliyorsam bulup gosterebilirsin...
> Eger bu konu ile ilgili yazismalarinda "tutarli" kalacagina soz
> verirsen belki ikimizinde sadik kalacagi ortak bir terminoloji
> belirleyebiliriz. Var misin?
Varim olmasina da, biraz yorgunum...
> mehmet,
:In <5bot69$ [email protected] > Cluster User wrote:
:...
:Evet, senin yazdiklarin da senin ve senin gibilerin "halet-i
:ruhiyesini ve dunya gorU$UnU aynen aksettiriyor"...
olabilir, ama fark $u: ben ille kendi uslubumun Ulke capInda
kullanIlsIn demiyorum. mumkun oldugu kadar esnek bir lisan
siyaseti olsun, yani esas itibarIyla bir lisan siyaseti olmasIn
diyorum. uslubum kendime kalmI$ bir $ey, ben ancak alI$tIgIm
kelimeleri kullanIyorum, o kadar.
:>ister istemez $u veya bu lisanIn tesiri devam eder. evvelce,
:>gUne$ dil teorisi gibi modalar hakimken maksat hakikaten
:>"hegemonya" (egemenlik), "ecole" (okul) gibi kelimelerin
:"Hegemonya" sozcugunde "-man/-men" ekinin "yuvarlak vokalli"
:kullaniminin bulundugunu vugulamayi unutmussun... :)
burada fransIzca model olarak alInmI$ (h okunmaz).
:Ustelik "h" si de 'fazla' gelmis... Bence "egomania" daha da
:iyi uyuyor... :) :)
:Derken 'aklima' bir kurt dustu... Bu "egemenlik" Arapca'daki
:"hukumenlik" ten geliyor olmasin...?
oyle bir kelime yok, yani "non sequitur". ama "hukumet"
kelimesini kullanmayI devam ettirebilmek icin gUne$ dil
teorisi yeti$tirilip ona tUrkce bir etimoloji uydurulmu$.
guya uygurca o"k= kokUnden mi ne (hatIrladIgIm kadarIyla
baskin oran bundan bahseder, bulursam aktarIrIm.
:Sozlukte "egemenlik"e bakarken az altinda "egreti" sozcugunu
:gordum... Uzun ve egri bacakli bir kusa Ingilizlerin "egret"
:demelerine ozenilerek uretilmis oldugu apacik... :)
hayIr. bu tUrkcede (osman tUrkcesinde) eskiden beri mevcut
bir kelime.
:>aslen tUrkce oldugu inanIlIrdI ve bu kelimeler de sahte
:>etimolojileri me$rula$tIrmak icin icad edilmi$ti.
:Yok yav...? Desene Turkce'de onlara benzer bir iki kok ve ek
:bulabilmeleri kurtarmis... Yoksa 'rezil' olacaklarmis... :)
bence zaten oyleler.
>In <5bn9aj$ [email protected] > [email protected] says...
>> Turkce'de "im-" diye bir 'fiil' koku olmadigi soylenebilse,
>> senin dediklerin de dogru olurdu. Oysa, bence oyle degil...
>>
>> Once Turkce'de "imek" diye bir yardimci 'fiilin' oldugunu
>> oylece bir soyleyip geceyim. Buna iliskin olarak soylemek
>> istediklerin olursa, tartisiriz...
> !! herhalde bunun i+mek (masdar eki) oldugunu bilecek kadar
> tUrkce bildigini farzediyorum!
Biliyorum ve onun icin de "imge"ye bulastirmadim. Belki ilginc
bir sey dersin de konu acilir diye oylece bir soyledim...
>> Benim burda one surecegim ise, "im-renmek" 'fiilinde' olan
>> "im-" koku (i.e. og-renmek, dav-ranmak, vb)...
>
> o"g akIl manasIna gelen bir isimdir (yanlI$ hatIrlamIyorsam).
"Fiil" koku olarak da kullanilir, og-mek (ov-mek), og-(u)-t-mek,
vb. (asagida soz ettigin 'ses taklidi'nden og-(u)-r-mek de var).
> geri kalanlar hakiki bir kokten degil, bazI ses taklidi
> kelimelerle (isim yerine gecen) -re "eki"nden mute$ekkildir.
Benim bildigim Turkce'de "-re" diye bir ek yok... Benim ve senin
verdigin orneklerde, "-r-" den sonra gelen sesliler ya baska bir
ek (-a-,-e-,-I-,-i-,-u-,-U-), ya bir sonraki eke yardimci ses...
kiv-a-n-mak
>kUkrememk (aynI manada eskiden ka*ng*ramak), titremek vs.
>(bak "tUrk dilinde fiiller" hacIemreoglu (?)).
Bunlardaki ekler ve sesler: kuk-(x)-r-e-mek, tit-(x)-r-e-mek...
Aciklama: tirnak icindekiler yardimci ses, "(x)" ler yardimci
seslerin dustugu yerler, oburleri ek...
>> "Im-renmek" sozcugunde apacik bir "benzer olmayi istemek,
>> benzer seylerinin olmasini istemek, benzer durumda olmayi
>> istemek" anlami var...
> filologlar "emre" isminin men$eini munaka$a ederken bunun
> "sevmek", "istemek" (benzemek degil) manasIna gelen kelimeler
> yarattIgI kanaatine varmI$lardIr.
Birincisi, "filologlarin kanaatlere varmalari" dogaldir, endise
edecek bir durum yok... :) "Imrenmek" sozcugune Ingilizce'de en
yakin karsilik "envy", seninle bunu daha tartismaya verebilecek
'vaktim' yok...
Ikincisi, kokun nerden kaynaklandiginin konuyla bir ilgisi yok.
Turkce'de "zart-mak" diye bir sozcuk varsa, bu "zart-" diye bir
'fiil' kokunun oldugunu gosterir, ve nerden geldigi onun 'fiil'
koku olmasini engellemez/degistirmez...
>> "Im-ge" nin karsiligi olan eski deyimler arasinda "hayal,
>> hulya, imaj, fiction, vb." var...
>
Evet, "imagine" anlaminda "tekabul, mekabul" birseyler ediyor...
> "imrenmek"ten bir immek fiili cIkarIp bundan da imaj manasIna
> imge cIkarmak bir hayli canbazlIk ister. son derecede "dubious"
> bir $ey!
Soyleyecek baska bir seyin kalmayinca, "cambazlik falan filan"
diye uydurmak kolay...
Oyleyse gel, sen bize "imrenmek" sozcugundeki kokleri, ekleri,
yardimci sesleri kendi bildigin gibi acikla...
>> Turkce'de olan "im-" kokune, 'fiilden isim' yapan "-ge"
>> eki getirilerek yapilmis oldugunu soyledikten soran, bu
>> sozcugun "-ge" ekinin verdigi genel "amlamlar" yonunde
>> bir anlami olup olmadigi sorgulanabilir, ve bence de var.
Bunun ustunde durmaya deger gormemis olmalisin... Sence "imge"
sozcugunde, bu "-ge" ekinin geldigi baska sozcuklerde gorulen
"ortak anlama/anlamlara" yakin bir anlam varmi, yokmu...?
>> Ozellikle, "-gi/-gu/-..." ekleriyle yapilmis "saygi, sevgi,
>> duygu, gorgu,..." gibi sozcuklere de bakilinca daha da
>> belirginlesen bir anlam bagi goruluyor...
>
> bu ayrI bir ektir, dar vokallidir. bir masdar eki, $ark
> tUrkcesinde de fiillerin istikbal sigasInda kullanIlIr.
Bunun tartisma konusu olacagini bildigim icin, "-gi/-gu/-...
ekleri" diye ayrica belirttim... Eklere, "dar vokalli, genis
vokalli" olduklarinin onemi yonunden yaklasanlardan degilim.
Anlam yonunden yaklasinca da, "supurge"yle "surgu", "burgu",
vb. arasindaki anlam benzerligine de yok denemez...
> gene bu canbazlIk ve sonradan kelimeyi me$rula$tIrma gayretleri!
> biligisayar jargonunda "printer" icin "yazIcI" kullanmak gibi degil.
Ordan burdan sallamayi birak da ele gelir birseyler soyle...
>>> yani fonksiyonunu muphem. ama cumlemde "function or meaning"
>>> demeliydim.
>> Bunu ustlendigin icin sag ol... Seninle tartisirken sorun
>> yaratacak bir sey degildi ama sonradan oyle oldu...
>
> yani "quibbling" icin fIrsat olurdu!
Oyleydi, oysa ustune varmadim... Sana iyilik de yaramiyor...
>>> "sim" diye bir kok yok, ne fiil ne isim.
>>
>> Evet, buna diyebilecegim bir sey yok...
>
> buna bir kulp bile bulunamamI$.
Neden oyle yapmami bekliyordun...? Taktigim "kuluplara:)" bir
sey bulamayinca, takamadigim "kuluplarla" avun dur...
>> Yukarda yazdiklarim gorusunu biraz degistirirmi bilmem...?
>
> hayIr, "image" olmasIydI "imge" olmazdI ve onu me$rula$tIrma
> gayretleri yani hokkabazlIklarI olmazdI.
Ah ulan ah, su "damage" in anlami "damga" ya biraz daha yakin
olsaydi, nasil bayram ederdiniz degil mi...? :)
>> calistigina bagli... O kadar ugrasirsan, Turkce'de yuzlerce
>> sozcugunun Arapca'ya, Rusca'ya, Maorice'ye, vb. benzetildigi
>
> arapcaya benzetilenler var: en tuhafI efrad yerine erat'tIr.
> tUm eski uygurcada "uniform" demek olan nadir bir kelimedir,
> tam kelimesine tesadufi benzerligi olmasaydI kullanIlmazdI.
Oooh, Gunes-Ay-Yildiz dili desene suna... Bir de bunun Germen
dillerindeki "sum" sozcugune ozenerek uretilip uretilmedigini
arastirsaydiniz... Ha, bir de Germen dillerindeki "-man/-men"
eki alinmis diyenler icin "tumen" sozcugumuz oldugunu unutma.
Ustelik, bunun ozellikle "-man" eki[:)]nin cogulu olan "-men"
ekiyle yapilmis oldugunu iyice vurgulamak icin, "tumen tumen"
diye bir deyim olarak da kullanilir... :)
> belki buna "kanI" kelimesi bile ilave edilebilir (kanaat'e
> benzerlik). ruscaya ve maoriceye kasten benzetilen kelime
> bilmiyuorum,
>> kanisina da varabilirsin... Avrupaca'ya benzetilmis denilen
>
> avrupai kelimesi "avrupaya ait" manasIndadIr, bir mIntIka
> ifade eder, bUtUnUyle hint-avrupa ailesini kastetmez.
Eder diyen oldumu...? Edecegi yerde, asagida gorebilecegin gibi
"Hint-Avrupa" deyimini kullanirim. Burda benim demek istedigim,
Farsca'nin obur Hint-Avrupa dillerine benzemesi yuzunden, "Bati
dillerine" oldugu soylenen ozenti kolayca cevrilip "Guney" veya
"Dogu dillerinedir" denebilir...
>> sozcuklerin, bir Hint-Avrupa dili olan Farsca gibi dillere
>> benzetilmis denmesi hic guc olacak bir sey degil...
MK
In <5bot69$ [email protected] > Cluster User wrote:
>> bu i$le ugra$anlarIn halet-i ruhiyesini ve dunya gorU$UnU
>> aksettirir.
> aynI zamanda bir "saf lisan" yaratma gayertelrinin ne kadar
> bo$una oldugunu gosterir.
Evet, senin yazdiklarin da senin ve senin gibilerin "halet-i
ruhiyesini ve dunya gorU$UnU aynen aksettiriyor"...
> ister istemez $u veya bu lisanIn tesiri devam eder. evvelce,
> gUne$ dil teorisi gibi modalar hakimken maksat hakikaten
> "hegemonya" (egemenlik), "ecole" (okul) gibi kelimelerin
"Hegemonya" sozcugunde "-man/-men" ekinin "yuvarlak vokalli"
kullaniminin bulundugunu vugulamayi unutmussun... :)
Ustelik "h" si de 'fazla' gelmis... Bence "egomania" daha da
iyi uyuyor... :) :)
Derken 'aklima' bir kurt dustu... Bu "egemenlik" Arapca'daki
"hukumenlik" ten geliyor olmasin...?
Sozlukte "egemenlik"e bakarken az altinda "egreti" sozcugunu
gordum... Uzun ve egri bacakli bir kusa Ingilizlerin "egret"
demelerine ozenilerek uretilmis oldugu apacik... :)
> aslen tUrkce oldugu inanIlIrdI ve bu kelimeler de sahte
> etimolojileri me$rula$tIrmak icin icad edilmi$ti.
Yok yav...? Desene Turkce'de onlara benzer bir iki kok ve ek
bulabilmeleri kurtarmis... Yoksa 'rezil' olacaklarmis... :)
MK
:>In <5bn9aj$ [email protected] > [email protected] says...
:>>Turkce'de "im-" diye bir 'fiil' koku olmadigi soylenebilse,
:>>senin dediklerin de dogru olurdu. Oysa, bence oyle degil...
:>>
:>>Once Turkce'de "imek" diye bir yardimci 'fiilin' oldugunu
:>>oylece bir soyleyip geceyim. Buna iliskin olarak soylemek
:>>istediklerin olursa, tartisiriz...
:>!! herhalde bunun i+mek (masdar eki) oldugunu bilecek kadar
:>tUrkce bildigini farzediyorum!
:Biliyorum ve onun icin de "imge"ye bulastirmadim. Belki ilginc
bula$tIrmaman biraz tuhaf.
:bir sey dersin de konu acilir diye oylece bir soyledim...
alakasIz bir yerde zikredersen hakkInda soyleyecek bir$eyim
olmaz.
:>>Benim burda one surecegim ise, "im-renmek" 'fiilinde' olan
:>>"im-" koku (i.e. og-renmek, dav-ranmak, vb)...
:>
:>o"g akIl manasIna gelen bir isimdir (yanlI$ hatIrlamIyorsam).
evet, dU$Unce, akIl veya zeka. aslinda o"- (o":= "du$Unmek" fiilinden)
isim: o":g (clauson)
:"Fiil" koku olarak da kullanilir, og-mek (ov-mek), og-(u)-t-mek,
bu mana bakImIndan ba$ka o":g- (o"gmek, o"vmek) fiili.
:vb. (asagida soz ettigin 'ses taklidi'nden og-(u)-r-mek de var).
bu ise ses taklidi kelime. bu da ayrI.
:>geri kalanlar hakiki bir kokten degil, bazI ses taklidi
:>kelimelerle (isim yerine gecen) -re "eki"nden mute$ekkildir.
:Benim bildigim Turkce'de "-re" diye bir ek yok... Benim ve senin
:verdigin orneklerde, "-r-" den sonra gelen sesliler ya baska bir
:ek (-a-,-e-,-I-,-i-,-u-,-U-), ya bir sonraki eke yardimci ses...
-re eki icin r+e hic mumkUn degil demiyorum, ama isbat etmi$ degilsin.
-re eki icin vucut hareketleri, hisler var. -(I)r icin sesler ve birkac
isimden mu$tak fiil var.
fiilden fiil yapmak icin faktatif -r- eki ayrI.
:kiv-a-n-mak
evet, cok dogru. immek fiili yok, oyle bir fiilin emaresi yok.
im- ko"kU yok.
:>>"Im-ge" nin karsiligi olan eski deyimler arasinda "hayal,
:>>hulya, imaj, fiction, vb." var...
:>
:Evet, "imagine" anlaminda "tekabul, mekabul" birseyler ediyor...
iyi ya, "image"dan mu$tak bir avrupai kelimeye...
:>"imrenmek"ten bir immek fiili cIkarIp bundan da imaj manasIna
:>imge cIkarmak bir hayli canbazlIk ister. son derecede "dubious"
:>bir $ey!
:Soyleyecek baska bir seyin kalmayinca, "cambazlik falan filan"
:diye uydurmak kolay...
uydurma bir munasebet kuran sensin.
:Oyleyse gel, sen bize "imrenmek" sozcugundeki kokleri, ekleri,
:yardimci sesleri kendi bildigin gibi acikla...
izah ettim.
:>>Turkce'de olan "im-" kokune, 'fiilden isim' yapan "-ge"
:>>eki getirilerek yapilmis oldugunu soyledikten soran, bu
:>>sozcugun "-ge" ekinin verdigi genel "amlamlar" yonunde
:>>bir anlami olup olmadigi sorgulanabilir, ve bence de var.
:Bunun ustunde durmaya deger gormemis olmalisin... Sence "imge"
:sozcugunde, bu "-ge" ekinin geldigi baska sozcuklerde gorulen
:"ortak anlama/anlamlara" yakin bir anlam varmi, yokmu...?
eger manalI bir im- fiil ko"kU olsaydI soyleyebilirdim.
eklerin dogru olarak kullanIlIp kullanIlmadIgInIn kIstasI
manalI bir kokten dogru manayI verip veremedigidir. ama im
diye bir isim vardIr, bununla kullanIlmasI ise yanlI$tIr.
:>>Ozellikle, "-gi/-gu/-..." ekleriyle yapilmis "saygi, sevgi,
:>>duygu, gorgu,..." gibi sozcuklere de bakilinca daha da
:>>belirginlesen bir anlam bagi goruluyor...
:>
:>bu ayrI bir ektir, dar vokallidir. bir masdar eki, $ark
:>tUrkcesinde de fiillerin istikbal sigasInda kullanIlIr.
:Bunun tartisma konusu olacagini bildigim icin, "-gi/-gu/-...
:ekleri" diye ayrica belirttim... Eklere, "dar vokalli, genis
:vokalli" olduklarinin onemi yonunden yaklasanlardan degilim.
sen olmayabilirsin ama tUrkce gramerde tefrik ediliyorlar.
edilmeseydi, hele yuavarlaklIk uyumunun kuvvetli oldugu
turkiye tUrkcesinde, ek kItlIgI cekilirdi. mana bakImIndan
yakIn olan dar / acIk vokalli eklerin ise umumiyetle kullanIlI$
sahasI degi$ik, veya nUans farklarI var.
:Anlam yonunden yaklasinca da, "supurge"yle "surgu", "burgu",
:vb. arasindaki anlam benzerligine de yok denemez...
-gu ekinin kullanIlI$ sahasI biraz degi$ik.
:>gene bu canbazlIk ve sonradan kelimeyi me$rula$tIrma gayretleri!
:>biligisayar jargonunda "printer" icin "yazIcI" kullanmak gibi degil.
:Ordan burdan sallamayi birak da ele gelir birseyler soyle...
"yazIcI" gibi kelimelerin i$tikak edili$i belli. bariz
olmayan ve problematik yollardan i$tikak edilmi$ neolojizmalarIn
men$eini ba$ka yerde aramak lazIm. mesela evvelce "hayalet" manasIna
gelen gorUntU $imdi imaj yerine de kullanIlIyor ve buna pek diyecek
bir$ey yok. imge kelimesine ihtiyac hissedilmesinin izahI ise "image"
kelimesine benzetmek.
:>>>"sim" diye bir kok yok, ne fiil ne isim.
:>>
:>>Evet, buna diyebilecegim bir sey yok...
:>
:>buna bir kulp bile bulunamamI$.
:Neden oyle yapmami bekliyordun...? Taktigim "kuluplara:)" bir
:sey bulamayinca, takamadigim "kuluplarla" avun dur...
tamam. boyle uydurmalar ve benzetmeler oldugunu kabul
ediyorsun.
:>>Yukarda yazdiklarim gorusunu biraz degistirirmi bilmem...?
:>
:>hayIr, "image" olmasIydI "imge" olmazdI ve onu me$rula$tIrma
:>gayretleri yani hokkabazlIklarI olmazdI.
:Ah ulan ah, su "damage" in anlami "damga" ya biraz daha yakin
:olsaydi, nasil bayram ederdiniz degil mi...? :)
:Oooh, Gunes-Ay-Yildiz dili desene suna... Bir de bunun Germen
:dillerindeki "sum" sozcugune ozenerek uretilip uretilmedigini
:arastirsaydiniz... Ha, bir de Germen dillerindeki "-man/-men"
:eki alinmis diyenler icin "tumen" sozcugumuz oldugunu unutma.
:Ustelik, bunun ozellikle "-man" eki[:)]nin cogulu olan "-men"
:ekiyle yapilmis oldugunu iyice vurgulamak icin, "tumen tumen"
:diye bir deyim olarak da kullanilir... :)
tUmen de bir tdk kelimesi degil.
:>>kanisina da varabilirsin... Avrupaca'ya benzetilmis denilen
:>
:>avrupai kelimesi "avrupaya ait" manasIndadIr, bir mIntIka
:>ifade eder, bUtUnUyle hint-avrupa ailesini kastetmez.
:Eder diyen oldumu...? Edecegi yerde, asagida gorebilecegin gibi
:"Hint-Avrupa" deyimini kullanirim. Burda benim demek istedigim,
:Farsca'nin obur Hint-Avrupa dillerine benzemesi yuzunden, "Bati
:dillerine" oldugu soylenen ozenti kolayca cevrilip "Guney" veya
:"Dogu dillerinedir" denebilir...
dogru, avrupa lisanlarIna ragbet varken farscaya husumet var.
$ovenizm rasyonel degildir.
:>>sozcuklerin, bir Hint-Avrupa dili olan Farsca gibi dillere
:>>benzetilmis denmesi hic guc olacak bir sey degil...
:MK
> Bulgarian yogurt is made from milk using special technology and
> Bacillus Bulgaricum special bacteriums. It is now worldspread, but
> its original Bulgarian invention is not opposed from anybody - see
> every popular encyclopaedia - for example "Encyclopaedia Britannica".
> Regards: Plamen M.
The lactobacilli, including bulgaricus, are those bacteria used by the
people and saved from one previous batch back into history. I do like
the bulgaricus bacterium which together with the l. acidophilus, is
also used to make certain kinds of kefir and yoghurt.
This therefore belongs to the people, not to some factory. I make this
yoghurt myself. If anybody wants to know how to make this at home, I
will put directions.
:In <5bu6uh$ [email protected] > Cluster User wrote:
:>MK wrote:
:>>"Hegemonya" sozcugunde "-man/-men" ekinin "yuvarlak vokalli"
:>>kullaniminin bulundugunu vugulamayi unutmussun... :)
:>burada fransIzca model olarak alInmI$ (h okunmaz).
:Sen bu sozcuk Turkce sanilmis ve bu yuzdenden de isi
:"bozuntuya vermemek icin "egemenlik" uydurulmus dedin
:sanmistim. Yanlis mi anladim, yoksa "h"ler Turkce'de
:de mi okunmuyordu/(yazilmiyordu) o donemlerde...?
avrupa lisanlarIndaki kelimeleri tUrkceye benzetip onlarI
kullanma hevesi vardI. biraz $ekilleri degi$tirilip
onlar tUrkceymi$ gibi kullanIlIyorlardI.
"h" sesinin olup olmamasI bu zihniyet icin bir $ey
farketmez: f. r. atay hUkUm kelimesinin o"k kelimesinden
gekdigini iddia edebildigi gibi (baskIn oran "atatUrk
milliyetciligi..." s. 275, s. 273-276'da o devrin bircok
zIrvalIgI anlatIlIyor)
:Tuh, "hukum" ile "hegem" bir birine cok benziyor,
:ya Araplar Germenler'den ozenmis, ya da Germenler
:Araplar'dan ozenmis olmali diyecektim... :)
In <5c0lh5$ [email protected] > Cluster User wrote:
>MK wrote:
>>> Benim burda one surecegim ise, "im-renmek" 'fiilinde' olan
>>> "im-" koku (i.e. og-renmek, dav-ranmak, vb)...
>>
>> o"g akIl manasIna gelen bir isimdir (yanlI$
hatIrlamIyorsam).
> evet, dU$Unce, akIl veya zeka. aslinda o"- (o":= "du$Unmek"
> fiilinden) isim: o":g (clauson)
>> "Fiil" koku olarak da kullanilir, og-mek (ov-mek),
og-(u)-t-mek,
> bu mana bakImIndan ba$ka o":g- (o"gmek, o"vmek) fiili.
"Og-(u)-t-mek" de ayri anlama geliyor. Bu onun koku
olan "og-" de de eskiden ayri sesler varmis mi demek...?
>> vb. (asagida soz ettigin 'ses taklidi'nden og-(u)-r-mek de
var).
> bu ise ses taklidi kelime. bu da ayrI.
Bir sey demedim. Senin "og-" ve ses benzetmesini
konu eden iki 'cumlenin' arasina onu da ekledim.
"og-" ve "o:g" arasindaki eski ses degisikligini
aciklaman iyi de, sormak istedigim bir sey var.
Yeni sozcukler "anonim" olarak uretilmeli diyen
birisi olarak, bu "anonim" dediklerin kimlerse,
yeni sozcuk uretirken "og-" ile "o:g" arasindaki
ses degisikligi gibi ayrintilari bileceklerini
ya da bilmeleri gerektini dusunuyormusun...?
(Bu arada, o ses benzetmelerine 'isim' ya da 'isim
yerine gecen' demen yanlis. Kendi basina anlami
olmayan 'isim' yoktur. Bunlarin kendi basina anlami
olmadigi 'halde' 'fiil' koku gorevi gorur demek
durumuna dusersen de, oturdugun dali kesmis olursun...)
>>> geri kalanlar hakiki bir kokten degil, bazI ses taklidi
>>> kelimelerle (isim yerine gecen) -re "eki"nden
mute$ekkildir.
>> Benim bildigim Turkce'de "-re" diye bir ek yok... Benim ve
senin
>> verdigin orneklerde, "-r-" den sonra gelen sesliler ya
baska bir
>> ek (-a-,-e-,-I-,-i-,-u-,-U-), ya bir sonraki eke yardimci
ses...
> -re eki icin r+e hic mumkUn degil demiyorum, ama isbat etmi$
> degilsin.
Ne gibi bir kanit bekledigini soylersen belki
edebilirim...
> -re eki icin vucut hareketleri, hisler var.
Ornek...?
> -(I)r icin sesler ve birkac isimden mu$tak fiil var.
Ornek...?
> fiilden fiil yapmak icin faktatif -r- eki ayrI.
Yukardaki "-re" ve "-(I)r" dedigin eklere
karsilastirmali ornek...?
> uydurma bir munasebet kuran sensin.
Ben sana Turkce'de "imge" sozcugunun anlamini
verebilecek bir kok ve ek gosterdim... Oturup
o sozcuk buna mi benziyor, suna mi benziyor
diye uydurmaktan baska isi olmayanlara inanmak
isteyen de oyle yapabilir...
>> Oyleyse gel, sen bize "imrenmek" sozcugundeki kokleri,
ekleri,
>> yardimci sesleri kendi bildigin gibi acikla...
>
Neyi...? "Emre-" kokunu mu...? Yoksa "em-" kokuyle
"-re-" ekini mi...? Suraya bir kez daha yaziver bir
'zahmet'... (Ornegin, "im-re-n-mek"? biciminde kok,
ek (ve varsa yardimci sesleri) ayri ayri gostererek)
> eger manalI bir im- fiil ko"kU olsaydI soyleyebilirdim.
"Imrenmek"teki "im-" kok degil mi diyorsun, yoksa
anlami olmayan bir kok mu diyorsun...?
Yoksa "im-" koku, "kukremek", "titremek" orneklerinde
oldugu gibi bir ses benzetmesi mi diyorsun...?
Yoksa 'isim'den 'fiil' yapan bir "-re-" eki var diye
mi diretiyorsun...?
> eklerin dogru olarak kullanIlIp kullanIlmadIgInIn kIstasI
> manalI bir kokten dogru manayI verip veremedigidir. ama im
> diye bir isim vardIr, bununla kullanIlmasI ise yanlI$tIr.
Ayni kokun 'hem isim hem fiil koku' oldugu ornekler
verdim ve baskalarini bulmak da o kadar guc degil.
Turkce'de "im" diye bir isim varsa, "im-" diye bir
'fiil' koku olamaz demezsin umarim... Biraz dusun...
>> Anlam yonunden yaklasinca da, "supurge"yle "surgu",
"burgu",
>> vb. arasindaki anlam benzerligine de yok denemez...
>
> -gu ekinin kullanIlI$ sahasI biraz degi$ik.
"Imge" sozcugunu uretenler bunu bilmiyormu...?
Yoksa "supurgenin" "-ge"si ile "surgunun" "-gu"su
arasinda anlam ortakligi olabilir, ama "imgenin"
"-ge"si ile "xxxxgu"nun "-gu"su arasinda olamaz,
nayir, nayir, olmamali mi diyeceksin...?
>> Ah ulan ah, su "damage" in anlami "damga" ya biraz daha
yakin
>> olsaydi, nasil bayram ederdiniz degil mi...? :)
>
> damga daima kullanIlan tUrkce bir kelime (modern arapcaya
bile
Bunu bilmeyen coktur. Eger "damage"in anlami biraz
yakin olsaydi, hic kuskum yok birisi cikar o da
yabanci dile ozenilerek uretilmis derdi...
Burda bu sozcukten soz etmemin tek nedeni de dalga
gecmek degildi. Yapi ve anlam bakimindan "imge"ye
cok yakin eski bir sozcuk... Belki 'kafanda' bir
simsek cakar diye dudunmustum...
Bu "damga" sozcugunun ne anlami olan hangi 'fiil'
kokunden ve hangi ekten yapilmis oldugunu bana
bir anlatirmisin? "Dam-mak" 'fiilinden' mi...? :)
> tUmen de bir tdk kelimesi degil.
O isin dalgasi... Eski Uygurca'dan alinip, anlami
disinda olarak ve "tam" sozcugune benzedigi icin
kullanilmis dedigin o "tum" sozcuguyle, Turkce'deki
"tumbul", "tumsek", "tumen" gibi sozcukler arasinda
hic bir anlam bagi yok mu...? Bu sozcukler sence
hangi "tum-" kokunden geliyor...?
> dogru, avrupa lisanlarIna ragbet varken farscaya husumet
var.
Bu da bir yerde dogru. Oysa benim demek istedigimi
gene yanlis anliyorsun. Kim isterse oturup, o mu
buna benziyor, bu mu ona benziyor diye, soz gelisi
200 sozcugun Avrupa dillerine ozenilerek uydurulmus
oldugu sonucuna varabilir... Baska birisi de, ya bu
200 sozcugu, ya da ayni donemde uretilmis baska 200
sozcugu ele alip, bunlarin Farscaya ozenilerek
uretilmis oldugu sonucuna varabilir... Dahasi, cok
ugrasan biri bundan bin yil once uretilmis olan ve
Avrupa dillerindeki sozcuklere benziyor denebilecek
200 sozcuk bulabilir... Inanmiyorsan bir dene ve
bu abartilmis sacmaliklari birak artik...
MK
:birisi olarak, bu "anonim" dediklerin kimlerse,
:yeni sozcuk uretirken "og-" ile "o:g" arasindaki
:ses degisikligi gibi ayrintilari bileceklerini
:ya da bilmeleri gerektini dusunuyormusun...?
bunlar lisanI konu$an cemaatin alI$kanlIklarIndan
gelir, ekserisi gramer bilmez.
:(Bu arada, o ses benzetmelerine 'isim' ya da 'isim
:yerine gecen' demen yanlis. Kendi basina anlami
bazI nidalar isim gibi kullanIlIr. ah, ahIm gibi.
:olmayan 'isim' yoktur. Bunlarin kendi basina anlami
:olmadigi 'halde' 'fiil' koku gorevi gorur demek
:durumuna dusersen de, oturdugun dali kesmis olursun...)
:> -re eki icin vucut hareketleri, hisler var.
:Ornek...?
:> -(I)r icin sesler ve birkac isimden mu$tak fiil var.
:Ornek...?
:>fiilden fiil yapmak icin faktatif -r- eki ayrI.
:Yukardaki "-re" ve "-(I)r" dedigin eklere
:karsilastirmali ornek...?
:dogru olur... Ayni kokun 'fiil' koku ve 'isim'
:gorevi gordugu durumlar, anlamlari cok degisik
:olmayinca o kadar goze takilmiyor. Ornegin, "goc"
:kendi basina anlam veren bir 'isim' ve "gocmek"
:'fiilinin' koku...
:>>>kUkrememk (aynI manada eskiden ka*ng*ramak), titremek vs.
:>>> (bak "tUrk dilinde fiiller" hacIemreoglu (?)).
:>>
:>>Bunlardaki ekler ve sesler: kuk-(x)-r-e-mek,
:tit-(x)-r-e-mek...
:Benim gordugum kadariyla "-r-" eki cogu 'fiilde'
:(ozellikle ses benzetmesi koklerle yapilanlarda)
:eylemin birden cok kez yapildigini, surdugunu,
:vb. gosteriyor... Ornegin, "kukremek", "titremek"
kUkremeyi aslanlara sor. bence devamlI yapmazlar.
:deyince bir kez degil bircok kez yapilan ya da
:suren bir eylem anlasilir... Bu iclerinde "-r+e"
:bulunmayan baska 'fiillerde' daha da acikca
:gorulebilir. Ornegin, "tak-(i)-r-da-mak" birden
:cok "tak" sesi, "kik-(i)-r-de-mek" birden cok
:"kik" sesi cikarmak anlamini iletir. Buna ornek
:cok ve bulmasi kolay diye baska saymiyorum...
ba$ka cokluk ifade eden -e- eki?
>> Birincisi, "filologlarin kanaatlere varmalari" dogaldir,
endise
>> edecek bir durum yok... :) "Imrenmek" sozcugune
Ingilizce'de en
>> yakin karsilik "envy", seninle bunu daha tartismaya
verebilecek
:Neyi...? "Emre-" kokunu mu...? Yoksa "em-" kokuyle
:"-re-" ekini mi...? Suraya bir kez daha yaziver bir
:'zahmet'... (Ornegin, "im-re-n-mek"? biciminde kok,
:ek (ve varsa yardimci sesleri) ayri ayri gostererek)
:> eger manalI bir im- fiil ko"kU olsaydI soyleyebilirdim.
:"Imrenmek"teki "im-" kok degil mi diyorsun, yoksa
:anlami olmayan bir kok mu diyorsun...?
:Yoksa "im-" koku, "kukremek", "titremek" orneklerinde
:oldugu gibi bir ses benzetmesi mi diyorsun...?
evet.
:Yoksa 'isim'den 'fiil' yapan bir "-re-" eki var diye
:mi diretiyorsun...?
bunu ben "diretmiyorum". munaka$a icab ettirmeyen bir $ey
ve filologlarIn kabul ettigi bir $ey. inanmIyorsan o senin
problemin.
nadiren isimden, ekseriya ses benzetmesinden (dedigim gibi
ses benzetmeleri gramer nokta-i nazarIndan isim gibi
kullanIldIkarI oluyor)
:Bunu bilmeyen coktur. Eger "damage"in anlami biraz
:yakin olsaydi, hic kuskum yok birisi cikar o da
:yabanci dile ozenilerek uretilmis derdi...
o zaman hatalI olurdu.
:Burda bu sozcukten soz etmemin tek nedeni de dalga
:gecmek degildi. Yapi ve anlam bakimindan "imge"ye
:cok yakin eski bir sozcuk... Belki 'kafanda' bir
:simsek cakar diye dudunmustum...
isimden, yani "dam" kelimesinden mu$tak olacak degil
dam- fiili icin ise emare mevcut: tamtur- eski
uygurcada yaktIrmak. damganIn eski kullanI$I ise hayvana
vurulan damga, dag.
:Bu "damga" sozcugunun ne anlami olan hangi 'fiil'
:kokunden ve hangi ekten yapilmis oldugunu bana
:bir anlatirmisin? "Dam-mak" 'fiilinden' mi...? :)
anlattIm.
:>tUmen de bir tdk kelimesi degil.
:O isin dalgasi... Eski Uygurca'dan alinip, anlami
:disinda olarak ve "tam" sozcugune benzedigi icin
:kullanilmis dedigin o "tum" sozcuguyle, Turkce'deki
:"tumbul", "tumsek", "tumen" gibi sozcukler arasinda
:hic bir anlam bagi yok mu...? Bu sozcukler sence
:hangi "tum-" kokunden geliyor...?
tUmen'in toxarca vasitasIyla cinceden geldigi dU$UnUlUyor
digerleri icin muhtemel derim. "tUm"Un men$ei belli,
kullanIlI$ sahasInIn geni$lemesinin sebebini soylkedim.
:>dogru, avrupa lisanlarIna ragbet varken farscaya husumet
:var.
:Bu da bir yerde dogru. Oysa benim demek istedigimi
:gene yanlis anliyorsun. Kim isterse oturup, o mu
:buna benziyor, bu mu ona benziyor diye, soz gelisi
:200 sozcugun Avrupa dillerine ozenilerek uydurulmus
sadece bazI yeni kelimelerin benzemesi ile varIlan
bir netice degil. avrupai kelimelerine tUrkce bir kulp
bulma gayreti gayet iyi biliniyor.
:oldugu sonucuna varabilir... Baska birisi de, ya bu
:200 sozcugu, ya da ayni donemde uretilmis baska 200
:sozcugu ele alip, bunlarin Farscaya ozenilerek
farsca kelimelere benzetme temayulU yok. sadece eski
tUrkcede kullanIlan farsca veya diger irani lisanlar
men$eli
:uretilmis oldugu sonucuna varabilir... Dahasi, cok
:ugrasan biri bundan bin yil once uretilmis olan ve
:Avrupa dillerindeki sozcuklere benziyor denebilecek
:200 sozcuk bulabilir... Inanmiyorsan bir dene ve
:bu abartilmis sacmaliklari birak artik...
bir mubalaga ettigim yok. sen bu kelimeleri seviyorsun,
bunlarIn tUrkceyi iyi aksettirdigine inanmak istiyorsun
ve kitaba uydurma yollarInI arIyorsun.
artIk bu munaka$ayI kapatacagIm.
>TDK "Turkce sozluk", 1981, s.317, Orhan Hancerlioglu "Turk dili
>sozlugu", 1992, s.229... Bunlari "Nerede gordun?" diye ozellikle
>sormus oldugun icin yazdim, "genelmek" 'fiilinin' kullaniminin
>yaygin oldugundan veya cok eskiye gittigini sandigimdan degil...
>
>Bu "genelmek" 'fiilini' simdilik bir yana birakalim ve 'fiilin'
>kokune inelim... Ve ben sana bir soru sorayim: "Turkce'de "gen-"
>diye bir 'fiil' koku varmidir, yokmudur...?
>Sen bunu bir yanitla, gerisini de tartisiriz...
Bilmiyorum. Fakat, genel [fiil olan degil, umumi (eski),
general (ing)] karsiliginda bir kelime turetildigine gore gen- koku
olmali. Bu koke ilgi bildiren -l eki geliyor ve genl oluyor. Sonrada
araya ``e'' [acaba neden ``i'' almiyor? yes-i-l gibi] ve ``gen''e
ilgi bildiren genel oluyor. Ancak, genelge bu ``genel''den degil,
baska bir ``genel''den turetilmis olmali. Zira, birinci seklide
uretilecek kelimelere (mesela, yesilge, kulturelge, duygusalga,
genelge gibi) makul karsilik bulabilmek icin insanin hayal gucunu
biraz zorlamasi gerekiyor.
:In <5c63q2$ [email protected] > Cluster User wrote:
:>f. r. atay hUkUm kelimesinin o"k kelimesinden gekdigini
:>iddia edebildigi gibi (baskIn oran "atatUrk milliyetciligi..."
:>s. 275, s. 273-276'da o devrin bircok zIrvalIgI anlatIlIyor)
:Ilginc... B. Oran, F. R. Atay'dan bir 'referans' veriyor mu...?
bir tashih yapayIm: falih rIfkI boyle yapIldIgInI aktarmI$,
kendisi mes'ul degil.
<<f. r. atay "hUkUm" sozcUgUnUn atIlmamasI icin, kimi lehcelerde
"o"k"Un akIl anlamIna geldiginin, bunun kimi lehcelerde "Uk"
bicimini aldIgInIn, yakutcada da "um" eki ile sozcUk
yapIlabilidiginin ileri sUrdUgUnU ve "UkUm" sayesinde kurtuldugunu
anlatmaktadIr.>> bu atay'In "c,ankaya" s. 478 kitabIna istinaden.
tabii burada bir iyi niyet mevzu-I bahis: arIla$tIrma hareketini
frenlemek ve a$ina olunan kelimeleri kurtarmak. ama boyle zIrvalIga
ihtiyac hissedilmemesi icab ederdi.
kinross'a ("ataturk", s. 469) gore ingilteredeki "kent" mekan isimleri
tUrkce {aslInda irani sogdca!} kent kelimesinden gelip tUrk futuhatIna
dair delil olarak gosterilmi$! oran s. 274
1939'da (yani "resmi" huviyeti olan) saffet engin'in "kemalizm
inkIlabInIn prensipleri" kitabIna gore yunan medeniyeti (prometheus'Un
ate$i vermesi gibi efsanevi unsurlar dahil) tUrkler tarafIndan
yaratIlmI$ ve prometheus (!), poseidon (!), triptolemus (!) ve pitagoras
tUrkmU$! <<Homeros da tUrktUr "aka" tUrklerinden. asIl adI, "ummak"tan
gelen umar'dIr...eti ve grek ana tanrIlarI bir oldugu icin, etiler de
tUrk olduguna gore grekler d etUrk olmaktadIr...>> (b. oran)
:>>Tuh, "hukum" ile "hegem" bir birine cok benziyor,
:>>ya Araplar Germenler'den ozenmis, ya da Germenler
:>>Araplar'dan ozenmis olmali diyecektim... :)
:>non sequitur - arapcada eski bir kelime.
:Eskiden bir birlerinden ozenmek yokmuymus...?
buna kendin de inanmIyorsun, ne ugra$Iyorsun.
"germen" demedim, zaten hegemonia greko-latin esaslI.
eskiden tek tUk mana karI$tIrmalarI olurdu, bunun
sistemeatik olmasI modern milliyetci ideolojiye
tabidir.
In <5c6kel$ [email protected] > Cluster User wrote:
>MK wrote:
>> "og-" ve "o:g" arasindaki eski ses degisikligini
>
> oyle bir $ey oldu demedim. iki ayrI fiil kokU var:
> o":- ile o":g- . -g ekiyle ilkinden oteki fiil
> kokUnUne benzer bir isim meydana geliyor.
Sen simdi acikca "-g" eki dedigine gore, demek ben
yanlis anlamisim...
1- Buraya kadar verilen orneklerde sozu edilen "g"
mi, yumusak "g" mi...?
2- Bu Clauson dedigin "cevher", "-g" ekine ne gibi
ornekler veriyor...?
>> aciklaman iyi de, sormak istedigim bir sey var.
>> Yeni sozcukler "anonim" olarak uretilmeli diyen
>
> boyle yapIlmalI demedim. tek dedigim $ey yabancI
> kelime dU$manlIgI $ovenizmdir. linguistik tahlil
> yaparken bir $ahis veya heyet tarafIndan konulan
> kelimeleri degi$ik $ekilde tahlil etmek icab eder
> dedim.
Bir sozcugu kimin urettigi "linguistic"i ne acidan
ilgilendirir...? "$ahis/heyet tarafIndan" uretilen
suzcuklerin degisik bicimde "tahlil" edilmesi icin
gorulen gerek nedir...? "Linguistics" bu konularda
tutarlimidir...?
>> birisi olarak, bu "anonim" dediklerin kimlerse,
>> yeni sozcuk uretirken "og-" ile "o:g" arasindaki
>> ses degisikligi gibi ayrintilari bileceklerini
>> ya da bilmeleri gerektini dusunuyormusun...?
>
> bunlar lisanI konu$an cemaatin alI$kanlIklarIndan
> gelir, ekserisi gramer bilmez.
Sormak istedigim su: "imge" sozcugunu, Anadolu'nun
bir koyunde "gramer" bilmeyen bir "anonim" uretmis
olsaydi, soyleyeceklerin baska mi olurdu...?
Konuya yaklasiminda, dil devrimine karsi olanlarin
tutturabildikleri yerden abarttiklari sacmaliklari
>> (Bu arada, o ses benzetmelerine 'isim' ya da 'isim
>> yerine gecen' demen yanlis. Kendi basina anlami
>
> bazI nidalar isim gibi kullanIlIr. ah, ahIm gibi.
Dedigim gibi bunlarin 'isim' olup olmadigini kendi
basina bir anlam iletip iletememeleri belirler...
Iyi bakarsan yukarda "*o* ses benzetmelerine" diye
ozellikle ornek verdiklerini belirttigimi gorursun.
Verdigin orneklerdeki "kuk, tit" ses benzetmeleri,
"kuk-um, tit-im" diye kullanilmaz...
>> olmayan 'isim' yoktur. Bunlarin kendi basina anlami
>> olmadigi 'halde' 'fiil' koku gorevi gorur demek
>> durumuna dusersen de, oturdugun dali kesmis olursun...)
>>
>>> -re eki icin vucut hareketleri, hisler var.
>>
Bunlar, anlamlari ayni ya da cok yakin olan, bir
cirpida bulabildiklerim... Anlamlari daha uzakca
olanlari katarsak sayilari kolaylikla birkac kat
artar...
Ayrica bunlar "xxx-mak" biciminde kullanimi olan
ornekler... Bir de bu bicimde kullanimi olmamasa
da, "xxx-y-mak" vb. biciminde kullanimi olanlari
eklersek sayilari gene birkac kat artabilir...
Sen ne dedigini bilmiyorsun...
>> deyince bir kez degil bircok kez yapilan ya da
>> suren bir eylem anlasilir... Bu iclerinde "-r+e"
>> bulunmayan baska 'fiillerde' daha da acikca
>> gorulebilir. Ornegin, "tak-(i)-r-da-mak" birden
>> cok "tak" sesi, "kik-(i)-r-de-mek" birden cok
>> "kik" sesi cikarmak anlamini iletir. Buna ornek
>> cok ve bulmasi kolay diye baska saymiyorum...
>
> ba$ka cokluk ifade eden -e- eki?
Ben "-r-" ekinden soz ediyorum... One surdugum ise
'isim' olmayan koklere gelen ve 'faktatif' olmayan
bir "-r-" ekinin oldugu...
>> Durup dururken "sacinin gur olmasini istemek"
>> baska, birisinin gur sacini gorunce "imrenip
>> de sacinin onunki kadar gur olmasini istemek"
>> baska... Sozlukten bakinca, "envy" nin anlami
>> verilirken "like, same as" gibi deyimlerin
>> kullanildigini gorursun. Cok ugrastirdin...
> bunlar son derecede tali manalar ve dolanbaclI
> bir mantIk aksettiriyor.
Konu edilen, "imge" gibi 'abstract' kavram ileten
bir sozcuk olunca, koku ve ekiyle olan anlam bagi
"elma-ci, armut-cu, vb." deki kadar acik olmamasi
dogal degilmi...? Bir yandan bin yillik sozcukler
arasinda, kirk dereden su getirerek anlam baglari
bulmaya calisirken, bunu yeni sozlere uygulamamak
neden...?
> aynI zamanda tdk'cIlarIn mantIgI olma ihtimali cok az.
"Ihtimal"...? Savundugun be sacmaliklar "ihtimale"
mi dayaniyordu...? :)
> tdk'ya yakIn olan ve tdk kelimelerini etimoloji
> kitabInda me$rula$tIrma gayesiyle yer veren eyuboglu
> imge icin im (parola, i$aret) + ge diyor.
Yanlis demis... Is 'ihtimallere' kaldiysa, "kor
nisancinin" yanlis yone ok atip, dogru 'hedefi'
vurmus olabilecegi 'intimali' de olabilir... :)
>>> evet, cok dogru. immek fiili yok, oyle bir fiilin
>>> emaresi yok. im- ko"kU yok.
>>
>> He, he. "Im-" koku yok da "emre-" koku mu var...?
>
> fiil kokU olarak imre- var.
Burada bir ara verip, neye "kok" dedigimizi bir
acikliga kavustursak iyi olur... Buna daha once
"im-re" ("im-" kok, "-re" ek) dememismiydin...?
> fiil ses taklidi bir kelimeyle bunu fiil haline sokan
> -re ekinden mute$ekkil.
Iyice sapittin mi ne...? "Im-" koku ne sesine
benziyor...? Bu ses ile "imrenmek" sozcugunun
anlami arasinda iliski ne...?
> im- fiili ise hicbir yerde gecmiyor ve emaresi yok!
"Imrenmek" sozcugunde geciyor...! Her 'fiilin'
"immek, imilmek, imismek, imdirmek, vb." gibi
kullanimlari gorulmeyebilir... Bunlar ya hic
olusmamis, ya da kullanimdan dusmus olabilir.
>> Ben sana Turkce'de "imge" sozcugunun anlamini
>> verebilecek bir kok ve ek gosterdim... Oturup
>
> gostermedin. ben bir $ey soyledikce degi$ik
> kulplar bulmaga calI$tIn. bUtUn bu munaka$a
> biraz "hz. adem'in gobegi var mIydI?"
> munaka$asina benzedi. "gorUntU" varken niye
> ^^^^^^^^^^^^^^^^^^^^
> "imge" kelimesine ihtiyac hissedildigini izah
> ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^
Boyle bir soru sordugunu/sorabilecegini sanmadim
da ondan... "Hayal" sozcugunden yola cikiyorsan,
bu Arapca'da "goruntu" ve "imge" nin anlamlarini
karsilayabilir, oysa Turkce'de bunlar es anlamli
degil...
>> Yoksa "im-" koku, "kukremek", "titremek" orneklerinde
>> oldugu gibi bir ses benzetmesi mi diyorsun...?
>
Bu yazdiklarimizi baska okuyan yoksa, cok yazik
yitirdigim 'zamanima'... :(
>> Yoksa 'isim'den 'fiil' yapan bir "-re-" eki var
>> diye mi diretiyorsun...?
> bunu ben "diretmiyorum". munaka$a icab ettirmeyen
> bir $ey ve filologlarIn kabul ettigi bir $ey.
> inanmIyorsan o senin problemin.
Demek boyle seyler sonunda "inanmaya" kaliyor...
> nadiren isimden, ekseriya ses benzetmesinden (dedigim
> gibi ses benzetmeleri gramer nokta-i nazarIndan isim
> gibi kullanIldIkarI oluyor)
"Ah -> ahim" oluyor, ama "ah-ra-mak, vah-ra-mak"
olmuyor...
> ama im- fiili yok! aynI zamanda im kelimesinden
> bir immek fiiline gecilecegini zannetmiyorum.
Yukarda buna bircok ornekler verdim...
> takip etmek manasInda eski bir i- fiilinin emaresi
> var (to be fiili degil, eski $ekli ir-) iz ve im
> kelimeleri boylece izah edilebilir: i-z, i-m.
Benim duydugum/bildigim "ir-mek -> i-mek" yardimci
'fiili"... Belki bunu daha once konuya bulastirsam
iyi olurdu, ne dersin...?
>> Yoksa "supurgenin" "-ge"si ile "surgunun" "-gu"su
>> arasinda anlam ortakligi olabilir, ama "imgenin"
>> "-ge"si ile "xxxxgu"nun "-gu"su arasinda olamaz,
>> nayir, nayir, olmamali mi diyeceksin...?
>
> alakasIz. imge 'nin -ge'si yanlI$ kullanIlmI$.
Bence de "supurge"nin "-ge"si kadar dogru...
>> Burda bu sozcukten soz etmemin tek nedeni de dalga
>> gecmek degildi. Yapi ve anlam bakimindan "imge"ye
>> cok yakin eski bir sozcuk... Belki 'kafanda' bir
>> simsek cakar diye dudunmustum...
> isimden, yani "dam" kelimesinden mu$tak olacak degil
> dam- fiili icin ise emare mevcut: tamtur- eski
> uygurcada yaktIrmak.
"Imrenmek" te "im-" 'fiil' kokunu goremeyen nasil da
sip diye "tamturmak" taki "tam -> dam" 'fiil' kokunu
goruveriyor... :)
Demek "tam-mak -> dam-mak" 'fiili' olmasa da, "dam-"
kokune "-ga" getirilerek "dam-ga" yapilabiliyor...
> damganIn eski kullanI$I ise hayvana vurulan damga, dag.
O da mi "dam-mak" 'fiiliyle' ilgili (dag-mak)...?
Yoksa "dag" ile "damga" arasinda baska bir iliski
mi var ('isim'+'-ga' eki)...?
>> Bu "damga" sozcugunun ne anlami olan hangi 'fiil'
>> kokunden ve hangi ekten yapilmis oldugunu bana
>> bir anlatirmisin? "Dam-mak" 'fiilinden' mi...? :)
>
:>> "og-" ve "o:g" arasindaki eski ses degisikligini
:>
:> oyle bir $ey oldu demedim. iki ayrI fiil kokU var:
:> o":- ile o":g- . -g ekiyle ilkinden oteki fiil
:> kokUnUne benzer bir isim meydana geliyor.
:
:Sen simdi acikca "-g" eki dedigine gore, demek ben
:yanlis anlamisim...
:1- Buraya kadar verilen orneklerde sozu edilen "g"
: mi, yumusak "g" mi...?
yumu$ak g ile g farkI tUrkcede nisbeten yeni gelI$mi$tir,
tUrkce kelimelerde hecede veya kelimedeki yerine tabidir.
ecnebi men$eli kelimerde ise istisnalar azdIr.
:
:2- Bu Clauson dedigin "cevher", "-g" ekine ne gibi
: ornekler veriyor...?
bu cok kullanIlan bir ektir.
:>> aciklaman iyi de, sormak istedigim bir sey var.
:>> Yeni sozcukler "anonim" olarak uretilmeli diyen
:>
:> boyle yapIlmalI demedim. tek dedigim $ey yabancI
:> kelime dU$manlIgI $ovenizmdir. linguistik tahlil
:> yaparken bir $ahis veya heyet tarafIndan konulan
:> kelimeleri degi$ik $ekilde tahlil etmek icab eder
:> dedim.
:Bir sozcugu kimin urettigi "linguistic"i ne acidan
lisan hakkIndaki objektif malumat linguistigin sahasIna
girer.
:suzcuklerin degisik bicimde "tahlil" edilmesi icin
:gorulen gerek nedir...? "Linguistics" bu konularda
cUnkU bunlar $uurlu bir gayret neticesinde konulmu$tur,
tahlilde diger kelimelerin tabi oldugu kaidelerden gayri
bu kelimeleri koyanlarIn psikolojisinden bahseder.
:tutarlimidir...?
In <5c93b9$ [email protected] > Mehmet Gulsen wrote:
>In <5bn436$ [email protected] > Murat Kalinyaprak wrote:
>
>> Bu "genelmek" 'fiilini' simdilik bir yana birakalim ve
>> 'fiilin' kokune inelim... Ve ben sana bir soru sorayim:
>> "Turkce'de "gen-" diye bir 'fiil' koku varmidir, yokmudur...?
>> Sen bunu bir yanitla, gerisini de tartisiriz...
>
> Bilmiyorum. Fakat, genel [fiil olan degil, umumi (eski),
> general (ing)] karsiliginda bir kelime turetildigine gore
> gen- koku olmali.
Ben ise buna daha eski sandigim "genis" gibi orneklerden
yaklasiyorum. Eger var da gozumden kacmiyorsa, 'isimden'
'isim' yapan bir "-is" eki yok. Oysa, "gelis, gidis, vb"
gibi orneklerde gorulen, ve 'fiilden' 'isim' yapan "-is"
eki var...
> Bu koke ilgi bildiren -l eki geliyor ve genl oluyor. Sonrada
> araya ``e'' [acaba neden ``i'' almiyor? yes-i-l gibi] ve
> ``gen''e ilgi bildiren genel oluyor.
Neden "-(i)-" almiyor bilemem ama daha once bunda "ya$"
sozgugunden "yas-(i)-l --> yes-(i)-l" olarak, 'isimden'
'isim' yapan "-l" eki oldugunun soylendigini tartismistik
saniyorum...
> Ancak, genelge bu ``genel''den degil, baska bir ``genel''den
> turetilmis olmali. Zira, birinci seklide uretilecek kelimelere
> (mesela, yesilge, kulturelge, duygusalga, genelge gibi)
Once "kulturel"in Turkce olmadigini ve "duygusal" da
'isimden' 'isim' yapan ek oldugunu soyleyip "genel"e
donelim (genel-mek)...
Bunda "acilmak, sacilmak, vb." orneklerinde gorulen,
'fiilden fiil' yapan ek olabilecegi gibi (o durumda
yukarda yaptigin gibi neden "-(e)-" aldigi sorulabilir),
"daralmak, cogalmak, vb." orneklerinde olan 'isimden
isim' yapan ek de olabilir...
Sonucta, kendisine "-ge" eki getirilebilecek bir 'fiil'
govdesi var: "genel-"...
> makul karsilik bulabilmek icin insanin hayal gucunu
> biraz zorlamasi gerekiyor.
"Genelge"nin ilk duyulusta "bu da ne demek" demeden,
sip diye anlasilabilir bir sozcuk olmadigi gorusune
katiliyorum. Oysa, bence asiri bir 'hayal gucu'
gerektirecek kadar degil...
Ek: tartismanin olumlu bir yonde surdugune inandigim
durumlarda, daha once sordugun, "sozcuk uretilmesi"
konularinda goruslerimi bir iki bildirmeye calisacagim.
Bunlar uygulandigini gormek istedigim ama tersine de
karsi cikmayabilecegim kendi goruslerim...
Ornegin, ayni kokten ve ozellikle ayni govdeden asiri
sozcuk uretilmesine iyi bakmiyorum (ogretmen, ogrenci,
ogrence gibi). "Ogretmen ogrencilere ogrence ogretti"
demek durumunda kalmanin ozlenecek bir yani yok bence.
Bir baska gorusum de, koklerin/eklerin iyice dusunulerek
(baska eklerin de bunlara eklenecegini goz onune alarak,
vb.) ve sonradan "tuh, bunlari bu sozcukte kullanmasaydik
su sozcukte daha verimli (anlamli) olarak kullanabilirdik"
demek durumlarinda kalmayacak bicimde kullanilmasi. (Buna
benim ornek olarak dusunebilecegim de, "iz-" kokunden kimi
sozcukler var.)
:Bunlar, anlamlari ayni ya da cok yakin olan, bir
yok demedim, nadir dedim. bir avuc misal var,
ekserisini yazdIn, bazIlarInIn manalarI "yakIn"
(uzaktan bir benzeyi$ var, eger mana bakImdan bir alaka
varsa eski, "pre-turkic" devrine ait) ama gene de $i$
- $i$mek gibi degil, birkacI dogru, bazIlarI da yanlI$,
sa:l - salmak gibi. mana bakImdan zorlamalar da var.
"kas" bir neolojizma.
:cirpida bulabildiklerim... Anlamlari daha uzakca
:olanlari katarsak sayilari kolaylikla birkac kat
:artar...
:Ayrica bunlar "xxx-mak" biciminde kullanimi olan
:ornekler... Bir de bu bicimde kullanimi olmamasa
:da, "xxx-y-mak" vb. biciminde kullanimi olanlari
burada bir ek mevzu-I bahis!
:eklersek sayilari gene birkac kat artabilir...
:
yaptIgIm mulahazayI menges de yapmI$tIr.
:>> deyince bir kez degil bircok kez yapilan ya da
:>> suren bir eylem anlasilir... Bu iclerinde "-r+e"
:>> bulunmayan baska 'fiillerde' daha da acikca
:>> gorulebilir. Ornegin, "tak-(i)-r-da-mak" birden
:>> cok "tak" sesi, "kik-(i)-r-de-mek" birden cok
:>> "kik" sesi cikarmak anlamini iletir. Buna ornek
:>> cok ve bulmasi kolay diye baska saymiyorum...
:>
:> ba$ka cokluk ifade eden -e- eki?
:
:Ben "-r-" ekinden soz ediyorum... One surdugum ise
:'isim' olmayan koklere gelen ve 'faktatif' olmayan
:bir "-r-" ekinin oldugu...
verdigin misaller ses taklidi kelimeler, bu -re
ekinin kullanIlI$ sahasInda oldugunu soylemi$tim.
:>> Durup dururken "sacinin gur olmasini istemek"
:>> baska, birisinin gur sacini gorunce "imrenip
:>> de sacinin onunki kadar gur olmasini istemek"
:>> baska... Sozlukten bakinca, "envy" nin anlami
:>> verilirken "like, same as" gibi deyimlerin
:>> kullanildigini gorursun. Cok ugrastirdin...
:> bunlar son derecede tali manalar ve dolanbaclI
:> bir mantIk aksettiriyor.
ben kurcalamasaydIm "yanlI$" demezdin. zaten mesele
o degil.
:>>> evet, cok dogru. immek fiili yok, oyle bir fiilin
:>>> emaresi yok. im- ko"kU yok.
:>>
:>> He, he. "Im-" koku yok da "emre-" koku mu var...?
:>
:> fiil kokU olarak imre- var.
:
:Burada bir ara verip, neye "kok" dedigimizi bir
:acikliga kavustursak iyi olur... Buna daha once
:"im-re" ("im-" kok, "-re" ek) dememismiydin...?
:
:> fiil ses taklidi bir kelimeyle bunu fiil haline sokan
:> -re ekinden mute$ekkil.
:Iyice sapittin mi ne...? "Im-" koku ne sesine
:benziyor...? Bu ses ile "imrenmek" sozcugunun
:anlami arasinda iliski ne...?
tasvip etme manasInda bir nida olarak telakki edilmi$.
(m. ergin boyle tarif etseydi daha iyi olurdu).
:> im- fiili ise hicbir yerde gecmiyor ve emaresi yok!
:
:"Imrenmek" sozcugunde geciyor...! Her 'fiilin'
:"immek, imilmek, imismek, imdirmek, vb." gibi
bunlarIn hicbirisi yok!
:kullanimlari gorulmeyebilir... Bunlar ya hic
:olusmamis, ya da kullanimdan dusmus olabilir.
:
:>> Ben sana Turkce'de "imge" sozcugunun anlamini
:>> verebilecek bir kok ve ek gosterdim... Oturup
:>
:> gostermedin. ben bir $ey soyledikce degi$ik
:> kulplar bulmaga calI$tIn. bUtUn bu munaka$a
:> biraz "hz. adem'in gobegi var mIydI?"
:> munaka$asina benzedi. "gorUntU" varken niye
:> ^^^^^^^^^^^^^^^^^^^^
:> "imge" kelimesine ihtiyac hissedildigini izah
:> ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^
>In <5c93b9$ [email protected] > Mehmet Gulsen wrote:
>
>>In <5bn436$ [email protected] > Murat Kalinyaprak wrote:
>>
>>> Bu "genelmek" 'fiilini' simdilik bir yana birakalim ve
>>> 'fiilin' kokune inelim... Ve ben sana bir soru sorayim:
>>> "Turkce'de "gen-" diye bir 'fiil' koku varmidir, yokmudur...?
>>> Sen bunu bir yanitla, gerisini de tartisiriz...
>>
>> Bilmiyorum. Fakat, genel [fiil olan degil, umumi (eski),
>> general (ing)] karsiliginda bir kelime turetildigine gore
>> gen- koku olmali.
>Ben ise buna daha eski sandigim "genis" gibi orneklerden
>yaklasiyorum. Eger var da gozumden kacmiyorsa, 'isimden'
>'isim' yapan bir "-is" eki yok. Oysa, "gelis, gidis, vb"
>gibi orneklerde gorulen, ve 'fiilden' 'isim' yapan "-is"
>eki var...
Buna en fazla spekulasyon diyebiliriz. Benzer sekilde
yokus -> yokmak, mavis -> mavmak olduguda iddia edilebilir.
Bunlari tarihsel boyutda incelemek gerekir. Gunumuz Turkcesinde
gen diye bir kok yok.
Turkce'de koku kaybolmus ama turetme oldugu cok bariz
olan kelimeler var (mesela oksuz). Oksuzun gunumuz Turkcesinde
annesiz anlamina gelmesi, oksal diye (ing: maternal) bir turetmeye
dayanak olmamali. Belki ok, sadece kok'un ses olarak degisime
ugramis sekli.
Simdi tekrar gen- kokune donersek, gen kokune dayanilarak
genel (isim), genel(fiil), genelge (isim) turetilmis. Demek ki,
gen diye bir isim koku olmali
gen diye bir fiil koku olmali
Ve turetmede soyle olmali:
gen (isim) + -l -> genel (isim) (Turkce'de kullaniliyor)
gen (fiil) + -l -> genel (fiil) (Turkce'de kullanilmiyor)
genel (fiil) + ge -> genelge (isim) (Turkce'de kullaniliyor)
Neticede, belirsiz bir kokten, kullanilmayan bir kelime
turetiliyor (sozkonusu kelime Turkce'de baska bir anlamla
kullaniliyor). Sonra, kullanilana degil, KULLANILMAYANA, -ge eki
getirilerek, kullanilan ucuncu bir kelime turetiliyor.
Ne diyelim... Ilginc bir yaklasim. Turkce'de kelime
turetme standardi bu kadar zorlanirsa -hulle kelimesi uretecek
kadar-, herhangi bir standartdan soz etmenin bir anlami
kalir mi? Benzer bir zorlama ile, Turkce'de her kelimeye
alternatif anlamlar yukleyebiliriz.
>> Ancak, genelge bu ``genel''den degil, baska bir ``genel''den
>> turetilmis olmali. Zira, birinci seklide uretilecek kelimelere
>> (mesela, yesilge, kulturelge, duygusalga, genelge gibi)
>
>Once "kulturel"in Turkce olmadigini ve "duygusal" da
>'isimden' 'isim' yapan ek oldugunu soyleyip "genel"e
>donelim (genel-mek)...
Niye? o zaman yanlis mi oluyor? Ben benzer argumani
5-6 ay once kullaninca cok karsi cikmistin. Simde neden
boyle 180 derece dondun.
TDK bile turetigi bircok kelimede "isim"den, "isim",
"fiil"den "isim" diye standardlarla kendini sinirlandirmamis.
Meshur men/man ekinden ornek vereyim: ogretmen, danisman fiil
koklerine geliyor, fakat denetmen isim kokune geliyor. Dolayisiyla,
"duygusalga" TDK standardlarina gore tamamen dogru bir turetme.
.......
>"Genelge"nin ilk duyulusta "bu da ne demek" demeden,
>sip diye anlasilabilir bir sozcuk olmadigi gorusune
>katiliyorum. Oysa, bence asiri bir 'hayal gucu'
>gerektirecek kadar degil...
Belki bu sadece kelimenin kullanimina sartlanmis
olmandan kaynaklaniyor.
>Ornegin, ayni kokten ve ozellikle ayni govdeden asiri
>sozcuk uretilmesine iyi bakmiyorum (ogretmen, ogrenci,
>ogrence gibi). "Ogretmen ogrencilere ogrence ogretti"
>demek durumunda kalmanin ozlenecek bir yani yok bence.
Fakat, "oz" Turkce'nin -mecburen- gelecegi en son nokta
bu. Yani, oz Turkce olduguna karar verilen (tabii, bunun
standardinin nasil olacagi buyuk bir soru isareti. Senin
meyve suyu kokteyli standardini biraz daha detaylandirman
gerekecek) temel kelimelerden turetilen, ve ses olarak
birbirine asiri benzeyen kelimeler yigini.
.........
>> Ben ise buna daha eski sandigim "genis" gibi orneklerden
>> yaklasiyorum. Eger var da gozumden kacmiyorsa, 'isimden'
>> 'isim' yapan bir "-is" eki yok. Oysa, "gelis, gidis, vb"
>> gibi orneklerde gorulen, ve 'fiilden' 'isim' yapan "-is"
>> eki var...
> Buna en fazla spekulasyon diyebiliriz.
Oyleyse dilbiliminin bu gibi izlenimlere dayanan buyuk
bir bolumune de 'spekulasyon' demek gerekir...
> Benzer sekilde yokus -> yokmak,
Bu ek 'isim' olan "yok" sozcugune getirilmis diyorsan,
anlam bakimindan bir sorun olur. Arastirilirsa, bunun
"yog~" kokunden oldugu, anlaminin "yor-ulmak"la ilgili
oldugu gibi bir seylerin ortaya cikacagini sanirim...
> mavis -> mavmak olduguda iddia edilebilir.
"Mavi/mavis" Turkce bir sozcuk degil...
> Bunlari tarihsel boyutda incelemek gerekir. Gunumuz
> Turkcesinde gen diye bir kok yok.
Boyle demekle bir cikmaza girmezmiyiz...? Bir yandan
eskiden olmayan kok/eklerle sozcuk uretmek yanlistir
derken, obur yandan eskiden olsa da bugun kullanimi
olmayan kok/eklerle sozcuk uretmek yanlistir denirse,
neyle sozcuk uretilecek...?
> Simdi tekrar gen- kokune donersek, gen kokune dayanilarak
> genel (isim), genel(fiil), genelge (isim) turetilmis. Demek ki,
>
> gen diye bir isim koku olmali
> gen diye bir fiil koku olmali
>
> gen (isim) + -l -> genel (isim) (Turkce'de kullaniliyor)
> gen (fiil) + -l -> genel (fiil) (Turkce'de kullanilmiyor)
> genel (fiil) + ge -> genelge (isim) (Turkce'de kullaniliyor)
>
> Neticede, belirsiz bir kokten, kullanilmayan bir kelime
> turetiliyor (sozkonusu kelime Turkce'de baska bir anlamla
> kullaniliyor). Sonra, kullanilana degil, KULLANILMAYANA, -ge eki
> getirilerek, kullanilan ucuncu bir kelime turetiliyor.
Eski sozcuklerde boyle adim adim, arada kopukluk
olmadan sozcuk uretildigini ben goremiyorum, ve
aradaki bu tur bosluklarin "bu kullanimlari ya
hic ortaya cikmamis ya da kullanimdan dusmus"
aciklamalriyla dolduruldugunu goruyorum.
Eger yapmaya degecekse, arayip yukardakina benzer
ornekler eski sozcuklerde de bulunabilir saniyorum.
Bu kadar ileri gitmeden once, bu tur orneklerin
bulunmasi durumunda tepkin ne olurdu bilmek isterdim?
> Ne diyelim... Ilginc bir yaklasim. Turkce'de kelime
> turetme standardi bu kadar zorlanirsa -hulle kelimesi uretecek
> kadar-, herhangi bir standartdan soz etmenin bir anlami
> kalir mi? Benzer bir zorlama ile, Turkce'de her kelimeye
> alternatif anlamlar yukleyebiliriz.
Iyi de, bu 'standartlar' neye dayanmali...? "Genel" ile
"genelge" arasinda anlam bakimindan bir sorun goremiyorum.
"-ge" ekinin 'fiile' gelmesi gerektigi ve bunun kullanimi
olmasa da var denebilecek bir 'fiil' kokune getildigi yapi
(mechanical) acisindan dogru olup olmadiginin tartismasi...
Yeni uretilen sozcukler hem anlam hem de yapi bakimindan
dogru olmalidir denmesine karsi cikacak degilim. Oysa,
bunun uygulanmasinin onun bunun bir iki ornekle "kural"
dedigi "kurallara" dayanilarak yapilabilecegi, ne de
oyle yapilmasi gerektigi dusuncesinde degilim...
> oku (fiil)
> oku (fiil) + -l okul (fiil) (Turkcede kullanilmiyor)
>
> Buna dayanarak yapilabilcek kelimeler (uyduruyorum, ama
>TDK standarlarina uygun bir sekilde)
>
Boyle sacmaliklarla dalga gecmeye kalkmadan once gecmiste
de "yanlis kullanilmis" demen gerekecek orneklere bir
bakman iyi olur...
Verdigin ornek uzerine bir ornek: "gece kitap okunmaz"
kullanimi sence yanlis olmali... "Okumak" eylemi donusumlu
"-n-" eki alabilecek bir eylem degil... Dogrusu "okulmaz"
olmali (ates yakilmaz, sigara icilmez, vb. gibi)...
Suratini boyayan birisi "boyanir", oysa duvar kendi kendine
"boyanmaz", duval "boyalmali" demek dogru olurdu... Kopek
yere "serinir", hali "serilir, oyse dumbelek "calilir" yerine
"calinir", sarki "soylelir" yerine "soylenir" denir... Bunlar
gibi bulanabilecek yuzlerce ornek de yanlis mi sence...?
Verdigin orneklerde gozume carpan "okulgan" "sokulgan"
sozcugunu animsatti... Ornegin, igne "sokulur", oysa
birisi birisinin yanina "sokuldu" degil "sokundu" demek
dogru olurdu... Soyle kendi kendine "Ayse cok sokulgan
bir kizdir" diye birkac kez 'tekrarla'... Ondan sonra
"okulgan" sozcugunun yanlis olarak kullanilacagi gunleri
bekle...
>> Once "kulturel"in Turkce olmadigini ve "duygusal" da
>> 'isimden' 'isim' yapan ek oldugunu soyleyip "genel"e
>> donelim (genel-mek)...
> Niye? o zaman yanlis mi oluyor? Ben benzer argumani 5-6
> ay once kullaninca cok karsi cikmistin. Simde neden boyle
> 180 derece dondun.
Soz konusu 'isimden fiil' yapan "-el/-al" ekinden sonra bir
de 'fiilden isim' yapan "-ge" ekinin gelmesi idi. Verdigin
"> (mesela, yesilge, kulturelge, duygusalga, genelge gibi)"
orneklerinden "yesil"de "-l" eki oldugunu "i/e" sesini
konu ettigin icin aciklama yaptim. "Kulturel"in Turkce
olmadigini soylemek yeter. "Duygusal"da da 'isimden fiil'
yapan bir ek olmadigini soyleyip gectim ("-al" degil "-sal
eki olmadigina bile dokunmadan...:) ve ustelik Turkce "-al"
eki var diye "$ap$alga" ornegini vermedigine de sevinmis
olarak...:)
Soylediklerimde bir seye dogru ya da yanlis dedigimi
cikarmana yol acacak ne vardi soylediklerimde...?
"180 derece" dondum dedigin konu neyse, onu da aciklarsan
tartisiriz...
>Meshur men/man ekinden ornek vereyim: ogretmen, danisman fiil
>koklerine geliyor, fakat denetmen isim kokune geliyor. Dolayisiyla,
>"duygusalga" TDK standardlarina gore tamamen dogru bir turetme.
Anlasilan gesmisteki tartismalar yetmemis. "-man/-men"
ekinin eskiden beri hem 'isim' hem 'fiil' koklerine
geldigine yeniden baslayalim istersen... (ayrica, "gocmen"
sozcugunun ne kadar esli oldugu konusunda bildigin yeni
birsey var mi?)
"Duygusalga" ise yalnizca "TDK standartlarina gore degil,
senin o Turkce'de 'isime' gelen "-ge" ekine ikicik ornek
veren "profosor doktorlarina" gore de dogru bir turetme... :)
>> Ornegin, ayni kokten ve ozellikle ayni govdeden asiri
>> sozcuk uretilmesine iyi bakmiyorum (ogretmen, ogrenci,
>> ogrence gibi). "Ogretmen ogrencilere ogrence ogretti"
>> demek durumunda kalmanin ozlenecek bir yani yok bence.
>
> Fakat, "oz" Turkce'nin -mecburen- gelecegi en son nokta bu.
Evet, oysa o "en son noktadan" daha cok uzagiz. Oraya
varinca da Arapcadan, Germenceden birseyler yamariz... :)
> Yani, oz Turkce olduguna karar verilen (tabii, bunun
> standardinin nasil olacagi buyuk bir soru isareti. Senin
> meyve suyu kokteyli standardini biraz daha detaylandirman
> gerekecek) temel kelimelerden turetilen, ve ses olarak
> birbirine asiri benzeyen kelimeler yigini.
Bu Turkce'nin gecmisinde de boyle ve dogal olarak bundan
sonra daha da oyle olacak, IDK (Ingiliz Dil Kurumu) veya
ADK (Arap Dil Kurumu) yeni kokler/ekler uydurup bizi
kurtarmazsa... :)
>> Bunlar, anlamlari ayni ya da cok yakin olan, bir
>
> yok demedim, nadir dedim. bir avuc misal var,
"Nadir" ne demek...? Bu avucunun ne kadar buyuk
olduguna mi bagli...? :)
> ekserisini yazdIn, bazIlarInIn manalarI "yakIn"
> (uzaktan bir benzeyi$ var, eger mana bakImdan bir alaka
> varsa eski, "pre-turkic" devrine ait) ama gene de $i$
> - $i$mek gibi degil, birkacI dogru, bazIlarI da yanlI$,
> sa:l - salmak gibi. mana bakImdan zorlamalar da var.
> "kas" bir neolojizma.
Istersen bu sozcukleri tek tek ele alip, anlami
ayni/yakin/uzak diye belirt de tartisalim...
Ustelik, bunlar az dusunmeyle ve tek heceli kok
olarak bulabildiklerim... Turce'de sayi olarak,
neye "nadir" neye "yaygin" dedigini aciklarsan,
ondan sonra ne dedigini yanlis anlamam gibi bir
durum olmaz... Ornegin, 200? ornegi bulunamayan
durumlara "nadir" denir dersen, ben de sozlugu
basindan sonuna tarar ve bakarim senin icin 200
ornek bulabilecekmiyim diye... :)
Buna, "A" sesiyle baslayan: ac-acmak, ag-agmak,
ak-akmak, al-almak, art-artmak, ay-aymak, vb.
eklemekle baslayabiliriz...
Butun bunlari senin "Turkce'de "im" diye 'isim'
var, ayrica (anlami ayri olan) boyle bir 'fiil'
koku olamaz" yonunde one surduklerine karsilik
yaziyorum. Ve gene de anlami yakin olanlarini
secmeye calisiyorum (buna gerek olmasa bile)...
>> cirpida bulabildiklerim... Anlamlari daha uzakca
>> olanlari katarsak sayilari kolaylikla birkac kat
>> artar...
>> Ayrica bunlar "xxx-mak" biciminde kullanimi olan
>> ornekler... Bir de bu bicimde kullanimi olmamasa
>> da, "xxx-y-mak" vb. biciminde kullanimi olanlari
>
> burada bir ek mevzu-I bahis!
Sen bir ek 'isim' kokune mi yoksa 'fiil' kokune
mi gelir diye tartisirken, bunun onemi ne...?
Ornegin, aci-acimak, agri-agrimak, apis-apismak
gibi orneklerdeki "aci, agri, apis" sozcuklerin
'isim' olmasi bir sonraki eklere de 'fiil' koku
gorevi gormesine engel degil...
Buradaki "ag-(i)-r-i-mak" ornegi senin verdigin
"kuk-(u)-r-e-mek, tit-(i)-r-e-mek" orneklerinde
Bu gibi sozcukleri sayarsak avuclarin bu "nadir"
ornekleri almaz olur... :)
>> eklersek sayilari gene birkac kat artabilir...
>>
Evet, o da bir 'ihtimal'... :)
>> Yanlis demis... Is 'ihtimallere' kaldiysa, "kor
>> nisancinin" yanlis yone ok atip, dogru 'hedefi'
>> vurmus olabilecegi 'intimali' de olabilir... :)
>
> ben kurcalamasaydIm "yanlI$" demezdin. zaten mesele
> o degil.
Kurcalaman iyi oldu... Boylece "imge"nin 'isim'+ge
degil 'fiil'+ge oldugunu ogrenenler olmustur...
>> Iyice sapittin mi ne...? "Im-" koku ne sesine
>> benziyor...? Bu ses ile "imrenmek" sozcugunun
>> anlami arasinda iliski ne...?
> tasvip etme manasInda bir nida olarak telakki edilmi$.
> (m. ergin boyle tarif etseydi daha iyi olurdu).
Belki karsisinda birisinin "iimmmmm, iimmmmm..."
diye sapur supur birseyler yedigini goren birisi,
"ah, ben de o seyden iimmmmm, iimmmmm... diyerek
yiyor olmayi ne kadar isterdim" demistir...
Bunu duyan baska biri de "ne imirdeyip duruyorsun
(ne kikirdeyip duruyorsun gibi)" diye sorduysa, o
da "sana ne yav, ben kendi kendime imireniyorum"
demistir belki... :)
>>> im- fiili ise hicbir yerde gecmiyor ve emaresi yok!
>>
>> "Imrenmek" sozcugunde geciyor...! Her 'fiilin'
>> "immek, imilmek, imismek, imdirmek, vb." gibi
>
Ben de 'zaten' yok ve her 'fiilin' de olmaz dedim...
>> kullanimlari gorulmeyebilir... Bunlar ya hic
>> olusmamis, ya da kullanimdan dusmus olabilir.
>> Boyle bir soru sordugunu/sorabilecegini sanmadim
>> da ondan... "Hayal" sozcugunden yola cikiyorsan,
>> bu Arapca'da "goruntu" ve "imge" nin anlamlarini
>> karsilayabilir, oysa Turkce'de bunlar es anlamli
>> degil...
> gorUntU'nUn eski manasI mana ve i$tikak bakImdan
> "apparition"a yakIn. aynI zamanda bir neolojizma
> olarak fizikteki "image"I kar$IlIyor.
"Imge"nin anlaminin gercek goruntulerle iliskisi
yok. "Apparition", "image" gibi anlamlari degil,
"visualisation", "daydream" gibi ("hayaletlerle"
degil "hayal kurmakla" ilgili olan) anlamlarinin
oldugunu veriyor sozlukler...
>>> nadiren isimden, ekseriya ses benzetmesinden (dedigim
>>> gibi ses benzetmeleri gramer nokta-i nazarIndan isim
>>> gibi kullanIldIkarI oluyor)
>> "Ah -> ahim" oluyor, ama "ah-ra-mak, vah-ra-mak"
>> olmuyor...
> her nidadan i$tikak edilmi$ demedim. zaten ah, vah
> tUrkceye sonradan arapcadan gelen kelimeler.
Kisacasi su: kendi basina anlami olmayan seslere
denemeyecegi icin, bu tur seslere 'isimden isim'
ya da 'isimden fiil' yapilan "-x" eki getirilmis
oldugu one surulemez...
"Kuk-um", "tit-im" denmiyorsa, "kuk-" ve "tit-"
seslerine, kendilerine 'isime' getirilen "-re-"
eki getirilmis "isimlerdir/isim gorevi goren
seslerdir" denemez bence. Dolayisiyla da bunlar
kendi basina anlami olmayan obur 'fiil' kokleri
gibi, 'fiil' koku olarak ele alinmalidir...
>>> isimden, yani "dam" kelimesinden mu$tak olacak degil
>>> dam- fiili icin ise emare mevcut: tamtur- eski
>>> uygurcada yaktIrmak.
>> "Imrenmek" te "im-" 'fiil' kokunu goremeyen nasil da
>> sip diye "tamturmak" taki "tam -> dam" 'fiil' kokunu
>> goruveriyor... :)
:>>Bunlar, anlamlari ayni ya da cok yakin olan, bir
:>
:>yok demedim, nadir dedim. bir avuc misal var,
bunlardan don (do*ng*), dUz, toz, tat, kat, sIk, sik,
$i$, yar, go"c (ilavem) muhakkak.
gec (ge.:c - kapalI e, e.) ge.:c- eski tUrkcede var ama
ama menges kat / kat- icin morfolojik bir izah olabilecegini
soylUyor *qa- fiilinden qa-t- fiili ve qa-t ismi.
burada iki ayrI ek mevzu-I bahis -t ile -t-
boylece benzerlik tesadufen meydana gelmi$ oluyor.
(menges, turkic languages and peoples s. 159)
digerlerine de boyle bir izah verilebilir
orta tUrkcede ge.cik- kullanIlmI$ (gec- acIk e ile),
belki tUrkcenin boyle ciftleri tercih etmedigi icin.
toz- icin mana kaymasI var (eski osm. ko$mak)
dik cinceden, dikmek ise tUrkce ama bir mana
karI$masI olabilir.
ka:p, kap- farklI ama benzerlik var (bunlar cok eski
kelimeler, men$eleri tUrkce oncesi olabilir)
uzaktan yer, yUz, ic olabilir.
:"Nadir" ne demek...? Bu avucunun ne kadar buyuk
:olduguna mi bagli...? :)
bunlardan ba$ka olsa olsa az var.
laalettayin bir isim fiil olarak kullanIlmaz.
ses bakImIndan benzer bir isim kokU ile bir
fiil kokU muhakkak mana bakImIndan benzemez.
:>ekserisini yazdIn, bazIlarInIn manalarI "yakIn"
:>(uzaktan bir benzeyi$ var, eger mana bakImdan bir alaka
:>varsa eski, "pre-turkic" devrine ait) ama gene de $i$
:> - $i$mek gibi degil, birkacI dogru, bazIlarI da yanlI$,
:>sa:l - salmak gibi. mana bakImdan zorlamalar da var.
:>"kas" bir neolojizma.
:Istersen bu sozcukleri tek tek ele alip, anlami
:ayni/yakin/uzak diye belirt de tartisalim...
birkac tane de mana alakasI olmayan cift
koymu$sun.
:Buna, "A" sesiyle baslayan: ac-acmak, ag-agmak,
:ak-akmak, al-almak, art-artmak, ay-aymak, vb.
:eklemekle baslayabiliriz...
bir tek art , art- benzerlik eski mU$terek bir koke
degi$ik fonksUyonlu ekler ilavesiyle meydana gelen
benzerlik olabilir (NB arka).
:Butun bunlari senin "Turkce'de "im" diye 'isim'
:var, ayrica (anlami ayri olan) boyle bir 'fiil'
:koku olamaz" yonunde one surduklerine karsilik
:yaziyorum. Ve gene de anlami yakin olanlarini
:secmeye calisiyorum (buna gerek olmasa bile)...
mana olarak alakasIz bir im- fiili "teorik"
olarak olabilir. aynI manada olabilecegini
hic zannetmiyorum, zira im kelimesi zaten
bir fiilden mu$tak.
>> cirpida bulabildiklerim... Anlamlari daha uzakca
>> olanlari katarsak sayilari kolaylikla birkac kat
>> artar...
>> Ayrica bunlar "xxx-mak" biciminde kullanimi olan
>> ornekler... Bir de bu bicimde kullanimi olmamasa
>> da, "xxx-y-mak" vb. biciminde kullanimi olanlari
>
> burada bir ek mevzu-I bahis!
:Sen bir ek 'isim' kokune mi yoksa 'fiil' kokune
:mi gelir diye tartisirken, bunun onemi ne...?
(tabii en muhim $ey tdk'na toz kondurmamak
dersen o zaman tUrkcenin kaidelerini ihlal
etmek muhim degil denilebilir!)
ekler degi$ik. isimden eksiz fiil yapmak ise
laalettayin yapIlan bir i$ degil.
tungus lisanlarInda boyle degil. menges
ewenki oro-kot (cUce ren geyigi) oro-kot-
(cUce ren geyigi ile oynamak) gibi bircok
misal veriyor (s. 159). turkce boyle degil.
:Ornegin, aci-acimak, agri-agrimak, apis-apismak
:gibi orneklerdeki "aci, agri, apis" sozcuklerin
acI, agrI isim olarak eski $ekilleri acIg, agrIg.
sonra -g oguzcada dU$mU$.
:'isim' olmasi bir sonraki eklere de 'fiil' koku
:gorevi gormesine engel degil...
:Buradaki "ag-(i)-r-i-mak" ornegi senin verdigin
:"kuk-(u)-r-e-mek, tit-(i)-r-e-mek" orneklerinde
:>>"Ah -> ahim" oluyor, ama "ah-ra-mak, vah-ra-mak"
:>>olmuyor...
:>her nidadan i$tikak edilmi$ demedim. zaten ah, vah
:>tUrkceye sonradan arapcadan gelen kelimeler.
:Kisacasi su: kendi basina anlami olmayan seslere
:denemeyecegi icin, bu tur seslere 'isimden isim'
:ya da 'isimden fiil' yapilan "-x" eki getirilmis
:oldugu one surulemez...
:"Kuk-um", "tit-im" denmiyorsa, "kuk-" ve "tit-"
:seslerine, kendilerine 'isime' getirilen "-re-"
:eki getirilmis "isimlerdir/isim gorevi goren
:seslerdir" denemez bence. Dolayisiyla da bunlar
:kendi basina anlami olmayan obur 'fiil' kokleri
:gibi, 'fiil' koku olarak ele alinmalidir...
manasI bilinen fiilere getirilmiyor, manasI bilinen
isimlere getirilebiliyor. onomatopik kelimeler
:>>>isimden, yani "dam" kelimesinden mu$tak olacak degil
:>>>dam- fiili icin ise emare mevcut: tamtur- eski
:>>>uygurcada yaktIrmak.
:>>"Imrenmek" te "im-" 'fiil' kokunu goremeyen nasil da
:>>sip diye "tamturmak" taki "tam -> dam" 'fiil' kokunu
:>>goruveriyor... :)
:"Tam-tur-mak" var... "Tam-mak" yok... "T/Dam-ga" var...
:"Im-ren-mek" var... "Im-mek" yok... "Im-ge" var...
:Bunlarin birisi "normal kaide" de oburu neden degil...?
-tur- kokU kaidesine gore kullanIlIrsa tammak cIkartIlabilir,
"damga" da bunu teyid ediyor. imrenmek'ten immek fiiline
kaiderle geci$ yolu yok. ayrIca -tur- iyi bilinen bir ek.
munasebet bariz.
o"z tUrkceyi mudafaa ederken kelimelerin i$tikakInIn bariz
olmasInIn icab etigini soylemi$tin, imge kelimesinin neresi
bariz, senin imge'yi kitaba uydurma metodunun neresi bariz?
:>>Demek "tam-mak -> dam-mak" 'fiili' olmasa da, "dam-"
:>>kokune "-ga" getirilerek "dam-ga" yapilabiliyor...
:>>
:>>>damganIn eski kullanI$I ise hayvana vurulan damga, dag.
:>>
:>>O da mi "dam-mak" 'fiiliyle' ilgili (dag-mak)...?
:>>Yoksa "dag" ile "damga" arasinda baska bir iliski
:>>mi var ('isim'+'-ga' eki)...?
:>dag ("brand" manasInda) eskiden farscadan gelme.
:Turkce, Farsca, herneyse... Benim sordugum: "damga"
{haklIsIn! kullanIp kullanmama nokta-i nazarIndan
bir ehemmiyeti olmamalI!}
herhalde "dag" farsca ise bir tUrkce kelimeyle
munasebeti olamaz. eger bir munasebet iddia
edilecekse nostratik nazariyesi hakkInda
spekUlasyonda yeri olabilir veya proto-altay proto
hint avrupa veya proto irani kelime, kok alI$ veri$i
hakkInda spekUlasyonda yeri olabilir . ama tUrkce
veya farsca kelime i$tikakI bahsinde yeri yoktur.
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Turkish
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What is the mythical conjuring trick for which Lord Northbrook failed to find claim or demonstration on offering a £10,000 prize in 1875?
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=========================================================================== PETEK CILT: 1 SAYI: 2 1 EYLUL 1995 =========================================================================== ___________________________________________ / .......................... \ / ........ /\ /\ ....... \ / ...... / | / | ..... \ / ... / // | .... \ / .. /^/^ / / / ... \ / ... /()|'`--/ _ / .. \ / ... \_'/' '` \_' .. \ / ... '//`--' '\ .. \ / .... || //--/ ' \ .. \ / ..... \\ ||\_/\\ ... \ / ........ || \_/ .... \ / ........... \\ \ ..... \ / .......................... \ / \ / OOOOOOO OOOOOOOOO OOOOOOOOOOO OOOOOOOOO OOO OOO \ / OOOOOOOO OOOOOOOOO OOOOOOOOO OOOOOOOOO OOO OOO \ \ OOO OOO OOO OOO OOO OOO OOO / \ OOO OOO OOO OOO OOO OOO OOO / \ OOO OOO OOO OOO OOO OOOoOO / \ OOOOOOOO OOOOOOO OOO OOOOOOO OOOOO / \ OOOOOOO OOOOOOO OOO OOOOOOO OOOOOO / \ OOO OOO OOO OOO OOOoOOO / \ OOO OOO OOO OOO OOO OOO / \ OOO OOO OOO OOO OOO OOO / \ OOO OOOOOOOOO OOO OOOOOOOOO OOO OOO / \ OOO OOOOOOOOO OOO OOOOOOOOO OOO OOO / \ / \ ITU MEZUNLARI DERNEGI ELEKTRONIK DERGISI / \ / \ 1995 / \ / \___________________________________________/ =========================================================================== SunuS YazIsI =========================================================================== Sevgili PETEK OkurlarI, Ikinci sayImIzda yine sizlerle birlikte olmaktan mutluluk duyuyoruz. Bu sayImIzIn ilk sayImIza gOre daha doyurucu olacaGInI Umit ediyoruz. Bir derginin yayIn hayatInIn uzunlugu; onun ortaya CIkarIlmasI iCin sarfedilen gayret, harcanIlan zaman, ve gOsterilen Ozenle yakIndan ilgilidir. KuSkusuz, kisilerin fedakarlIklarI her zaman gereklidir. Ancak Onemli olan; fedakarlIklarIn mUmkUn olduGunca eSit bir Sekilde kiSiler tarafIndan paylaSIlmasI olup, bu da ancak derginin arkasIndaki kuruluSun yakIn ilgisi, dergi organizasyonunun iSlerliGi, bu organizasyon icinde gOrev alan arkadaSlarIn UstUn gOrev bilinci, ve de siz sayIn okurumuzun derginizin etkinliklerine yapIcI ve katIlImcI yaklaSImlarI ile mUmkUn olabilir. Bu unsurlar ne kadar olumlu yOnde olursa, dergimizin sUrekliliGi ve de kalitesi o oranda artar. PETEK, henUz CiCeGi burnunda bir dergi olmasIna raGmen, daima bir sonraki sayIsInda daha kaliteli olmayI ve aynI zamanda sUrekliliGini mUmkUn oldugu OlcUde korumayI hedefleyen bir dergi olma CabasI iCindedir. Okumakta olduGunuz bu dergi, dergi fikrinin ortaya atIlmasIndan bugUne kadar Cok deGiSik aSamalardan geCmiS bulunmaktadIr. Verilen emek, harcanIlan zaman tahmin edilemeyecek kadar bUyUktUr. BunlarI belirtmekteki amacImIz PETEK gOnUllUleri olarak kendimize pay CIkartmak deGil, aksine, dergiyi okurken gOrebileceGiniz olasI hatalara hosgOrU ile yaklaSmanIzI saGlayabilmektir. PETEK gOnUllUleri olarak inancImIzIn tam olduGu noktalardan birisi, PETEK'in *sizin* de katkInIzla her sayIda daha ileriye gideceGidir. Ilk sayImIzIn sunuS yazIsInda da belirtmiS olduGumuz gibi, PETEK; toplumuyla bUtUnleSmeyi amaClayan, karSIlIklI bilgi alISveriSini saGlayacak, yeniliklere ve geliSmelere aCIk bir dergidir. Bu nedenle, her tUrlU eleStiri, yorum, ve dUsUncenizi bizimle paylaSmanIz PETEK aCIsIndan Cok Onemlidir. PETEK YayIn Kurulu olarak aCIklama getirmek istediGimiz noktalardan birisi de derginiz PETEK'in uzunluGuyla ilgilidir. PETEK'in 3 ayda bir yayImlanan bir dergi olduGu gOzOnUne alInIrsa her sayInIn bir hayli (!) kapsamlI olacagI beklenen bir sonuCtur. Sizlere bu noktada ufak bir sIr vermek istiyoruz: esasen bizim amaClarImIzdan birisi de; sizin bilgisayarInIzIn baSIna geCip beS dakikada bu dergiyi okuyup bitirmemeniz icin elimizden ne geliyorsa yapmaktIr. YoGun iSleriniz arasInda sIkIlIp ara verdiGinizde PETEK'e tekrar dOnUp kaldIGInIz yerden devam etmenizi diliyoruz. Son olarak, dergiye yazI gOnderen, olumlu olumsuz eleStirilerini esirgemeyen herkese, ve derginin bu sayIsInda emeGi geCen arkadaSlarImIza teSekkUr ediyoruz. Bir sonraki sayImIzda buluSmak Uzere, kalIn saGlIcakla. PETEK YayIn Kurulu BaSkan: Meral DemirtaS (Meteoroloji '90)
BaSkan Yrd.: Harun Taner (Gemi inSaatI '88)
Uye: O. Haldun UnalmIS (uCak '87)
=========================================================================== PETEK YazI KurallarI =========================================================================== * YazIlarInIzI, yukarIda adresleri verilen PETEK YayIn Kurulu (PYK) Uyelerine ya da PETEK YazISma Adresine gOnderiniz. Elektronik posta ile gOnderilen yazIlarI tercih etmekteyiz. * YazInIza "Subject: ITU-MD E-Dergi: PETEK" UstbaSlIGInI veriniz. * YazI geniSliGinin 75 karakteri aSmamasIna Ozen gOsteriniz. * YazInIzI bir satIr aralIGInda yazInIz, metin iCinde fazla boS satIra yer vermemeye Ozen gOsteriniz. * YazInIzI kUCUk harflerle yazInIz, tamamI bUyUk harflerle yazIlmIS yazIlar UCUncU sayImIzdan itibaren kabul edilmeyecektir. * PETEK'te yayImlanacak yazIlarda dil ve uzunluk sInIrlamasI yoktur. YabancI dilde yayImlanacak yazIlar iCin yazar(lar)Indan kIsa bir TUrkCe Ozet istenir. * Konu serbest olmakla beraber aSaGIda belirtilen konu Obekleri YayIn Kurulu'nca uygun bulunmuStur: ITU MezunlarI DerneGi (ITU-MD) TanItIm Akademik DUnyadan Bilim ve Teknoloji Internet ve Bilgisayar DUnyasIndan MUhendis GOzUyle Sosyal Bilimler ve KUltUr Mizah Dilimiz, Deyimlerimiz ve Atasozlerimiz Serbest KOSe Okuyucudan * YazInIzIn bu konu Obeklerinden hangisine uygun oldugunu belirleyip, iCeriGini birkaC sOzcUk ile aSaGIdaki Orneklerdeki gibi aCIklayInIz: Konu : Konu ObeGi --> iCerik { Ornekler : Konu : Bilim ve Teknoloji --> BulanIk MantIk Uzerine Konu : Akademik DUnyadan --> Yabanci dille eGitim gerekli mi? Konu : Internet ve Bilgisayar DUnyasIndan --> Elektronik Ulak Konu : Sosyal Bilimler ve KUltUr --> MUzik ve toplum Konu : Mizah --> Havadan para kazananlara ne denir? } ASaGIda bir yazI OrneGi bulacaksInIz: --------------------------------------------------------------------------- Subject: ITU-MD E-Dergi: PETEK: Serbest Kose --> FIrIldaGIn okulu olur mu? --------------------------------------------------------------------------- {YazInIzIn baSlIGI} FIrIldaGIn okulu olur mu? {YazInIz buraya yerleStirilmelidir.} {AdInIz, soyadInIz, (varsa) mezun olduGunuz Universite ve bOlUmUnUzUn adI, lisans mezuniyet yIlInIz, e-posta adresiniz, (ITU-MD Uyesi iseniz) ITU-MD Uyesi ibaresi ve hangi Ulkede kayItlI olduGunuz; (varsa ya da yazmak isterseniz) ayrIntIlI yazISma adresiniz, (varsa) kaynaklar} Meral Demirtas (Meteoroloji '90) ([email protected]) ITU-MD Uyesi, Ingiltere {Ornek bir yazISma adresi: --------------------------------------------------------------------------- Meral Demirtas Tel: (44) (01734) 318950 University of Reading Fax: (44) (01734) 352604 Department of Meteorology E-mail: [email protected] 2 Earley Gate Reading RG6 2AU United Kingdom --------------------------------------------------------------------------- } --------------------------------------------------------------------------- * PETEK'e gOnderilen yazIlar YazI DeGerlendirme Kurulu (YDK) Uyelerince PETEK YazI DeGerlendirme KurallarIna gOre deGerlendirilir. Bu deGerlendirme sonucu PYK'nca yazIyI gOnderene (yazara) bildirilir. * BaSka kaynaklardan aktarIlan yazIlar hakkIndaki kurallar aSaGIda belirtilmiStir: 1. BaSka bir yerde yayImlanmIS bir yazI iCin yazarIndan veya yayIncIsIndan izin alInmalIdIr. 2. BaSka listelerden ya da tartISma ortamlarIndan aktarIlan yazIlarIn yazarIndan izin alInmalI, yazI anonim ise aktarIlan kaynak liste belirtilmelidir. * YazI gOnderenlerden karSIlIk veya yanIt hakkI doGuracak yazI yollamamalarI beklenmektedir. Herhangi bir biCimde yanIt hakkI doGmuS ise, PYK'na gOnderilen karSIlIk yazIlarI bir sonraki sayIda yayImlanIr. * GOnderilen yazIlarIn yayImlansIn veya yayImlanmasIn geri iadesi sOzkonusu deGildir! * PETEK Dergisi'nde yayImlanan yazIlarIn baSka yayIn organlarInda yayImlanmak istenmesi durumunda yazInIn yazarIndan ya da PYK'ndan izin alInmalIdIr. * Yazarlar yazIlarInIn iCeriGinden sorumludur. Bu konuda PYK, YDK veya ITU-MD hiCbir durumda herhangi bir sorumluluk Ustlenmez. =========================================================================== PETEK YazISma Adresi ve PETEK'e eriSim =========================================================================== Elektronik Posta ile bize ulaSmak isteyenler PETEK YayIn Kurulu Uyelerinin yukarIdaki adreslerine ya da aSaGIdaki itumez adresine baSvurabilir. PETEK'e posta ile yazI gOndermek isteyenler iCin yazISma adresimiz aSaGIda verilmiStir: _/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ _/ _/ _/ ISTANBUL TEKNIK UNIVERSITESI _/ _/ <<< Mezunlari Dernegi ~ Alumni Association >>> _/ _/ <<< ULUSLARARASI KURULUSU ~ INTERNATIONAL BRANCH >>> _/ _/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ _/ _/ _/ 235 E. River Dr Suite 1502 ~ Phone / Fax : 203-282-0251 _/ _/ E. Hartford, CT 06108, USA ~ E-mail:
_/ _/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ PETEK'e www ile eriSmek istiyorsanIz: http://www.ece.orst.edu/~ituweb/petek/ adresine bir gOz atmanIzI hararetle tavsiye ediyoruz. AyrIca, Istanbul Teknik Universitesi'nden de http://www.itu.edu.tr/petek.html ile PETEK'e eriSebilirsiniz. PETEK-L tartISma listemize Uye olmak isterseniz
adresine ilk satirinda SUB PETEK-L
komutu bulunan bir e-posta yollamaniz yeterlidir. PETEK dergisinin sayilari ftp.itu.edu.tr adresinde /pub/petek dizinine de yerlestirilecektir. =========================================================================== Icindekiler =========================================================================== --------------------------------------------------------------------------- 1. ITU MezunlarI DerneGi (ITU-MD) TanItIm --------------------------------------------------------------------------- 1.1 ITU-MD TUrkiye Merkezi Yeni YOnetim Kurulu'ndan gelen yazI 1.2 ITU-MD 2. Uluslararasi Genel Kurul Toplantisi Ozeti, G. Ozulkulu 1.3 ITU-MD Subelerinin TanItImI: ABD BatI YOresi (16. BOlge), G. Aral 1.4 ABD BUyUkelCimizin Kaya BUyUkataman'a gOnderdiGi mesaj --------------------------------------------------------------------------- 2. Akademik Dunyadan --------------------------------------------------------------------------- 2.1 Ari Kovani: (Duzenleyen: Meral Demirtas) 2.1.1 Konuk: Prof. Dr. Tuncer Oren 2.1.2 Konuk: Prof. Dr. Ali Erdemir 2.2 ITU'den Haberler: 2.2.1 Istanbul Teknik Universitesi'nin 222. kuruluS yIlI kutlandI 2.2.2 ITU Makina Fakultesinin YurtdIsI Universiteler Ile ISbirliGi CalISma Grubu, Teoman Kurtay 2.2.3 50. OGretim YIlInda ITU Mimarlik Fakultesi, Ilhan Bayraktar --------------------------------------------------------------------------- 3. Bilim ve Teknoloji --------------------------------------------------------------------------- 3.1 Prof. Dr. Ali Erdemir'in buluslari, odulleri ve diger calismalari uzerine roportaj, (Duzenleyen: Meral Demirtas) 3.2 Istanbul'a bir "Bilim ve Teknoloji MUzesi" kazandIrma CalISmalarI 3.3 Bilimde bir baSarI: Prof. Dr. onur gUntUrkUn, A. Krupp OdUlU'nU aldI 3.4 Bilim ve Teknolojide AtIlIm Projesi Uzerine, Harun Taner 3.5 TUBITAK'In PopUler Bilim KitaplarI Uzerine, Harun Taner --------------------------------------------------------------------------- 4. Internet ve Bilgisayar Dunyasindan --------------------------------------------------------------------------- 4.1 ITU Bilgi Islem Altyapisini Yenileme ve Gelistirme Projesi, Hakan Aydin 4.2 Turkiye'de Bilgisayar yazIlImlarI geliStirme uzerine bir haber 4.3 LaTeX, Sinan Gungor 4.4 Internet Evsayfa(lari)mizi Ziyaret Uzerine, Meral Demirtas --------------------------------------------------------------------------- 5. Muhendis Gozuyle --------------------------------------------------------------------------- 5.1 "On Private Power Issues...", Nalan Arsoy-Gainer --------------------------------------------------------------------------- 6. Sosyal Bilimler ve Kultur --------------------------------------------------------------------------- 6.1 Aziz Nesin ve Bilge Karasu Uzerine, (Derleyenler: Harun Taner ve Sibel Demirbas) 6.2 Felsefe Tarihinden Kesitler (1) : Thales, Hakan Aydin 6.3 Muzik Uzerine: (Derleyen: Kaya Buyukataman) 6.3.1 Notes on the Turkish Music 6.3.2 Turkish Music, Esber Koprucu 6.3.3 ITU'de Turk Sanat Muziginin dogusu/tarihcesi, Osman Simav 6.4 I.T.U. Turk Musikisi Devlet Konservatuari'nin (TMDK) Dunu, Bugunu, Yarini, Necati Giray --------------------------------------------------------------------------- 7. Mizah --------------------------------------------------------------------------- 7.1 Ilk sayimizda sorulan bilmecenin yaniti, Sibel Demirbas 7.2. "Varsayalim 20 sene sonra dede oldugumda", Ersin Beyret --------------------------------------------------------------------------- 8. Dilimiz, Deyimlerimiz ve Atasozlerimiz 8.1 TUrk Dil Kurumu'na CaGrI, (Duzenleyen: O. Haldun Unalmis) 8.2 TUrkCe Uzerine, Tuncer Oren 8.3 Bilgisayar Dunyasinda Turkce Terimler, D. Turgay Altilar 8.3.1 SayIn D. Turgay Altilar'In yazIsIna iliskin kIsa bir yorum, O. Haldun Unalmis 8.4 Turkcenin Yetersizligi!, K. Turgut Gursel 8.5 PETEK-L'den Turkce uzerine alintilar, (Duzenleyen: Meral Demirtas) --------------------------------------------------------------------------- 9. Serbest Kose --------------------------------------------------------------------------- 9.1 Nicin Yanlis, Emin Akcaoglu --------------------------------------------------------------------------- 10. Okuyucudan --------------------------------------------------------------------------- 10.1 Okuyucudan gelen mesajlar 10.2 Okurlarimizdan gelen mesajlara yanit 10.3 PETEK Anket Formu --------------------------------------------------------------------------- 11. PETEK YayIn Kurulu Uyeleri 12. PETEK YayIn DanISmanI 13. YazI DeGerlendirme Kurulu Uyeleri 14. PETEK Gonullulerine ve PETEK yazarlarina tesekkur 15. ITU-MD Uyelik Formu --------------------------------------------------------------------------- =========================================================================== =========================================================================== 1. ITU MezunlarI DerneGi (ITU-MD) TanItIm =========================================================================== 1.1 ITU-MD TUrkiye Merkezi Yeni YOnetim Kurulu'ndan gelen yazI 1.2 ITU-MD 2. Uluslararasi Genel Kurul Toplantisi Ozeti, G. Ozulkulu 1.3 ITU-MD Subelerinin TanItImI: ABD BatI YOresi (16. BOlge), G. Aral 1.4 ABD BUyUkelCimizin Kaya BUyUkataman'a gOnderdiGi mesaj =========================================================================== --------------------------------------------------------------------------- 1.1 ITU-MD TUrkiye Merkezi Yeni YOnetim Kurulu'ndan gelen yazI --------------------------------------------------------------------------- PETEK'in ilk sayIsInIn CIktIGI 19 MayIs tarihinden bir gUn sonra elimize geCen ITU MezunlarI DerneGi'nin yazIsInI, aSaGIda, bazI kUCUk dUzeltmelerle sunuyoruz: ITU MezunlarI DerneGi, 09.06.1989 tarihinde yurdumuzun Onde gelen iSadamI, sanayici ve OGretim Uyesi 83 ITU'lU tarafIndan kuruldu. Kurumun YOnetim Kurulu BaSkanlIGI, birinci dOnemde Dr. Y. MUh. Sezai TUrkeS, ikinci dOnemde Prof. ilhan Kayan, UCUncU ve dOrdUncU dOnemlerde Y. MUh. cahit idil tarafIndan yUrUtUlmUStUr. Mevcut YOnetim Kurulu aSaGIdaki Uyelerden oluSmaktadIr: Y. MUh. Remzi YUcebaS : BaSkan Prof. Dr. Mete UnUgOr : 1. BaSkan Vekili Y. MUh. YIlmaz gUngOr : 2. BaSkan Vekili Mimar ilhan BurCoGlu : genel sekreter Y. MUh. ErdoGan Alkan : Muhasip Uye Y. MUh. Mahmut sUtCUoGlu : Uye Y. MUh. Fikret Oncel : Uye Y. MUh. Ersan Bakanay : Uye MUh. Hakan Kuman : Uye MUh. SUkrU OzgUr : Uye Halen 2000 Uyesi olan DerneGin amaClarI, ITU camiasInI bir araya getirmek, mezunlarImIzIn Universite ve OGrencileri ile iliSkilerini geliStirmek, Universitemizin CaGdaS ve en Cok tercih edilen bir eGitim kurumu haline gelmesine katkIda bulunmak, Uyelerini, sosyal, kUltUrel, bilimsel ve mesleki yOnlerden desteklemek Seklinde Ozetlenebilir. KurulduGu gUnden beri, dUzenlediGi konserler, ArI BuluSma geceleri, konferanslar, seminerler, yayInladIGI ITU MezunlarI Dergisi ve BUlten ile ITU camiasInI kaynaStIrma baGlamInda giderek daha bUyUk kitlelerin bir araya gelmesini saGlayan ITU MezunlarI DerneGi, "ArI KovanI" adInI verdiGi sosyal tesisleri projesi ile ITU MezunlarInIn yaSlandIklarI zaman diler- lerse kalabilecekleri ve bUtUn ITU MezunlarInIn kullanabileceGi bir ITU Evi'nin yapImI iCin CalISmalarInI sUrdUrmektedir. Mezunlar DerneGimiz, GUmUSsuyu Mezunlar Merkezi'ni SehiriCi Lokali olarak dUzenlemektedir. Teknik Universitelilik ruhunu yeniden canlandIrmak, kOklU ITU camiasInIn bUtUnleSmesini saGlamak yolunda inanCla CalISan derneGimiz, mezunlarImIza saGlIk ve afiyet diler. Mimar ilhan BurCoGlu (MimarlIk, '81) genel Sekreter DerneGin Adresi: Mezunlar Merkezi inOnU Caddesi 80191 istanbul Tel: 0212-2526363 Fax: 0212-2526364 [Bu yazI, H. Taner tarafIndan aktarIlmIstIr.] ___________________________________________________________________________ Bu yazIda kIsaltmalar dISInda her yerde Su alfabe kullanIlmIStIr: a b c C d e f g G h I i j k l m n o O p r s S t u U v y z A B c C D E F g G H I i J K L M N o O P R s S T u U V Y Z ___________________________________________________________________________ --------------------------------------------------------------------------- 1.2 ITU-MD 2. Uluslararasi Genel Kurul Toplantisi Ozeti --------------------------------------------------------------------------- Istanbul Teknik Universitesi Mezunlari Dernegi 2. Uluslararasi Genel Kurul Toplantisi 20 Mayis 1995 tarihinde gerCekleStirildi. ASaGIda bu toplantInIn bir Ozetini veriyoruz. Ozetleme, ITU-MD Icra Kurulu Uyesi Dr. Gul Ozulkulu tarafIndan yapIlmIStIr. Istanbul Teknik Universitesi Mezunlari Dernegi 20 Mayis 1995, 2. Uluslararasi Genel Kurul Toplantisi Kaya Buyukataman'in acilis konusmasi : - Faaliyet raporu (Petek dergisinin birinci sayisinda yayinlandi) - Uye sayisinin artirilmasi icin yapilan calismalar - E-mail sistemi (Petek dergisinin ilk sayisinin cikisi) - Katalog faaliyeti (Uyelerin ozgecmisi, faaliyetleri) - Tuzukle ilgili calismalari (IRS'le gorusmeler tamamlandi ve Mezunlar dernegi resmen Tax exempt organization) - Voice-mail sistemi tamamlandi. Sn. Mehmet Binal'in yardimlariyla. - 19 Nisan 1995 Istanbul'daki toplantida Cumhurbaskanimiz Sn. Suleyman Demirel seref baskani olmayi kabul ettiler ve kendisine Seref baskanligi plaketi sunuldu. - Mali Sorunlar (Board of Trustee), Yeni BOT baskani Erden Arkan. Makina Fakultesi Dekani Prof. Dr. Nilufer Egrican'in Konusmasi: Turk haftasina katilmaktan gurur duyduklari belirtiler. Daha sonra Teknik Universiteyle ilgili bilgi verdiler. Su anda Isletme Fakultesi'nin Macka binasinda, Mimarlik Fakultesi'nin Taskisla binasinda, Makina Fakultesi'nin Gumussuyu binasinda yer aldigini, diger tum fakultelerin Ayazaga kampusunde bulundugunu soylediler. 2 yil once Cumhurbaskanimiz Sn. Suleyman Demirel ozel fon cikardigini, Gumussuyu Kampusunun yenilendigini, yeni bilgisayarlarin geldigini, E-mail sisteminin kullanildigini sozlerine ekledi. Basta Kaya Buyukataman olmak uzere emegi gecenlere tesekkur ederek konusmasini surdurdu. Amerika ve yurt disi subelerin Turkiye'de ITU'ye cok sey kazandiracagini, mezunlarin desteginin cok onemli oldugunu belirtti. ITU Rektoru Prof. Dr. Resat Baykal'in sevgi ve saygilarini yolladigini belirterek konusmasini bitirdi. Atilla Bektore'nin konusmasi: - Dernek daha kurulus asamasindadir. - Tuzugun resmi mercilere ulasmasi, dernegin duzgun calismasi icin cok onemlidir. - Mektupla haberlesmenin geregi Kaya Buyukataman'in yanit konusmasi: Tuzugun son hali herkese postalanacaktir. Ayrica Kanada grubu ile ilgili bilgi vermislerdir. Kanada'da uyeler uc grup halinde orgutlemislerdir; orta, dogu, ve bati. Toronto'daki uye sayisi 30 civarindadir. Toplanti uyelerin dilek ve dusunceleri dile getirmeleriyle surmustur. Bu dilek ve dusuncelerin kisa ozeti asagidadir. Nalan Arsoy: ITU'nun dunya seviyesinde bir universite olmasi icin calisilmalidir. Yurtdisinda calisanlar nasil ITU'ye yardim edebilir? Her isletmenin kendine ozgu bir bilgi hacmi vardir, bu bilgiler nasil ITU ogrencilerine aktarilabilir. Atilla Bektore: Muhendislik kavraminin uygulanmasinda iki ulke arasinda (Turkiye & Amerika) buyuk farkliliklar var (Kultur, kanunlar gibi). Professional en- gineering kavrami uzerinde de durulmasi gerektigini vurguladi. Halit Kosar: ITU'nun eskiden guclu olmasinin en buyuk nedenlerinden biri yabanci ogretim gorevlileriyle disariya pencerelerini acmasiydi. Endustri ve universite calisanlari Turkiye'de bir donem ders vererek yada bir seminer vererek yardimci olabilirler. Egitim Turkce kalmali. Hasan Albulak (Kanada): Yeniliklerin takip edilebilmesi icin bir yabanci dil cok iyi ogretilmeli, ama okul dili Turkce kalmali. Temel bilgilerin kuvvetli olmasi cok onemli. Dunyada iki turlu bilgi vardir: 1. Teknik bilgiler: ogrenimi zor, ticari degeri az 2. Ticari bilgiler: herkesin bilmedigi, belli degeri olan bilgiler Ogrencilere proje verilmesi cok yararli olabilir. Esref Ozulkulu: ITU'nun gelismesi icin en onemli iki kosuldan biri disariya acilmasi, ikincisi de en iyi ogrenciyi almayi saglanmasidir. Bunun icin iyi bir yabanci dil ogretiminin verilmesi sarttir ancak temel egitim dili Turkce olarak kalmalidir. ITU'nun eksikleri, (ozellikle elektronik fakultesi); arac, gerecler cok eski ve eksik, yeterli degil. Bunlarin saglanmasi disa acilmak gerekli. Disa acilma egitim programinin dogru saptanmasi ve guncelligi acisindan cok onemli. Prof. Dr. Nilufer Egrican: Manevi yardim cok onemli; bilgi aktarimi ve oneriler parasal yardimdan daha onemli. Amacimiz cagdas bir muhendis yetistirmek; ulke icin muhendis yetistirmek yetersiz. Makina Fakultesi icinde bes yeni calisma grubu kuruldu. Planlama calisma grubu, Yurtdisi universite ve endustrilerle iliski kurma calisma grubu, Proje calisma grubu, Fiziksel sartlarin duzeltilmesiyle ilgili calisma grubu. Bir calisma grubu da burada kurulabilir. Amaclarimiz: Mufredati yenilemek; en yenisi 2-3 yillik. Ogretim uyelerinin tesvik edilmesi; disa acilmalari, yurt disinda calismalara katilmalari, yurt disindan partner bulunmasi. AT'de cok cesitli projeler var. Egitim dili Turkce olmali, en azindan bir yabanci dil. Su anda 10 kredilik ders Ingilizce olarak alinabiliyor, ingilizce terimlere aliskanlik saglamak amaciyla. Lisans ve Ust lisans egitiminin basinda hazirlik sinifi var, su anki kapasite %30. bunu %80-90' a cikarmak. 50. Yil Etkinlikleri (1945 Makina Fakultesinin kurulusu) : Paneller, konusmalar, %0.Yil Ormani, atik kagit kampanyasi, ogrencilerle mezunlarin tanismasi, toplam 4 gunluk degisik calismalar. Kaya Buyukataman: Yurt disinda mezunlar derneginin orgutlenmesiyle ilgili bilgiler ve ozetler: - Amerika: Butun Guruplar, calisma ve Aktiviteleri. - Asya: (Japonya, Hong-Kong, Avustralya, Saudi Arabistan) - Avrupa: en aktif Ingiltere, Almanya ikinci ama basabas, Benelux cok yeni - Kanada: orta, dogu, ve bati. en aktif orta kanada. orta ve dogu birlesecek. - "KISKA" SIRKETINE VE "ERDEN ARKANA" PLAKETLER, ITU-KITAP KAMPANYASINA Yardimlari - En aktif bolge baskanlarina, Komite baskanlarina Plaket verilmesi - Uyeligini devam ettiren Kurucu uyeler icin "KURUCU UYE" Plaketi dagitimi - "ARI" seviyesinin dernege esi az bulunur hizmette bulunan uyelere taninmasi - "SEREF" seviyesinin dernege ve Universiteye esi az bulunur hizmette bulunanlara verilmesi Sn. Prof. Dr. Nilufer Egrican'a plaket verilmesiyle toplanti sona ermistir. ****** ****** ***** ****** -- Toplantiyi takiben ITU-MD delegeleri , Turk Amerikan Dernekleri Federasyonunun organize etmis oldugu Turk haftasi senliklerine ve yurusune katilmislardir. Yuruyusde ITU-MD'ye en on sirada seref yeri verilmisdir, ITU-Mezunlari Dernegi pankartlari ve ITU bayraklari ile gune degisik ve istenen guzel bir cephe getirmislerdir. Senliklere Takriben 40000 civarinda Turk ve cesitli organizasyonlar, folklor ekipleri, ve bandolar katilmisdir. Yuruyus sonrasi senliklerinden sonra Manhattan'In tam ortasinda bir gokdelenin ustunde kurulmus olan, sahane manzarali Roof Klubda KISKA Sirketinin yardimlari ile duzenlenen ARI Gecesi baslamisdir, Newyorkda yapilan ilk ARI gecesi Nedim Katki Orketrasi, ve Newyorkun en meshur Turk ahcilarinin hazirladigi tatli surprizlerle dolu idi. Katilanlarin arasinda, Newyorkun taninmis simalari, kisileri, ve disisleri bakanligi temsilcileri de yer almakda idi. Dort bir koseden gelen ITU mezunlari Unutulmaz bir ARI gecesi gecirdiler, Roof kulubde ayni zamanda Turk Artistlerinin resimleri, ve secme turk sarablari dernek yararina acik arttirma ile satildi. SENEYE BULUSMAK UZERE - ARI GECELERINIZ BOL OLSUN --------------------------------------------------------------------------- 1.3 ITU-MD Subelerinin TanItImI: ABD BatI YOresi (16. BOlge) --------------------------------------------------------------------------- ITU Mezunlari DerneGi etkinlik bOlgelerinden biri de Amerika Birlesik Devletlerinin Bati yOresi, U.S. Western Region #16. Dernek ilk olusurken kendimizi Istanbul'a dolayisi ile ITU'ye en uzak yOre, ve bir anlamda OncU/"Pioneer" olarak gOrUrken, Hawaii'den Cengiz Ertekin dostumuzun sesiyle bu ayricalik sevdamiz pek kIsa sUrdU... 16'ncI bOlge, Arizona, Kaliforniya, Nevada ve Oregon eyaletlerini kapsiyor. DiGer yOrelerimizde de olduGu gibi, genellikle Universiteler dernek Uyelerimizin odak noktasi. AyrIca, Kaliforniya ve Oregon'da Cok sayida ITU mezunu profesyonel arkadasimiz var. Bilhassa Kaliforniya, bUyUk ekonomisi ve ileri teknolojisi ile, Cok sayIda mezunumuza IS olanaklarI saGlamIS bir eyalet. Entegre devre teknolojisinin beSiGi UnlU Silicon Valley burada. Lockheed-Martin gibi, Northrop gibi bUyUk uCak sanayii kuruluslari burada. Dev insaat sirketi Bechtel burada,... Dernek olarak CeSitli vesileler ile toplandIkCa aramIzda bu teknoloji Onderi Sirketlerde ilerlemiS arkadaSlarImIzI gormek Cok gurur verici oluyor. Berkeley, Nevada gibi Universiteler de genC mezunlarImIzI Lisans UstU ve Doktora programlarI ile Cekiyorlar. Oregon'da, sayIn Prof Cetin Kaya KoC'un onderliGi ile derneGimiz Cok saGlam bir nUve olusturdu ve bilgisayar ileti olanaklari saGladI. Kuzey Kaliforniya'da, dostum Dr. Ahmet KarakasoGlu devamlI gUleryUzU ve neSesi ile bu yoredeki meslekdaslarImIzI (ITU'den olsun veya olmasIn) oGle ve aksam yemeklerinde bir araya getiriyor. Silikon Vadisi'nin hIzlI ve bunaltIcI CalIsma temposu iCinde "KIbrIslI Donerci" de yenen bir dOner ve iCilen ayran, deGiS-tokuS edilen kart vizitler ve hafta sonu nerede futbol oynanacaGInIn tartIsIlmasI, iSten bunalmIs zihinleri anInda aCIyor. Los Angeles Cevresinde Mehmet Mustafa Eker (Univ. of Southern California) ve San Diego Cevresinde Kadri SalavatCIoGlu (70 mezunu ve sInIf arkadasIm) birlikteliGimizi pekistirmek iCin CalIsIyorlar. Arizona'da Arif Nesimi KIlIC bUyUk bir dinamizm ile bir mezunlar aGI oluSturuyor. Nevada'da, bilhassa istatistik konusunda oldukCa gUClU iki Universite var Reno ve Las Vegas'da. Ancak, orgUtlenmeyi gerektirecek sayIda bir yoGunluGumuz olmadIGI anlasIlIyor burlarda. UmarIm ileride deGiSir. ABD BatI yakasInda ITU-MD'yi TUrkiye'den gelmis bUtUn profesyonel arkadaslarImIz iCin -ITU'lU olsun veya olmasIn- bIr CatI, bir oncU olarak gorUyorum. AramIzdakI ODTU'lU, BU'lU, BILKENTli vs. arkadaslarImIz da toplantIlarImIza, yemeklerimize ayni birliktenlige katIlIyorlar. Elbette bir Kitap BaGIs kampanyasInIn ITU ve ITU oGrencileri iCin ne kadar elzem olduGunu en iyi ITU mezunlarI iClerinde hissediyor. Elbette, sInIf arkadasIm sayIn Prof Dr. NilUfer Egrican ITU Makina FakUltesi'ndeki yeni ve yoGun girisimlerini anlattIGI zaman en bUyUk heyecanI ITU'lU hissediyor. ICinden gelmis kisiler olarak bu hususlarIn ITU ve simdiki OGrencileri iCin onemini bizler- eskiler- daha derinden kavrIyoruz, hiC SUphesiz. BOyle olmasI elbette doGal ve gUzel. Gurcan Aral (Makina '70) MSME (ITU) MSEE (Stanford) Ph.D. (Stanford) ITU-MD President/Western Region California, Oregon, Nevada, Ariz. [email protected] Work: 408-653-0416, Home: 408-973-0576 --------------------------------------------------------------------------- 1.4 ABD BUyUkelCimizin Kaya BUyUkataman'a gOnderdiGi mesaj --------------------------------------------------------------------------- >Date: Wed, 9 Aug 95 The Alumni Association of Istanbul Teknik Universitesi 235 E River Dr. Suite 1502 E Hartford, CT 06108 USA Dear Mr. Buyukataman I am pleased to learn that Turkey, home to do world's greatest histor- ical sites, cultural exhibits and tourism destinations, now has yet another place to visit -- the new home site of the Alumni Association of Istanbul Teknik Universitesi --, which is now open on Internet. As everyone today is only a few keystrokes away from accessing a wide spectrum of information, it is imperative for Turkey to be part of this new era and the ITU Alumni association's efforts in this regard should not be under estimated. I believe that the ITU Alumni's site will be a noteworthy compliment to the other Turkish sites on Internet in providing objective and up-to date information to those who interested in turkey. I thank all members of the ITU Alumni Association -- ambassadors at large if you will -- for working with us in promoting our beautiful country. Nuzhet Kandemir Ambassador of Turkey to the U.S., and Honorary Member of ITU Alumni Association =========================================================================== =========================================================================== 2. Akademik Dunyadan =========================================================================== 2.1 Ari Kovani: (Duzenleyen: Meral Demirtas) 2.1.1 Konuk: Prof. Dr. Tuncer Oren 2.1.2 Konuk: Prof. Dr. Ali Erdemir 2.2 ITU'den Haberler: 2.2.1 Istanbul Teknik Universitesi'nin 222. kuruluS yIlI kutlandI 2.2.2 ITU Makina Fakultesinin YurtdIsI Universiteler Ile ISbirliGi CalISma Grubu, Teoman Kurtay 2.2.3 50. OGretim YIlInda ITU Mimarlik Fakultesi, Ilhan Bayraktar ============================================================================ ---------------------------------------------------------------------------- 2.1 Ari Kovani ---------------------------------------------------------------------------- ---------------------------------------------------------------------------- 2.1.1 Konuk: Prof. Dr. Tuncer Oren ---------------------------------------------------------------------------- PETEK'in ilk sayisini cikardigimiz gunleri takiben 24 Mayis 1995'te, Prof. Dr. Tuncer Oren'den dergimiz ve calismalarimiz hakkinda goruslerini ifade eden bir ileti aldik. Bunun uzerine kendisiyle yazismalarimiz basladi. Hocamizi "Ari Kovani" bolumumuze davet ettik. Meral Demirtas'in hocamizla yapmis oldugu Internet roportajini sizlere bazi duzenlemelerle iletiyoruz. - Prof. Dr. Oren: Bu yazIda, bUyUk ve kUCUK harfler iCin her yerde, Su alfabe kullanIlmIStIr: a b c C d e f g G h I i j k l m n o O p r s S t u U v y z A B c C D E F g G H I i J K L M N o O P R s S T u U V Y Z Meral, Petek'in 2.ci sayIsInda "ArI KovanI" kOSesinde beni konuk etmek istediGizi, 9 Haziran tarihli e-postanIzda OGrendiGimde Cok mutlu oldum. Ancak kendimi tanItan bir yazI hazIrlamanIn gUClUGU Once caydIrIcI olmadI dersem yalan olur. insanIn CeSitli kiSilerce nasIl algIlandIGI, kendisini ne zannettiGi, ne olmak istediGi, ve ne olduGu o kadar ayrI Seyler ki. Ben size kendimi nasIl gOrdUGUmUn bir kesitini vereyim. Pirandello'nun bir kitabInIn adInda olduGu gibi: "Size NasIl Geliyorsa, Oyledir (Cosi e, se vi pare). ASaGIdaki yazIyI lUtfen istediGin gibi kIsalt. - M. Demirtas: Yazmaktan caymayip, ricamizi yerine getirmeniz bizler icin mutluluk verici oldu. Yazinizda kisaltma gerektiren bir durum yok. Bir iki duzenleme ile, Once hayatinizdaki onemli tarihleri, ardindan akademik calismalarinizi ozetleyen kismi veriyorum. Ikinci kisimda da diger konular uzerine olan soylesimiz yer alacak. Tarihlerle Tuncer Oren: ---------------------- - 1935'te Istanbul'da doGmuSum. - 1955'te (Galatasaray) lisesinden - 1960'da ITU Makina FakUltesinden mezuniyet - 1963-67 arasI IBM TUrk Sirketinde Sistem uzmanI olarak CalISma - 1970'de Arizona Universitesi (Tucson, Arizona) Sistem MUhendisliGinden doktora. - 1970 den beri, Kanada'nIn baSkentindeki Ottawa Universitesinde Bilgisayar Bilimi ProfesOrU olarak CalISma. - 1971'de, kIzlIk soyadI "Petek" olan, eSim FUsun'la Ottawa'da evleniSimiz - 1972 kIzIm sebnem'in doGumu - 1991 KUltUr BakanlIGImIzdan "Bilgi CaGI OdUlU" ile onurlandIrIlmam Biraz istatistik: ---------------- - YayIn sayIsi: ~ 280 - Konferans ve seminerlere katkI: 20 kadar Ulkede 170 kadar konferans ve seminerde direkt etkinlik. (1995-97 dOneminde, 15 kadar uluslararasI konferansIn organizasyon komitelerinde Uyelik veya konferans veya program baSkanlIGI. 1997 EylUlUnde Singapur'da yapIlacak, 20 kadar ulusal, bOlgesel, ve uluslararasI kuruluSun iSbirliGi ile gerCekleSecek, ve 21 paralel konferansI iCerecek olan DUnya 1.ci Benzetim Kongresinin genel program baSkanI). - Kitap ve dergilerin yayIn kurullarInda Uyelik: 7 - OzyaSam OykUmUn yer aldIGI Kim Kimdir yayInlarI (1990'larda): 11(Who's Who in Science and Engineering, Who's Who in Engineering, Who's Who in the World, Most Admired Men and Women of the Year,ve Men of Achievement, gibi). - Aktif tez OGrencilerim: 18 Akademik ilgi alanlarIm UCe ayrIlabilir: --------------------------------------- - Yapay zekanIn model kurma ve benzetime uygulamalarI - Yapay zekanIn yazIlIm mUhendisliGine uygulamalarI - Nitelik gUvencesi (model kurma, benzetim, yazIlIm mUhendisliGi, ve uzman dizgelerde) ilk iki konu Su alt konularI iCermekte: - Bilgisayar destekli problem COzme Cevreleri - Zeki ajanlar - Program anlama dizgeleri - Program belgeleme dizgeleri - Nesneye yOnelik program (C++) anlama ve sInama Cevreleri - M. Demirtas: PETEK'te baslatmakta oldugumuz yeni bir faaliyet daha var. Bilimadamlarimizin yurtdicindeki/yurtdisindaki calismalariyla tanitmak. Su siralar cok mesgul oldugunuzu biliyoruz. Eger vaktiniz olursa, ilerde PETEK'te bu konudaki yazilariniza da yer vermek isteriz. - Prof. Dr. Oren: Memnuniyetle; zamani gelince. - M. Demirtas: Hocam, genelde ITU'lulerin pek kulturel ve sosyal yonleri olmadigi soylenir. Muhendislerin de bu yonler vardir diyorum, siz ne dersiniz? Bu konularda da epeyce yonlu bir kisi oldugunuzu dusunuyorum. KUltUr kOkenim Cok yOnlU: ------------------------- - Mizah, hoSgOrU ve insalcIl yOnUm, ayrIca doGa'yI ve YaratanI hayranlIkla sevmem, Nasrettin Hoca, Aziz Nesin, KaracaoGlan, Yunus Emre, ve Mevlana gibi ortak deGerlerimizden. - Bir bilim insanI olarak kartezyen dUSUnceye yatkInlIGIm, lisede Descartes'In fikirlerinin temellerini OGrenmiS olma SansIma baGlI olabilir. insancIl felsefeye yatkInlIGIm, ortaokul sIralarInda Montaigne'i tanImamla baSlar. - Gaye'ye yOnelik ve pragmatik oluSum, 1967'den beri kuzey Amerika'da oluSuma ve daha Once TUrkiye'de iken bir ABD Sirketinde beS yIl CalISmIS olmama baGlanabilir. AyrIca, ingilizce, fransIzca, italyanca, ispanyolca, ve almanca ile aSinalIGIm ve yirmi beS kadar Ulkede bulunmuS olma SansImdan dolayI, uzak doGu, batI ve doGu Avrupa ve Akdeniz kUltUrlerinin bir kIsmI da kUltUr mozayiGimi oluSturmakta; yirmiye yakIn kUltUrU yaSamIS olan Anadolu kUltUrUmUz gibi. - M. Demirtas: Kultur yonunuz gercekten de epeyce var. Peki, zevkleriniz nedir, neleri okumaktan hoslanirsiniz, neleri seversiniz vs. seklindeki sorularimi da ekleyip, soru yagmurumu bitiriyorum. - Prof. Dr. Oren: Zevk iCin yaptIklarIm: BaSta mesleki uGraSIlarIm. AyrIca okumak, seyahat etmek, mUze dolaSmak, ve fotograf Cekmek. Meslek dISInda okuduklarIm: deneme, Siir, uygarlIk ve teknoloji tarihleri, ve kUltUrlerin sosyal dinamiGi. AyrIca, ortaokulda baSlayan sOzlUk okuma zevk ve alISkanlIGIm hala sUregelmekte. KitaplIGImdaki 300 kadar sOzlUGUn 100 kadarI TUrkCe. Sevdiklerim? gUzel ve iyi herSey: DoGa ve yaSamIn Siiri. Ozellikle, ana dilimiz, TUrk kUltUrUmUz, mizah yOnU, hoSgOrUsU ve iCtenliGi ile TUrk insanI, ve her dil, din, ve Irk'tan dostlarIm. BUtUn ITU'lUlere sevgi ve selamlarImla. ITU'lU olmaktan gurur duyduGumu bilmenizi isterim. Tuncer Oren (Makina '60), ([email protected]) ITU-MD Uyesi, Kanada - M. Demirtas: Davetimizi kabul ettiginiz ve icten yanitlarinizla bu yaziyi hazirlamamizda katkida bulundugunuz icin arkadaslarim adina tesekkurlerimizi sunarim. Aciklama: Sayin Oren ile Turkce uzerine yapmis oldugumuz yazismamizi da "Dilimiz, Deyimlerimi ve Atasozlerimiz" [8] numarali bolumde sunuyoruz. --------------------------------------------------------------------------- 2.1.2 Konuk: Prof. Dr. Ali Erdemir --------------------------------------------------------------------------- "Ari Kovani" kosemizin bir diger konugu da Prof. Dr. Ali Erdemir. Sizlere hocamizi calismalariyla birlikte tanitmaya calisacagiz. Once kendisi hakkinda Hurriyet gazetesinde cikan haberi sunuyoruz. Ardindan, Meral Demirtas'in Internet ortaminda Prof. Erdemir ile yapmis oldugu roportaji iki bolum halinde verecegiz. Ilk bolum, Prof. Erdemir'in kendisini tanitmaya yonelik. Sayin hocamizin calismalari hakkinda detaylari iceren roportajin ikinci kismini da "Bilim ve Teknoloji" bolumumuzde sunmaktayiz. 2.1.2.1 TUrk bilimcinin bUyUk baSarIsI Bilimcimiz Prof. Dr. Ali Erdemir'in yeni buluSu olan "PUrUzsUz Elmas Kaplama" projesi, 150 bilimadamInIn projesi arasInda birinci seCildi ve 20 milyar lira ile OdUllendirildi. 1992 yIlInda, Ulkemizde Cok bulunan boraks madeninin, makine yaGlama teknolojisi Ozelliklerini keSfedip, sUrtUnme ve aSInmayI en etkin bir Sekilde azaltan buluSu ile de dUnyada 100 bilimadamI arasIna giren Prof. Dr. Erdemir'in yeni buluSu 150 proje arasInda birinci seCildi. ElmasIn kaplamalarda pUrUzsUz olmasInI baSaran Erdemir, sanayide kullanIlan kesici aletlerin elmas ile kaplandIGInda kullanIlma OmrUnUn 20 kat fazla olduGunu belirtti. YaklaSIk 12 yIldIr Amerika'da yaSayan ve 1987 yIlIndan beri Amerika'nIn en bUyUk ulusal araStIrma laboratuarI olan Argonne Institute'da CalISmalarIna devam eden Prof. Dr. Erdemir, istanbul Teknik Universitesi Maden FakUltesi mezunu. 2600 kilometrekarelik bir alanda kurulu olan Argonne LaboratuarI'nIn yIllIk iSletme bUtCesi yaklaSIk yarIm milyar dolar. 5 bin kiSinin CalIStIGI merkezde, 1800 bilimadamI araStIrma yapIyor. Prof. Dr. Ali Erdemir mezuniyetiyle birlikte kendini bilime adamIS bir insan. Madencilik, seramik ve yaG teknolojisi Uzerine Amerika, Avrupa ve Japonya'da 10 bilimsel toplantI baSkanlIGInI baSarI ile yapan ve madencilik Uzerine prestij sahibi olan Erdemir, ayrIca CeSitli dergilerde 100'den fazla yazI da yayInlamIS. ABD Enerji BakanlIGI, saGlIk BakanlIGI, NASA ve benzeri 11 kuruluSta danISmanlIk yapan Prof. Dr. Ali Erdemir OnUmUzdeki yIllarda TUrkiye'de CalISmak istiyor. [15 ocak 1995 gUnlU HUrriyet Gazetesi'nden aktaran H. Taner] --------------------------------------------------------------------------- 2.1.2.2 Prof. Dr. Ali Erdemir ile yaptigimiz roportajin ilk bolumu: --------------------------------------------------------------------------- Sayin hocamiz ile yapmis oldugumuz `e-mail' yazismalarinin ozetini kapsayan yazimizi asagida karsilikli diyalog seklinde sunuyoruz. - M. Demirtas: Merhabalar Ali bey, sizi calismalarinizla birlikte PETEK okuyucularina tanitmak istiyoruz. Bu konuda bizlere yardimci olacaginizi umut ediyoruz. Yanitlariniz Turkce veya yabanci dilde olabilir, ancak yabanci dilde yazilan yazilar icin Turkce bir ozet rica ettigimizi de ayrica belirteyim. Tesekkurler. - Prof. Dr. A. Erdemir: Memnuniyetle, ancak yarin tatile cikmak uzereyim. Simdilik kendimi tanitan yaziyi gonderiyorum. Tatil donusumde sizlere yardimci olmaya devam ederim. Hosca kalin. Brief Resume: ------------ Dr. Erdemir is a staff scientist in the Energy Technology Division at Argonne National Laboratory. He received a B.S. degree in Metallurgy from Istanbul Technical University in 1977, and M.S. and Ph.D. degrees in Mate- rials Engineering from the Georgia Institute of Technology, Atlanta, Georgia, in 1982 and 1986, respectively. He joined Argonne National Labora- tory in 1987 as a principal investigator in the Tribology Section. He has had a distinguished career in the development and application of advanced materials, coatings, and lubricants to current and future transportation sy stems including adiabatic diesels and gas turbine engines. Some of his more significant accomplishments include the development of boric acid as anovel lubricant for high-performance applications, solid and liquid lubricants for advanced engines, silver as a lubricant on ceramic engine parts, and high-temperature lubricious oxides for turbine engine applications. Lately, he has been very active in the development and testing of smooth diamond films on machining tools and wear parts. This joint project was selected as #1 among many submitted to US-DOE for funding. In recognition of his creative research and several discoveries, Dr. Erdemir has received a number of honors and professional awards, including the Al Sonntag award of the Society of Tribologists and Lubrication Engi- neers in 1992, the Exceptional Performance Award of Argonne National Labo- ratory in 1992, the R&D 100 Award of Research & Development Magazine in 1991, an Argonne Certificate of Achievement in 1991, and the National Research Service Award of the National Institute of Health in 1986. He is listed in Who's Who in Science and Engineering in America (Marquis 2nd Edition). He has authored more than 60 refereed papers in the fields of friction, wear, and lubrication. He has one US patent and holds memberships in such engineering and honour societies as: * American Society of Mechanical Engineers * Society of Tribologists and Lubrication Engineers * ASM-International * The Metallurgical Society * Sigma-Xi Honor Society * American Vacuum Society * Georgia Tech Alumni * ATAA * ITU Mezunlari Dernegi Dr. Erdemir has given several invited talks at international conferences, organized technical sessions, and served in numerous national and interna- tional panels and task groups including the following: * Member, STLE Annual Meeting Program Committee, since 1992. * U.S. National Representative, VAMAS-TWA-I (Versaille Project on Advanced Materials and Standards)-Wear Test Methods Technical Working Area-I, since 1992. * Member, Advisory Committee, Center for Advanced Tribology, Western Michigan University, since 1994. * Associate Editor, Tribology Transactions, Since 1994. * Vice Chair, Solid Lubricants Technical Committee, Society of Tribologists and Lubrication Engineers, 1993. * Member, NSF Panel on Surface Engineering and Tribology Program, 1994. * Members, NSF Panels on Young Investigator Award and Research Initiation Grants, 1992. * Member, Space and Naval Warfare Systems Command, (SPAWAR), Guidance and Evaluation Panel for IR&D Projects, 1990-1993. * Member, Review Panel, DOE Program on Advanced Tribology, University of Maine, 1995 * Member, MS Thesis Committee of Asu Alp, Department of Mechanical Engineering, Illinois Institute of Technology, Chicago, IL, 1990. * Technical Consultant, United Nations Development Organization, New York, Advanced Ceramics Project, TUBITAK-Marmara Research and Development Center, Turkey, 1990. * Vice Chairman, Solid Lubricants Technical Committee, Society of Tribologists and Lubrication Engineers, 1992-1995. * Chairman, Solid Lubricants Technical Committee, Society of Tribologists and Lubrication Engineers, since May 1995. * Associate Member, Research Committee on Tribology, ASME, since May 1995. He maintains close contacts with various universities in Turkey (ITU, ODTU, Sakarya University, Gazi University) and research centers (TUBITAK-Marmara) to promote their international activities including technology transfer, staff exchange and training, and consulting needs. Dr. Erdemir is married and has two sons, Altan (12) and Kenan (8). Prof. Dr. Ali Erdemir (Metalurji '77) ([email protected]) ITU-MD Uyesi, ABD Argonne National Laboratory Phone: (708) 357-8184 (home) Energy Technology Division Phone: (708) 252-6571 (work) Argonne, Il 60439 Fax: (708) 252-4798 (work) ---------------------------------------------------------------------------- 2.2 ITU'den Haberler ---------------------------------------------------------------------------- ---------------------------------------------------------------------------- 2.2.1 Istanbul Teknik Universitesi'nin 222. kuruluS yIlI kutlandI ---------------------------------------------------------------------------- Istanbul Teknik Universitesi'nin 222. kuruluS yIldOnUmU 2 Haziran 1995 gUnU tOrenle kutlandI. TOren sIrasInda mUhendislikte 50 ve 40 yIlInI dolduran mezunlarImIza anI plaketleri takdim edildi. ITU RektOrU Prof. Dr. ReSat Baykal'In tOrende yaptIGI konuSmayI aSaGIda sizlere sunuyoruz: DeGerli Teknik Universiteliler, uzun ve parlak bir geCmiSi olan Universitemiz, teknoloji konusunda sUrekli eGitim, OGretim ve araStIrma yapan 222 yIllIk en eski yUksekOGretim kurumudur. ITU TUrkiye'nin ilk teknik OGretim kurumu olmasInIn yanInda, teknolojinin pek Cok alanInda Ulkemizdeki ilk Ornekleri vermiStir: ilk televizyon yayInI, ilk stereo FM radyo yayInI, ilk digital bilgisayar, eGitim ve araStIrma amaClI ilk nUkleer reaktOr, ilk rUzgar tUneli, ilk gemi model deney laboratuvarI, ilk teknoloji geliStirme merkezi bu kapsamda sayIlabilecek ITU'nUn cumhuriyet dOnemindeki Onemli teknolojik uygulamalarIdIr. 21. yUzyIla bilgi toplumu olarak girmede Universitelere bUyUk gOrev ve sorumluluklar dUSmektedir. Ancak sadece Universitelerin CaGIn gereklerine gOre gayret ve yeniden yapIlanma CalISmalarI baSarI iCin yeterli deGildir. YapIlmasI gereken ilkokuldan baSlayan ve Universiteyi de iCine alan kOklU bir eGitim reformudur. TUrk ulusu iCin Cok Onemli olan bu CalISmanIn yetkili uzmanlara hUkUmetCe yaptIrIlarak en kIsa zamanda uygulamaya konmasI gerekir. ITU TUrkCe olarak sUrdUrdUGU kaliteli eGitimin yanInda, her mezununa baSta ingilizce olmak Uzere en az bir yabancI dili iyi bir Sekilde OGretmek iCin bUyUk bir atIlIm iCine girmiStir. Evvela lisansUstU eGitimi kIsmen ingilizce yaparak baSlattIGI CalISma, ingilizce Destekli OGretim adIyla lisans OGretimine de yansItIlmIS, her yIl 1500 OGrenciye bir yIllIk hazIrlIk sInIflarInda ingilizce OGretilmektedir. Bu amaCla MaCka'daki eski Maden FakUltesi binamIz restore edilerek sadece yabancI dil eGitimi yapan birimimize tahsis edilmiStir. YUksek teknoloji CaGInda Universite ve Universite sonrasI eGitim Cok Onem kazanmaktadIr. Bu eGitimi sadece devletten saGlanan kaynaklara dayalI olarak sUrdUrmek her geCen yIl daha gUCleSmekte, yeterli ve gerCekCi olmamaktadIr. Bunun bilincinde olarak, kamu olanaklarI dISInda kaynaklar yaratarak geliSme saGlanacaGI inancI ile gayret ve CalISmalarImIzIn bUyUk bir bOlUmUnU bu doGrultuda yaptIGImIz planlamalarI gerCekleStirmek iCin harcamaktayIz. Su ana kadarki uygulamalarImIz doGru ve gerCekCi bir yolda olduGumuzu gOstermektedir. Universite harClarInI gerCekCi miktarlarda belirlemek, burs olanaklarI yaratmak, yurt iCi ve yurt dISI araStIrma projelerine aGIrlIk vermek, Universite-sanayi iliSkilerini geliStirmek ve deGerli mezunlarImIza ulaSarak yeni kaynaklar yaratIp daha gerCekCi adImlarla ilerlemeyi arzuladIGImIz boyutlara ulaStIracaGIz. Ulkemizin ve dUnyanIn her yerinde baSarIlI iSler yapan sizler gibi seCkin mezunlarImIza programlI ve gerCekCi bir Sekilde ulaSabildiGimizde, kurumumuza destek ve yardImlarInIzI esirgemeyeceGinize yUrekten inanmaktayIm. Universitemizin 222. kuruluS yIlInI kutladIGImIz bu anlamlI tOrende; meslekte 50 ve 40 yIlInI tamamlayan 1945 ve 1955 yIlI mezunlarImIzla, Universitemizde 40 ve 30 yIl gOrev yapan OGretim elemanI ve personelle birlikte olmanIn mutluluGunu yaSarken, Ulkemize deGerli hizmetler vermiS abla, aGabey ve kardeSlerime Universitemizin anI plaketlerini sunmaktan sevinC ve onur duyduGumu belirtir, nice mutlu yIldOnUmleri dileGi ile hepinize saygIlarImI sunarken aramIzdan ayrIlanlarI saygI ve rahmetle anIyorum. Prof. Dr. ReSat Baykal ITU RektOrU ["ITU'nun 222. YIlI" adlI kitaptan, H. Taner tarafIndan aktarIlmIStIr.] --------------------------------------------------------------------------- 2.2.2 ITU Makina Fakultesinin YurtdIsI Universiteler Ile ISbirliGi CalISma Grubu --------------------------------------------------------------------------- DeGerli Petek OkuyucularI, Elektronik Petek dergisinin 19 Mayis 1995'te cIkan ilk sayIsInI bUyUk bir coSku ve zevkle okudum. BaSarilarindan dolayi Petek Yayin kurulunu candan kutlarIm. YakIn zamanlarda geliSmeye baSlayan Internet sistemini ve elektronik haberleSme teknolojisini ITU Mezunlar Dernegi'mizin boylesine olumlu , akIlcI ve etkin kullanmaya baSlamasI bana gurur ve heyecan verdi. Bu olay bence TUrk zekasInIn ve CaGa uyma yeteneGinin aCIk bir delilidir ve Dunya Uzerine daGIlmis TUrk varlIGInIn gerCek deGerinin ve gUcUnUn anlaSIlmasIna bUyUk katkI yapacaktIr. Petek dergisinin ilk sayIsI, TUrkiye Cumhuriyetinin Kurucusu Mustafa Kemal ATATURK'Un KurtuluS SavaSImIzI baSlatmak Uzere Samsun'a CiktiGi gUnUn 76. yIldOnUmUnde yayInlanmIStIr; bu olaya ayrI bir anlam katmaktadir. AtatUrk'umuzun Turk toplumu icin iSaret ettiGi CaGdaS uygarlIk dUzeyine ulaSma hedefi Simdi daha yakIndir. Bende Cok olumlu duygular uyandIran, adeta yaSama ve CaliSma Sevkimi arttiran Petek dergisinin hazIrlanIsInda ve ortaya cIkarIlISInda emeGi geCen ve katkIsI olan herkese burada birkez daha teSekkUr etmek istiyorum. Cok iyi bir iS baSardInIz. SaG olun var olun. Bu yazIda Ozellikle ITU Makina FakUltesinde baSlatIlan olumlu bir CaliSmayi aCIklamak istiyorum.1994-1995 akademik yIlI baSInda Makina FakUltesi DekanI seCilen Prof.Dr. NilUfer EGrican'In gOrUSleri doGrultusunda FakUlte YOnetim Kurulumuz , fakUltemizin geliSmesini hIzlandIracak CalISma gruplarI oluSturdu. Bunlardan biri benim de iCinde gOrevli olduGum 'YurtdISI Universiteler Ile ISbirliGi CalISma Grubu '. Bu CalISma grubunun amacInI kIsaca FakUltemiz ile yurtdISIndaki Universite, ArastIrma KurumlarI ve diGer benzeri KuruluSlar arasInda ; fakUlte oGretim Uyeleri ile yurtdiSIndaki OGretim Uyeleri ve konusunda uzman kiSiler arasinda daha yakin iSbirliGi imkanlarini araStirmak ve geliStirmek olarak Ozetleyebiliriz. Bu iSbirliGi CerCevesinde , mesela ortak arastirma projeleri oluSturulabilir; Doktora, Yuksek Lisans, kIsa sUreli sertifika programlarI dUzenlenebilir; ortak kongre, sempozyum, seminer vekonferanslar organize edilebilir; Yaz okullarI aCIlabilir; karSIlIklI oGretim Uyesi ve OGrenci deGiSim programlarI planlanabilir. CaliSma Grubumuz , yukarIda sOzU edilen konularda bilgi gOrUS ve Oneri toplamakta ve On hazIrlIklar yapmaktadIr. Istanbul'da bUyUk sanayicilere yakIn olan ITU Makina FakUltesi, batI bilim ve teknolojisi ile TUrk sanayicileri arasinda rahatlikla bir kOprU gorevi Ustlenebilir. FakUltemiz bu gorevi Ustlenmeye hazIrdIr. BatI Universitelerinde ve sanayiinde gOrev alan meslektaSlarImIzI batI bilim ve teknolojisi iCinde TUrk beyin gUcUnUn temsilcisi kabul ediyoruz. OnlarIn bOyle bir iSbirliGi icin hayata geCirilebilecek bilgi, gOrUS ve Onerilerini ve de etkin katkIlarInI bekliyoruz; bunu esirgemeyeceklerine inanIyoruz. CalISma Grubumuz ile ilgili haber ve bilgileri Petek dergimizin gelecek sayilarinda da duyurmaya devam edeceGiz. Bizimle baGlantI kurmak isteyen meslektaSlarImIz aSaGIda verilen posta ve `e-mail' yazisma adreslerimizi kullanabilirler. ISbirliGi CaliSmalarImIza katIlacak ve katkIda bulunacak tUm meslektaSlarImIza simdiden teSekkUrlerimi sunarIm. Sevgi ve saygIlarImla... Prof.Dr. Teoman KURTAY (Makina '59), ([email protected]) ITU-MD Uyesi, Istanbul ITU Makina Fakultesi 80191 Gumussuyu-ISTANBUL Tel:212-2931300-2499 Fax:212-2450795 --------------------------------------------------------------------------- 2.2.3 50. OGretim YIlInda ITU Mimarlik Fakultesi --------------------------------------------------------------------------- DeGerli Petek okuyucularI ; Ilk sayImIzda olduGu gibi bu sayImIzda da ITU'nUn gUzide fakUltelerinden biri olan ve 1994-1995 yIlInda 50. OGretim YIlInI kutlayan MimarlIk FakUltesi'ni sayIn Prof. Dr. Mete UNUGUR'un de yardImlarI sayesinde elimden geldiGince sizlere tanItmaya CalISacaGIm. ITU MIMARLIK FAKULTESI 1944 yIlInda kabul edilen Universiteler YasasI uyarInca, Yuksek Muhendis Mektebi'nin, Istanbul Teknik Universitesi olarak yeniden yapIlanmasI ile, Muhendislik Mektebi Mimari Subesi de, MimarlIk FakUltesi olarak akademik kimliGine kavuSmuS ve bu kimliGi ile ilk Ogretim yIlInI 1944-1945 dOneminde gerCekleStirmiStir. FakUlte oluSunun hemen ardIndan, Ord. Prof.Dr. Emin Onat'In giriSimleri ile Universitemize tahsis edilen ve bir eGitim binasI iSlevine gOre onarIlarak, 1949-1950 Ogretim yIlI baSInda, bugUn artIk MimarlIk FakUltesi ile OzdeSleSmiS ve onun simgesi konumundaki TaSkISla binasIna taSInmasI, FakUlte tarihinde Onemli bir dOnUm noktasIdIr. Bu dOnemlerde inSaat ve Gemi InSaat FakUltelerinin de AyazaGa KampUsUne geCmeleri ile yalnIzca MimarlIk FakUltesi binasI olmuStur. Denebilir ki; tarihi ve mimari OzelliGi ile TaSkISla binasI, iCinde 40 yIlI aSkIn zamandIr eGitim veren MimarlIk FakUltesi bugUn artIk birbiri ile bUtUnleSerek Istanbul'un tarih ve kUltUr simgesi haline gelmiStir. BinanIn 1985 yIlInda, otel yapIlmak Uzere bir Ozel Sirkete tahsisi, bu tahsisin iptali iCin FakUlte Ogretim Uyelerinin yUrUttUkleri ve kazanIlan hukuk mUcadelesi de, FakUlte tarihinin UzUcU, ancak kIvanC verici olaylarIndandIr. Bu mUcadele yIllarI sUresince onarIm ve bakIm OdeneklerI kesilen ve yIllarca bakImsIz ve onarImsIz bIrakIlan bina, hukuksal mUcadelenIn kazanIlmasIyla 1993 yIlIndan itibaren, yeniden saGlanan Odeneklerle, onarIlmaya ve o yIllarIn tahribatIndan hIzla kurtulmaya yOnelmis ve CumhurbaSkanImIz SayIn SUleyman Demirel'in emir ve direktifleri ile TaSkISla'nIn ITU MimarlIk FakUltesi'ne tahsisi birkez daha tescil edilmiStir. MimarlIk FakUltesi EGitim OGretim Kadrosu: MimarlIk FakUltesi I--------------------------I-------------------------------I MimarlIk Sehir ve Bolge PlanlamasI EndUstri UrUnleri BOlUmU BOlUmU TasarImI BOlUmU I I I Bina Bilgisi ABD Sehircilik ABD EndUstri UrUnleri YapI Bigisi ABD BOlge PlanlamasI ABD TasarImI ABD FakUlte'nin 50. Ogretim yIlInda MimarlIk BOlUmU, Sehir ve Bolge PlanlamasI BOlUmU ve EndUstri UrUnleri TasarImI BOlUmU'nde, toplam 1596 lisans OGrencisi Fen Bilimleri ve Sosyal Bilimler EnstitUlerinde toplam 730 YUksek Lisans ve Doktora OGrencisi OGrenim gOrmektedir. FakUlte'de 106 Ogretim uyesi ve 87 araStIrma gOrevlisi, ayrIca 50 idari ve teknik personel gOrev yapmaktadIr. Laboratuvar ve AraStIrma OlanaklarI ITU MimarlIk FakUltesi BUnyesinde ; -YapI Malzemeleri LaboratuvarI -Fiziksel Cevre KontrolU LaboratuvarI -MimarlIk Bilimleri LaboratuvarI -CAD LaboratuvarI -CAM LaboratuvarI -GIS (Geografic Information System) LaboratuvarI bulunuyor.Bu laboratuvarlarda, yapI elemanlarInIn yapIsal performanslarInIn olCUlmesi, iklimlendirme, gUneSlenme, aydInlatma, gUrUltU kontrolU-akustik, ergonomi, antropometri, fonksiyon analizleri, yOneylem analizleri, mimari psikoloji, bilgisayar destekli tasarIm, bilgisayar destekli yOnetim, bina maliyeti analizi, proje yOnetimi, iS akISI, (PERT-CMP) analizleri, coGrafi bilgi enformasyon sistemleri konularInda araStIrmalar yUrUtUlUyor. Bu baGlamda Devlet Planlama TeSkilatI, TUBITAK,ITU AraStIrma Fonu, Toplu Konut Idaresi destekli Cok sayIda bilimsel araStIrmanIn yanIsIra ITU Doner Sermaye ISletmeleri kapsamInda inceleme, araStIrma, etUd ve proje CalISmalarI devam etmektedir. Bilimsel Ve KUltUrel Etkinlikler: ITU MimarlIk FakUltesi'nin son birkaC yIlda yapIlan bilimsel-sosyal ve kUltUrel etkinlikler listesine baktIGImIzda kendimizi Cok boyutlu bir kUltUr odaGInIn iCinde bulmamIz mUmkUn.Tarihi TaSkISla binasI salonlarInda, koridorlarInda dersliklerinde, neredeyse her gUn dUzenlenen bir baSka etkinlikte Istanbul'un bilim ve kUltUr simgesi olmayI fazlasIyla hakediyor. Bu tarihi mekanda gerCekleStirilen ve buraya sIGdIrmamIn mUmkUn olmadIGI sayIsIz etkinlik var. Bunlardan birinin mUjdesini Simdiden vermek istiyorum: MimarlIk FakUltesi 1996 yIlInda BirleSmiS Milletler Insan YerleSmeleri Habitat II. KoferansI etkinliklerinden bir bOlUmUne ev sahipliGi yapacaktIr. Ilhan Bayraktar (Makina '95) ([email protected]) Gumussuyu, Istanbul ([email protected]) =========================================================================== =========================================================================== 3. Bilim ve Teknoloji =========================================================================== 3.1 Prof. Dr. Ali Erdemir'in buluslari, odulleri ve diger calismalari uzerine roportaj, (Duzenleyen: Meral Demirtas) 3.2 Istanbul'a bir "Bilim ve Teknoloji MUzesi" kazandIrma CalISmalarI 3.3 Bilimde bir baSarI: Prof. Dr. onur gUntUrkUn, A. Krupp OdUlU'nU aldI 3.4 Bilim ve Teknolojide AtIlIm Projesi Uzerine, Harun Taner 3.5 TUBITAK'In PopUler Bilim KitaplarI Uzerine, Harun Taner =========================================================================== --------------------------------------------------------------------------- 3.1 Prof. Dr. Ali Erdemir'in buluslari, odulleri ve diger calismalari uzerine roportaj --------------------------------------------------------------------------- "Ari Kovani" kosemizde konuk ettigimiz Prof. Dr. A. Erdemir'i, bu bolumumuzde de bilimsel ve teknik calismalariyla tanitiyoruz. Kendisiyle yapmis oldugumuz `e-mail' yazismalarinin ozetini kapsayan yazimizi asagida karsilikli diyalog seklinde sunuyoruz: - M. Demirtas: Prof.Dr. A. Erdemir, ya da Bati universitelerindeki bir tarzla Dr. Erdemir, oncelikle yanitiniz icin tesekkurler. Kendinizi tanitan yazinizi ilgiyle okuduk ve diger bolumumuzde yayimlanmak icin arkadaslara ilettik. Size bazi sorular yonelterek calismalariniz hakkinda okuyucularimiza detayli bilgi vermeyi amacladik. $u siralar tatilde oldugunuzu yapmis oldugunuz aciklamadan biliyoruz. Tatil donusunuzde bize asagidaki sorularimiz uzerinde yardimci olursaniz memnun oluruz. Bu konuda ekleyecekleriniz olursa lutfen belirtiniz. Tesekkurler. 1. Odul aldiginiz calismalariniz hakkinda bilgi verir misiniz? Ayrica, bu calismalarinizda degindiginiz konular uzerinde Turkiye'deki durum nedir? 2. Su anda surdurmekte oldugunuz calismalariniz nelerdir? 3. Turkiye'deki universite ve diger bilimsel arastirma kurumlariyla yaptiginiz calismalar var mi, bu konuda bilgi verir misiniz? - Dr. Erdemir: Meral Hanim, Merhabalar ve benim calismalarima gosterdiginiz ilgi icin de tesekkurler. Tatilden dondum ve asagidaki satirlari ivedi bir sekilde hazirladim. Bilmiyorum oldu mu? Kendimi biraz fazla reklam ettigim veya ovdugum kanisindayim. Lutfen gerekli gordudunuz duzeltmeleri yapmaktan cekinmeyiniz. Boyle bir seyi ilk defa yazmam istendigi icin, nasil bir for- mat takip edecegimi pek tayin edemedim. - M. Demirtas: Turkcemizdeki deyimle ayaginizin tozuyla tatil donusu bizim ricamizi yerine getirdiginiz icin tesekkurler. Yazinizi kendinizi ovdugunuz seklinde degil, yaptiginiz calismalarin icerigini ve bunlarin odullendirilmelerini ozetlemissiniz seklinde yorumluyorum. Sorularima yanit verdiginiz kisimlarda bir iki duzenleme yapip, okuyucularimizin ilgisine ve bilgisine sunacagim. - Dr. Erdemir: Sorularinizla ilgili yazima gecmeden once, sunlari demek isterim: Bir ITU'lu olmaktan gercekten gururluyum. Asagida dile getirmeye calistigim basarilarimi orada aldigim temel egitime, onunda otesinde ITU'luluk ruhuna borclu oldugumu her zaman gururla itiraf etmisimdir. --------------------------------------------------------------------------- I. Researches, Awards and Honors: My work at Argonne National Laboratory focuses on the development of new materials and lubricants to combat wear and friction. This kind of research is needed because the estimated annual cost of material and energy losses due to wear and inadequate lubrication is approximately $100 billion in the USA alone. Substantial savings in energy can be attained if more wear re- sistant materials and better lubricants are developed. Accordingly, I con- centrated on the development of superhard coatings (such as diamond) on metals and ceramics to minimize wear and on the development of novel and better lubricants to reduce friction and increase efficiency on moving mechanical systems. R&D 100 Award in 1991 was presented to recognize my discovery of a self- replenishing boric acid lubricant. I demonstrated that during tests in open air this new solid lubricant could provide sliding surfaces with friction coefficients as low as 0.02 to 0.07. These friction coefficients are four to six times lower than those provided by current lubricants. This new lubricant forms through a spontaneous reaction in open air. Specifically, when exposed to open air at room temperature, boric oxide reacts with envi- ronmental moisture; the reaction product is a thin film of boric acid that provides very low friction. If machine surfaces are coated with a layer of boric oxide, they can enjoy very low friction and extended lifetimes. Through in-depth studies and modelling, I found that the unusual self- lubricating mechanism of boric acid is governed by its unique crystal structure. Specifically, boric acid crystallizes as a layered structure in which the atoms in each crystalline layer are closely packed and strongly bonded to each other. In fact, each layer can be regarded as a rigid, two- dimensional sheet of strongly bonded atoms. Note that this crystal struc- ture is similar to those of molybdenum disulfide, graphite, and hexagonal boron nitride. When the atomic layers of boric acid are present on the sliding surfaces of machinery, they shear and/or slide over one another with relative ease (because of weak bonding between the atomic sheets), thus providing low friction. Moreover, strong interatomic bonding and ri- gidity in each layer prevent direct contact between sliding machine parts, so wear damage is minimized or prevented. Some of the nice things about boric acid are: it is inexpensive, abundant, and environmentally safe. It occurs naturally (known as sassolite by mineralogists) and can be recovered from minerals such as colemanite and borax. Turkey has one of the largest deposits of these minerals in the world. The Al Sonntag Award of the Soci- ety of Tribologists and Lubrication Engineers was given in 1992 to recog- nize my contributions to the field of lubrication science and technology, and for my extensive work on the crystal chemistry and selflubricating mechanisms of boric acid. Exceptional Performance Award of Argonne National Laboratory in 1992 was presented to recognize the outstanding research performance and notable discoveries as recognized by professional societies and project monitors within the US Department of Energy. In particular, research activities ad- vancing the ceramic engine concepts were cited as being major contributors to this award. Certificate of Achievement of Argonne National Laboratory was presented to recognize the notable contributions made to the research and development missions of Argonne. The National Research Service Award of the National Institue of Health ($30,000) was presented to support my research work on biomedical materi- als, surface coatings and modification. US Patent #5,431,830: Lubrication From Mixture of Boric Acid With Oils and Greases. This invention is about a new oil additive that can substantially increase the antifriction and antiwear capabilities of existing oils and greases used to lubricate automotive engine parts and other moving mechanical assemblies. It can reduce friction up to 80% and wear by 50 to 90% (depending on concentration and application conditions) below the levels feasible with existing motor oils and competing products. Reduced friction translates directly into higher fuel efficiency and better egine performance, while less wear results in longer lifetimes and lower maintenance costs. The outstanding antifriction and antiwear properties of this new additive are due to the super-slippery, ultra-fine boric acid particles (0.5 to 1um in size) that it contains in colloidal form. These tiny particles can eas- ily penetrate into the tight clearances between sliding engine parts. Once entrained, the particles are then mechanically smeared and chemically bonded to the surfaces in the form of a super-slippery, protective boundary layer. The principal application of this oil additive is in the lubrication of car and truck engines and other types of moving mechanical devices. Because of the lower friction and wear, fuel efficiency is better and engine performance is higher. Other kinds of moving machine parts, such as ball bearings, gearboxes, compressors, mechanical seals, transmissions, and various pump systems can also benefit through increased durability, longevity, efficiency, and smoothness. A US company has already acquired the exclusive licensing rights for this invention and will introduce a commercial product called "Cybron" in the near future. Our country is one of the richest in the world in terms of boric acid re- sources. This invention may have some positive impact on the volume of boric acid being exported from Turkey. It can also increase the strategic value of this mineral. Unfortunately, there has not been any interest or activity directed toward this invention from public and/or private sectors in Turkey. II. Other Research Activities: My research on new materials and coatings is currently directed toward the development of superhard diamond and diamondlike coatings. In particular, with a group of other scientists I am currently trying to develop and test very smooth diamond films on cutting tool inserts. These coatings can also virtually eliminate the wear of machine parts. When applied to metal cut- ting and forming tools, they can increase their lifetimes by factors of 10 to 20 times. This is rather remarkable, because such an improvement in tool life can directly impact productivity, hence profitability. One of the other challenging projects that I am working on currently involves the de- velopment of new solid lubricants that can work at very high temperatures, 600 - 900oC. III. Interactions with Universities and Research Centers in Turkey: In the Metallurgical Engineering Department of the Faculty of Chemical and Metallurgical Engineering of Istanbul Technical University, a Research Cen- ter is currently being established to focus on surface engineering. As an old graduate (1977) of this department and a close friend of the current faculty, I am providing technical assistance and guidance in terms of instrumentation and research directions. I recently gave a seminar at ITU. When completed, this modern research center will open a new chapter on a high-technology research field that spans from microelectronics to advanced manufacturing. It'll also enhance the technology base supporting Turkish automotive industry. These are the high-technology research areas that are essential for technical and scientific excellence. I plan on spending two weeks this fall at ITU to provide further assistance and guidance to their research activities. Similar contacts and collaboration have continued with the TUBITAK-Marmara Research Center, Gebze since 1990. I spent a month in Gebze in 1991 to pro- vide guidance and assistance for their research activities on advanced ce- ramics and composite materials. This class of materials is considered key and enabling engineering materials for advanced industrial and military ap- plications. They are manufactured and used extensively in the west, but un- fortunately, not in Turkey. Cooperation/collaboration with Sakarya University included site visits, seminar, and donation of various publications and technical journals. In the area of staff exchange/training, I sponsored an Assistant Professor from this University to come and work with me at Argonne. He is currently working with me to increase his experimental skills and scientific knowledge. Contacts and collaborations with Gazi University and METU have been limited to technical site visits, discussions, and contribution of technical publications. Turkce Ozet: ----------- Benim Argonne laboratuarindaki calismalarim baslica iki onemli konuya yoneliktir. Birincisi, asinmaya dayanikli yeni malzeme ve sert kaplama turlerinin gelistirilmesi; ikincisi de, surtunmeyi kolaylastiracak veya surtunmeden dogan enerji kaybini azaltici yeni yag cesitlerinin gelistirilmesi ile ilgilidir. Borik asidin yaglayici niteliginin kesfi ile, birkac tane onemli odul kazanip, bir de patent sahibi oldum. Su anki calismalarim daha cok elmas ve elmasa benzer sert kaplamalarla ilgilidir. Bu kaplamalar cok sert ve asinmaya cok mukavim olmalari dolayisiyle, kesici veya delici takim aletlerinin uzerlerine kaplandiginda onlarin omrunu 10-20 defa uzatabilecek bir kapasiteye sahiptir ve boyle bir gelismenin teknolojik onemi cok buyuktur. Turkiye'deki universiteler ve arastirma kuruluslariyle yakin iliskiler icindeyim. Iliskiler, daha cok seminer verme, bilimsel ve teknik konularda bilgi alis-verisi, kitap ve dergi yardimi, ve bilim adami yetistirilmesi ve egitimi duzeyinde devam etmektedir. --------------------------------------------------------------------------- - M. Demirtas: Bu yazinin duzenlenmesinde bizlere yardimci oldugunuz icin tesekkur eder, sevgi ve selamlarimizi sunariz. - Dr. Erdemir: Ben de sizlere tesekkur ederim, ilginiz icin. Sizlere basarilar dilerim. Selamlar. --------------------------------------------------------------------------- 3.2 Istanbul'a bir "Bilim ve Teknoloji MUzesi" kazandIrma CalISmalarI --------------------------------------------------------------------------- "iS, eGitim ve bilim dUnyasIndan bir grup, Istanbul'a CaGdaS bir bilim mUzesi kazandIrmak amacIyla bir vakIf kurma giriSimindeler. selim AlguadiS, izzettin silier, serif Kaynar, ReSat Baykal, KazIm CeCen'in OncUlUk ettikleri bu giriSime Prof. Dr. Tosun TerzioGlu ve TUBITAK da destek verenler arasInda. VakfIn amacI, Istanbul'a bilimin, tekniGin, doGanIn CaGdaS boyutlarIyla sergilendiGi ve hemen her yaStan kiSinin ilgisini Cekebilecek bir bilim mUzesi kazandIrmak. Istanbul'un bir bilim kentine kavuSmasInI, uygarlIGImIz boyunca tas Uzerine taS koyarak bilim kUltUrUnU yaratan, oluSturan ve buna hayatlarInI adayan bilim adamlarIna, teknik adamlarIna, doGa adamlarIna bir gOnUl ve insanlIk borcunu kIsmen de olsa Odeyeceklerine inanan VakIf'In kurucularI, herkesi VakIf'a kurucu Uye olmaya, aktif katIlma ve maddi manevi bakImdan sUrekli destek vermeye CaGIrIyorlar." TUBITAK Bilim ve Teknik, Nisan 1995, 329, S. 91 TUBITAK Bilim ve Teknik dergisinin AGustos 1995 tarihli 333. sayIsInIn dUnyadaki baSlIca bilim mUzelerini (Alman MUzesi, La Villette MUzesi, ontario Bilim Merkezi, Londra Bilim MUzesi) tanItan bOlUmUnde (sayfa 19'da) Su satIrlar yer almaktadIr: "...sayIlarI ikiyUzU aSan kuruluS ve kiSinin katIlImIyla kurulan Istanbul Bilim, Teknoloji ve EndUstri Merkezi VakfI'nIn temel amaClarIndan biri, bilim mUzesi ya da bilimkent oluSturmaktadIr. KuruluS aSamasInI neredeyse bitiren vakfIn Ulke kaynaklarIndan yararlanarak bir bilim mUzesi oluSturmada baSarIlI olmasI durumunda, Ulkemizde bu konuda olumlu bir adIm atIlmIS olacaktIr..." [Aktaran: H. Taner] --------------------------------------------------------------------------- 3.3 Bilimde bir baSarI: Prof. Dr. onur gUntUrkUn, A. Krupp OdUlU'nU aldI --------------------------------------------------------------------------- Almanya'nIn en Onemli bilim OdUllerinden Alfried Krupp OdUlU'ne bu yIl Prof. Dr. onur gUntUrkUn layIk gOrUldU. Bochum-Ruhr Universitesi Biopsi- koloji BOlUmU BaSkanI olan 36 yaSIndaki gUntUrkUn 47 ayrI Universiteden belirlenen 64 ayrI aday arasIndan seCildi. GenC OGretim gOrevlilerini teSvik etmek amacIyla oluSturulan OdUl tutarI 850.000 Mark. (yaklaSIk 27 milyar 200 milyon Lira) Halen CalISmalarInI aGIrlIklI olarak beyin fonksiyonlarI Uzerinde sUrdUren Prof. gUntUrkUn, bu CerCevede molekUler biyoloji ile OGrenme ve davranIS araStIrmalarI yapIyor. [15 Temmuz 1995 gUnlU Anadolu AjansI kaynaklI haberi aktaran: H. Taner] --------------------------------------------------------------------------- 3.4 Bilim ve Teknolojide AtIlIm Projesi Uzerine --------------------------------------------------------------------------- TUrkiye Bilimsel ve Teknik AraStIrma Kurumu (TUBITAK) tarafIndan kIsa adIyla "Bilim ve Teknolojide AtIlIm Projesi" raporu Nisan ayInda yayIm- landI. [1] 24 Subat 1995 tarihli rapor, TUBITAK BaSkanI Prof. Dr. Tosun TerzioGlu, Eski sanayi ve Ticaret BakanlIGI MUsteSarI AkIn CakmakCI, ITU RektOr YardImcIsI Prof. Dr. gUlsUn saGlamer, ODTU RektOr YardImcIsI Prof. Dr. TUrker gUrkan, TUrkiye Teknoloji geliStirme VakfI (TTGV) genel sekreteri Prof. Dr. Metin ger, ArCelik AraStIrma geliStirme MUdUrU Refik Ureyen, ASELSAN genel MUdUr YardImcIsI Dr. Mahmut Karadeniz, ODTU RektOrU Prof. Dr. sUha sevUk, NETAS genel MUdUrU Tanju Argun, DIE'nden Hande Keser ve BU MUhendislik FakUltesi'nden Prof. Dr. gUndUz ulusoy'dan oluSan bir kurulca hazIrlandI. TUBITAK'nun hazIrladIGI iki belgeyi (AralIk 1994 tarihli "VII. BeS YIllIk Plan stratejisinin Ana Ekseni TUrkiye'nin Bilim ve Teknoloji YeteneGinin ArttIrIlmasI olmalIdIr" ve ocak 1995 tarihli "TUBITAK'In EGitim ve OGretim Reformu Konusundaki YaklaSIm CerCevesi ve gOrUSleri") temel alan raporda, TUrkiye'nin bilim ve teknolojide atIlIm yapabilmesine somut zemin hazIrlayacak yedi Ureysel (jenerik) etkinlik alanI saptanmakta ve Onerilmektedir. Bu etkinlik alanlarI aSaGIda sIralanmIStIr: * TUrkiye'yi geleceGin enformatik toplumuna taSIyacak olan 'ulusal Enformasyon Sebekesi' ile bu Sebeke Uzerinden sunulabilecek 'Telematik Hizmetler AGInIn' kurulmasI; * uluslarasI arenada rekabet UstUnlUGU kazanmanIn olmazsa olmaz koSulu haline gelen, Esnek Uretim/Esnek otomasyon Teknolojilerine Ulke sanayiinin uyarlanmasI; * Demiryolu sisteminin HIzlI Tren Teknolojileri BazInda Yenilenmesi ve SehiriCi ulaSImda RaylI sistemlerin geliStirilmesi; * uzay ve HavacIlIk sanayileriyle savunma sanayiinde, Alan ve UrUn seCiminin itmesine DayalI bir sInai YatIrIm ve geliSme stratejisi izlenmesi; * gen MUhendisliGi ve Biyoteknolojide AR+GE Uzerinde odaklanma; GAP v.b. Projeleri Baz Alan ACIlImlar; * Cevre Dostu Teknolojiler, Enerji Tasarrufu saGlayIcI Teknolojiler ve Cevre Dostu Enerji Teknolojileri Uzerine odaklanma ve uygulama Alan- larInI Ulke CapInda HIzla geliStirip/geniSletme; * ileri Malzeme Teknolojilerinde, DiGer AtIlIm AlanlarInI Destekleyici YOnde AR+GE ve UzantIsIndaki sInai YatIrImlar. Bu somut atIlIm zeminlerinin TUrkiye'nin bilimde atIlIm yapabilmesinin de dinamiGini oluSturacaGI ifade edilmekte ve atIlIm iCin ana doGrultunun "Bilimsel AraStIrma YeteneGini geniSletme ve DerinleStirme" olduGu vurgulanmaktadIr. YukarIda sayIlan yedi Ureysel etkinlik alanI ayrIntIlarI ile irdelenmekte ve bu alanlardaki somut projelerin seCimi yapIldIktan ve buna iliSkin baGlayIcI kararlar alIndIktan sonra bu projeler iCin bir "bilim ve teknoloji yeteneGini geliStirme atIlImInI yOnlendirecek bUtUnsel bir politikanIn izlenmesi gereGi" dile getirilmektedir. Bu bUtUnsel politikanIn ana bileSenleri olarak yirmi farklI altpolitika sayIlmaktadIr: 1. Devletin kISa/orta/uzun vadeli satInalma politikasI, 2. YaSam kalitesini yUkseltmeye, uluslararasI norm ve standartlarI yerleStirip, yaygInlaStIrmaya yOnelik, dUzenleyici politikalar, 3. Beyin gUcU ve finansman kaynaklarInIn yOnetimine iliSkin politikalar, 4. AR+GE'nin Ozendirilmesine iliSkin politikalar, 5. sosyal bilimler alanIndaki araStIrmalarIn da desteklenmesine iliSkin politikalar, 6. AR+GE aGInIn geliStirilmesine iliSkin politikalar, 7. Bilgi bankalarInIn, arSivlerin, kUtUphanelerin oluSumuna; verecekleri hizmete; bilgiye eriSim olanaklarInIn yaygInlaStIrIlmasIna; bilgiye eriSim ve edinme hakkInIn, iletiSim hakkInIn geniSletilerek tanInmasIna iliSkin politikalar, 8. giriSimciliGin ve yaratIcIlIGIn Ozendirilmesine iliSkin politikalar, 9. EGitim ve OGretim alanIna, Ozellikle de eGitim ve OGretimde dUnya kalitesinin saGlanmasIna iliSkin politikalar, 10. HizmetiCi eGitime, eGitimin sUrekliliGine, teknolojinin saGladIGI olanaklardan yararlanmanIn kitleselleStirilmesine iliSkin politikalar, 11. Burs-destek sistemlerine iliSkin politikalar, 12. Universite-sanayi iSbirliGinin desteklenmesine ve kurumsallaStIrIl- masIna iliSkin politikalar, 13. Bilim, teknoloji, mUhendislik alanlarIna yOnelik ulusal akreditasyon ve sertifikasyon kurum ve kurallarIna; kalite ve standartlar konusuna ve kurumsal yapInIn CaGIn gereklerini yerine getirecek biCimde yeniden dUzenlenmesine iliSkin politikalar, 14. Bilim ve teknolojideki atIlImIn OnUnU aCacak hukuki mevzuatIn (fikri mUlkiyet haklarInIn korunmasI, bilgi gUvenliGinin saGlanmasI v.b.) yeniden dUzenlenmesine iliSkin politikalar, 15. YabancI yatIrImlarIn ve yabancI yatIrIm ortaklIklarInIn TUrkiye'deki faaliyetlerinin AR+GE faaliyetini de kapsar hale gelmesini ve bu tUr yeni yatIrImlarIn AR+GE birimlerini de iCerecek biCimde yapIlmasInI saGlamaya yOnelik, dUzenleyici politikalar, 16. off-setlerden ve SSM fonlarIndan yararlanmayI dUzenleyici politikalar, 17. Teknoloji envanterinin CIkarIlmasIna ve envanterdeki deGiSimin sUrekli izlenerek gUncel hale getirilebilmesine iliSkin politikalar, 18. TUrkiye'ye teknoloji transferine iliSkin politikalar, 19. KUCUk ve orta OlCekli iSletmelerin teknoloji yeteneGini yUkseltmeye yOnelik politikalar, 20. Teknoloji geliStirme bOlgelerine iliSkin politikalar. Raporda, Onerilen atIlIm stratejisini destekleyecek yukarIda sayIlan politikalar arasIndaki bUtUnselliGi ve ulusal dUzlemde eSgUdUmU saGlayacak bilim ve teknoloji yOnetimine iliSkin yapInIn nasIl oluSturulabileceGi de sergilenmektedir: Bilim ve Teknoloji YUksek Kurulu'na iSlerlik kazandIrIlmasI, TBMM'nde bilim ve teknoloji Uzerine sUrekli bir komisyonun oluSturulmasI, TUBITAK, TUBA ve TTGV'nIn yeni iSlevlerle donatIlmasI,..., Enformatik-Telematik alanInda Ozerk bir kurumun kurulmasI (YazarIn notu: TUrkiye Enformatik (ya da BiliSim) Kurumu), bir ulusal Kalite Konseyi ve ulusal Akreditasyon Konseyi gibi oluSumlara ait yasal dUzenlemelerin bir an Once yapIlmasI, TUrkiye Atom Enerjisi Kurumu'nun (TAEK) TUBITAK'na denk bir statUye getirilerek araStIrmayI destekler bir niteliGe kavuSturulmasI. "Bilim ve Teknolojide AtIlIm" baSlIklI yazIda [3] rapor ayrIntIlarIyla aCIklanIrken, bilim ve teknolojimizin bazI "iCaCIcI" rakamlarIna yer verilmekte ve bazI olumlu geliSmelerin altI Cizilmektedir: * TUrkiye'de bugUn sadece 200 Ozel kuruluS AR+GE yapmaktadIr. 1 Haziran 1995 gUnU Resmi gazete'de yayImlanarak yUrUrlUGe giren, kamu kaynaklarIndan sanayiye AR+GE yardImI verilmesine iliSkin tebliG Onemli bir geliSme olarak gOsterilmektedir. AR+GE desteGinin saGlanmasInda TUBITAK ve TTGV etkin rol UstlenmiSlerdir. * 1994 yIlInda TUrkiye'den yalnIzca 200 patent baSvurusu olmuStur. Patent yasasI ise TBMM'nde ha CIktI, ha CIkacak. * Ulkemizin 5 teknoparkI vardIr, bunlardan UCU orta dUzeyde iSlemektedir; ikisi ise henUz hayata geCirilememiStir. "TUrkiye iCin AtIlIm Projesi" baSlIklI yazIsInda [4], Prof. sankur, raporda Onerilen yedi Ureysel teknolojiden biri (ve ilki!) olan biliSim teknolojisi Uzerinde durmaktadIr. BiliSimin, tele-eGlence, tele-pazarlama, tele-alISveriS, tele-konferans, tele-yayIncIlIk, tele-Uretim, tele-tIp, tele-kUtUphane, tele-mUze,... gibi tele- OntakIsIna sahip teknolojilerin tUmUnU iCerdiGini yazmaktadIr. Buradaki tele- OntakIsI, bilginin elektronik araClarla yaratIlmasInI, iSlenmesini, tUketilmesini, katma deGerlere yOnelik olarak yeniden harmanlanmasInI, depolanmasInI, pazarlanmasInI ve sonuCta bilginin yOnetimini ve taSInmasInI gOstermektedir. YazIda, yoGunteker (CD) gibi CoGulortamlI teknolojilerin, biliSimin toplumca daha kolay benimsenmesini hIzlandIrabileceGi de belirtilmektedir. Prof. sankur, yazIsInda, ayrIca, raporda betimlenen atIlImlarIn ancak Ozerk (yapIda) bir TUrk insanInca yapIlabileceGini, bOyle bir insanIn "yaratIlmasInIn" da Cok yOnlU eGitim ve OGretimle baSarIlabileceGini vurgulamaktadIr. cumhuriyet gazetesi Bilim ve Teknik Eki YayIn YOnetmeni orhan BursalI, raporun ve TUBITAK'nun bilim ve teknolojide, stratejik dUSUnceler ve bunlarIn somut uygulamalarIna ait yaptIGI CalISmalarIn siyasi partilerde ve devlet kademelerinde ne derece yankI bulduGunun bilinmediGini yazIyor. [2] Devletin, siyasi partilerin, bilim Cevrelerinin, endUstrinin ve toplumun bu rapora gereken Onemi verdiGini umarak, ve yazarlarIn vurguladIklarI "Uretilen bilim politikalarInIn hayata geCirilmesinde siyasi karar eksik- liGi" sorununa gelecek beS yIlda COzUm bulunacaGInI varsayarak, rapordan Su cUmlelerle yazIyI bitiriyorum: "Oyle gOzUkmektedir ki, 21. yUzyIl DOnemeci, yarInIn enformasyon toplumlarIyla, TUrkiye gibi henUz sanayileSme eSiGini aSamamIS Ulkeler arasIndaki yol ayrImInI da belirleyecektir. TUrkiye bu dOnemeCte yeterince gecikmiStir; gelinen nokta, bir seCim yapabilmek iCin geriye saymanIn baSladIGI noktadIr." Harun Taner (Gemi inSaatI '88) ([email protected]) ITU-MD Uyesi, Almanya ___________________________________________________________________________ Harun Taner | Tel. : + 49 30 31425899 Technische Universitaet Berlin | Fax : + 49 30 31426883 ISM, Sekr.SG-10, Salzufer 17-19 | E-mail : [email protected] D-10587 Berlin Deutschland | http://cadence.fb12.tu-berlin.de/~taner ___________________________________________________________________________ Kaynaklar: 1. "YUksek Planlama Kurulu'nca VII. BeS YIllIk Plan DOneminde Oncelikle Ele AlInmasI OngOrUlen Temel YapIsal DeGiSim Projeleri KapsamIndaki Bilim ve Teknolojide AtIlIm Projesi CalISma Komitesi Raporu", Ankara, Nisan 1995, Ekleriyle birlikte 68 sayfa. 2. orhan BursalI, "Bilim ve Teknolojide AtIlIm Projesi", Bilim Teknik Eki, cumhuriyet gazetesi, 13 MayIs 1995, 425, S. 3. 3. Yaprak Renda, "Bilim ve Teknolojide AtIlIm", TUBITAK Bilim ve Teknik, Temmuz 1995, 332, 52-55. 4. BUlent sankur, "TUrkiye iCin AtIlIm Projesi", TUBITAK Bilim ve Teknik, Temmuz 1995, 332, 54-55. --------------------------------------------------------------------------- 3.5 TUBITAK'In PopUler Bilim KitaplarI Uzerine --------------------------------------------------------------------------- TUBITAK'In 1993 yIlIndan bu yana yayImladIGI popUler bilim kitaplarInIn sayIsI 14'U buldu. Mahlan B. Hoagland'In "HayatIn KOkleri" ile baSlayan dizide en son "Modern CaG Oncesi Fizik" yayImlandI. FiyatlarI 50000 ile 200000 Lira arasInda deGiSen kitaplardan bazIlarI 7. BaskIya ulaStIlar. Burada, Nisan 1995'te ilk TUrkce baskIsI yapIlan James L Adams'In "Bir MUhendisin DUnyasI" adlI kitabInI yazarIn kendisinin aGzIndan tanItmak istiyorum: "... 25 yIl Once CalIStIGIm bir uCak ve uzay gemisi Sirketini, ara sIra ziyaret ediyorum. MUhendislerin kullandIGI aletler, -OrneGin, hesaplama ve simUlasyon iCin kullanIlan bilgisayar yazIlImlarI- malzeme ve parCalar kesinlikle deGiSmiS. Keza mUhendisler de UrUnleri daha gUvenilir, daha verimli ve daha ustaca yapma konusunda pek Cok yeni Sey OGrenmiSler. Ama problemlerin ayrIntIlI Ozellikleri ve bunlarI COzmeye yOnelik yaklaSImlar neredeyse hiC deGiSmemiS. BUyUk bir dikkatle tasarlanan ve Uretilen mekanizmalar hAlA baSarIsIzlIGa uGruyor. Elektrik ve makine mUhendisleri, farklI deGer sistemlerine baGlI nicel argUmanlarla birbirlerini etkilemeye CalISarak, uzay gemilerindeki antenlerin bUyUklUGU konusunda hAlA tartISIyorlar. OrneGin, 'dUSUk aGIrlIk ve gUvenilir yayIlma' anlayISIyla 'yUksek iletiSim sistemi performansI' arasIndakine benzer tartISmalar hAlA yapIlIyor. Kongre, fon kuruluSlarI, basIn, mUhendisleri desteklemeye ya da eleStirmeye devam ediyor. gece geC saatlere kadar CalISmaya ve rutin iSlere hAlA ihtiyaC duyuluyor. Bu arada, daha Once denenmemiS Seyler Uzerindeki teknolojik kapasitemizin sInIrlarInI zorlamanIn verdiGi heyecan da degerini hAlA koruyor. iSte bu ve benzeri konular, elinizdeki kitabIn temel ilgi alanInI oluSturuyor. KitabIn 1. BOlUmU, teknoloji ve mUhendisliGin tarihine kIsa ve genel bir bakISla bakIyor... 2. BOlUmde, mUhendisliGin doGasInI incelemeye CalIStIm. ... 3. BOlUmde, mUhendislerin belirli sorunlara yOnelmelerinin nedenlerini aCIklamaya CalIStIm. KitabIn diGer bOlUmlerinde, sIrayla mUhendisliGin temel boyutlarInI incelemeye CalIStIm. 4. BOlUmde, mUhendislikte yeni dUSUnceler Uretilmesi sUrecini, yani tasarIm ve icat sUreClerini inceledim. 5. BOlUm, 'Matematik' baSlIGInI taSIyor... 6. BOlUmde, teknolojinin yOnelimlerinden bazIlarInIn (ama kesinlikle hepsinin deGil) kaynaklarI olan bilim ve araStIrmayI deGerlendirdim. 7. BOlUmUn konusu ise deney ve yanIlma sUreClerinden oluSuyor... 8. BOlUm, teknolojik UrUnlerin son biCimlerine ulaSmasInI saGlayan, imalat ve montaj sUreClerini anlatIyor... 9. BOlUmde hassas bir konuyu ele aldIm: Para ve iS... 10. BOlUmde, tartISmalI bir konu olan 'serbest pazar ekonomisinde teknolojinin yasalar aracIlIGIyla dUzenlenmesi' sorununu ele aldIm... Ve son olarak 11. BOlUm, OnUmUzdeki on yIl iCinde teknolojinin yOnsemelerinden birkaCInI deGerlendiriyor." KitabIn OzgUn adInIn "Flying Buttresses, Entropy and O-Rings, The World of an Engineer" olduGunu ve ilk baskIsInIn 1991 yIlInda Londra'da yapIldIGInI ekliyor, herkese TUBITAK'In popUler bilim kitaplarInI okumasInI Oneriyorum. Harun Taner (Gemi inSaatI '88) ([email protected]) ITU-MD Uyesi, Almanya =========================================================================== =========================================================================== 4. Internet ve Bilgisayar Dunyasindan =========================================================================== 4.1 ITU Bilgi Islem Altyapisini Yenileme ve Gelistirme Projesi, Hakan Aydin 4.2 Turkiye'de Bilgisayar yazIlImlarI geliStirme uzerine bir haber 4.3 LaTeX, Sinan Gungor 4.4 Internet Evsayfa(lari)mizi Ziyaret Uzerine, Meral Demirtas =========================================================================== --------------------------------------------------------------------------- 4.1 ITU Bilgi Islem Altyapisini Yenileme ve Gelistirme Projesi --------------------------------------------------------------------------- 1993 yilinin ortalarina gelindiginde ITU'de bilgi islem hizmetleri IBM 4381 temelli anacati (mainframe) bilgisayar merkezli bir yapida sunulmaktaydi. Ayazaga Kampusu'ndeki fakulte ve birimlere koaksiyel kablo araciligiyla goturulen merkezi bilgisayar hizmetlerinden kullanicilar, cogunlukla her binada belli bir mekanda toplanmis olan terminaller araciligiyla yararlanmaktaydilar. Ote yandan, gunumuzde akademik yasamin vazgecilmez bir parcasi haline gelmis olan uluslararasi bilgisayar aglarindan sadece BITNET'e (sirasiyla Yildiz ve Ege Universiteleri uzerinden) erismek mumkundu (Internet'e ise sadece elektronik posta servisi anlaminda erisilebiliyordu). Sehir kampuslerinin merkezi sisteme baglantilari ise kiralik PTT hatlari ile ve yine IBM terminalleri araciligiyla saglanabiliyordu. Yukarida kisaca ozetlenen durum, aslinda son 7-8 yilda ITU'de bilgi islem hizmetlerinden seyrek de olsa yararlanmis ve yararlanmakta olan ITU'lulerin tanisik oldugu bir uygulamadir kuskusuz. Bir nedenle ag hizmetlerinden yararlanmak isteyen ITU'lu kullanicilar merkezi bilgisayarda bir hesap actirirlar ve birimlerinde sayilari 2 ile 8 arasinda degisen ASCII terminaller araciligiyla sisteme ulasirlar. Kuskusuz, eskimis teknolojisi ve kullanicilarin gitgide artan taleplerini yanitlamaktaki yetersizligi ile mevcut sistem birkac yildir yetersiz kalmaktaydi. ITU'yu cagdas, gelismeye acik ve etkin bir bilgi islem ve bilgisayar agi altyapisina kavusturma hedefiyle 1993 ortalarinda ITU Bilgi Islem Alt Yapisini Yenileme ve Gelistirme Projesi uygulamaya konuldu. 2 yildir devam etmekte ve bu satirlarin yazildigi gunlerde onemli bir asamaya gelmis olan proje tamamlandiginda ITU'de bilgi islem hizmetleri dagitilmis yapida bir sistem tarafindan ve tum kampusu dolasan bir optik omurga uzerinden verilecektir. Projenin onemli bilesenleri ve Agustos 1995 itibariyle varmis olduklari noktalar asagida ozetlenmistir. 1- Kampusici optik ag projesi: Birimlerdeki yerel bilgisayar aglarini birbirlerine ve Bilgi Islem Merkezi uzerinden uluslararasi bilgisayar aglarina baglamak uzere ATM teknolojisine dayali bir kampusici optik ag kurulmasi tasarlanmisti. 1994'un ilk yarisinda kampus birimleri arasina fiber optik kablo dosenmesi projesi tamamlandiktan sonra, sira bu fiziksel altyapi uzerinde ATM teknolojisini gercekleyecek cihazlarin teminine gelmisti. ATM, bagli oldugu uclari 155 Mbit/sn'lik bir hizla birbirine baglayabilen ve pekcok acidan gelecegin teknolojisi olarak lanse edilen bir teknolojidir. Sagladigi bant genisligi ve paralel erisim olanaklari ile veri iletisiminin yanisira ses, grafik ve multi- media uygulamalarini destekleyen yegane kampusici ag ortami olarak gosterilmektedir. Kuskusuz, projeye baslanirken onemli bir cekince konusu, cok daha iyi bilinen, standartlari yerlesmis, ancak onu tikali bir teknoloji olan FDDI alternatifinin mi; yoksa teorik olarak cok ustun ve gelismeye acik bir teknoloji olarak degerlendirilmesine ragmen henuz standartlari yerlesmemis ve gelistirilme asamasinda olmasi yuzunden riskli bir karar gibi gozukebilecek ATM alternatifinin mi uygulanacagi idi. Karar ATM'den yana verildi ve ilgili ihale Agustos 1994'te yapildi. Ancak hakikaten ATM'in gerceklenmesine iliskin korkulan problemler ortaya cikti ve butun fiziksel altyapi hazir olmasina karsin agin deneysel anlamda calismasi icin bir yilin gecmesi gerekti. BIM'e yerlestirilen 16 iskeleli ATM baglasim birimine kampusun 3 noktasina yerlestirilen ATM/Ethernet donusturucu birimler baglandi. Bu 3 nokta ve besledikleri/besleyecekleri birimler soyle siralanabilir: Insaat Fakultesi: Insaat Fak., Ucak-Uzay Fak. (yeni bina), Hidrolik Lab., Motor ve Tasitlar Lab. Elektrik-Elektronik Fakultesi: EE Fak., Maden Fak., Fen-Edebiyat Fak., Kutuphane. Kimya-Metalurji Fakultesi: Kimya-Metalurji Fak., Gemi Insaati ve Deniz Bilimleri Fak., ITU KOSGEB, Nuk. Enerji Enst. Birimlerin ATM omurgasina ve oradan da Bilgi Islem Merkezi uzerinden Internet'e baglanmasi ile ilgili calismalar 11 Agustos 1995 itibariyle tamamlanmis bulunmak1adir. Deneysel olarak birimlere kadar goturulen optik baglantilarin tumu test edilmis ve calisir durumda olan yerel bilgisayar aglarinin baglanmasi icin hazir duruma getirilmistir. Calisir yerel bilgisayar aglarina sahip olan Elektrik-Elektronik Fak., Maden Fak., Hidrolik Lab., Motor ve Tasitlar Lab., KOSGEB ve Nukleer Enerji Enstitusu 155 Mbit/sn'lik optik ag uzerinden birbirlerine, BIM'e ve Internet'e baglanmis durumdadirlar. 2- Birimlerde yerel bilgisayar aglarinin kurulmasi: Proje, ITU fakulte ve birimlerinin kisisel bilgisayar ve is istasyonu acisindan mi- nimum bir duzeye getirilmesini ve (normal kosullarda birimlerin kendi girisim ve olanaklariyla kurmasi gereken) yerel alan bilgisayar aglari icin fakulte ici kablo omurgasinin cekilmesini ongormekteydi. Son 2 yil icinde degisik fakulte ve birimlerin binalarina sozu edilen kalin koaks ethernet omurgasi cekilmistir, ancak bu omurgaya baglanacak ve uzerine PC ile is istasyonlarinin baglanacagi ince koaks ve UTP temelli yerel alan aglarinin kurulmasi isi ancak gereken kaynaklari ayiran fakultelerde ilerlemis bulunmaktadir. Bilgi Islem Merkezi, henuz bu konuda yeterli mesafe alamamis birimler icin 24 ya da 36 uclu bir yerel ag cektirmek icin 1995 sonuna kadar bir ihale daha acmayi planlamaktadir. 3- ITU'nun dis baglantilari ile ilgili calismalar: Istanbul Teknik Universitesi'nin 1987'den beri mevcut olan BITNET baglantisinin yanisira, Internet baglantisi da 19200 bps hizindaki ODTU IP baglantisinin devreye girmesiyle saglanmistir (1994 basi). Gunumuzde ITU'nun Internet erisimi halen bu hat uzerinden gerceklesmektedir. Yine yaklasik bir yil once tesis edilen 64 Kbps hizindaki ITU - EGE Univ. hattinin devreye girme- siyle Istanbul'un tum BITNET trafigi bu hat uzerinden aktarilmaya baslanmistir. Ege Universitesi'nin 64 Kbps hizindaki ayri Internet baglantisindan ise Almanya-Turkiye hattindaki idari ve teknik sorunlar yuzunden ITU (ve diger pek cok universite) yararlanamamaktadir. Bogazici Universitesi ve Mimar Sinan Universitesi ile de 19200 bps hizindaki baglantilar kurulmak uzeredir. Kendi kampus baglantilarinin yanisira Istanbul universitelerinin hem Internet, hem BITNET cikisi olma islevini ustlenme yolunda olan ITU'nun tum bu baglantilarini surebilecek gucte iki merkezi yonlendirici (biri 1993'de, digeri 1995'de olmak uzere) satin alinmistir. Ayrica evlerinden ya da ofislerinden telefonla Internet'e erismek isteyen akademik personelin yararlanmasi amaciyla satin alinan bir iletisim hizmet birimi 1993'den bu yana hizmettedir. 4- Merkezi hizmet birimleri: Istanbul Teknik Universitesi'nin Internet servislerini ve kullanicilarina verilecek dosya sunum hizmetlerini saglayacak iki guclu hizmet birimi 1995'in ilk aylarinda devreye alinmisdir. 5- Sehir Kampusleri: ITU'nun Ayazaga Kampusu disindaki birimlerini bunyesinde toplayan Taskisla, Gumussuyu ve Macka Kampusleri'nin Ayazaga Kampusleri ile olan baglantisi kiralik PTT hatlari uzerinden saglanmaktadir. Bu 3 kampus icin satin alinan birer yonlendiricinin ilgili birimlere kurulmasiyla sehir kampuslerindeki yerel alan agi PC ve is istasyonu kullanicilarinin dogrudan Internet'e baglanmasi olanakli hale gelmistir. Yine 3 sehir kampusunun Internet hizmet birimi olacak olan uc orta boy hizmet birimi Haziran 1995'de yerlestirilmistir. SONUC: Yukarida ozetlenmeye calisilan tum gelismelere karsin ITU'de Bilgi Islem hizmetlerinin istenen duzeye ulasmasi icin giderilmesi gereken onemli eksikliklerin oldugu kuskusuzdur. Bunlarin basinda, yurtdisina dogrudan bagli bir Internet hattina duyulan ihtiyac gelmektedir. Aylik maliyeti yaklasik 15000 USD olan bu hat icin mali kaynak ne yazik ki mevcut degildir. Yine fakultelerdeki yerel alan aglarinin kurulmasi, calisir hale getirilmesi ve birim bazinda kisisel bilgisayar/is istasyonu sayilarinin artirilmasi ile (imkan oldugu takdirde) hesap yogun islerde kullanilacak bir hizli bilgisayarin (number cruncher) temin edilmesi onumuzdeki donemin hedefleri arasindadir. Hakan Aydin (Kontrol ve Bilgisayar '91), ([email protected]) ITU Bilgi Islem Merkezi --------------------------------------------------------------------------- 4.2 Turkiye'de Bilgisayar yazIlImlarI geliStirme uzerine bir haber --------------------------------------------------------------------------- TUrkiye'de bilgisayar yazIlImlarI endUstrisinin geliStirilmesi iCin ITU VakfI, TUrkiye Teknoloji geliStirme VakfI (TTGV), ODTU geliStirme VakfI, BoGaziCi Universitesi VakfI (BUVAK), TUBITAK ve Izmir Teknopark Ticaret AS (ITAS) 1000000 USD sermayeli anonim Sirketi kurmak Uzere bir protokol imzaladIlar. Bu protokolu Universite vakIflarI adIna rektOrler, VakfImIz adIna da ITU RektOrU Prof. Dr. ReSat Baykal imzaladI. sOzkonusu protokol ITU VakfI YOnetim Kurulu'nca da onaylandI. Protokole gOre Sirket sermaye- sine TTGV 500000 (beSyUzbin) dolar, VakIflar ve Teknopark Sirketleri 125000 dolar ile katIlacaklar. Proje iCin DUnya BankasI'ndan 500000 dolarlIk bir fon saGlanmak Uzere. Bu giriSimin Ulkemizin Onde gelen ve teknik eGitim yapan Universitelerine bUyUk katkIlar saGlamasI bekleniyor. ITU VakfI Haber BUlteni'nden (Temmuz 1995, sayI:4) aktaran H. Taner --------------------------------------------------------------------------- 4.3 LaTeX --------------------------------------------------------------------------- 1. GiRiS LaTeX 'basIma hazIr' bilimsel belgelerin olusturulmasInda kul- lanIlan bir bilgisayar dizgi sistemidir. Diger tur yazIlI bel- gelerin ( Ornegin basit bir mektubun ya da bir kitabIn) hazIr- lanmasInda da kullanIlabilir. LaTeX Donald E.Knuth tarafIndan yazIlmIs dizgi programI TeX uzerine Leslie Lamport'un kurudugu bir makro-paketidir. Bir yayInIn basIlmasInda yazar ya da yazarlardan gelen manuskript- lerin yayInevinde yerleSim-tasarImI yapIlIr ( satIrlarIn uzun- lugu, yazI turu, bolumler arasInda bIrakIlacak bosluklar vb. belirlenir.) ve gerekli dizgi yonergeleri hazIrlanIr. Sozu edi- len sistem de ise tasarIm islemini LaTeX, dizgi islemini ise TeX uslenir [1][2]. LaTeX komutlarI daha alt duzeydeki TeX ko- mutlarIna donusturulur. AlIsIlmIs yazI-islem programlarInda yerlesim tasIrImInI kullanIcI kendisi yapar ve cIkIsI gore- bilir. Bu WYSIWYG-sistemidir. ("what you see is what you get"). LaTeX'de ise cikis ancak giris dosyasInIn derlenmesinden sonra gorulebilir. Bircok kisi yerlesim-tasarImInda estetigin onemli oldugunu dusunur ve sanatsal acidan bakIldIgInda guzel gorunen yazIlI bir yayInIn iyi tasarlandIgI gorusundedir. KarsI gorus ise bir metnin muze duvarIna asIlmak icin degil, okunmak icin oldugudur. Bu nedenle kolay okunabilirlik ve iyi anlasIlabilir- lik gorunusten daha onemlidir. WYSIWYG-sisteminde kullanIcIla- rIn cogunlugu estetik olarak guzel, fakat yapIsal olarak cir- kin metinler olusturmaktadIrlar. LaTeX yazarI metnin belirli bir mantIksal yapIsI icinde kalmaya zorlayarak, boyle bicimle- me hatalarInI engeller ve bu mantIksal yapI icinde uygun en iyi yerlestirimi programIn kendisi duzenler. LaTeX'in diger yazI-islem programlarIna gore iyi yanlarI sun- lardir: - HazIr bircok profesyonel yerlestirim yonergesi kullanIlabi- lir. ( BazI yayInevi ve dernekler kendi yayInlarInda kulla- kullanIlmak uzere yerlestirim yonergeleri ve makrolar ha- zIrlamIslardIr.) - Matematiksel formuller ozellikle iyi bir sekilde yazIlabi- lirler. - Metnin mantIksal yapIsI icin kullanIcInIn birkac kolay an- lasIlIr komutu vermesi yeterlidir, ve baskI-teknigine ilis- kin ayrIntIlarI bilmesine gerek yoktur. - Icindekiler, dip not, tablolar, kaynakca, dizin vb. gibi karmasIk metin yapIlarI buyuk bir caba gerektirmeden olus- turulabilirler. Kotu yanlarI ise: - Diger basit yazI-islem programlarIna gore bilgisayar belle- gi gereksinimi daha fazladIr ve bilgisayarI daha uzun sure yukler. - YazIlI cIkIs icin nokta vuruslu yazIcIlarIn kullanIlmasI lazer yazIcIlara gore pek uygun degildir. - Yerlestirim yonergeleri birkac parametre ile kolaylIkla de- gistirilebilmesine karsIn, temel degisikler ya da yeni bir yonergenin olusturulmasI icin buyuk caba gerekmektedir. 2. KULLANIM YazIlacak metni ve LaTeX komutlarInI iceren giris dosyasI once derlenir. Derleme islemi DVI-formatInda bir cIkIs dosyasI ve birkac yardImCI dosya uretir. (DeVice Independent) cIkIs dosya- sI uygun bir DVI-surucu programI ile yazIcI koduna donusturu- lur ya da yine bir DVI-surucu program ile yazIcI cIkIsI ekran- da gorulebilir. ( Surucu programlar: dvips, dvihplj, xdvi vb. (UNIX icin); dvips, dvihplj, dvidot, dviscr vb. (DOS icin) ) 2.1 Giris dosyasInIn yapIsI ve birkac LaTeX komutu LaTeX giris dosyasIndaki bosluk, tab ve satIr sonu gibi gorun- meyen karakterler bosluk sayIlIr. Bir bos satIr paragraf sonu anlamIndadIr. Arka arkaya gelen bosluklar bir tek bosluk, bos satIrlar ise bir tek bos satIr gibi algIlanIr. LaTeX komutla- rI soladevrik ('\') isareti ile baslar; yorumlar yuzde ('%') isareti ile satIr sonu arasInda yazIlIr. Minimum LaTeX girisi asagIdaki gibidir: \documentstyle[12pt,german]{article} \begin{document} Klein ist h"ubsch. \end{document} Ilk satIrda yerlesim yonerge komutu \documentstyle[options]{style} verilmelidir. Verilen stil ve seceneklere gore sayfa duzeni be- lirlenir ve metin uygun bicimde yerlestirilir. KullanIlabilecek stiller: article, report, book ve letter stil secenekleri: 11pt, 12pt, fleqn, leqno, titelpage, twocolumn, twoside, german vb. BaslIca LaTeX KomutlarI soyle sInIflandIrIlabilir: - Dokuman ve sayfa stil komutlarI - Sayfa komutlarI - Cumle ve paragraf komutlarI - SatIr komutlarI - Bosluk komutlarI - YazI stil ve buyukluk komutlarI - Listeleme komutlarI - Kaynakca ve gonderi komutlarI - Dizin ve baG komutlarI - Matematik formul komutlarI - Aksan komutlarI - Diger komutlar Ingilizce olmayan metinlerin yazImInda, Ingiliz alfabesinde olmayan harfler icin aksan komutlarI kullanIlmaktadIr. Aksan komutlarIn bazIlari sunlardIr (ornek olarak o harfi): \'{o} ya da \'o : o uzeri centik \H{o} : o uzeri iki centik \^{o} ya da \^o : o uzeri sapka \v{o} ya da \v o : o uzeri ters sapka \={o} ya da \=o : o uzeri duz cizgi \~{o} ya da \~o : o uzeri dalgalI cizgi \u{o} ya da \u o : o uzeri yay \.{o} ya da \.o : o uzeri nokta \"{o} ya da \"o : o uzeri iki nokta \d{o} ya da \d o : o altI nokta \c{o} ya da \c o : o altI cengel \b{o} ya da \b o : o altI duz cizgi (Almanca dokuman stili german.sty kullanIldIgInda \" yerine yalnIzca " isareti kullanIlabilir.) Turkce harfler icin su aksanlar kullanIlabilir: \d{c} , \d c , \c{c} , \c c : kucuk !c \d{C} , \d C , \c{C} , \c C : buyuk !C \v{g} , \v g , \u{g} , \u g : kucuk !g \v{G} , \v G , \u{G} , \u G : buyuk !G \i : kucuk !i \.{I} , \.I : buyuk !I \"{o} , \"o : kucuk !o \"{O} , \"O : buyuk !O \d{s} , \d s , \c{s} , \c s : kucuk !s \d{S} , \d S , \c{S} , \c S : buyuk !S \"{u} , \"u : kucuk !u \"{U} , \"U : buyuk !U (LaTeX'in DOS icin enson dagItImInda "kod tablosu 850" 'nin kullanIlma olanagI vardIr. Boylece aksan komutlarIna gerek kalmadan 128-254 numaralI karakerler dogrudan kullanIlabilir.) 3. LaTeX NEREDEN ELDE ELDE EDILEBILIR? LaTeX herkesin kullanImIna acIk bir yazIlImdIr. UNIX ve DOS al- tInda calIstIRIlabilir. DOS icin LaTeX ve kullanIslI shell ya da menu programlarI asagIdaki FTP-servislerinden cekilebilir: Amerika : ftp.shsu.edu /tex-archive/systems/msdos/emtex Ingiltere : ftp.tex.ac.uk /tex-archive/systems/msdos/emtex Almanya : ftp.dante.de /tex-archive/systems/msdos/emtex (Programlar 8 adet 3.5" yuksek yogunluklu diskete sIgmaktadIr ve yaklasIk 15 MB hard disk alanI gerekmektedir.) 4. DIGER BILGILER AsagIda kIsa bir LaTeX sozlugu verilmistir: - MF : Metafont, Font uretme programI - BibTeX : LaTeX icin kaynakca programI - SliTeX : LaTeX ile saydam ('slide') programI - AmSTeX : Amerikan Matematik Dernegi'nin dizgi sistemi - AmSLaTeX : AmSTeX icin makro paketi - PiCTeX : Resim ve cizimler icin makro paket - TUGboat : The journal of the TeX Users Group Kaynakca: [1] L. Lamport: LaTeX, A Document Preparation System, User's Guide and Reference Manual, Addison-Wesley Publishing Company (1985), ISBN 0-201-15790-X [2] D. E. Knuth: The TeXbook, Addison-Wesley Publishing Company (1986), ISBN 0-201-13447-0 Sinan Gungor, (Elektrik '87) ([email protected]) ITU-MD Uyesi, Almanya --------------------------------------------------------------------------- 4.4 Internet Evsayfa(lari)mizi Ziyaret Uzerine --------------------------------------------------------------------------- Kullanici sayisi ve kullanim alanlari her gecen gun genisleyen Internet ortaminin kusku yok ki son zamanlarda en populer olani, `homepages'(*) ya da mecazi anlamda benim Turkce karsiligi olarak kullandigim `evsayfalari'. Buralari ziyaret etmek icin cesitli programlar gelistirilmis durumda, `Mosaic' ve `Netscape' bunlardan baslicalari. Peki bu evsayfalarinda neler var? Kullanim istegine gore degisiyor. Sizlere ziyaret ettiklerimden birkac ornek asagida sunuyorum. Uzun sureden beri ziyaret edemedigim ITU-MD evsayfasi icin bugun yola cikiyorum, `Netscape' ile. ITU-MD evsayfamiz olan: http://www.ece.orst.edu/~ituweb yukaridaki adresi veriyorum eline ve `cyberspace'teki yolculugumuza basliyoruz. Tabii Ingiltere saatine gore sabah sabah yola ciktigimiz icin, yollar acik ve hemen evsayfamiza ulasiyoruz. Cat kapi habersiz geldik bakalim neler var neler yok diyoruz ve iceriye giriyoruz. ITU-MD evsayfasinin hazirliginda epeyce emek vermis olan, Ali Tuglu'nun calismalarinin sonuclari karsiliyor bizi. Ilk etapta ITU Ayazaga Kampusu'nde karlar arasinda uzaktan goruntusu verilen fakultem ve Mustafa Inan Merkez Kitapligi, hos geldin diyor. Derken, ITU kampusleri arasinda bir tur da yapiyoruz. ITU-MD evsayfasinda sadece ITU yok. Aslinda yok yok demek lazim. ITU-MD ve calismalari hakkinda bilgi veren evsayfalarinin adreslerine de baglanti var. ITU-MD'ni, amaclarini ve calisma yapisini merak ediyorsaniz, Prof. Dr. Rasit Eskicioglu tarafindan hazirlanan tuzuk evsayfasi sizlere bilgi vermek icin bekliyor. Yeni acilan ve sadece ITU'lulerin degil tum akademisyenlerin goruslerini bekleyen en genc evsayfamiz ITU-MD Genc-ITU ile de baglanti var. Emrah Can tarafindan duzenlenen bu evsayfasinda, baslica akademisyenler kilavuzunun calismalari sergilenmekte. Tabii baska konular da yok degil. ITU-MD evsayfasindaki en yeni calismalardan birisi de Can Sandalci'nin PETEK Dergi duzenlemesi. Sonuclari hep birlikte gorecegiz. Bitmedi. Bu adresten Turkiye hakkindaki cesitli evsayfalarina da baglanti yapabiliyorsunuz. Ilk once TC Washington Buyukelciligi'nin evsayfasina ugruyoruz. Aman efendim, bir karsilama bir izzet ikram ki sormayin. Turk kahvemizi iciyor ve daha neler var neler yok diye yokluyo- ruz her bir koseyi.Konu komsuya bu sayfanin dedikodusunu yapacagiz ya.:-) Turkiye hakkinda bircok konuya yer verilmis. Haberler, ekonomi, politika, kultur, turizm baslicalari. Yabancilar icin turistik bolgeler de teker teker tanitiliyor. Ayrica vize konusunda da bilgi veriliyor. Haberleri okumayi ve kahvemizi bitirip, hemen bir tura cikiyoruz. Istanbul'a ugruyoruz once. Dolmabahce Sarayi'nda karsilaniyoruz. Ee, bize de bu yakisir zaten. :-) Oradan Istanbul'un daha once gezmedigimiz tarihi yerlerine bir tur yapiyoruz. Simit yiyemeden Istanbul'dan ayriliyoruz ama olsun, belki bir dahaki sefere. :-( Daha sonra Ankara'ya ugrayip, Anitkabir'de Ataturk'u ziyaret ediyoruz. Ankara'dan Antalya'ya geciyoruz. Akdeniz'e doyamiyoruz ama isimiz cabuk diye bir daha ugramak uzere Ege'ye Izmir'e geciyoruz. Karsikaya Sahil'inde karsilaniyoruz. Hemen bir sahil turu yapiyoruz, bir tarafimizda Ege bir tarafimizda palmiye agaclari o bicim guzellik. Tabii bu arada Uluslararasi Izmir Fuari'nin 20 Agustos'ta baslayacagini da ogreniyoruz. Izmir'e ugrayip Efes ve civarina ugramadan ayrildik da sanmayin. Oralari da gezdik tabii... Turkiye turundan sonra Washington'a geri donuyoruz. Arzu eden ziyaretcilerin doldurmasi icin bir kisim da ayrilmis. Ancak anlayamadigim neden o kadar soru soruluyor? Resmi makam olmasindan ileri geliyor olmali. "Geciyordum ugradim, ellerinize saglik evsayfaniz pek iyi olmus" diyecektim ama aceleden hem sorulara yanit vermeye ve hem mesaja zaman bulamadim. ITU-MD evsayfamiza geri donuyoruz ve bu sefer de Disisleri Bakanligi'nin evsayfasinda neler ikram ederler acaba deyip bir de oraya geciyoruz. Dedik ya bugun Internet'te cat kapi ziyaretlerimiz var, PETEK okurlarina sadece gorduklerimizi degil yedigimizi ictigimizi de anlatacagiz. :-) Bu evsayfasinda da Turkiye ile ilgili bayagi doyurucu bilgi verilmekte, bircok alanda. Washington DC'deki evsayfamizla ortak olan yazilara da rastliyorsunuz ama bu evsayfasinin kapsami daha genis. Yok yok. Turkiye hakkinda genel bilgi, politika, ekonomi, bilimsel, sosyal ve kulturel hayatimiz, turizm, gunluk haberler, kaynak kutuphaneler vs. bunlardan baslicalari. Yukarida degindigim evsayfalarinin hazirliklarinda emegi gecen tum kadrolara tebrikler ve tesekkurler. Turkiye ve Turkleri tanimak isteyen yabanci ese dosta evsayfalarimizin adreslerini vermek, cok buyuk bir kolaylik. Turizm musavirliklerinin adres ve telefonlarini nereden bulacagim yardim etmek icin telasesi de kalkiyor ortadan. Sadece yabancilarin degil Turklerin de kendi ulkesini ve kulturunu tanimasi icin yaratilmis iyi bir firsat. Her iki grubu da bilgilendirmek icin evsayfalarina aktarilan yazilarin doyurucu bilgi vermesi de onem kazaniyor. ITU-MD sayfasindan daha bircok evsayfasina baglanti kurmak mumkun. Benim simdilik vaktim yok, PETEK'e yazi gondermek icin son gun bugun. Gec kalmamak icin ITU-MD evsayfasi zevkli ziyaretimi burada noktaliyorum. ITU-MD evsayfasindaki bu yeniliklerin disinda, Bogazici Universitesi'nde yer alan iki yeni evsayfasinin da haberini verelim. Ilki gecen ay ilk sayisini sunan `Imagination Journal' ve ikincisi de AKTUEL Dergisi (SABAH Yayin Grubu). Her ikisi de ziyaret etmeye deger. Yukarida sozu gecen evsayfalarinin adresleri ve kuruculari: 1. http://www.ece.orst.edu/~ituweb [ITU-MD] 2. http://geoweb.tamu.edu/~e0c1768 [ITU-MD GENC-ITU] 3. http://www.cs.uno.edu/~rasit/webtuzuk [ITU-MD Tuzuk Kurulu Bsk.] 4. http://www.turkey.org/turkey [TC Washington DC Elciligi] 5. http://www.mfa.gov.tr/ [TC Disisleri Bakanligi] 6. http://www.busim.ee.boun.edu.tr/imagination [The Imagination Journal] 7. http://www.sabah.boun.edu.tr/ [Sabah Yayin Grubu] Bunlardan [1] numaraya gectiginizde, [2,3,4 ve 5] numaralari rahatlikla ziyaret edebilirsiniz, kurulmus olan baglantilar nedeniyle. Boylesi bir uygulama da cok iyi, boylece herkes ayni bilgiyi degisik adreslere yukleyip yer isgali de yapmamis oluyor. Ayrica ziyaretciler icin de bir rahatlik, her bir adresi tekrar yazmaya gerek yok. Tum universitelerimizin benzeri olanaklara sahip olmasi dileklerimle. Meral Demirtas (Meteoroloji '90) ([email protected]) ITU-MD Uyesi, Ingiltere (*) `Homepage' icin onerilen Turkce karsiliklarin birkacini [8] numarali bolumumuzde bulabilirsiniz. =========================================================================== =========================================================================== 5. Muhendis Gozuyle =========================================================================== 5.1 "On Private Power Issues...", Nalan Arsoy-Gainer =========================================================================== --------------------------------------------------------------------------- 5.1 "On Private Power Issues..." --------------------------------------------------------------------------- Turkce ozet: ------------ ["On Private Power Issues...", Istanbul'da 24-26 Mayis tarihlerinde duzenlenen Bagimsiz Enerji Ureticileri konferansinda bahis konusu edilen konulari ele alarak, sirketimizin Dunya Bankasi projelerinde gerceklestirdigi danismanlik hizmetleri ve devamli bilgi alisverisinden kaynaklanan bilgi birikimi ile, olaya bakis acimizi ortaya koyan bir kisa makale. Bu yazi, hic kuskusuz, enerji uretimi konulari ile ilgilenen arkadaslarin ilgisini cekecektir. Bu sayede de konuya bakis acilari ve teknik yaklasimlari ne olursa olsun, okuyucularimiza bir nebze olsun yardimci olmayi amacladik.] "On Private Power Issues..." The wide participation in the Private Power Conference in Istanbul this year, May 24-26, shows how lucrative Turkey's private power potential looks to many international investors and engineering companies. Not only for- eign, but also many Turkish investors are eager to see the government "bring its act together" and speed up its decision making process on many projects that have been developed (feasibility, preliminary design, and fi- nancing) and are awaiting approval for many different reasons, some poli- tical, some stemming from concerns about their benefits to the country. Since the Private Power Production Law was enacted in 1983, only a fraction of the planned independent installations have been built which, in the light of the insurgent yearly power demand of 10%, leaves eager project sponsors wonder why Turkey is still postponing decisions on such a crucial matter - sufficient power supply to the electrification web of our highly developed country. As a result, brownouts are once again becoming a daily worry for all, especially the well-automated, computerized, and market- driven industry. Demand for electricity in the country has been growing at a very high rate of 10% per year over the past decade, with a peak of 13,000 MW in 1994. At the moment, the electrification system is just capable of meeting this de- mand. Analysis shows that the demand will continue to increase by 8% each year over the next 15 years as a consequence of economic growth and the low levels per capita power consumption - 989 kWh in 1994 compared to 11,000 kWh in the United States. The above figures imply the addition of at least 1,000-1,500 MW installed capacity per year and noncommitant transmission and distribution. How Much Do These Installations Cost? To simplify the cost breakdown, minimum US$ 2.0 billion per year divided among: US$ 1.0 billion for generation US$ 400 million for transmission US$ 600 million for distribution Funding for new installations: To find the necessary amount of funding for these projects, the Turkish government has decided to move away from the traditional public-sector- driven approach and to encourage the private power sector. It has been clear for at least a decade that the public utility, TEK, now in two enti- ties called TEAS and TEDAS, can no longer monopolize and/or provide quick and efficient management of the many pending projects, some awaiting ap- proval, some funding, and many - feasibility studies. TEK, historically in the role of the only utility with the highest number of customers from which it could not collect properly, a curse in many respects, considering the fact that most of these non-paying customers are places like the Basbakanlik, or the Buyuk Millet Meclisi, has prided itself with meeting the country's demand and proving worthy of its 'reason d'etre'. Now in the middle of the 90's, however, it emerges as an over-staffed, inefficient, and static organization with restructuring projects that have been on again, off again, never meant to provide an overhaul of work culture that is simply not compatible with today's standards. Only recently 2 new projects, one for the application of a new regulatory tariff system project and the other, a pilot billing system project in the area around Ankara have been active. Both projects are long-needed measures to provide the utility with a strong framework to collect debts efficiently from the hun- dreds of thousands of corporate customers. The IPP's: A Great Chance to Catch Up in Electrification Independent power producers, IPP's, as private power producers are called in the United States, now represent 50% of all new generating capacity in this country. These installations generally involve investors who build a power plant and sell the electricity wholesale - either to a nearby util- ity, or to one or more large consumers. IPP's are typically structured on a Project Finance Basis. Guarantees to the lenders result from the project itself (the substantiality of the in- stallation, the importance of this installation to the country/region, the existence of customers ready to buy the power etc.), rather than from the project sponsors. These projects require a sophisticated set of contractual arrangements such as: o Authority to build the plant at the site chosen o A power purchase agreement (w/ utility or corporate consumers) o A fuel purchase agreement o Guarantee agreements (for country risk, project completion, and technical guarantees such as MW output, plant emissions, availability etc.) Experience with IPP projects in the developing countries has shown that private power developers have a good record in project completion, plant availability, and generation efficiency. This hails the frustrations of the governments disappointed with the performance of their own utilities and seeking new sources of finance for power projects. India, China, the Philippines, and Malaysia are notable cases where governments have aggres- sively pursued IPP projects and have welcomed the opportunity to reduce their dependence to neighbors for electric power. The 'Country Risk' Factor However, when governments try to attract private investment, they often lay off all project risk to the investor(s). While IPP's are rather good at handling most projects risks, one risk they cannot manage is the unpre- dictable behavior of the host government itself. By 'unpredictable behavior' we mean the problem that takes form in debt fi- nancing. IPP's are generally developed on a project finance basis where sponsors fund part of the project through their equity contribution. This it typically 25-33% in developing countries, and 10-15% or less in highly industrialized countries. The rest is a financed-through debt that usually comes from banks and similar institutions. Developers are unwilling or una- ble to provide guarantees for the portion of the investment financed by debt, so lenders have to look for guarantees according to the size, as well as the 'return-of-investment' opportunities of the project itself. What Does All This Mean? To close a project financing plan and actually start construction on a power plant, a sponsor needs to be able to negotiate a set of agreements that satisfies not only the government, but also the banks that will be fi- nancing the major part of the investment. Typical agreements related to an IPP-sponsored project are as follows: o Agreements relating to the project schedule i.e., completion guarantees, jobsite agreements o Agreements relating to plant operation i.e., power purchase, fuel purchase, dispatch o Agreements of the legal and operational environment Of the above 3 items, the last one is quite a different issue in developing countries. Agreements relating to the environment of the project differ significantly in developed and developing countries. Typically, in the for- mer the project's environment belongs to the general framework in which the power sector and private investors operate. By 'framework' we meant insti- tutions and understanding such as the following: o Predictability of government decisions o Enforceability of contracts o Transparency in the regulatory environment o Currency convertibility and transferability These are, understandably, the areas where the governments have the most discretionary power. They are also the areas where lenders for developing countries perceive the greatest risks to lie. Governments may, for poli- tical reasons, take decisions relating to tariffs that render projects in- solvent, or may devalue their currencies, or expropriate foreign investment. All these fears comprise the much overused and misunderstood 'Country Risk' term. The fact remains that, unless lenders feel comfortable that their loans are sheltered from country risk, they will be unwilling to support the project. How to Minimize the Country Risk Factor? Until now, the simplest way to mitigate country risk was for private power investors to require the host government to guarantee that 'the rules of the game' will be respected through specific support or implementation agreements. Increasingly, however, the value of such government guarantees is being questioned: many cases are known where the government is unwilling to ensure that the public utility respect the terms of a power purchase, which in turn lowers the chances that it will respond affirmatively when the guarantee is called. Cover for 'Country Risk', therefore, could be provided in a few other ways: 1. Launch a macroeconomic reform 2. Launch power sector reform 3. Develop contractual mechanisms to address each aspect of the risk 4. Obtain cover from third parties i.e., export credit agencies such as the International Finance Corporation (IFS) 5. Promote competition and remove barriers to entry for new players 6. Eliminate the statutory monopoly of the public sector utilities by encouraging open regulation 1. Of the above steps, the first one is a major step in a country's administrative process, aside from letting private power investors feel comfortable in lending to the country projects. It appears to be the best way to address the problem: fix all the obstacles that make lenders uncomfortable, because it tends to appeal to lending institutions more than anything else. 2. The second step is another administrative leap towards making the power sector more attractive to private investors. Reform in the power sector, as we all know by now thanks to the rhetoric of the last 4 years, means privatization, removing major policy obstacles, improving the credit-worthiness of utilities. 3. By developing the necessary contractual mechanisms that will address specific issues is one of the best management techniques in warding off country risk. For example, if a proposed installation cannot sell its power to the nearest utility but rather, there seems to be a longish list of prospective corporate consumers from the area, this project is very easily deemed 'uncredit-worthy' and is bound to be abandoned. Another example is the unconvertibility of the host country currency: in this case, an agreement with the government to have the sponsor's foreign exchange requirements available through the central bank is essential. Again, for this exercise, a group of the necessary technicians and analysts must be able to quickly respond to the issue. In Conclusion: Non-utility private investors are an increasingly important source of power sector investment in the OECD countries, specifically for power generation. This has changed dramatically the underlying structure of the electricity sector, whether Turkey's state-owned enterprise TEAS, which still produces 95% of the total power, likes it or not, thus triggering amazing efficiency gains and cost reductions that have been passed on to the consumer. How- ever, this trend has not yet evolved to the same extent in developing coun- tries like Turkey, despite the intense interest by projects sponsors. The main reason is that 'debt financing' for independent power projects in these countries has been scarce. Enter the term "Country Risk": Lenders are reluctant to participate in projects where they are open to country risk . In other words, they do not like lending when repayment of their loans could be jeopardized by arbi- trary decisions made by the host government. Risks associated with inde- pendent power projects are many. To improve its image and attract more lenders, Turkey must provide the appropriate cover against risk. Few words to IPP project developers: o Communicate, communicate, communicate! By free seminars in the mother tongue, let your prospective customer and the government executives know how you perceive the obstacles, how you expect them to be solved etc. For example, help finance the development of the legal and regulatory sector framework. This could be done either by solicitation of bids from investors, evaluation, negotiation, and assistance in the financial engineering. o Training for IPP project negotiation skills is a must. Nothing is more frustrating than a host country team trying to make sense out of your documentation. Drop the legal language and be specific and simple in expressing different aspects of your bid. o Work with the host country's private sector to exchange information on investment opportunities. You may find out the best practices on structuring a project in that work culture and many subtleties. Prefer to work with a good local company to represent you. Provide training to that company in all aspects of project development and realization. Gather information from the great databases of institutions like the World Bank. A few words to host country governments: o Provide deal-clinching guarantees for private investors to enable them to mobilize debt financing for their projects. Work on a case- by-case basis and explore all available mechanisms for financing (ECO's, MIGA-managed sponsorship trusts) o Speed up the macroeconomic reforms to ease the rules and regulations for foreign investment o Educate your decision makers on different technologies and financial engineering, as well as deal-setting skills o Communicate, communicate, communicate! o Provide efficient decision process by using professional help from consultants. You can not do everything yourselves! Nalan Arsoy-Gainer (Makina, '81) ([email protected]) ITU-MD President Eastern Region, USA President of Professional Training & Consulting Co. 4410 Massachusetts Ave, NW Suite 300 Washington, DC 20016 - USA Tel: 1 301 438 8266 Fax: 1 301 438 8310 =========================================================================== =========================================================================== 6. Sosyal Bilimler ve Kultur =========================================================================== 6.1 Aziz Nesin ve Bilge Karasu Uzerine, (Derleyenler: Harun Taner ve Sibel Demirbas) 6.2 Felsefe Tarihinden Kesitler (1) : Thales, Hakan Aydin 6.3 Muzik Uzerine: (Derleyen: Kaya Buyukataman) 6.3.1 Notes on the Turkish Music 6.3.2 Turkish Music, Esber Koprucu 6.3.3 ITU'de Turk Sanat Muziginin dogusu/tarihcesi, Osman Simav 6.4 I.T.U. Turk Musikisi Devlet Konservatuari'nin (TMDK) Dunu, Bugunu, Yarini, Necati Giray =========================================================================== --------------------------------------------------------------------------- 6.1 Aziz Nesin ve Bilge Karasu Uzerine --------------------------------------------------------------------------- Temmuz ayInda Aziz Nesin 80 yaSInda bizlere "azizlik" edip aramIzdan ayrIldI. BirkaC gUn sonra da Bilge Karasu 65 yaSInda bilgeler cennetine gOCtU. Bu iki deGerli yazarImIzI saygIyla anIyoruz. Aziz Nesin ---------- Bir OmUr boyu 113 kitap, sayIlarI belki de bir o kadara ulaSan gUnyUzUne CIkmamIS kitap taslaklarI. Dile kolay. YazarlIGa otuzunda baSlayIp, ilk kitabInI kIrkInda CIkarmIS Aziz Nesin. otuzuna dek durmadan yazmIS, ama bu dOnemde yazdIklarInIn hemen hepsi karanlIkta kalmIS, kendi ifadesine gOre. KIrk yaSIndan altmISIna kadar tam altmISiki (sayIyla: 62) kitap yazmIS, sonraki yirmi yIlda performansI dUSmUS bUyUk ustanIn: YalnIzca ellibir kitapCIk yazabilmiS! Hepi topu 113 kitap. EdebiyatImIzIn hemen her dalInda eser vermiS ikibini aSkIn OykU yazmIS bUyUk ustayI iki Siiri ve bir yazIsI ile anmak istiyoruz. OlUme EGilmek ------------- Uyumaya deGil RUyalarIma gidiyorum Orada yaSayacaGIm isteGimce UyanIkken hiC yaSayamadIGIm Hepsi de genCti gUzeldi Sevdim sevildim diye aldanarak Son gOrdUGUm onlar olacak Bunca yIldIr sevgiye dayanamadIGIm OlUme deGil SonsuzluGa gidiyorum Orda dinleneceGim gOnlUmce YaSarken hiC mi hiC dinlenemediGim Kalemim yine elimde KAGItlarIm da OnUmde Son uykusunda dUSecek baSIm SaGlIGImda hiC eGmediGim (Ocak 1988) Kendime OGUt ------------ Uslanma hiC hep deli kal BUyUme sakIn Cocuk kal Es deli deli bOyle kal Son harmanInda sevdanIn TUken toz toz savrula kal SuCUstU bulmalI OlUm OlUrken de sevdalI kal Each to His Own Kind -------------------- A mother and father ant had gathered their young around them and were giving them a lesson on the nature of being an adult ant. The father finished his lesson thus: "My children! Strive in life to be true ants! Never depart from the path of your kind." "How may we become true ants? What are the paths we must follow?" the children asked. "Take us as your model. Whatever we do, you must do the same," their fa- ther replied. The young ants watched their father and mother. Whatever their elders did, so the young did also. Through the summer they gathered their food and stored it under the earth. In the winter they slept. And when the time came they laid their eggs. Once again the father and mother ant gathered their young around them. The father said to them: "My children! At last I am dying. I am pleased with all of you. You have all grown to maturity, Not one of you has strayed form the path of your kind. I forgive you everything. May Allah reward you!" * * * A mother and father fish had gathered their young around them and were giving them a lesson on the nature of being an adult fish. The father finished his lesson thus: "My children! Strive in life to be true fish! Never depart from the path of your kind." "How may we become true fish? What are the paths we must follow?" the young fish asked. "Take us as your model. Whatever we do, you must do the same," responded their father. The young fish watched their father and mother. Whatever their father and mother did, so the young did also. They swam in the sea. They swal- lowed the smaller species and for the good of the larger, some of them were swallowed. They laid their eggs an d multiplied. Once again the father and mother fish gathered their young around them. And the father said to them: "My children! At last you have reached maturity. We can die in peace. I am pleased with all of you. You have all grown to adulthood. Not one of you has strayed form the path of your kind. Our labors have not gone unrewarded. May Allah reward you!" "We have done very little" the young fish answered. "Whatever you did so we did also." * * * The ox, the water buffalo, the anchovy, the whale, the camel, the ele- phant, the snake, the sheep, whatever the kind of animals walk the face of the earth, each tells its young to learn by example, to do whatever their parents do so that they may grow like them. The young animals watch their mothers and fathers, follow the same path and, finally, each becomes an adult true to his kind. When the father and mother are about to die they speak of their pleasure to their young and bless them. * * * A man and a woman, a mother and father had gathered their children around them and were giving them a lesson on the way they should grow up. The father finished his lesson saying: "My children! Strive in life to be true human beings. Never depart from the path of humanity." "What must we do that we may become true human beings? the children asked. What are the paths we must follow, the paths of humanity?" "That's very easy," replied their father. "Follow our example. Whatever your mother and I do, you must do the also." The children watched their father and mother. Whatever their elders did the children did as well. They were the very image of their mother and father. Once again the father and mother gathered their children around them. The father shouted at them: "Shame! Not one of you has reached maturity. Not one of you has become a true human being. Each of you has strayed from the path of humanity, At last we are dying. It is a pity our labors have gone unrewarded. May heaven punish you! May Allah curse you!" The children were confused. They asked their parents: "Why do you curse us? We wonder if we really did anything wrong. We watched you, followed your model. Whatever you did, we did too." (Translated by Maxine F. Salamon) Bilge Karasu ------------ Temmuzun ortasInda kaybettik Bilge Karasu'yu da. Aziz Nesin ne kadar toplumun gOzUnUn OnUnde olmuSsa, Bilge Karasu o kadar gOzlerden Irak yaSamayI, kendisini gizlemeyi seCmiSti. 33 yaSInda D H Lawrence'dan CevirdiGi "Olen Adam" ile TDK ceviri OdUlU'nU kazandI; aynI yIl kendi OykU kitabI "Troya'da OlUm vardI" yayImlandI. 1970'te CIkan ikinci kitabI "uzun sUrmUS bir gUnUn AkSamI" ile 1971 sait Faik HikAye ArmaGanI'nI aldI. 1980'de "gOCmUS Kediler BahCesi", 1982'de "KIsmet BUfesi" adlI OykU kitaplarI, 1985'te "gece" adlI romanI yayImlandI. gece 1991 yIlInda uluslarasI Pegasus Edebiyat OdUlU'nU kazandI. 1990'da "KIlavuz" CIktI. Son kitaplarI "Ne KitapsIz Ne Kedisiz" ve "Narla incire gazel"dir. Bunlardan "Ne KitapsIz Ne Kedisiz" 1994 simavi VakfI Edebiyat OdUlU'ne layIk gOrUldU. "Bilge Karasu AdlI Birinin 50. YaSI Uzerine" baSlIGInI taSIyan yazIsInda kendisi iCin SunlarI yazmIS: "Bir yerlerde yazdIGImIz, Karasu'nun kendi yaSamI iCin de doGru: Bu adam soyunmak, (Cok gerekli, vazgeCilmez sayIlabilecek UC dOrt parCa Sey dISInda evini Cevresini dolduran her Seyden) sIyrIlmak ister... Kimi zaman sevgilerinden, sevdiklerinden bile. KIsacasI ardInda artIk bIrakmamIS bir OlU olmak ister. CIrpInIr; ama baSarmak pek gUC olacaGa benzer." (Derleyenler: Harun Taner ve Sibel Demirbas) --------------------------------------------------------------------------- 6.2 Felsefe Tarihinden Kesitler (1) : Thales --------------------------------------------------------------------------- Aydin'in Soke ilcesi Balat koyu yakinlarina yolu dusenler burada gunumuzde kazi ve arkeoloji calismalarinin hala surdugu bir Antikcag kentinin kalintilarini gorebilirler. Buyuk Menderes'in tasidigi aluvyon- larin etkisiyle bugun denizden 9 km. iceride kalmis olan kentin 2500-3000 yil once bir yarimada uzerindeki dort limaniyla Ege'nin kiyisinda yer aldigini dusunmek insan imgelemini zorlar. Efes, Truva, Bergama gibi daha saglam kalintilari ortaya cikarilmis ve daha iyi bilinen Antikcag kentlerinin tersine cok daha az kisinin adini bildigi Milet'in bu haliyle insanlik tarihinin en heyecan verici dusunsel maceralarindan birinin, felsefenin ve bilimin besigi oldugunu tasarlamak ise daha kolay degildir gercegi soylemek gerekirse. M.O. 1000'den baslayarak on iki Ionia kentinin en onemlisi ve en buyugu olan Milet, ayni zamanda Anadolu'nun bir numarali denizcilik ken- ti olma islevini de MO VII-VI yy'dan baslayarak ustlenmistir. Miletli denizciler Ege, Marmara ve Karadeniz kiyilarinda sayisiz koloniler kur- makla kalmamislar, Karadeniz ticaretini de tekellerine almislardi; kent ayni zamanda cok gelismis bir kultur ve sanat merkezi haline de gelmisti. Milet, ayni zamanda bu yazinin konusunu olusturan Thales'in dogup ye- tistigi sehir olarak da bilinir. Antikcag tarihcisi Apollodoros, Thales 'in M.O. 624-546 yillari arasinda yasadigini bildirir; ne yazik ki yasami ve ogretisi hakkindaki bilgimiz az sayida fragmandan ibarettir. Caginda bile pekcok rivayetin merkezini olusturan bu siradisi insan daha o donem- de bir efsane haline gelmisti. Herodot, Lidyalilar ve Medler arasindaki savasin sonlarinda gorulen gunes tutulmasini Thales'in onceden hesaplayip haber verdigini yazar; gercekten de gokbilimcilerin calismalari M.O. 28 Mayis 585'de Kucuk Asya'da gorulmesi olasi olan bir gunes tutulmasinin gerceklestigini gostermistir. Bu gunes tutulmasini onceden hesaplayabilmesinde Babilli- lerin astronomi birikiminin payi oldugu dusunulebilir. Aristoteles'in ogrencisi Eudemos'un yazdigi Matematik Tarihi'nden, Thales'in Misir gezisinde geometri ile tanistigini ve donuste bu alanda pek cok ilerle- meyi sagladigini ogreniyoruz: Bir dairenin capla iki esit parcaya ay- rildigini, yine her ikizkenar ucgenin taban acilarinin esit olduklarini ilk kez Thales gostermis. Benzerlik teoremlerinden yararlanarak gemiler arasindaki mesafeyi hesapladigi, piramitlerin yuksekligini insanin golgesinin buyuklugu kendisi kadar oldugu zamani bekleyerek olctugu de ayni yapitta anlatiliyor. Diogenes Laertius'un *Filozoflarin Yasamlari* adli yapitinda Thales' in yasamina iliskin -gercekligi kuskulu- kisa oykuler de bulunabilir. Yildizlari gozlerken bir kuyuya ya da hendege dustugu, zeytin darligini dogru bicimde tahmin ederek depoladigi zeytinyagindan iyi gelir elde ettigi gibi rivayetlere kuskusuz hem hosgoru hem de temkinle yaklasilma- lidir. Bununla birlikte politikayla da ilgilendigi ve dogdugu kentin Krezus'le birlesmesine karsi cikip Ionia kentlerinin ozgurluklerini koruyabilmelerinin tek yolunun Teos'ta ortak bir hukumet kurmalarindan gectigini saggoruyle onerdigi biliniyor. Thales'in politika ve matematik alanindaki basarisi gozardi edile- meyecek boyutta olsa da, onemi herseyden once felsefe (ve dolayisiyla bilim) tarihinin basinda yer almasindan gelmektedir. Thales'in (carpiciligi belki ilerideki satirlarda ancak anlasilabilecek) unlu sozu *Herseyin basi su.* Thales, boylece anamadde, ilkmadde, temel madde (Yunanca arkhe) kavramini ortaya atiyordu, tum seylerin kaynagi olan TEK madde fikrini. Burada belki biraz soluklanmak ve Thales'in devrimci yaklasimini daha derinlemesine incelemek gerekir. Thales'den onceki kusaklarda da kuskusuz bir evren (kozmos) tasarimi vardi, ama bu tasarim (neredeyse tumuyle) dinsel/mitsel ogelerin egemenligindeydi. Thales'in adimi 3 asamada goruldugunde belki daha carpici hale gelecektir: 1- Tum seylerin TEK BIR kokeni vardir. 2- Bu koken ise doganin ustunde ya da disinda degildir. 3- Bu anamadde (arkhe) sudur. Birinci ve ikinci asamalar baslibasina felsefi etkinligin basladigini ongormektedir, ucuncu asamada Anamadde sorununa verilen yanit ise, kendinden cok, ulasilmasinda izlenen yontem araciligiyla carpicidir; anamaddenin ne olduguna, doga icinde, gozlem yoluyla karar veriyor Thales; bu aslinda genis anlamda bilimsel etkinligin de basladigi anlamina gelmektedir. Thales'in anamadde olarak suyu secmesinde, Milet gibi denizin insan yasami uzerinde onemli etkisi olan bir yorede yetismis olmasinin, Nil'in Misir'daki yasamsal onemine tanik olmasinin da payi oldugu dusunulebilir; baska bir deyisle suyun tukenmezligini, vazgecilmezligini surekli izlemisti Thales. Bu noktada ilk filozoflarin ogretileri hakkindaki bilgimizin onemli bir bolumunu borclu oldugumuz Aristoteles'e kulak verelim: (Metafizik, I.kitap, 983 b 6 ve devami) "Ilk filozoflarin cogunlugu seylerde sadece maddi ilkelerin bulunduguna inaniyorlardi. Cunku seylerin neden meydana geldiklerini, ilk olarak nereden ortaya ciktiklarini ve son olarak neye karisarak yok olduklarini gerci tOzun(substantia) oldugu gibi kaldigini, ama durumlarinin degisti- gini, iste butun bunlari seylerin ogesi ve ilkesi (arkhe) diye acikliyor lar ve bu yuzden boyle bir tOzun her zaman oldugu gibi kalacagini dusune rek, herhangi bir seyin hicten dogamaycagina ve hice karisarak yok olma- yacagina inaniyorlar... Zira kendisi oldugu gibi kalirken digerlerini meydana getiren bir tek ya da bircok tOzun mevcut olmasi gerekir. Boyle bir ilkenin sayisi ve cesidi konusunda hepsi sozbirligi etmiyor, sadece bu tur felsefenin kurucusu olan Thales suyu ilke olarak acikliyor (bu nedenle dunyanin suyun uzerinde yuzdugunu soylemistir) Onu bu inancina goturen sey, herhalde seylerin sivi bir varliktan beslendigi, sicagin kendisinin de ondan ciktigi ve onunla surdugune iliskin gozlemi olmustur (Bir seyin kendisinden meydana geldigi sey onun ilkesidir). O, gorusunu bu olgudan ve seylerin tohumlarinin nemli bir yapida olmasi, suyun ise nemli seylerin dogasinin kaynagi olmasi olgusundan cikarmisti." Aristoteles, daha sonra (belki biraz cekinerek) Thales'in eski tanridogum (theogoni) ogretilerinden etkilenmis olabilecegini soyler; sonsuz Okeanos'un tanrilar ve insanlarin babasi oldugunu dusunmesi bu ogretilerde de dile getiriliyordu. Kuskusuz mitten tumuyle ve tek darbede kopusu Thales'te bulmayi beklemek belki haksizlik olur; kaldi ki yukarida anamadde sorusunu ortaya atisi ve yanitlayisindaki yontemi Thales'i mitten bilim ve felsefeye gecisin baslangicindaki ozgun dusunur kimliginden soyutlayamaz. Yine Aristoteles tarafindan dile getirilen, Thales'in tum seylerin tanrilar ile dolu olduklari, miknatisin bir ruhu oldugu, cunku demiri hareket ettirdigi dusuncesi spekulasyona fazlasiyla aciktir. Yalniz burada, Thales'le baslayan Milet felsefe geleneginin canli ile madde arasinda bir ayrim yapmadigi (hylozoizm) goz onune alinmalidir. Hatta onlar icin canli/cansiz diye bir karsitligin sozkonusu olmadigi, madde- nin kendiliginden canli ve yaratici oldugu dusuncesinin (acikca dile getirilmese de) benimsendigi soylenebilir; *suya* verilen yaratici (ve belki tanrisal) sifatlar boylece daha saglam bicimde degerlendiri- lecektir. Thales'in ilk zincirini olusturdugu Miletli doga filozoflari ile birlikte (henuz saf bir butunluk icinde bulunan) bilim ve felsefenin kuskuya yer birakmayacak bicimde basladigi guvenle ileri surulebilir; 2600 yildir surup giden buyuk bir dusunsel maceranin da... Hakan AYDIN (Kontrol ve Bilgisayar '91) ([email protected]) Istanbul --------------------------------------------------------------------------- 6.3 Muzik Uzerine --------------------------------------------------------------------------- ITU-MD Uluslararasi Kurulusu Bsk. Dr. Kaya Buyukataman'dan Turk Sanat Muzigi ile hasir nesir olmasi ve bu alanda cesitli faaliyetlerde bulunmasi dolayisiyla sizler icin kendisinden muzik uzerine yazi yazmasini istedik. Kaya bey, bu konuda doyurucu bilgi temin edebilmek icin cesitli girisimlerde bulundu.Bizlere ulasan yazilari asagidaki sekilde duzenledik: --------------------------------------------------------------------------- 6.3.1 Notes on the Turkish Music --------------------------------------------------------------------------- [Bu yazi Meral Demirtas tarafindan, TC Washington Buyukelciligi'nin WWW sayfasindanki ozgun yazida birtakim duzenlemeler ve eklemeler yapilarak aktarilmistir. Yazinin yayinlanmasina izin veren, sayin Buyukelcimiz Nuzhet Kandemir'e icten tesekkurlerimizi sunariz.] Turkish music can be graded under four headings as follows: 1. Non-religious music (with or without words) a. Classical Turkish Art Music b. Turkish Folk Music c. Western type of classical music 2. Military music 3. Islamic mystic music 4. Pop music 1.a) Classical Turkish Art Music (`Turk Sanat Muzigi': TSM) The history of classical Turkish Art Music or `TSM', especially in regard to melodic variations, can be divided into four periods: The first is the formation which goes back to the years 1360-1453, when the Turks adopted Islam. After the conquest of Istanbul, but before the period of classical music, Ottoman music was influenced by Byzantine music, mainly in the years 1640-1712. The greatest proponents of the Ottoman style after the exemplary classical music created by Itri, Ebubekir Aga, Tab'i Mustafa Efendi, Kucuk Mehmet Aga, Sadullah Aga, Padisah III Selim and Ismail Dede Efendi. The period from 1955 onwards has been designated as the reform period. Intended reforms in music during the Republican Period led to debates on the subjects of European, Turkish, polyphonic and monophonic music. Refik Fersan, Cevdet Cagla, Saadettin Kaynak, Selahattin Pinar, Suphi Ziya Ozbekkan, Lem'i Atli, Rauf Yekta, Suphi Ezgi, Huseyin Saadettin Arel are this period's composers who were noted for their work. Currently, three groups represent the TSM: The first group favors polyphonic music. The second group prefers an indi- vidual interpretation of classical music. the Nevzat Atlig chorus, Bekir Sidki Sezgin, Meral Ugurlu, Niyazi Sayin, Necded Yasar, Ihsan Ozgen, Erol Deran and Cinucen Tanrikorur are this group's composers. The third group preserves traditional ties coupled with high quality. Yalcin Tura, Mutlu Torun, Ruhi Ayangil are considered as the "new wave" composers in this last group. Rich Turkish music has been developed in two areas, classical Turkish Art Music (the TSM) and Turkish folk music. It is generally said that Ottoman composers availed themselves of the rich musical heritage found in the cultural centers of the Abbasid and the Timurogullari, where Turkish, Arab and Iranian musicians performed and created music known as Ottoman court music. This music was based on mode and human voices. The mode and musical instruments of the TSM can be found in all middle- east countries. However there have been local changes in the mode. Although written sources show 600 modes, only 212 of them could have come to present These can be divided as follows: - Simple modes - Combined modes - Modes with changing pitch Through the centuries many instruments have been used in the TSM such as the ud, tanbur, kemence, ney, kanun, kudum, bendir, def , halile, lavta, santur, rebap, musikar, cenk and sinel keman. The various types of the TSM differing in modes and pitch include tunes and spirituals and are classified as kar, murabba beste, agir semai, yOruk semai, sarki, pesrev, saz semai, taksim, gazel, ilahi and kaside. 1.b) Turkish Folk Music Turkish music is a product of thoughts, feelings, migrations and changing geographical positions . It expresses the changes in the ways of life of the Turkish people throughout history. Ballads and songs are especially important. Turkish folk music encom- passes all natural and communal events. It branches out into "Kirik Hava" and "Uzun Hava" and uses wind, string, and rhythm instruments. The lively Turkish folk music, which originated in the steppes of Asia, is in complete contrast to the refined Turkish classical music of the Ottoman court (the TSM). Until recent days, folk music was not written down, and the traditions have been kept alive by the 'asiklar', or Turkish troubadours. 1.c) Western type of classical music After the proclamation of the Turkish Republic,the western classical music educations and activities have been organized. The orchestra was renamed as the `Riyaseti Cumhur Musiki Heyeti', and in 1958 it was again renamed as the Presidential Symphony Orchestra which is its current title. In 1924, the Music Teachers Academy and in 1936, the Ankara State Conservatory were opened. Adnan Saygun, Ulvi Cemal Erkin, Ferit Tuzun, Muammer Sun, Nevit Kodalli, Ilhan Baran, Ilhan Usmanbas, Cemal Resit Rey can be given as examples of the western type of Turkish classical music composers. 2. Turkish Military Music (`Mehter Marches') In 1826, Sultan Mahmut II attempted to modernize the Turkish Army and organize a military band similar to the bands of western armies.As a result of this, the Imperial Band was founded in 1828. Ottoman military music is distinct from Turkish folk music. It is performed by the `Mehter Takimi' (Janissary Band). 'Mehter Marslari' was originated in Central Asia, and is played with kettle drums, clarinets, cymbals and bells. This music has also inspired some famous western classical music composers such as Mozart(Rondo "Alla Turca", piano sonata No:11 in A, K. 331) and Beethoven (Turkish March op. 113). The `Mehter Takimi' plays populer `Mehter Marches' in their traditional clothes at Istanbul Harbiye Military Museum. 3. Islamic Mystic Music The mystical music of the Whirling Dervishes is dominated by the haunting sound of the reed pipe or `ney', and can be heard in Konya during the Mevlana Festival in December. 4. Turkish Pop Music The flow of pop music from the west has also influenced Turkish Music. Since the 1960's, Turkey has followed world trends and produced artists in this field of music. --------------------------------------------------------------------------- 6.3.2 Turkish Music --------------------------------------------------------------------------- Introduction A. In every established human group in the earth, there is a kind of music distinctive of the lifestyle and character of the inhabiting people. The development of this art over the years has led to patterns of musical change from one nation and one people to another. These changing patterns enable us to study the different cultural aspects of societies. In some primitive groups music is considered to be a rhytym or a beat rather than a melody. Rhythm takes the place of melody and thereby becomes the music of these primitive groups. In advanced societies, however, music has de- veloped into newer and different elements. The first musical sounds in nature are those made by the human voice and those made by nature's birds. In order to replicate these sounds man has invented musical instruments. With the advancements made in science and technology, these musical devices have been developed further. By studying these developments, it is easier for us to understand the evolution of the cultural, musical, and technological aspects of a people. These studies make music into a device to study cultural characteristics. B. Music has indirectly affected the evolution of man. It can never be denied that it has affected man psychologically. With its powers of relax- ation it brings the human spirit into a state of tranquility. Religious chants, choral songs, and marches sung by people for only a duration of time tend to unify them in action and in emotion. Music is a universal tongue. No matter how different the race, religion, people or nation, music will influence and answer people in some way. By maintaining a unity of emotion and thought, in large societies music also maintains a unity of international relations. Even in situations in which there are enemy nations, music acts as a healing agent. It provides a mu- tual understanding of feelings between the people. Many nations, since the Middle Ages, have attempted to use the healing powers of music even as a cure for the sick. C. Music is an aesthetic art. It has played an important part in the moral development of man. This development is largely seen in the use of music in religious ceremonies and the musical readings of religious books. When words are melodically said they are more effective. The mind has a tendency to record and remember these kinds of words rather than spoken ones. Since music has been used in religious ceremonies, its main develop- ment has taken place in religious temples. Even though the listening of music was considered to be an enjoyment, the earlier performers of this art did not receive any due honor or respect. Musicians were often ordered to enter homes and palaces through back doors. However, after the worldwide recognition of the famous musicians and com- posers, achievement in music was finally realized to be a difficult goal to attain. Society recognized it to be a valued and respected art. D. Music has indirectly opened few frontiers in technology and business. It is considered to be the principle cause for the advancement of the sci- ence of acoustics. In the construction of religious temples, opera houses, and concert halls, acoustics have been kept in mind and the buildings were built accordingly. Music has influenced the further development and invention of newer musical instruments. In order to these things there has been a new technology and more opportunities in business created. New findings in physics and math- ematics have also affected music. The result of these have been the cre- ation of temperament and harmony. In the last few years especially, the new developments in the field of electronics have brought about changes and inventions of newer musical instruments. The broadcasting, recording, and listening fields are all products of the changes brought on by this art. Even television commercials done with music have opened new fields in job opportunities. Music has been recognized to be an educational subject to study and as a result of this it has been entered into many of the school curriculums. There have been created many special schools and conservatories to study this worthwhile subject When one looks at the social, technical and economic influences brought on by music, one will realize how vast and important they are. Music, in its every form, is considered to be a perpetual factor in man's life. As an important constituent in daily life, it has taken its place as an extremely popular art. E. There is a primitive character in human nature which sometimes needs to reveal itself. As a result of this, man may become a devastating creature. This characteristic of human nature may be disciplined through education. Music may bring human nature to a state of tranquility. Music with its educational and disciplinary manners may enable man to strive for perfection. In this way man may be freed from those distractive sensations within him. Distractive potentials may be kept under control by people who deal in music. Music has so many rules and measures, that peo- ple who are knowledgeable in this art find it helpful in keeping order in their every day lives. Music is a branch of the fine arts containing the threesome of melody,rhythm and harmony. It is not necessary to have all three of these elements present simultaneously. Even today, many of the nations of the world do not use harmony in their music. The amount of melody, rhythm and harmony used from one country to another is different. These different amounts are in ratio with the cultural position, aesthetic knowledge, hab- its and technological positions and opportunities of the people. The amount of this ratio has led people to develop a type of music character- istic of them. In this proposal, we would like to study the very different physical constitution of Turkish music; a music which addresses many different people and fields. TASK OBJECTIVE Music is as old as the history of man. People, according to the regions which they inhabit, have developed and created their music. In this way, music geography has involved. Every group, every people, and every nation carries differences in their music. These differences are especially no- ticeable in melody and rhythm. In music geography, Turkish music holds a truly significant and distin- guished place. Significant because it has put such a lasting imprint on the lands and people that the Turks have come in contact with. Distin- guished because its physical constitution of sounds, tunes and rhythms is richer and more natural than those of other musics. CURRENT STATUS OF THE PROPOSED TASK People who have tried to investigate and analyze Turkish music theory have not agreed upon one decision. The ratio between musical notes and the num- ber of notes in one octave have also been topics of intense controversy. The causes to these controversies have been due to the lack of scientif- ically analyzing the music and the lack of technologically measuring its sound frequencies and intervals. Those who have studied and played Turkish music have often been steered in the wrong direction because of its small sound intervals. These small in- tervals are only noticeable in instruments like the Kanun and Tambur. The tunes in Turkish music and the tunes used to compare it, when investi- gated reveal that there are forty-one different notes in one octave. When we examine the dispersion of sounds in one octave, we can be sure that we can arrive on new conclusions. There are many different opinions as to what the rules of these sounds in one octave are. We do not believe that the roots of Turkish music theory have originated in the music of the Byzantines and Greeks. We also cannot accept the beliefs of many people who say that Turkish music is the same as that of the Arabs. In fact, there are very few things common to both Turkish and Arabic music. The sounds contained in notes, and the way these notes are used are very different in these two kinds of music. These differences are immediately noticed when listened to. There are many common names to both Turkish and Arabic music. The reasons for these common names are that during the Middle Ages the Arabs were very developed in subjects as literature and science, and they also left a marked effect on the lands and people they conquered. Besides this, the fact that the religion of Islam was composed in Arabic also effected other Islam countries. Some of the Turkish tunes bear Arabic and Persian names as Hicaz, Nihavent, Tebriz, Isfahan and Nisabur. The rhythms contained in Turkish music present an important difference. The rhythms used in the varied arrangement of beats also gives this music more importance and richness. There are many kinds of rhythms present in the music of the Western world. Turkish music has attracted the attention of some of the renowned and hon- ored musicians of the West. The repertoires bringing about the works in Turkish music are different. To investigate these would be to offer the music world new compositions and works. The Turkish instruments have different specialties. Especially in- struments as the Kanun, Ney and Kudum (small drum) have within them sounds particular to themselves and they have the capacity to initiate all sorts of sounds. If all these things were to be researched and investigated, then there would be great contributions made to the musical world. These new contrib- utions and specialties of Turkish music will permit people to use and enjoy this music in a light other than their own. According to present knowledge, the relationship of music to physics and mathematics was presented by Pythagoras. The scales invented by him showed the intervals and frequencies in this way: DO - RE - MI - FA - SOL - LA - SI - DO 1 9/8 81/64 4/3 3/2 27/16 243/128 2 9/8 9/8 256/243 9/8 9/8 9/8 256/243 When we investigate this Phythagorean scale we see that there are two halftones each containing four commas (koma). Because of this, this scale cannot give the sounds of the major scale. In an octave which contains fifty-three commas, it is impossible to get five whole tones and two half- tones out of it. Because of this, the Pythagorean scale has become obso- lete. In the scale created by Zarlino (1517) the intervals and frequencies have measured up to those of the major scale. DO - RE - MI - FA - SOL - LA - SI - D0 1 9/8 5/4 4/3 3/2 5/3 15/8 2 9/8 10/9 16/15 9/8 10/9 9/8 16/15 This musical scale has been used for quite a number of years. With the use of logarithms and the invention of the piano the diatonic scale has been divided into twelve equal parts. In this way, the element of temperament was created. Because of this, the job of transposition was made easy. Also, the making and use of keyboard instruments was facilitated. With the decision to use the temperament scale the major tone interval was adjusted by a 0.002 measurement and was fixed from 1.125 to 1.123. On the scale at the bottom it is shown the relationship between the diatonic and temperament scale. Diatonic Temperament DO 1= 1.000 1.000 RE 9/8= 1.125 1.123 MI 5/4= 1.250 1.260 FA 4/3= 1.333 1.335 SOL 3/2= 1.500 1.498 LA 5/3= 1.667 1.682 SI 15/8= 1.875 1.888 DO 2= 2.000 2.000 If we compare these two scales in the above diagram we see that the adjust- ments made in the RE - FA - SOL sounds are quite small. But the adjust- ments in the MI and SI sounds is quite large in comparison. Because of these facilitating devices and fixations which were very small and some- times even unnoticeable, the constant use of temperament began after 1850. Even if the Pythagorean or temperament scale were fully analyzed, we cannot find the full fifth and fourth sections of the scale. In the Turkish music to be analyzed in this proposal, it is impossible to play works using the Pythagorean and temperament scales. The intervals used in Turkish music are very small. In this music there are many modes - key (makam). The intervals between these keys and modes are so small that it is impossible to play in the temperament scale. It is wrong to say "quarter-tone" and "micro-tone" to those sounds contained in one octave of Turkish music. As we will analyze later on, we will see that these notes are not created through the symmetric division of tones. Be- cause of the greater number of notes, there is also an equal ratio of keys and modes. For example, the keys called MI - minor may have the same in- tervals as the MI - minor keys called: (Ussak, Huseyni, Muhayyer and Bayati). These keys are entirely different than each other. Without going into any further detail, let us present the close relation- ship between Turkish and the Zarlin scale: DO - RE - MI - FA - SOL - LA - SI - DO 1 9/8 5/4 4/3 3/2 5/3 15/8 2 COMMA 9 8 5 9 8 9 5 9/8 10/9 16/15 9/8 10/9 9/8 16/15 When we analyze the Turkish compositions up to date, we see that the major natural (Rast) scale has a similar constitution as the above. The number of notes have been separately named in Turkish music. When we investigate these sounds with a sonometer and a frequency counter, we see that the in- tervals and fequencies are like the diagram below. Notes Name Sonometer m.m. Frequencies Frequencies CPS/HZ SOL Rast 1000 1 293.34 Nigar 986.54 1.02 299.21 Dik Nigar 965.98 1.04 305.07 Nim Zirgule 949.21875 1.05349 309.03 Zirgule 936.44261 1.06781 313.23 Dikce Zirgule 916.666 1.09090 320 Dik Zirgule 901.01623 1.10985 325.56 LA Dugah 888.8888 1.125 330 Dilara 876.97 1.14029 334.49 Dikce Dilara 858.46 1.16487 341.70 Nim Kurdi 843.75 1.18518 347.66 Kurdi 832.39343 1.2035 353.03 Ussak 814.8 1.2372 362.92 Segah 800.90332 1.2485 366.23 SI Puselik 790.12345 1.26562 371.26 Dikce Puselik 773.4 1.29299 379.29 Dik Puselik 759.375 1.31687 386.29 DO Carigah 750 1.33333 391.12 Niyaz 739.80 1.35171 396.51 Dikce Niyaz 724.6 1.38007 404.83 Nim Hicaz 711.91406 1.40466 412.04 Hicaz 702.33196 1.42382 417.66 Dik Hicaz 687.5 1.45454 426.67 Saba 675.76176 1.47981 434.09 RE Neva 666.6666 1.5 440 Gulizar 657.6 1.52068 446.08 Dik Gulizar 643.7 1.55351 455.71 Nim Hisar 632.8125 1.58024 463.55 Hisar 624.29507 1.6018 469.87 Dik Hisar 611.5 1.63532 479.70 Hisarek 600.67749 1.66478 488.35 MI Huseyni 592.59259 1.6875 495 Dilaviz 580.25 1.72234 505.23 Dikce Dilaviz 569.53125 1.75583 515.06 FA Acem 562.5 1.77777 521.49 Nevruz 554.9 1.80212 528.63 Dik Nevruz 543.12 1.84121 540.10 Evic 533.93554 1.87288 549.39 Mahur 526.75308 1.89842 556.88 Dikce Mahur 515.6 1.93949 568.93 Dik Mahur 506.82163 1.97308 578.78 SOL Gardaniye 500 2. 586.68 The notes used in Turkish music may be written and named according to those of Western music. Here we have a very important point. In Turkish music there are thirteen different tunes with each tune (accord) being half a tone different from the other. The LA3 = 440 sound when transposed to dif- ferent notes creates other tunes. When we take this LA3=440 sound into Turkish music, as LA (Dugah), this tune is called Mansur. When we take this same sound as RE (Neva), it is called Bolahenk. Today, it is this latter tune that is used in Turkish music. Because of this, when we make a four note transposition, we get: LA3 = 440 ~= RE3 When Turkish music started to be written in Western notes, it was preferred to use a G-clef. The beginning point of this G-clef has been named Rast in Turkish (G=SOL=Rast). When we arrange these names in order, we see that: SOL3 = Rast LA = Dugah SI = Segah DO = Carigah RE = Neva MI = Huseyni FA = Acem SOL4= Gerdaniye MI = Huseyni If we took DO3 at the beginning of the scale rather than SOL3, then we would have to place many auxiliary lines below the staff. Again, if we took DO4 instead of SOL3, then we'd have to place many auxiliary lines above the staff. In this way, it would be very difficult to read notes or we would have to switch to a different key. Whereas the range of sounds in Turkish music has three octaves, it is very convenient and reasonably to use the middle octave. Since Western music has only one tune, it has been necessary to write dif- ferent notes and use different clefs for certain instruments. Because of the varied tunes in Turkish music, it is convenient to use only one kind of note and clef. The result of this is very practical and time-savings. The comparison of the temper scale used in Western and Turkish music is shown in the diagram below. DO3 - RE MI FA SOL LA SI DO4 COMMA 9 9 4 9 9 9 4 Rast Dugah Segah Sarigah Neva Huseyani Evic Gerdaniye COMMA 9 8 5 9 9 8 5 As shown in the above, there are different intervals between the two scales. This difference gives a distinctive taste to Turkish music. When we analyze the Turkish scale we see that the sections marked (Tetrachord) 4/3 and the sections marked 3/2 (Pentachord) have intervals that are important. Because of this, there have been created many differ- ent and varied modes - keys (makam). Turkish music contains very melodic and rich rhythm chapters. To investi- gate these chapters and to bring them out into the open will prove to be a great aid to the musical world. It is our decision to fine accurately the modes-keys (makam) in Turkish music and to measure the intervals and find their ratios. In the last few years, there have been many experimental rhythms, forms, and melody arrangements used in Western and Jazz music. People like change and are interested in new things. This makes it easy to attract peoples' attention to the music field and gives the opportunity to musicians to find newer arrangements for their compositions. Analyzing Turkish music in a methodic and scientific way to find out all its rules, enables the musical world to open newer and broader fields for musicians in our time and in times to come. Our involvement with Turkish music for more than a quarter of a century will make it easier for us to study and analyze it. Esber Koprucu* *Yazar hakkInda, Erge Edgu'den temin ettigimiz aciklamayi sunuyoruz: Esber Osman Koprucu, 1926 senesinde Eyup-Istanbul'da dogdu. Musiki egitimini Istanbul Devlet Konservatuari'nin Kanuni Bolumu'nde bitirdi. Bir sure cesitli sanatcilarla calistiktan sonra 1953 senesinde Amerika Birlesik Devletleri'ne gitti. Yurt disinda cesitli yerlerde calistiktan sonra, 30'lu yaslarinda Elektronik egitimi gormeye karar verdi ve Elektronik Muhendisi oldu. Yasantisini A.B.D.'de surduren Esber O. Koprucu evli ve 3 cocuk, 4 torun sahibi. Muhendislikten emekli olan Esber bey hic ara vermedigi musiki hayatini halen surdurmektedir. --------------------------------------------------------------------------- 6.3.3 ITU'de Turk Sanat Muziginin dogusu/tarihcesi --------------------------------------------------------------------------- ITU'DE BILINEN (VEYA BIZIM BILEBILDIGIMIZ) ILK MUZIK TOPLULUGU 1952 YILINDA O ZAMAN GENC BIR AVUKAT OLAN PROF.ERCUMEND BERKER TARAFINDAN KURULAN VE YONETILEN KORO'DUR. 1953 YILINDA ISTANBUL'UN 500. FETIH YILDONUMU TORENLERINE HAZIRLANAN BU KORO, DAHA SONRA CALISMALARINA ARA VERMISTIR. (BU YILLARDA ITU GUMUSSUYU BINASINDAKI KONFERANS SALONU AVRUPA'DAN KONSERLER VERMEK UZERE ISTANBUL'A GELEN UNLU MUZISYENLERIN UGRAK YERI IDI) DAHA SONRA 1960'LI YILLARDA SN.DOGAN KOCER TARAFINDAN KURULAN TURK MUZIGI KOROSU, SN.KOCER'IN TRT'YE GECMESINDEN SONRA BIR MUDDET AYDOGAN OZDAGDEVIREN TARAFINDAN CALISTIRILDIKTAN SONRA KAPANDI. 1971'DEKI 12 MART MUHTIRASI ILE BUTUN SOSYAL FAALIYETLERIN YASAKLANMASINDAN SONRA KURULAN ILK MUZIK TOPLULUGU 30.11.1974 YILINDA MAKINA FAKULTESI OGRENCILERINDEN OSMAN SIMAV VE ARKADASLARI TARAFINDAN KURULAN ITU TURK MUZIGI KOROSUDUR. ITU TURK MUZIGI KOROSUNUN KURULUSUNU UNIVERSITE YONETIMIMIZE KABUL ETTIRMEMIZ KOLAY OLMAMISTIR. BU KONUDAKI CALISMALARI KRONOLOJIK SIRA ILE KISACA OZETLEYELIM : MAYIS 1973 BOGAZICI UNIVERSITESI TURK MUZIGI KOROSUNUN KONSERINDE ITU'DE DE TURK MUZIGI KOROSU KURULMASINA KARAR VERILDI VE BU KONSERDE TANISTIGIMIZ ITU'NUN HUKUK MUSAVIRI, PROF. AVUKAT ERCUMEND BERKER'IN HUKUKI DESTEGI ILE KURULUS CALISMALARINA BASLANDI. EKIM 1973 IS HUKUKU HOCAMIZ PROF.DR.MUNIR EKONOMI'YE KONUNUN ANLATILMASI VE TAVSIYESI UZERINE REKTOR YARDIMCISI SN.PROF.DR. KEMAL KAFALI ILE GORUSULDU. KASIM 1973 SN.PROF.DR.KEMAL KAFALI, BIR OGRETIM UYESININ KORO CALISMALARININ MESULIYETINI UZERINE ALMASI VE HERHANGIBIR FAKULTENIN CALISMA YERI TAHSIS ETMESI HALINDE UNIVERSITE YONETIMININ KORONUN KURULUSUNU KABUL EDEBILECEGINI BILDIRDI. ARALIK 1973 UZUN ARASTIRMALARDAN VE IKNA TURLARINDAN SONRA HOCAMIZ PROF.DR.AHMET RASIM BUYUKTUR FAHRI BASKAN OLMAYI KABUL ETTI. MAYIS 1973 BOGAZICI UNIVERSITESI TURK MUZIGI KOROSUNUN KONSERINDE ITU'DE DE TURK MUZIGI KOROSU KURULMASINA KARAR VERILDI VE BU KONSERDE TANISTIGIMIZ ITU'NUN HUKUK MUSAVIRI, PROF.AVUKAT ERCUMEND BERKER'IN HUKUKI DESTEGI ILE KURULUS CALISMALARINA BASLANDI. EKIM 1973 IS HUKUKU HOCAMIZ PROF.DR.MUNIR EKONOMI'YE KONUNUN ANLATILMASI VE TAVSIYESI UZERINE REKTOR YARDIMCISI SN.PROF.DR. KEMAL KAFALI ILE GORUSULDU. KASIM 1973 SN.PROF.DR.KEMAL KAFALI, BIR OGRETIM UYESININ KORO CALISMALARININ MESULIYETINI UZERINE ALMASI VE HERHANGIBIR FAKULTENIN CALISMA YERI TAHSIS ETMESI HALINDE UNIVERSITE YONETIMININ KORONUN KURULUSUNU KABUL EDEBILECEGINI BILDIRDI. ARALIK 1973 UZUN ARASTIRMALARDAN VE IKNA TURLARINDAN SONRA HOCAMIZ PROF.DR.AHMET RASIM BUYUKTUR FAHRI BASKAN OLMAYI KABUL ETTI. KASIM 1974 SOSYAL FAALIYETLERE SUSAMIS YAKLASIK 60 HEVESLI GENCIN 1,5 YILDIR SABIRSIZLIKLA BEKLEDIKLERI ITU TURK MUZIGI KOROSUNUN CALISMALARA BASLAMASI KARARI, BIZIM ISRARIMIZ ERCUMEND BERKER'IN VE FAHRI BASKANIMIZ AHMET R. BUYUKTUR'UN CABALARI ILE NIHAYET KOMISYON VE ITU YONETIM KURULUNCA NIHAYET KABUL EDILDI. 30 KASIM 1974 CUMARTESI SAAT 11.00 KORO CALISMASI BASLADI. BARDAKTAN BOSANIRCASINA ONCEKI GECEDEN BERI YAGAN YAGMUR ALTINDA GUMUSSUYU BINASININ GIRISINDE FAHRI BASKANIMIZ PROF.DR. AHMET RASIM BUYUKTUR ILE KARSILASTIM. BIRAZ GEC KALMISTIK, BU HAVADA KIMSENIN GELMEMIS OLACAGINI TAHMIN EDEREK BIRLIKTE BOMBOS KORIDORDAN KONFERANS SALONUNA DOGRU YURUDUK, HIC SES GELMIYORDU. KAPIYI ACTIGIMIZ ZAMAN SEF SOZER YASMUT'UN ELI BASLAMA KOMUTUNU VERMEK UZERE HAVADA IDI, YAKLASIK 70 KISI SERIF ICLI'NIN "HASRET DOLU AHIM SANA HUSRANIMI SOYLER"DIYE BASLAYAN USSAK SARKISINI SOYLEMEYE BASLADILAR. YALNIZ DERS DINLEMEYE ALISTIGIMIZ BU SALON VE KORIDORLARDAN BOYLE AHENKLI BIR SESIN YANKILANMASI BIZE COK HOS GELDI. 28.05.1975 KORO ILK KONSERINI SOZER YASMUT YONETIMINDE MACKA KONSER SALONUNDA VERDI. COK BASARILI GECEN KONSERDE 620 KISILIK SALON TAMAMEN DOLU IDI. KONSERIN ASSOLISTI SU AN INGILTERE'DE OGRETIM UYESI OLAN DR. MUH. MEHMET ATLAR IDI. 1975-1977 YILLARINDA KOROYU BEKIR SITKI SEZGIN, NEVZAT SUMER, HAYDAR SANAL, SADETTIN HEPER, AKA GUNDUZ KUTBAY GIBI DEGERLI MUZISYENLER CALISTIRDI. 12.01.1977 YILINDA TURK MUZIGI KOROSUNU DEGERLI SES SANATCISI INCI CAYIRLI YONETMEYE BASLADI. YINE BU YIL REKTORLUGE BAGLI OLARAK ITU MUZIK MERKEZI KURULDU. MUZIK MERKEZI YONETIM KURULUNDA SU DEGERLI ISIMLER BULUNUYORDU: ITU MUZIK MERKEZI 1. YONETIM KURULU: MERHUM PROF.DR.KEMAL ERGUVANLI (BASKAN) PROF.ERCUMEND BERKER (TURK MUZIGI BOL.BASK.) MERHUM PROF.DR.ADNAN ATAMAN (BATI MUZ.BL.BASK., ITU'DE TV YAYININI BASLATAN DEGERLI HOCAMIZ) PROF.DR.AHMET RASIM BUYUKTUR PROF.DR.MEHMET KUCUKDOGU PROF.DR.AHMET ARISOY DR.MUH.OSMAN SIMAV-GENEL SEKRETER YUKARIDAKI KISILERIN HEPSI ITU MEZUNLARI DERNEGININ KURUCU UYELERINDENDIR (VEFAT EDEN IKI HOCAMIZA RAHMET DILIYORUZ). 1979 YILINDA DEGERLI HALK MUZIGI SANATCISI SAHIN GULTEKIN YONETIMINDE ITU MUZIK MERKEZI'NE BAGLI OLARAK ITU TURK HALK MUZIGI KOROSU VE OPERA SANATCISI SERDAR OZTURK YONETIMINDA ITU COKSESLI KOROSU KURULDU. FAHRI OLARAK YAPTIGIM GENEL SEKRETERLIK GOREVINDEN AYRILDIGIM 1981 YILINA KADAR ITU MUZIK MERKEZINDE 3 KORONUN KONSERLERI, TV PROGRAMLARI, TURK MUZIGINDE ORKESTRASYON DENEMESI, AKA GUNDUZ KUTBAY NEY RESITALI, ARIF SAG BAGLAMA RESITALI, ELK. Y.MUH. MURAT OZAR PIYANO RESITALI GIBI ILK DEFA YAPILAN VE BUYUK ILGI DUYULAN KONSERLER OLMAK UZERE 40 CIVARINDA KONSER, PANEL VE KONFERANS DUZENLENDI. DAHA SONRA YOK (YUKSEK OGRETIM KURUMU) KANUNU ILE MUZIK MERKEZI, ITU GUZEL SANATLAR BOLUMUNE DONUSTU. 1985 YILINDA SN.INCI CAYIRLI ITU TURK MUZIGI KOROSU SEFLIGINDEN AYRILDI. YERINE SN.DOC.DR.ESER COLAKOGLU ATANDI. 1988 YILINDA YINE TARAFIMIZDAN, 1979-1985 YILLARINDA ITU KOROLARINA DEVAM ETMIS OLAN MEZUNLARIMIZIN ISTIRAKI ILE ITU MEZUNLARI TURK MUZIGI TOPLULUGU KURULDU. INCI CAYIRLI YONETIMINDE CALISMALARINA HALEN DEVAM EDEN TOPLULUK KURULDUGU YILDAN BERI ULUSLARARASI ISTANBUL FESTIVALINE KATILMAKTADIR. PEK COK TV.PROGRAMI YAPAN VE RUSYA BASKUDISTAN CUMHURIYETINDE KONSERLER VEREN TOPLULUK 30 UYEDEN OLUSMAKTADIR. HALEN ITU'DE ITU TURK MUZIGI KOROSU ESER COLAKOGLU, ITU COKSESLI KOROSU DOC.DR. SERDAR OZTURK ISE YONETIMINDE CALISMALARINA DEVAM ETMEKTEDIRLER. Dr. Y. Muh. Osman Simav (Makina '75) ITU-MD Turkiye Merkezi ve ITU-MD UluslararasI KuruluSu Kurucu Uye ITU-MD Uluslararasi KuruluSu Turkiye Birinci BaSkan Vekili --------------------------------------------------------------------------- 6.4 I.T.U. Turk Musikisi Devlet Konservatuari'nin (TMDK) Dunu, Bugunu, Yarini --------------------------------------------------------------------------- Kurulusunun 20. yilini kutlamaya hazirlanan I.T.U. T.M.D.K. kurucularinin ilk gunku heyecanli, iyi niyetli, ileriye donuk gelismeler iceren dusuncelerinin bugun acaba ne kadari gerceklesti? Bir okul icin 20 yil uzun bir sure olmasina karsin, ne yazik ki yukaridaki soruya olumlu bir cevap vermek zor gorunuyor. Gecen 20 yil icinde aktif gorevlerinden ayrilan kurucularin yerini alan yeni yoneticiler belki de muhafazakar cevrelerin elestirilerinden cekinerek gerekli reformlari yapamamistir. Ornegin: Mevcut nota isimlerinin sadelestirilmesi (96 adet olan bu isimler uluslararasi isimlerin kullanilmasiyla yedi adete inebilir), makamlarin sadelestirilmesi ve daha az sayiya indirilmesi, diapezonla sesinin esas alinarak, meydana gelen ses ile o sesin adinin uluslararasi nitelikte olmasi ve yazili transpozisyonun (gocurme) kullanilmasi gibi. Bugun I.T.U. T.M.D.K.'nda ogretilen iki ayri solfej (nota bilimi) sistemi ile ogrenciler hem bati muzigi hem de Turk muzigi sistemleri arasinda bocalamaktadir. Yapilacak reformlarla her iki sistem birlestirilerek basit fakat kapsamli bir ogretim saglanmalidir. Gelisimini tamamlamis bati muzigi ile Turk muziginin ozelliklerini ogrenecek olan yeni nesil, Turk muziginin sahip oldugu cok zengin ritm, makam ve ses araliklari ile cok sesli calismalara baslayip uluslararasi platformda muzigimizi butun ulkelere duyurabilirler. Bugun ulkelerin sicak ve soguk savaslar yerine, ekonomik ve kultur savaslari ile egemenlik saglamaya calistiklari gozonune alinirsa konunun onemi cok daha iyi bir sekilde ortaya cikar. Bu calismalarin yani sira, ulusal ve uluslararasi cagrilarla siparis ya da yarisma yollari ile Turk muzigi cok sesli besteleri uretilmeli, zaman icinde bunu halkin begenisine sunmalidir. Ekonomik sartlar, mevzuat gibi nedenlerle fazla birsey yapmanin mumkun olmadigi soylenebilir, ancak sartlar ne kadar zor olursa olsun, daima bir yerlerden baslamak mumkundur. Aksi halde, ilk olmanin ayricaligi ile I.T.U. T.M.D.K.'nin, bugun Anadolu'nun pek cok ilinde bulunan Turk Musikisi Devlet Konservatuarlarindan pek farki kalmayacak ve piyasaya eleman yetistirme agirlikli, siradan bir sanat okulu sifatini tasimaya devam edecektir. Doc. Necati Giray I.T.U. T.M.D.K. ogretim uyesi =========================================================================== =========================================================================== 7. Mizah =========================================================================== 7.1 Ilk sayimizda sorulan bilmecenin yaniti, Sibel Demirbas 7.2. "Varsayalim 20 sene sonra dede oldugumda", Ersin Beyret =========================================================================== --------------------------------------------------------------------------- 7.1 Ilk sayimizda sorulan bilmecenin yaniti --------------------------------------------------------------------------- Ilk sayimizda kendi konu grubumuzu tanitan giris yazimizi sunarken, Sibel arkadasimiz sizlere bir bilmece yoneltmisti. Ilgili yazimizdan animsatma yaparak, bilmecenin yanitini sunuyoruz: ".... Bakin, Sibel Demirbas arkadasimiz bu sayimizda bizimle soyle bir bilmece paylasmak istemis: `Adamin biri gokdelenin 55. katindaki dairesine son bir defa daha baktiktan sonra cami acip asagiya atlamis. Tam 26. katin onunden gecerken telefon sesi isitmis. Kendi kendine "tuh keske intihara kalkismasaydim" demis. Sizce adam niye intihar ettigine pisman olmus.' Sibel bu bilmecenin yanitini bir dahaki PETEK'te bulabilirsiniz demis." Yaniti Sibel'den sonunda ogrenmeyi basardik. :-) "Dunyada nukleer savas cikmis. Adam da dunyada tek kendisinin kaldigini saniyormus." --------------------------------------------------------------------------- 7.2. "Varsayalim 20 sene sonra dede oldugumda" --------------------------------------------------------------------------- [PETEK-L'de degisik konular uzerinde yazismalarimiz oldu. Bir ara sessizlikten sonra PETEK-L tekrar hareketlenmeye baslayinca, Ersin arkadasimiz listeye bir yazi yazip, "Tatilde miydiniz?" diye sordu. PETEK-L sakinlerinden birkaci da kendisine, "Tatil de ne demek" diye sordu. Ersin bu sorumuza once liste icinde yanit verdi. Bu yanitini PETEK'te yayimlamak icin istedik ve Ersin'in yeni duzenlemesini iceren yazisini sizlere asagida sunuyoruz.] Tatil mi demistik? "Varsayalim 20 sene sonra dede oludugumda" Eskiden, bizim zamanimizda boylemiydi ya... Her yilin belirli zamanlarinda dukkanlar vitrinlerine tatilleri ozenle yerlestirir ve musterilerin onlari buyuk bir hevesle satin almalarini beklerlerdi. O zamanlar annemle beraber her yilin o ayinda iki sokak otedeki dukkandan tatil alirdik.. Hem de 2 gunluk haftasonu tatilinden.. O zamanlar gunlugu 25 kurus muydu neydi.. Simdi olsaydi tabii ohooo..enflasyon malum.. neyse ne diyordum..2 gunluk tatil tum aile icin bir nese kaynagi idi.. onu alir eve getirirdik.. sonra babam icinden tatil gazetesini cikarir okumaya dalardi..annemse televizyonu acar bir eglence programi arar bulurdu.. ben de iki gun boyunca okula gitmeyecek olmamin verdigi sevincle evin orasini burasini karistirir sonra da arkadaslarla futbol oynamaya giderdim.. Anneleri babalari tatil almis diger arkadaslarimla berber iki gunun tadini cikarirdik.. Iki gun bitince yenisini hevesle beklerdik..Sonra bir gun bir karar aldik arkadaslarla aramizda...Anne babalarimizin tatil almadigi ama canimizin da cok istedigi zamanlarda para toplayip sira ile aramizdan birisine tatil alacaktik...Bir kac kisiye aldik ama sonradan ne olduysa bozuldu bu anlasma..cocukluk iste... Bazen, buyuyunce tatil dukkani acip hergun tatil yapalim derdik...Oyle ya onca insana tatil satan, onca satilacak tatili olan adamin hergun tatil onca insana tatil satan, onca satilacak tatili olan adamin hergun tatil yapmasi gerekmez miydi? Ama buyudukce anladik ki, hic de dusundugumuz gibi kolay degilmis tatilcilik.. Bizim mahallenin tatilcisinden hatirlarim.. Bir sabah cok erken kalkmam gerekmisti ve onu dukkanini acarken gormustum. Once dukkanini bi guzel temizledi.. sonra vitrinleri.. ve sonra sira tatillere geldi.. Ama onlari temizlemek icin su kullanmamisti.. Cunku herbirine ayri ozen gosterilmesi gerekiyormus..sonradan ogrendik... Tatiller aslinda tek tip degildiler.. Yani kislik tatil, yazlik tatil, iki gunluk tatiller, bayram tatilleri, yariyil tatilleri gibi... Bu yuzden mesela yazlik tatili suyla yikamiyor tam tersi uzerine bir sure parlak bir isik tutarak yaz sicakligini yansitmasini sagliyordu... Kislik tatili ise soguk su ve buz ile tazeleyip vitrine koyuyordu.. Tatilcilerin isi cok zordu, her aksam satilmayan tatilleri dukkandaki ozel bolmelerine itina ile yerlestirmek ve her sabah da ayni itinayi onlarin vitrinlerde en guzel ve cekici halleriyle gorunmesini saglama k icin gostermek gerekiyordu.. Bu yuzden, buyuyunce tatilci olma fikri zamanla silindi akillarimizdan.. O zamanin tatilleri de tatildi yani.. Hem her dukkanda bulunabiliniyorlardi hem de ucuzdular.. Simdilerde sadece buyuk alisveris merkezlerinde cok pahaliya satiyorlarmis diye duydum bir kac eski dosttan... Uzun zamandir tatil alamiyorum.. sadece eski gunlerin ozlemi ile yasiyorum.. Ersin Beyret (BOUN, EE ogrencisi) ([email protected]) Editor, Imagination E-Journal Istanbul =========================================================================== =========================================================================== 8. Dilimiz, Deyimlerimiz ve Atasozlerimiz =========================================================================== 8.1 TUrk Dil Kurumu'na CaGrI, (Duzenleyen: O. Haldun Unalmis) 8.2 TUrkCe Uzerine, Tuncer Oren 8.3 Bilgisayar Dunyasinda Turkce Terimler, D. Turgay Altilar 8.3.1 SayIn D. Turgay Altilar'In yazIsIna iliskin kIsa bir yorum, O. Haldun Unalmis 8.4 Turkcenin Yetersizligi!, K. Turgut Gursel 8.5 PETEK-L'den Turkce uzerine alintilar, (Duzenleyen: Meral Demirtas) =========================================================================== --------------------------------------------------------------------------- 8.1 TUrk Dil Kurumu'na CaGrI --------------------------------------------------------------------------- PETEK'in Turkcemize yeni bilimsel terimler kazandIrma CalISmalarI devam ediyor. AsagIda ingilizcedeki "e-mail" ve "homepage"in Turkce karsIlIklarInI bulmak amacIyla PETEK icinde ve dIsInda yapIlan yazIsmalardan bir demet sunmak istiyoruz sizlere. Hersey yagmurlu bir *internet* gununde, yazIsmalarImIz sIrasInda bir satIr aralIgInda meteoroloji uzmanImIz Meral'in su soruyu sormasIyla basladI: "... e-ulak [Buna niye `b-ulak' demiyoruz ki?] ..." Ve de sonra asagIdaki gibi dallanIp budaklanIp devam etti. Bu agacIn uzerinde sizin de bir dalInIzIn veya yapragInIzIn olmasInI istiyorsaniz, lutfen goruslerinizi bize yazInIz. Adresimiz: ITU Mezunlari Dernegi
Bunun yanI sIra, goruslerinizi daha dinamik bir ortamda sunmak ve diger arkadaslarla tartIsmak isterseniz PETEK-L listesine de yazabilirsiniz. PETEK Tartisma Listesine kaydolmak isterseniz,
adresine iletisini gOndermeniz yeterlidir. Dergimizin UC ayda bir CIktIgI gozonune alInIrsa, tartIsmalarIn PETEK-L listesinde yer almasInIn bizlere cok zaman kazandIracagI acIktIr. ---------------------------------------- - Haldun: "b-ulak" daki b= bilgisayar mI? Oyle ise eger, bilgisayar-ulak sozcugu benim pek hosuma gitmedi. Bir tamlama olusturmuyor gibi. Oysa "e-ulak" daki elektronik kelimesi Turkceye yerlesmis bir kelime ve de bu kelime "ulak"I tanImlIyor. Ornegin "nasIl ulak?" diye bir soru soruldugunda "elektronik" kelimesi daha anlamlI oluyor (bir sIfat gorevi goruyor). Oysa, "bilgisayar" kelimesi bunu veremiyor gibi. Neyse, bu benim gorusum. Sizin argUmanlarInIz neler? ---------------------------------------- - Meral: Evet, b: bilgisayar icin. TURKCE-L'de bir zamanlar bu konuda tartismalar olurken, `b-ileti' onerisinde bulunmustum. Simdi de aklima `e-ulak'tan, `b-ulak' geldi. ---------------------------------------- - Harun: Su b-ulak da nereden CIktI? Muhayyileniz bayaGI zenginmiS, hani. YanlIS hatIrlamIyorsam, b-ileti, e-ulak, e-mektup, e-posta vardI, sinan'In PETEK'in ilk sayisina yazdIklarI arasInda. Ben e-mektup'u tercih edenlerden oluyorum, ef'em. (Yine bir nifak noktasI bulduk :-) ) ---------------------------------------- - Haldun: Hem "e-ulak" hem de "b-iletisi" birlikte kullanIlabilir. Bence iki ayrI kelime olmasI guzel. isteyen e-ulak isteyen de b-iletisi kullanIr. ---------------------------------------- - Meral: Iyi de dergide her ikisini de ayni anda kullanmak biraz kargasa olmaz mi? Benim oyum, "b-iletisi" uzerine. Ne de olsa TURKCE-L'de bunun onerisini yapmistim bir zamanlar. :) ---------------------------------------- - Haldun: Hadi ben de baska bir oneride bulunayIm.:-) Bunu Sibel'le birlikte cok onceden beri kullanIrIz biz: "Elektronik ileti" veya kIsaca: e-ileti Harun'un sevdigi "e-mektup"daki mektubun Turkce oldugundan da emin degilim. Ama "ileti" Turkce olmalI. ---------------------------------------- - Harun: HaklIsIn. Mektup Arapca kaynaklI, ileti TUrkCe. siz Onerirsiniz de ben boS mu dururum. Bir yeni Oneri de benden: e-betik (elektronik betik) [Bunun patenti bana aittir:-)]. Hadi bakalIm. Hodri meydan. ---------------------------------------- - Meral: Anladigim kadariyla, "evsayfasi" sozcugunde anlastik. ---------------------------------------- - Haldun: Evet, "evsayfasI" oldukca uygun. ---------------------------------------- - Harun: YaSasIn muhalefet! Ben, ev sayfasI demiyorum, ilk sayfa diyorum. Ev sayfasI "tIpatIp Ceviri" oluyor da. ---------------------------------------- - Meral: `Evsayfasi' tercume kokuyor olabilir ama `ilk sayfa' onerisinin de `homepage' icin tam karsilik oldugu gorusunde degilim. Ev ziyareti yapiyoruz o kadar... :-) Cagrisimi guzel oluyor, `evsayfasi' demenin..... ---------------------------------------- - Haldun: Meral'in "bilgisayar iletisi" onerisine karsI bir argUman buldum;-) "Bilgisayar iletisi" dendiginde sanki iletinin yalnIzca bilgisayar ile gonderilebilecegi gibi yanlIs bir kanI olusabilir. Oysa biliyoruz ki, bugun artIk "organizer" denilen aletler ve hatta hesap makinalarI bile "e-mail" gonderebiliyor. "Elektronik" kelimesi ise hepsinde bulunan ortak bir nokta! YasasIn "e-ileti"! ---------------------------------------- - Haldun: Bu sefer de "ulak" hakkInda yorum yapalIm efendim. Belki yanlIs biliyor da olabilirim (o zaman duzeltirsiniz) ama "ulak" dendiginde canlI/kanlI bir "haberci" anlasIlmIyor mu? Veya en azIndan bir anlamI degil mi bu? Yani bir "etkenlik" soz konusu. Oysa "ileti" kelimesi "edilgen" bir kelime. Herhangi bir yanlIs anlama soz konusu degil. ---------------------------------------- - Meral: Dun bir mesajin satir araliginda, `e-ulak' ve `b-ulak' lafi ettim. Guzel ve verimli bir tartisma ortaya cikti. Keske, PETEK-L'ye tasimis olsaydik. `E-ileti' onerisini destekliyorum. Haldun hakli, `b-ileti'deki bilgisayar isi tam tanimlayamiyor, `e-ulak'taki `ulak' da canli anlaminda kullaniliyor genelde. Bu nedenle `e-ileti' daha makul. ---------------------------------------- - Harun: Bir Oneri daha o zaman: b-betik ---------------------------------------- - Meral: Beyler, Asagidaki iletiyi Tuncer beyden yeni aldim. Bizim dunku tartismadan bahsetmistim, kendisinin [8] numaraya gonderdigi yazisiyla ilgili yanit verirken. Sayin Oren'in yazisinda bizim tartistigimiz oneriler uzerine bazi aciklamalar var. ---------------------------------------- - Tuncer Oren: Meral, "Carsamba, 16 Agustos 1995 13:40:32 +0100 (BST)" tarihli iletini kisaca yanitlamak isterim. Terimleri irdelememizde, onerilerimizi aciklamamizda gercekten yarar var. Sonunda, pek cok kavram icin, dil begenimize uygun, adi gecen kavrami karsilayan, ve yakin anlamli kavramlari birbirinden ayirabilen bir terimde karar kilabilirsek ne mutlu. "'E-mail' icin Turkce oneriler: E-ulak, e-ileti, b-ileti ve e-mektup. [b: bilgisayar] E-ileti uc arkadasin ikisinden destek aldi, tartismalarin son haliyle" diyorsun. "mektup" ingilizce "letter" karsiligi, dolayisi ile e-mektup kullanilmayan "e-letter" karsiligi olabilir. "e-mektup" bu yuzden "e- mail" karsiligi olamaz (gibime geliyor). "'ulak' (postaci) mektup, paket, gazete, kitap, para vb. gibi seyleri gonderilene ulastiran gorevli" anlamina gelir diyor, O. Hancerlioglu, sozlugunde. Dolayisi ile "ulak" ulastirani belirtiyor, ulastirilani degil. "ozel ulak" ulastirilmasi istenen bir nesnenin ozel bir kisi tarafindan yapilmasi kavramini icermekte. Ve kavram genislemesi ile ozel bir kisi tarafindan ulastirilmis bir nesneyi de belirtmekte. Ama gene de, "ulak" ulastirilan nesne anlaminda degil. Bu nedenle "e-ulak" terimini "e-mail" diye kullanmaktan cekinirim. "iletinin" basindaki "e" ve "b" oneklerine gelirsek, "e" yi yeglerim ben de. "Electronic" karsiligi alismis oldugumuz "elektronik" te "e" ile basladigi icin. Gelelim "ileti" sozcugune. "mail" karsiligi "ileti" dersek, "message" kavramini hangi terimle karsilayacagiz sorunu ortaya cikmakta. "message" icin alisilagelmis "mesaj" kullanilabilir ama gene de Turkcesi "ileti." Ustelik iletilmek kavramini da acikca belirtiyor. "message" karsiliginda "ileti" kullanildiginda, yakin kavramlar icin baska terimlerimiz kalmakta. Ornegin: - duyuru "announcement" (Osm. ilan) - bildiri "declaration" (Osm. tebligat) - teslim "delivery" "e-message" diye bir terimim karsiligi "e-ileti" olabilir. Turkcede alisik oldugumuz baska bir terim "posta" ve "mail" sozcugunun karsiligi. Ornegin, "mailman" karsiligi "postaci" diyoruz. Bence, "mail" "posta" ile karsilandigi surece e-mail"in karsiligi olarak "e-posta" diyebiliriz. "home page" icin -belirttigimiz gibi- "ev sayfasi" cok ceviri kokuyor. Umarim, "yerel sayfa" karsiligi tutar. "bir yere ozgu anlamina." Dostlari evlerinde ziyaret etmek iyi ve geleneksel misafirperverligimizle de bagdasiyorsa da ornegin, City Bank'i veya IBM'i evlerinde degil de yerel sayfalarinda ziyaret etmek daha uygun gibi geliyor bana. Ev ile ilgili hosuma giden bir ceviri gene ingilizceden yapilmis. "White House"I Beyaz Ev diye cevirememisiz; Beyaz Saray diye cevirmisiz, vaktiyle. "ilk sayfa" da kavrami gayet iyi veriyor. Siralama yaparsak ev sayfasindan cok daha fazla yeglerim. Bu gunlerde epey calisacaksin; seni daha fazla mesgul etmiyeyim. Selam ve sevgiler ---------------------------------------- - Harun: Home Page, ya da Almanca Cevirisi "Heimatseite"nin karSIlIGI iCin bir Oneri: Yuva sayfasI ---------------------------------------- - Meral: Fransizlar da sunu kullaniyorlar: "panneau d'accueil". Tam Turkce karsiligini bilemiyorum ama "resepsiyon/hos geldin panosu" gibi bir anlam cikiyor. Ispanyollarin da "merkezi sayfa" gibi bir sey kullandigi rivayet ediliyor. Ingilizce sozlukte `home' icin iki sayfa aciklama var. Anlami genis yani. `Homepage'in islevini dusunecek olursak, bir kitabin onsozu ve beraberindeki icindekiler sayfasini kapsiyor sanki. Icindekilerden baska baska yerlere geciyorsunuz. "Bilgi evi", "Ana sayfa" veya "Ana betik" demek de uygun dusebilir. Cunku ana aciklamadan baska baska yerlere geciliyor. Buralarda kisiler bilgilendirildigi icin "Bilgi evi" demek de uygun dusebilir. [Ogretmenevi, halkevi vb. ornekler de var Turkcede.] ---------------------------------------- - Meral: Isterseniz bu onerileri [8] numarada siralayip, herkese sunalim. Okuyuculardan bu konudaki goruslerini PETEK-L'ye ya da bizlere gondermelerini de oneririz. Haldun, bu isi sen yapabilir misin? Bunu senden rica etmemin nedeni, benim ve Harun'un yapmis oldugu onerilere vermis oldugun yanitlardan yaziyi bir nevi hazirlamis durumdasin. Bu oneri uzerinde dusun istersen. Selamlar. --------------------------------------------------------------------------- 8.2 TUrkCe Uzerine --------------------------------------------------------------------------- "Ari Kovani"miza konuk ettigimiz, Prof. T. Oren ile Turkcemizle ilgili yazismamiz da oldu. Kendisinden gelen yaniti asagida ilginize ve bilginize sunuyorum. (M. Demirtas) - Prof. Oren: Bu yazIda, bUyUk ve kUCUK harfler iCin her yerde, Su alfabe kullanIlmIStIr: a b c C d e f g G h I i j k l m n o O p r s S t u U v y z A B c C D E F g G H I i J K L M N o O P R s S T u U V Y Z Meral, Haziran 5, 1995 tarihli nazik CaGrIna Cok teSekkUrler. MayIs 24, 1995 tarihli iletin o kadar Ozendirici idi ki, zaten yazmayI dUSUnUyordum. Once CaGrIndaki felsefeni paylaStIGImI belirtmeliyim: "Bence genCliGin, TUrkCe'nin anlatIm zenginliGinden haberdar edilmesi ve sonradan seCim SansInIn onlara bIrakIlmasI lazIm." Once, ArapCa kelam'dan tUretilmiS "kelime" demektense, TUrkCe "sOz" den tUretilmiS olan sOzcUk demeyi yeGlediGimi belirtmeliyim. BazIlarImIzIn, -cik ekinin kUCUltme anlamIna geldiGi, oysa ki sOzcUk'Un "kUCUk sOz" olmadIGI, dolayISI ile yanlIS tUretilmiS olduGunu dUSUnmeleri, yersiz. "sIGIrcIk" kuSu kUCUk sIGIr olmadIGI, "elmacIK kemiGi" nin kUCUk elma kemiGi anlamIna gelmediGI gibi "sOzcUk" te kUCUk sOz anlamInda deGildir. Bu yazImda bazI bilgisayar terimleri UstUnde durmak istiyorum: - Hala "kompUtUr" sOzcUGUnU kullananlar var. Bence AydIn KOksal'In yIllar Once OnerdiGi ve CoGunluGun kullandIGI "bilgisayar" terimi, kavramI gayet iyi bir Sekilde karSilamakta. - "To run a program" terimini "program koSturmak" diye Cevirmek terimin kavramInI tam olarak vermemekte. Bence, "program CalIStIrIlIr." "Run" sOzcUGU'nUn karSIlIGI yalnIz "koSmak" deGildir. OrneGin, "the ma- chine is running," TUrkCe'ye "makina CalISIyor" diye Cevrilir, "makina koSuyor" diye deGil. - Yeni bir kavram: "home page." KarSIlIGI henUz bulunmadIGI iCin ingilizcesini aynen kullanmak veya sOzcUklerini tek tek Cevirerek "ev sayfasI" demek birer seCenek. "Home" sOzcUGUnUn tek karSIlIGI "ev' demek deGildir. OrneGin, "my home country is Turkey" "benim ev Ulkem TUrkiye'dir" diye Cevirilemez. TUrkCe'deki "yerel" sOzcUGU "belli bir yere OzgU" anlamInI karSIlamakta. DolayIsI ile "home page"I "yerel sayfa" terimi ile karSIlIyabiliriz gibime geliyor. Sizler ne dUSUnUrsUnUz, bilmek isterim. - "interface"In karSIlIGI olarak "arabirim" terimini "arayUz"e yeGlemek lazIm. Arada bir birim var, yUz deGil. - "Simulation" karSIlIGI 'benzetim" kullanIlabilir; "simUlasyon" sOzcUGU'ne hiC te lUzum yok. - "Fuzzy" nin karSIlIGI "bulanIk. "Fuzzy logic" "bulanIk mantIk." Bu konuda yazIlacak ve sOylenecek Cok Sey var. Gelecek sefer daha ayrIntIlI olarak bazI kavramlarI irdeleriz. Ancak bir ilkeyi hatIrlamamIzda yarar var. KiSi olarak bir sOzcUk veya terimin TUrkCesini bilmememiz, onun var olmadIGInI kanItlamaz. Elimizin altInda iki UC iyi sOzlUk olmasI ve bilmediGimizi arama merakImIzIn olmasI, bize OGrenerek kendimizi aSma yolunu aCabilir. isterseniz, bu konuyu tatlIya baGlIyalIm: YIllar Once, TUrkCe konusunda -gene aSkla- konuSmamI dinleyen ve kuzey Amerika'da oturan bir tanIdIk: "Tabii" demiSti, "yoksa 'culture'ImIzI nasIl 'keep' ederiz." Bir yaz TUrkiye'ye gideceGimi OGrenen bir baSka TUrk tanIdIk ta "TUrkCe'ni 'brush up' yap" demiSti, "gidince lazIm olur." Not: "Time flies like an arrow" nun kaC anlamI olduGunU dUSUnmUs mUydUnUz? Prof. Tuncer Oren (Makina '60), ([email protected]) ITU-MD Uyesi, Kanada --------------------------------------------------------------------------- 8.3 Bilgisayar Dunyasinda Turkce Terimler --------------------------------------------------------------------------- Bilgisayar konusu hem teknolojik hem kavramsal boyutta dusunulenin uzerinde bir hizla gelisiyor. Bu gelisim ayni hizda yeni kavramlari terimleri getiriyor beraberinde. Bir bakiyorsunuz ki bilgisayar dunyasi bir yil icinde yuzlerce yeni sozcuk kazanmis. Bu terimlerin kimi, makalelerin icinde veya bilimsel kitaplarda kalacak duzeyde teknik, kimi bilgisayar kullanicisina yonelik. Bu sozcuklerin hemen hemen tumu ingilizce. Gerek kullanici gerek izleyen kisi olarak bu terimlerle ilk karsilastigimizda cogu kez icerik olarak verdigi bilgiyi kafamizda kuruyoruz ya da anlamaya calisiyoruz ve sozcugu kabulleniyoruz. Sonra da arkadasimiza "dun netsorf yaptim harikaydi" deyiveriyoruz ya da ogrencimize "sorvir-kilaynt" yapisini anlatiyoruz derste. Bu sorun gercekte gundeme yeni gelen bir sorun degil, ancak gunumuzde daha yogun olarak yasanmakta. Yoksa Turkce sozcuk kullanma tembelligimiz her alanda yillardan beri suregelmekte. Gorebildigim kadari ile bilgisayar kullanicilarina hatta daha onemlisi bilgisayar pazarlayicilarina Turkce sozcuk sevdirmek olasi degil. Cunku ne kadar ingilizce sozcuk soylerse o kadar bilgili oldugunu saniyor cogu. (Sanirim cogumuz "konsumirlarin risponslari ..." seklinde baslayan cumleler duymusuzdur.) Aslinda bunun da bir denge icinde oldugunu da soylemek gerekli. Diger deyisle alicilar da bunu bekliyor cogunlukla. Bu alandaki sorunu, simdilik, bir kenara birakip, uzerinde durmak istedigim noktaya, ogrenciye, muhendis adaylarina, bilim adami adaylarina Turkce terimlerin aktarilmasina gelmek istiyorum. Bir kabulu bastan acik olarak ortaya koymak gerekiyor. Bu kabul altinda tartismak anlamli olur. Her ne kadar karsi gorusler varsa da gerek Teknik Universitenin yasanagelen gercegi hem benim kisisel gorusum olarak; "Turkiye de bilim dili Turkce olmalidir, ote yandan muhendis veya bilimadami kendini guncel tutacak, konusacak, tartisacak derecede uluslararasi bilimsel dil olarak kabul gormus olan ingilizce bilmelidir." Bence bu kabulun bir dogal yansimasi da (ya da ikinci kabul) "Yabanci dil egitimi, bilimsel egitimle birlikte olmaz." Bu gorusler altinda, Turkce'nin dogru kullanilmasi icin, yeni terimlerin Turkce'ye kazandirilmasi icin cabalar gerekmektedir. Iyi kotu universitelerimizde bu konu ile ilgilenen en azindan bunu cozulmesi gereken bir sorun olarak algilayip, duzelmesi icin caba gosteren iyi niyetli kisiler var. Ancak her iste oldugu gibi bunda da yalniz iyi niyetle calismak yetmiyor. Ne yazik ki tum cabalarin hep yerel olarak kalmasindan, Turkiye'de bilgisayar egitimi veren universitelerden mezun olan muhendisler ortak bir bilimsel dile sahip degiller. Birbirlerini anlamaz ya da yanlis anlar demeye yakin bir farklilik olusmus. Ben edindigim bilgiler cercevesinde su anki durumu yansitmaya calisayim. (Bu bilgiler son 6 ay once tazelendigi icin yeni gelismeleri dislamis olabilirim. Yeni bilgiler edindigimde itu-l uzerinden ya da PETEK'in bir sonraki sayisinda aktarmaya calisacagim.) Turkce egitim veren ITU, bu konuda Bilgisayar Bilimleri Ana Bilim Dali olarak oldukca dikkatli calismakta. Kaynak kitaplarin cogu ingilizce olmasina karsin, derslerde Turkce sozcuklerin kullanilmasi adi konulmayan bir kural gibidir. Yeni onerilen Turkce sozcukler konusunda ogrencilerin dusuncelerine de basvurulur. Ancak bu calismalar hicbir zaman genel olarak tartismaya acilmadi. Bizim soyle bir sozlugumuz olustu, siz ne dersiniz gibi bir cagriyi bekliyor hersey sanirim. Acikcasi, ITU Bilgisayar Bilimleri Ana Bilim Dali'ndan ders alip mezun olan birinin oldukca kabarik bir Turkce terim birikimi vardir. Benzer yaklasim ODTU bunyesinde de yasanmakta. Kendi iclerinde cok fazla sayida Turkce terimleri var. (Bir ara, Schaum serisi kitaplarini Turkcelestirme calismalarindan hatirladigim kadari ile bilgisayar disinda da bircok konuda Turkce terim ortaya koymuslardi.) ODTU bunyesinde cikan sozcuklerde -mac ekine cokca rastlanir. Bogazici Universitesi'nde bu konuda hassas olarak tanidigim kisi de Bulent Sankur. Onerdigi ya da kullandigi terimleri yazdigi kitaplarda kullanan az sayida birkac kisiden biri. Sozluk anlaminda baktigimizda benim bildigim iki kaynak var. Biri Aydin Koksal'in hazirladigi, bir zamanlar TDK tarafindan basilan Bilisim Terimleri Sozlugu (TDK bir donem yogun olarak benzeri terim sozlukleri basmisti. Ornek olarak Matematik, Fizik ve Sinema terimleri sozluklerini verebilirim.) Ikinci kaynak ilginc. Ilginc cunku bunu hazirlayan bir firma; IBM. Bunun satildigini sanmiyorum. IBM konu ile ilgili ogretim elemanlarina bunlari gonderiyordu. Tum bu iyi niyetli calismalarin ne yazik guzel sonuclarini gormek su ana dek mumkun olmadi. Cunku tum bu calismalar birbirinden kopuk calismalar. Her calisma bunye icinde kalmis ve tartisma ortami hic dogmamis. Ancak yeni bir tartisma ortami olarak az sayida da olsa Turkiye kapsaminda yapilan ulusal bilimsel toplantilar var. Tartismalar bu tur toplantilarda yapagelinir oldu. Bu tartismalarin gerekliligini ve onemini vurgulamak acisindan asagida iki ornek sozcuk sectim. Iki universiteden birer muhendis ogrendikleri sozcuklere gore nasil anlasacaklar ? ITU ODTU Terim saklayici/kutuk yazmac register dosya kutuk file Goruldugu gibi muhendislerden biri kutuk ile "register" derken digeri "file" diyor. Bu ornekleri cogaltmak da mumkun. Yukaridaki manzara biraz gecikmisligi, biraz da umudu gosteriyor. "Ne yapilmali?" sorusuna gelince bulabildigim yanitlar (oneriler) sunlar: - Sozcuk uretmenin ve turetmenin dilbilimi acisindan onemli oldugunu akilda tutup, bu konuyla dogrudan ilgilenenlerin destegini saglanmali, - Tartismalar yogunlasmali, bir tek bilgisayar terimleri sozlugune erisilmeli ve bu guncel tutulmali, - Sozcuk onerilerisinin yerinin ders notu ya da Turkce bir kitap oldugunu dusunerek akademisyenler bu konuda desteklenmeli. Deniz Turgay Altilar (Kontrol ve Bilgisayar '88) ([email protected]) Ingiltere -------------------------------------------------------------------------- 8.3.1 SayIn D. Turgay Altilar'In yazIsIna iliskin kIsa bir yorum -------------------------------------------------------------------------- Merhaba, [PETEK YayIn Kurulu tarafIndan sayIn AltIlar'In yazIsI gOrUSlerime sunulduGunda, onlara asaGIdaki yorumlarI yapmIstIm. ArkadaslarIn Onerisi uzerine, bu yanitimi dergide ilginize ve bilginize sunmak istiyorum.] Turgay'In yazIsIndaki bazI konularda goruslerine katIlamadIgImI belirtmek isterim. Ornegin: [...] Bir kabulu bastan acik olarak ortaya koymak gerekiyor. Bu kabul altinda tartismak anlamli olur. Her ne kadar karsi gorusler varsa da gerek Teknik Universitenin yasanagelen gercegi hem benim kisisel gorusum olarak; "Turkiye de bilim dili Turkce olmalidir, ote yandan muhendis veya bilimadami kendini guncel tutacak, konusacak, tartisacak derecede uluslararasi bilimsel dil olarak kabul gormus olan ingilizce bilmelidir." Bence bu kabulun bir dogal yansimasi da (ya da ikinci kabul) "Yabanci dil egitimi, bilimsel egitimle birlikte olmaz." [...] Benim kisisel gorusum; yukarIdaki iki "kabul"Un birbirleriyle buyuk oranda celistigi yonunde. Hele, ikinci kabulUn birincinin bir dogal yansImasI oldugu gOrUsUne katIlmadIgIm gibi, tam tersinin gerekli olduguna inanIyorum! AsagIda, Turgay'In ikinci kabulUnUn aksine, *yabancI dil egitiminin neden bilimsel egitimle birlikte olmasI gerektigi* konusundaki gerekCelerimi bulabilirsiniz: Once konuya genel bir sekilde yaklaSalIm: 1) Ingilizce dilinde bugUn yarIm milyondan fazla sozcuk oldugu bilinen bir gerCektir. BugUn anadili ingilizce olan orta bilgi seviyesinde bir insanIn gUnlUk konusmada kullandIgI sozcuk sayIsInIn 500-1000 civarInda oldugu istatistiksel bir gercektir. DolayIsIyla yabancI dil ogrenen birisine, 2-3 bin sOzcUklUk bir dagarcIkla gUnlUk konuSma sorununu rahatlIkla COzmUS gOzUyle bakabiliriz. 2) Ancak yukarIdaki varsayIm belli ortamlar icin gecerli olamaz. OrneGin, bir bilim adamInIn kullandIgI dil ile bir garsonun ya da bir pazarlamacInIn kullandIgI dil tamamen farklIdIr. KaldI ki, bilim adamlarInIn kullandIklarI dil de kendi icinde buyuk farklIlIklar gosterir: Bir sosyal bilimcinin kullandIgI dil, muhendislik bilimcisininkinden, veya bir muhendislik bilimcisinin kullandIgI dil, bilgisayar bilimcisininkinden cok farklIdIr. Oyle ki, bu kisiler birbirlerini hic anlamayabilirler ve ortak noktalarI yalnIzca gunluk konusmada kullandIklarI sozcuk dagarcIklarI olabilir. 3) AynI dalIn insanlarInIn (bilim adamI, muhendis, avukat, doktor, egitimci, fotografcI, vb.) bulundugu bir ortamda beklenilen en dogal sey, sozun dOnUp dolasIp kendi alanlarIyla ilgili konulara gelmesidir. Yani belli bir noktadan sonra yabancI dil bilginiz yalnIzca gunluk konusma ile sInIrlIysa tartIsmadan koparsInIz. Simdi bu goruslerin IsIgInda Turgay'In yazdIklarInI degerlendirelim: 4) Turgay birinci kabulUnde der ki: "... muhendis veya bilimadami kendini guncel tutacak, konusacak, tartisacak derecede uluslararasi bilimsel dil olarak kabul gormus olan ingilizce bilmelidir." Bundan *en genel anlamda* UC sey anlasIlabilir: mUhendis veya bilim adamI a) konusup tartIsacak kadar "gunluk" ingilizce bilmelidir, b) bilimsel bir ortamda konusup tartIsacak kadar "bilimsel" ingilizce bilmelidir, c) veya, (a) ve (b) nin ikisine birden vakIf olmalIdIr. Bunlardan (a) nIn yeterli olmadIgI (3)de anlatIlan durumla acIktIr. (c) ise en ideal olanIdIr ve aslInda istenen de bu olmalIdIr. (c) ye ulasmak icin adImlardan biri (a) yI gerceklestirmek olup bunu yapmak zor degildir. Cunku nerede ingilizce ogrenirseniz ogrenin, size hep (a) yI hedef alacak sekilde ingilizce ogretirler. Ya (b)? 5) (b) yi gerceklestirmenin en etkin yolu ve de en ideal olanI; yabancI dil egitiminin bilimsel egitimle birlikte verilmesinden gecer. Bunun da yeri universitedir. 6) En cok korkulan seylerden birisi bir cumle kurulurken yabancI kelimelerin Turkce cumle icinde kullanIlmasIdIr ve bu, sIkca karsIlasIlan hatalardan birisidir. Ancak bunun icin yabancI dile *yuklenmeye* gerek yok. Sorun bu hatalarI yapan kisilerin ya eksik Turkce bilgilerinden ya da Turkce bilgileri yeterli oldugu halde gerekli ozeni gosterememelerinden (bilmeyerek ya da bilerek (!)) kaynaklanmaktadIr. DolayIsIyla sorunun genel anlamda cozumu, ingilizceyi veya bir baska yabancI dili nerede nasIl ogretecegimizin kaygIsInI tasImak ve kendimize gereksiz kIsItlamalar getirmek yerine, aynI zamanda Turkce ogrenimini de iyilestirmekten gecer. Bu da yalnIzca universitede yapIlmasI gereken birsey degildir, ilkokuldan (hatta daha oncesinden) baslar. SaglIcakla, O. Haldun UnalmIS (Ucak '87), ([email protected]) ITU-MD Uyesi, ABD --------------------------------------------------------------------------- 8.4 Turkcenin Yetersizligi! --------------------------------------------------------------------------- TUrkiye'de, Ozellikle yetmiSli yIllarIn ikinci yarIsIndan sonra keskinleSen siyasi kutuplaSma dOneminde dile olaGan iSlevinin, yani `iletiSim kurma', `anlaSma saGlamanIn' tam tersi, yani iletiSimsizlik, anlaSmazlIklarI daha da derinleStirme, uzlaSmayI olanaksIz kIlma iSlevleri yUklenmiSti. Oyle ki, kullandIklarI sOzcUklere gOre insanlar CeSitli siyasal gOrUSlere kategorize edilir ve diGer siyasi gOrUSte olduGuna inanIlan kiSinin gOrUSleri dikkate alInmaz, dikkate alInmak ne kelime, o kiSinin o topluluktan ayrIlmasI istenirdi. Dil, giderek insanlar arasInda `siyasi bir ayIraC' olma OzelliGi UstlenmiSti. ArtIk gelinen nokta gOstermektedir ki, kullanIlan sOzcUkler o kisilerin siyasi gOrUSleri ile ilgili kIstaslar olarak deGerlendirilmemekte, yeni OztUrkCe sOzcUkler hemen herkes tarafIndan benimsenmekte ve dahasI zaman zaman dilde sayIsI artan Amerikanca / Ingilizce sOzcUklere karSIn, dilimiz arIlaSarak geliSimini sUrdUrmektedir. CUnkU dilimizde yaygInlaSma eGilimi gOsteren yeni yabancI sOzcUkler, adeta konuSma sIrasInda dilimize yapISmIS bir `yabancI cisim' duygusu vermekte, uzun bir sUreC iCinde benimsenmediGi iCin yerleSememekte ve bunlar terkedilirken, ya daha Once de kullanIlan veya gereksinim nedeniyle tUretilen TurkCe karSIlIklarI bu sOzcUklerin yerini almaktadIr. Cumhuriyet'ten sonraki devrimler iCinde Onemli bir yer tutan ve `harf devrimi' olarak nitelenen, ancak iSlev ve kapsam olarak gerCekte bir 'dil devrimi' olan yenileSme hareketinden sonra dilimiz, gUnUmUzde her tUrlU gereksinimi karSIlayacak bir `ulusal dil' kimliGini Coktan kazanmIStIr.Zaman zaman Ozellikle aydInlar arasInda alevlenen Onemli bir tartISma konusu ise TUrkCe'nin geliSmiS ve zengin (veya geliSebilecek) bir dil olup olmadIGI yolundadIr. BatI dillerinden birinin, OrneGin FransIzca veya Ingilizce'nin ya da DoGu dillerinden birinin Ozellikle ArapCa'nIn bilim (ve kUltUr) dili olarak kullanImInI ( kuSkusuz ileri aSamada yerleSmesini) gizli veya aCIk savunanlar, gerekCe olarak da bu dillerin zenginliGini/geliSmiSliGini ileri sUrmektedirler. Oysa, bilim ve teknolojinin, bugUnkU dUzeyleri ile karSIlaStIrIl- dIGInda henUz emekleme aSamasInda olduGu yaklaSIk iki yUzyIl Oncesi baSta bilgisayar, elektrik/elektronik ve makina endUstrisi olmak Uzere birCok alanda, bugUn gUnlUk yaSamda, OrneGin Ingilizce'de kullanIlan sOzcUkler bulunmuyordu; diGer bir deyiSle henUz `tUretil- memiSti'. Seksenli yIllarIn baSInda okuduGum bir gazete makalesinde, Ulusal HavacIlIk ve Uzay Dairesi'nin (NASA) bir gOrevlisi, yalnIzca uzay araStIrma CalISmalarInIn yoGunlaStIGI dOnemden o gUne kadar yaklaSIk beS bin sOzcUk tUretmek zorunda kaldIklarInI sOylUyordu. Tarihte, Orne- Gin ikiyUzyIl Oncesi, Ingilizce, FransIzca veya Almanca'nIn bilim ve kUltUr dili olarak yeterli olup olmadIGI konusunda sert tartISmalarIn geCtiGi yolunda kayItlar bulunmamaktadIr. En azIndan alternatif bir dil olarak dUSUnUlebilecek Latince'nin, OlU dil kimliGi o dOnemlerde, yani henUz endUstri devriminden Cok Once somutlaSmIStIr. Bir dilin geliSimini saGlayan, zengin kIlan, her Seyden Once dilin UretkenliGi, baSka bir deyiSle doGurganlIGIdIr. Bunu, toplumun kendi iCinden CIkardIGI bilim adamlarI ve sanatCIlarIn, yarattIklarI eserler ile o dilin zenginleSmesine katkIlarI ve ayrIca dili zenginlestirmek, diGer bir deyiSle gereksinimi karSIlamak iCin dilde yapIlacak CalISmalar izler. Zengin bir alt yapIya sahip TUrkCe, Cumhuriyet'ten sonraki dOnemde gerCekleStirilen titiz CalISmalar sonucunda, CeSitli engellere karSIn hIzlI bir geliSme gOstermiS, OztUrkCe sOzcUklerin halkImIz ta- rafIndan oldukCa Cabuk benimsenmesi ile gUClU bir bilim ve kUltUr dili durumuna yUkselmiStir. TUrkCe'nin bu gUcU ve doGurganlIGIna, bir tek ``sUr'' kOkUnden tUreyen aSaGIdaki sOzcUkler CarpIcI bir Ornek oluSturmaktadIr /1/: SUrmek, sUrU, sUrgU, sUrgUlU, sUrgUsUz, sUrgUlen- mek, sUrgUletmek, sUrgUletme(*), sUrgUlettirmek, sUrgUlemek,sUrgUleme(*) sUrmeci, sUrmecilik, sUrmelemek, sUrmedan, sUrUcU, sUrUcUlU, sUrUcUsUz, sUrUcUlUk, sUrek, sUrekli, sUreksiz, sUreklilik, sUreksizlik, sUrUm, sUrUmlU, sUrUmsUz, sUrUmlUlUk(*), sUrUmsUzlUk, sUrUm sUrUm, sUrdUrmek, sUrdUrUm, sUrdUrUS, sUrdUrtmek, sUrdUrUlmek, sUrdUrUlme, sUre, sUreli, sUresiz, sUreGen, sUreGenleSmek, sUreOlCer, sUreaSImI, sUreyazar, sUredurmak(*),sUregelmek(*), sUrerlik,sUreC, sUrtmek, sUrtUk, sUrtUklUk, sUrtme, sUrtUSmek, sUrtUSme, sUrtUnmek,sUrtUnme, sUrtUnUS,sUrtUStUrmek, sUrtUStUrme, sUrttUrmek, sUrttUrme, sUrUmek, sUrUme, sUrUyUS, sUrUtmek, sUrUtme, sUrUttUrmek, sUrUttUrme(*), sUrUttUrUlmek, sUrUlmek, sUrUlme, sUrUnmek(*), sUrUnme, sUrUnceme, sUrUngen, sUrUndUrmek, sUrUndUrme, sUrUndUrUlmek, sUrUndUrUlme, sUrUSmek, sUrUStUrmek, sUrUStUrme, sUrUme, sUrUyUS, sUrUtUlmek, sUrCmek, sUrCme, sUrCtUrmek, sUrCtUrme, sUrUklemek, sUrUkleme, sUrUkleyici, sUrUklenmek, sUrUklenme, sUrUkletmek, sUrUkletme, sUrUkletilmek, sUrUkletilme... Dilimizin bu OzelliGinden yararlanarak gereksinmeler doGrultusunda sUrekli yeni sOzcUkler tUretmek, kuSkusuz Anadolu'da bu arada Kafkasya ve Orta Asya'da, yani dilimizin ana yataklarInda bu amaCla dil taramalarInda bulunmak, toplumun en Onemli ortak OGelerinden biri olan dilin daha da geliSmesinde ana etmenler olacaktIr. BOylelikle, dilimizin bu gUcU ve zenginliGi ortadayken bilim, teknoloji ve kUltUr alanInda yetersiz olduGunu ileri sUren ve bunu kanItlamak iCin bUyUk Caba harcayanlarInelinden bu son silah da yavaS yavaS alInmIS olacaktIr. /1/ MUmtaz Soysal, 24.1.1988 tarihinde Milliyet Gazetesi'nde yayInlanan makalesindeki bu alIntIyI, dil bilim profesOrU DoGan Aksan'In `TUrkCe'nin GUcU' isimli kitabIndan yapmIStIr. (*): SatIrlarIn yazarI tarafIndan eklenmiStir. K. Turgut Gursel (ITU Gemi InsaatI '83), ([email protected]) ITU-MD Uyesi, Almanya --------------------------------------------------------------------------- 8.5 PETEK-L'den Turkce uzerine alintilar --------------------------------------------------------------------------- PETEK'in ilk sayisini cikardigimiz gun, 19 Mayis 1995, sizlere ayrica PETEK-L tartisma listesinin de faaliyete gectigini haber vermistik. Bu listenin amaci hem sizlerle olan iletisimi ve kaynasmayi artirmak, cesitli konular uzerinde gorus alisverisinde bulunmak ve hem de bu listedeki yazilardan bir kismina PETEK E-Dergi' de yer vermekti. Asagidaki yazilar, PETEK-L'de Turkce uzerine olan yazismalarin bir kismini icermektedir. --------------------------------------------------------------------------- 8.5.1. Grup/Gurup ve Klup/Kulup Sozcukleri Uzerine Yazismalar: (Yazarlar: Meral Demirtas, Oguz Oktay, Harun Taner ve Yavuz Gunalay) --------------------------------------------------------------------------- - M. Demirtas: "Siz, *grup* ve *gurup* arasindaki farki biliyor musunuz? Ben bilmiyordum, yeni ogrendim. Turk Dil Kurumu'na (TDK) gore tanimlari soyle: *Grup*: (isim). (Fr.) "groupe" (TDK Sozlugu 1988, Sayfa:577) 1. Ayni yerde bulunan kimse ve nesneler butunu, kume, obek. 2. (mec.) Gorusleri cikarlari bir olan kimseler butunu. 3. Ortak ozellikleri olan varliklar, nesneler butunu. *Gurup*: (isim). (Ar.) "gurup" (TDK Sozlugu 1988, Sayfa:578) 1. Bir gok cisminin (Ay, Gunes, Yildiz) ufkun altina inmesi. 2. Ozellikle Gunes'in batmasi, batis. Ornek: "Git bu mevsimde gurup vakti Cihangir'den bak." Y. K. Beyatli Yukaridaki kelimelerin hicbirisi Turkce kokenli degil. Yazim hatalarimizin bircogu da bundan kaynaklanmakta. Fransizcadan dilimize gecmis olan *grup* kelimesini "gurup" olarak telaffuz ettigimiz halde, "grup" olarak yaziyoruz. "Grup" kelimesini kullanmak isterken soylenis tarzina gore "gurup" diye yazarsaniz onemli bir hata yapmis olursunuz. Sebebi de yukarida aciklanmis oldugu gibi "gurup" kelimesi, farkli bir durumu tanimliyor." ---------------------------------------- - Oguz Oktay tarafindan yapilan aciklamada da sunlar yer almakta: "Dogan Aksan'in `Turkcenin Gucu' kitabinda Derleme Sozlugunden aktardigi Anadolu agizlarindaki, GURUP kavramini karsilayan sozcuklere bir bakin. Sanirim bu sozcukler anlatilmak istenen kavrami, Turkce dusunenler icin, cok daha iyi karsiliyor. GURUP : GUNINDI (Isparta) GUNINI (Afyon) GUNINIMI (Konya) ---------------------------------------- - Y. Gunalay'in M. Demirtas'a yaniti: "Ben "gurup"un da `grup' seklinde yazildigini saniyordum. O yuzden aciklaman icin tesekkurler. Yanliz asagidaki ornegini anlayamadim. Bir de ona aciklik getirirsen sevinecegim. `..... M. Demirtas wrote: .... Fransizcadan dilimize gecmis olan *grup* kelimesini "gurup" olarak telaffuz ettigimiz halde, "grup" olarak yaziyoruz. Tipki, "tren" kelimesini "tiren" olarak soyledigimiz halde, "tren" olarak yazmamiz gibi. (Baska bir ornek: Kulup-->klup)' Burada "kulup" derken, `klup'un telaffuz edilisinden mi bahsediyorsun, yoksa "kulup" diye ayri bir sozcuk de var mi? Yanimda *kuvvetli* bir Turkceden Turkceye sozluk olmadigi icin bu kelimeye bakamiyorum. Sen aciklarsan sevinecegim." ---------------------------------------- - H. Taner'in yaniti: "SOzlUGe bakIldIGInda 'club' sOzcUGUnden bozma kulUp sOzcUGUnUn klup olarak deGil, kulUp olarak yazIldIGInI gOrUrsUnUz! kulUp ama grup : enteresan bir CeliSki ve ikilem!!" ---------------------------------------- - M. Demirtas'in yaniti: "Harun, bu hangi sozluge baktigina bakar. :-) Lutfen kaynak bildir. Ben, `grup' ve `gurup' kelimeleriyle ilgili listeye aktardigim yazilarda kaynak bildirmistim di mi? :-) Turk Dil Kurumu (TDK) tarafindan yayimlanan Turkce sozlugune gore, (Ankara, 1988) `Club' Turkcemize klup olarak gecmistir. Ana Yazim Kilavuzu (1993) da `club' kelimesinin, `kUlUp' olarak Turkceye gectigini gosteriyor. [*Bu yazim kilavuzu, TDK yayimlarindan degildir.*] Turkcede `club' kelimesine karsilik olarak kullanilmakta olan, Klup ve kulup ayni anlamlardadir. Kullanilan sozluge gore `club' kelimesinin Turkce yazilisi degismektedir. Harun, senin sozluk buyuk bir ihtimalle TDK yayinlarindan degil. Hos, su anda ortalik eski ve yeni TDK uyelerinin yayimlari diye bir suru yayinla dolu. Kime, neye gore inanacagiz? Tum bunlari arastiracak vakit de yok." ---------------------------------------- - Y. Gunalay'in H. Taner'e yaniti: "Gelelim benim durtukledigim ``kl\"{u}p'' sozcugune; ...Harun Taner der ki: SOzlUGe bakIldIGInda 'club' sOzcUGUnden bozma kulUp sOzcUGUnUn klup olarak deGil, kulUp olarak yazIldIGInI gOrUrsUnUz! kulUp ama grup : enteresan bir CeliSki ve ikilem!! Harun, Hangi sozluge baktigini sorabilir miyim? Cunku, yanimda guzel bir Turkceden Turkceye sozluk yok ama T.D.K.'nin Yeni Imla Klavuzu var (basim yili 1993) ve ona gore dogru yazilim ``kl\"{u}p'' seklinde. Fakat, baktigim (siradan) bir Ingilizceden Turkceye sozlukte, ``club'' icin (Harun'un da yazdigi gibi) ``kl\"{u}p'' karsiligi var. Bence bu sozlugu hazirlayanlarin ilgisizligi veya bilgisizligi. Hangisi bilemiyecegim." ---------------------------------------- - H. Taner'in yaniti: 1. TDK TUrkCe sOzlUk, 1982 ! 2. Milliyet'in "gUzel TUrkCemiz" adlI yazIm kIlavuzu 3. Almanca-TUrkCe sOzlUk !! (Almancadan TUrkCeye sOzlUkte de Yavuz'un yazdIGI gibi kulUp kullanIlIyor.) 4. imlA KIlavuzu, TDK, 1993 de klUp yazIldIGIna Sahitim. BOylece gecikmeli olarak kaynak bildirme talebinizi cevaplamIS oluyorum, efendim. HUrmetler. Bu arada, Yavuz'un yazdIGI gibi olay ilgisizlik ya da bilgisizlik deGil. BilinCli olarak yapIlIyor, bunlar. Neden, 1982 yIlInda TDK adIna "TUrkCe sOzlUGU" hazIrlayanlar arasIndaki Prof. Dr. Hasan Eren, 1988 ve 1993 'de sOzlUk ve yazIm kIlavuzunu hazIrlayan kurullarIn baSkanlIGInI yapIyor. Bu bilinCli bir politika deGiSikliGidir. Ne yazIk ki yanlIS bir doGrultuda! -------------------------------------------------------------------------- 8.5.2. Bitisik ve Ayri Yazilmasi Gereken Kelimeler Uzerine Degisik Kaynaklarin Gorusleri. (Yazarlar: Meral Demirtas ve Haldun Unalmis) -------------------------------------------------------------------------- - M. Demirtas: "Turkiye'de, Turkce uzerine calisan profesyonellerin cesitli kelimelere iliskin almis olduklari kararlardaki farkliliklara birlikte bakalim." TDK Turkce Sozluk: (1988) Ana Yazim Kilavuzu: (1993) ---------------------- ----------------------------- Yurt disi Yurtdisi Yurt ici Yurtici Dere otu Dereotu Corek otu Corekotu Tere yagi Tereyagi Hamam bocegi Hamambocegi Ay cicegi Aycicegi Acik goz Acikgoz Alt yapi Altyapi Ata sozu Atasozu Balik sirti Baliksirti Bal mumu Balmumu Basim evi Basimevi Basma kalip Basmakalip Besi birlik Besibirlik Bicer dover Bicerdover Bilir kisi Bilirkisi BU GUN BUGUN Cam gobegi Camgobegi Cala kalem Calakalem Cali kusu Calikusu Demir yolu Demiryolu Deve boynu Deveboynu Deve tabani Devetabani DI$ i$leri DI$i$leri Duz taban Duztaban Ebe gumeci Ebegumeci Es gudum Esgudum Gaz yagi Gazyagi Goz dagi Gozdagi Goz tasin Goztasi GUN AYDIN GUNAYDIN Hava gazi Havagazi Hin oglu Hinoglu ILK OKUL ILKOKUL Kaba kulak Kabakulak Kara fatma Karafatma Kara su Karasu Kat sati Katsayi Kavun ici Kavunici Kazan dibi Kazandibi Kirk ikindi Kirkikindi Kosar adim Kosaradim KOr dugum KOrdugum KOr ebe KOrebe Kus basi Kusbasi Kus palazi Kuspalazi Kulhan beyi Kulhanbeyi Orta oyun Ortaoyun On soz Onsoz Pala biyik Palabiyik Pis bogaz Pisbogaz Semiz otu Semizotu Sinek kaydi Sinekkaydi SOY ADI SOYADI Su cicegi Sucicegi $am baba $ambaba Tere yagi Eteryagi Tuz ruhu Tuzruhu Uyur gezer Uyurgezer Var sayim Varsayim Vurdum duymaz Vurdumduymaz Yavru agzi Yavruagzi Yer elmasi Yerelmasi Zil zurna Zilzurna ----------------------------------------------- - H. Unalmis'in yaniti: "Meral, Butun kelimelerden emin degilim ama, Ana yazIm KIlavuzundakilerin hemen hepsi dogru gibi geliyor bana. (Bu arada TDK sozlugundeki kelimelere hayret ettim. Kimler hazirlamIs bu sozlugu?)" ---------------------------------------- - M. Demirtas'in yaniti: " * Turk Dil Kurumu Sozlugu, TDK Yayimlari, Ankara, 1988 Hazirlik komitesi uyeleri: Baskan: Prof. Dr. Hasan Eren Uyeler: Doc. Dr. Nevzat Gozaydin Doc. Dr. Ismail Parlatir Prof. Dr. Talat Tekin Doc. Dr. Hamza Zulfikar * Ana Yazim Kilavuzu, Adam Yayimlari, Istanbul, 1993: Eskiden TDK uyesi olup da "Ana Yazim Kilavuzu"nun hazirlamasinda gorev alan ekipteki kisilerin adlari: Omer Asim Aksoy Oya Adali Ayla Bayaz Mehmet Deligonul Prof. Dr. Vehice Hatipoglu Doc. Dr. Aydin Koksal Inci Sagin -------------------------------------------------------------------------- 8.5.3 Yabanci Kelimelere Turkce Karsiliklar ve Dilimizin Durumu: [Yazanlar: Meral Demirtas, Oguz Oktay, Harun Taner, Kubra Bahsisoglu] -------------------------------------------------------------------------- - M. Demirtas: "Asagidaki kelimeler, TDK `Yabanci Kelimelere Karsilik Bulma Komisyonu' tarafindan hazirlanmistir. Bu kurul Turk dili ve edebiyati uzmanlarindan olusturulan komisyon her ay toplanip, onceden tespit edilip uzerinde calisilmis kelimeler icin teklif karsiliklari tartisiyor. Komisyonca kabul edilen kelimeler, daha sonra TDK dergisinde yayinlaniyor. Endesks: Gosterge Endeksli: Ayarlama Endekslenme: Ayarlanma Global: Kuresel/Dunya capinda Globallesmek: Kuresellesmek Global olarak: Yuvarlak olarak Nostalji: Sila ozlemi/hasret Nostaljik: Ozlemli Konvertibl: Cevrilgen Konvertibilite: Cevrilgenlik Konsolidasyon: Pekistirme Konsolide: Pekistirilmis Konsolide butce: Destekli butce Metropol: Anakent Kamuflaj: Gizleme Kamufle etmek: Gizlemek Kamufle: Gizlenmis Entegrasyon: Butunlesme Entegre olmak: Butunlesmek/uyum saglamak Entegre: Butunlesmis Yukaridaki kelimelere bakildiginda, yabanci kelimelere karsilik olarak gosterilen Turkce karsiliklara asina oldugunuzu anliyorsunuz. Saniyoruz TDK yetkilileri bu listeyi, Turkce karsiligi oldugu halde yabanci kelime karsiligini kullanan kisilere animsatma olsun diye hazirladilar." TDK disinda Turkce uzerine calismalar yapan gruplar da var. Oguz Oktay'in TURKCE-L'deki bu konuyla ilgili yazisini, PETEK-L uyelerinin goruslerine sunduk. ---------------------------------------- - Oguz Oktay: "Cagdas Turk Dili dergisinin haziran sayisinda guncel bazi yabanci kokenli sozcuklere Turkce karsilik onerileri okurlarin gorusune sunulmus. Adaptor Baglastirici, Uyarlac Antifiriz Donmaonler, Dondurmaz Avenue Agacli anayol Bypass Yangecis Evaparator Buharlastirici Kanalizasyon Atikyolu Konfor Kolaylik, Gonence Jenerator Uretec Operasyon Islem, Islemce, Eylemce Optimum Enuygun Oryantasyon Yoneltme, Yonlenme, Yonlendirme Rating Degerleme,Izlenme orani Reflektor Yansitici Revizyon Gozden gecirme Similator Benzetec Terminal Ondurak,Ucdurak Treyler Takit Tunel Icgecit ---------------------------------------- - PETEK-L'den Harun Taner'in bu yaziya yaniti ise soyle: "YukarIdaki sOzcUklerin karSIlIklarI UC sOzlUkten (iki sOzlUk ve bir yazIm kIlavuzu) derlenmiS ve aSaGIda yorumlarImla sunulmuStur. geleneGe aykIrI olarak kaynaklarI ilk yazalIm: 1."TUrkCe sOzlUk", TUrk Dil Kurumu, 1982. 2."gUzel TUrkCemiz: YazIm KIlavuzu, sOzcUkler KIlavuzu, Terimler KIlavuzu, YazIm KurallarI", Nijat OzOn (Hz.), Milliyet Tesisleri, Istanbul, 1986 3.orhan HanCerlioGlu, "TUrk Dili sOzlUGU", Remzi Kitabevi, Istanbul, 1992 * "AdaptOr" sOzcUGU iCin her UC sOzlUk de uyarlaC karSIlIGInI vermektedir. "adapte etmek" uyarlamak, "adaptasyon" uyarlama, "adapte" uyarlanmIS olarak CevrildiGine gOre uyarlaC en uygun karSIlIktIr "adaptOr" iCin. * "Antifiriz" iki sOzlUkte ([2] ve [3]) donmaOnler ile karSIlanmIS. Bence de uygun. * "Avenue" yabancI bir sOzcUk, TUrkCede bu yazIlISI ile kullanIlISIna rastlamadIm. Anlam olarak aGaClI anayol demek. Bana kalIrsa karSIlIk olarak anayol da yeterli. * "Bypass" sOzcUGU UC kaynakta da yer almIyor, ama sIk kullanIlan bir sOzcUk. YangeCiS bence tamamen sOzcUGU karSIlIyor ve geniS bir kitle de yangeCiS olarak kullanmakta. * "EvaporatOr" : BuharlaStIrIcI olarak kullanIyorum. [2]'de buGulaStIrIcI karSIlIGI verilmiS, "Evaporasyon" da buGulaSma ile karSIlanmIS. * "JeneratOr" iCin UreteC oldukCa uygun ve sIk kullanIlan bir karSIlIk. [1]'de Dinamo Makinesi ve Buhar KazanI karSIlIklarI yazIlI. * "operasyon" sOzcUGU Cok sIk olarak kullanIlIyor. Bu sOzcUk iCin yukarIda Onerilen UC karSIlIk da [3]'de var. iSlemce, hekimlikteki ameliyat karSIlIGI, eylemce askerlikteki harekat karSIlIGI olarak Onerilmekteler Ben her UCUnU de destekliyorum. * "optimum" sOzcUGU yerine genellikle tek bir sOzcUk olarak eniyi sOzcUGUnU kullanIyorum. Ara sIra yukarIda Onerilen enuygun karSIlIGInI da kullanmaktayIm. Bu arada "optimizasyon" iCin eniyileme'yi kullandIGImI eklemeliyim. * "oryantasyon" sOzcUGUnUn karSIlIklarIna gelince, yukarIda OnerilmiS olan yoneltme, yonlenme, yonlendirme sOzcUklerine benzer olarak [2]'de yOnlenim ve yOneltim Onerilmekte. * "Rating" sOzcUGUnUn yukarIda Onerilen karSIlIklarInI ben aynen kullanmaktayIm. * "ReflektOr" sOzcUGUnUn karSIlIGI her UC kaynakta da yansItIcI olarak verilmiS, [2] ayrIca yansItaC Onerisini de iCeriyor. * "Revizyon" iCin her UC kaynak yukarIdaki gOzden geCirme Onerisini yapmIS, [2] saptIrma sOzcUGUnU de ekliyor. Nedeni ise "revizyonizm" ya da "revizyonculuk" sOzcUGU iCin saptIrmacIlIk karSIlIGInI kullanmasI. [3] "revizyona" bakIm, gOzden geCirme ve saptIrma karSIlIklarInI vermiS. * "Simulator" sOzcUGUne bir karSIlIk, verdiGim 3 kaynakta da yok. Ben, "simulate" karSIlIGI olarak benzetmek sOzcUGUnU, "simulation" karSIlIGI olarak benzetim'i, "simulator" karSIlIGI olarak benzetici'yi kullanmaktayIm. Bu arada [2]'de "simUlasyOna" OykUnUm karSIlIGIverilmiS. * "Terminal" iCin [2] yalnIz uC karSIlIGInI vermiS.YukarIdaki Onerilerden uCdurak Su tanIm gOz OnUne alIndIGInda bence daha doGrusu:" otobUs,uCak gibi taSItlarIn yolcularInI ilk aldIGI ya da son bIraktIGI yer." * "Treyler" iCin yine [2]'de gezerev karSIlIGI kullanIlmakta, bence takIt'a gOre daha makul bir kullanIm bu. * "TUnel" iCin 3 kaynakta da bir karSIlIk verilmemiS, Onerilen iCgeCit sOzcUGUnUn "daGda bir yandan ObUr yana aCIlan delme yol" tanImInI karSIladIGI dUSUncesindeyim. " ---------------------------------------- - Ankara'dan yazan, K. Bahsisoglu bir yazisinda sunlari bize iletmisti: "Dilimizin durumu.... Birkac ay once gazetelerde ABD'de yapilan bir arastirmanin sonucu yer aldi. Listelerde tartisilmis ve ben kacirmis olabilirim. O nedenle kisa gececegim. Iletisim ve bilgi aglari ile dunyanin her yeriyle haberlesme olanaklarinin gelismesi, bunlardan yararlanmak icin yaygin olarak kullanilan dili -yani Ingilizceyi- bilmeyi gerektirmektedir. Zararsiz hatta simdi bize ideal gibi gorunen bu durumun sonucunda olacaklari, ABD'li dilbilimciler, "yeryuzunde yasayan 6 bin kadar dilin gelecek yuzyil icinde kaybolacagi" biciminde tahmin ediyorlar. Korkarim somut orneklerinden biri de Turkce olacak. Bugun gerek akademik ortamda, gerek is hayatinda giderek Ingilizce anlasmaya basliyoruz. Bu da yetmezmis gibi, ticaret dunyasinda artik Turkce unvan ve isim kullanmak abes oldu. Ankara-Kavaklidere'de gormeye alistigimiz ve artik kaniksadigimiz Ingilizce, Fransizca, Italyanca vs. magaza, isyeri, sirket ve benzerleri hemen her semtte rastlanmaya baslandi. Sokaginda bir elin parmaklari kadar Ingilizce bilenin olup olmadigi supheli bir semtte, bir pastahanenin adi neden Ingilizce (ustelik tarzan Ingilizcesi) oluyor? Semtte bir tek yabanci ikamet etmezken, ezcanede neden "pharmacy" yaziyor? O cevrede yasayanlar ise, "sen ne hakla musluman mahallesinde salyongoz satar misali boyle bir ismi dukkanina koyarsin" demez? Ticari isim ve isyerlerini onaylayan, bagli olduklari ticaret odalari, meslek kuruluslari, belediye gibi yetkili kuruluslar nasil ses cikartmazlar? (Halbuki nufus memuru, yeni dogan cocugunuza koyacaginiz isme karisabilir.) Ya da eger turistik bir bolgede ise ve karini dusunerek boyle bir isim koyacaksa, bunun bedelini daha fazla vergi vererek odeyemez mi?" ---------------------------------------- Yukaridaki yazilari sizler icin duzenlerken, bir dosttan gelen mesajin satir aralarinda Turkce yazma uzerine gorus bildirilirken, gazetelerde `globallesme' ve `korrekt tavir' gibi sozcuklerin kullanildigina da deginiliyordu. Tarzanca Turkceye yonelim yazik ki gun gectikce artiyor!! "Ortalama bir nokta, reference point" gosterin diyordu Turkun birisi Turkce gazetede, tiyatro uzerine ahkam keserken. Bu da ne demek, Turkce bir yazinin orta yerinde "" veya `' isaretleriyle belirtilmeden pat diye yabanci sozcukleri yazmislar. Turkcesi yanlis Ingilizcesi yanlis ama ayni ifade yazinin iki degisik yerinde tekrar ediyor!! =========================================================================== =========================================================================== 9. Serbest Kose =========================================================================== 9.1 Nicin Yanlis, Emin Akcaoglu =========================================================================== --------------------------------------------------------------------------- 9.1 Nicin Yanlis --------------------------------------------------------------------------- Turkiye onlarca yildir devlet kaynaklariyla yurt disina ogrenci gonderen bir ulke. 1929 yilindan bu yana 1416 sayili kanunla Bati'nin gelismis ulkelerine gonderilmis binlerce ogrenci bugun Turkiye'de ya da baska ulkelerde akademisyenler, burokratlar, teknokratlar ya da is adamlari olarak kendilerinden beklenen sorumlulugu farkli anlayislarla da olsa yerine getirmeye calisiyorlar. Sadece 1416 sayili kanunla degil, baska yasal duzenlemelerin yarattigi imkanlarla da kamu fonlarini kullanarak yurt disina gonderilen, kaymakamlar gibi kamu gorevlilerinin veya universite calisanlarinin varligi da burada hatirlanmali. Bu cercevede soz konusu edilen kaynaklarin buyuklugu tartisilamayacak kadar acik. Oyleyse hemen sorulmasi gereken soru Turkiye'nin bu faaliyetle amacladiklarini elde edip edemedigi konusuna iliskin olmali. Kanaatimce harcanan kaynaklarin buyuklugu dikkate alindiginda elde edilen sonuclarin, elde edilebilecek olanlardan hayli geride oldugu rahatlikla algilanabiliyor. Bu konuda ayrintili bir calismanin yapilip yapilmadigini dogrusu bilmiyorum ve maalesef yapildigini da sanmiyorum. En kisa zamanda resmi ya da gonullu ozel kuruluslarca 'devlet kaynaklari ile yurt disinda yetistirilen ogrencilere' iliskin bir raporun hazirlanmasinin son derece yararli olacagi dusuncesindeyim. Sadece uygulamanin icindeki bir ogrenci olarak bile gayet iyi biliyorum ki Turkiye cok onemli ve pahali bu faaliyeti dikkat cekecek olcude plansiz ve el yordamiyla yurutuyor. Ogrencilerin secimlerinden itibaren yabanci ulkelerdeki ogrenimlerine baslayislarina ve takip eden tum asamalara kadar uzanan basibosluk, bedeli agir kayiplara yol aciyor. Elbette her ne sart altinda olursa olsun, bu tur bir tecrubeyle bilgi ve gorgusunu artirmis insanlarin ulkelerine saglaya- bilecekleri dissal katkilar dahi azimsanamayacak olcude buyuk. Bununla beraber Turkiye'nin oncelikleri degerlendirilmeksizin yurulen calismalar dogal olarak o onceliklere cevap veremiyorlar. Cok siradan bir ornekle aciklamaya calisirsak eger, Turkiye'de devlet ekonominin, teknolojinin, akademinin, kurumsal yapinin hangi mecrada seyretmesi gerektigini, olmasi gibi planlamiyor ve bu tur planlarin gerceklestirimesine calismiyor. Turkiye onumuzdeki on yilda hangi sanayi dallarinda uluslararasi rekabete katilacagini hesaplamis degil ornegin. Turkiye onumuzdeki on yilda hangi sahalarda hangi insan kaynaklarina ne olcude sahip olmasi gerektigini de bilmiyor. Dolayisiyla kaynaklarini harcarken bu eksikligin ceremesini cekiyor. Milyarlar harcayarak yabanci ulkelere gonderdigi ogrencilerinin o ulkelerde o ulkelerin sorunlari uzerinde calismasina aldirmiyor. Donen ogrencilerini de gerektigi gibi degerlendirmiyor, desteklemiyor ve yapilan harcamalarin -bir noktadan sonra- sadece gorgu artirma ve dil becerilerini gelistirme amaci ile yapil- masi gibi yanlis bir sonuc beliriyor. Bu noktada bir kez daha planlamanin onemi aciga cikiyor. Dunyada gectigimiz on bes yillik donemde yasananlar cogularinin cahilce veya kotu niyetle vur- guladigi gibi planlamanin cagini doldurdugu sonucunu ispatlamiyor. Tam ter- sine gelismis ulkelerin, ozellikle de Japonya ve bolgesindeki yeni sanayilesen ulkelerin tecrubeleri, hic de iddia edildigi gibi serbest olmayan dunya pazarlarinda soz sahibi olabilmenin dikkatli ve esnek bir planlamadan gectigini gosteriyor. Zaten serbest piyasa mantiginin gerisinde iyi isleyen ve strateji tespitine dayanan bir yaklasimin bulundugu acik. Bu noktada baska kit kaynaklar gibi insan kaynaklarinin da, ozenle gelecegin oncelikleri belirlendikten sonra soz konusu edilen buyuk stratejik planin bir parcasi olarak algilanmasi gerekiyor. Turkiye bunu yapmiyor. Fakat en kisa zamanda yapmaya baslamasi gerekiyor! Emin Akcaoglu (Hacettepe, Ekonomi '90) ([email protected]) Banking Centre Loughborough University England, UK =========================================================================== =========================================================================== 10. Okuyucudan =========================================================================== 10.1 Okuyucudan gelen mesajlar 10.2 Okurlarimizdan gelen mesajlara yanit 10.3 PETEK Anket Formu =========================================================================== --------------------------------------------------------------------------- 10.1 Okuyucudan gelen mesajlar --------------------------------------------------------------------------- Basarilar ve sevincler, paylasildikca buyur. ITU-MD E-Dergisi PETEK'in ilk sayisini yayimladigimiz, 19 Mayis 1995 cuma gununden itibaren okuyucularimizdan almis oldugumuz mektuplari asagida sizlere de sunuyoruz. --------------------------------------------------------------------------- >Date: Fri, 19 May 1995 18:39:22 -0400 (EDT) >From: Imagine More!!!
Merhaba Meral, PETEK'in yayin hayatina baslayisini ictenlikle kutlar ve basarilar dilerim. Sevgiler... Ersin Beyret E-Mail : [email protected] Editor, Imagination Address: Bogazici University Bogazici University 80815 Bebek-Istanbul/TURKEY Istanbul/TURKEY Imagination, the skill to dream the different one... --------------------------------------------------------------------------- >Date: Sat, 20 May 95 18:52:24 BST >From: E Akcaoglu
Meralcim, Hakikaten tebrik ederim. Talebeligin sikintilari zaten baslibasina bir dert oldugu halde bu islere de hassasiyetle zaman ayirman ve dikkat ceken sonuclara erismen taktire sayan... Emin Akcaoglu (Hacettepe, Ekonomi '90) --------------------------------------------------------------------------- >Date: Sat, 20 May 1995 4:31:21 -0400 (EDT) >From: [email protected] Selam Meral, Cok guzel bir organizasyon. Dahasi benim e-mail araciligiyla tanidigim birinin bu islere on ayak oluyor olmasi da (hemde Baskan olarak) ayrica gurur verici. Bir Hacettepe mezunu olarak ITU mezunlarini kiskanmamak elde degil. Buradaki Home-Page'imize derginiz icin bir LINK ekledim bile... Bu tur yararli ugraslara devam etmen dilegiyle... Saglicakla Benan Basoglu --------------------------------------------------------------------------- >Date: Sun, 21 May 1995 22:20:03 +0400 (EET DST) >From: Hatice Kubra BAHSiSOGLU
Sevgili Meral, Tebrikler.. Ne icin mi? Petek gibi guzel ve cidden nitelikli bir dergi cikartilmasindaki calismalarin ve basarin icin. KUbra Bahsisoglu --------------------------------------------------------------------------- >Date: Mon, 22 May 1995 18:38:11 -0400 (EDT) >From: Omer F. Ozen
Meral DemirtaS ve tUm PETEK CalISanlarIna Bu muhteSem giriSiminiz iCin sizleri kutlarIm. UmarIm uzun OmUrlU olur. OlmamasI iCin de bir neden yok bence. HenUz dergiyi tam olarak okuma olanaGI bulamadIm. Ancak, konu baSlIklarIndan gerCekten alkISlanacak, bUyUk bir emek UrUnUyle karSI karSIya olduGumuzu gOsteriyor. Kanada, Montreal'de birbuCuk yIldan bu yana TUrk toplumu iCin CIkarmakta olduGumuz "Bizim Anadolu"adInda bir aylIk,haber,ekin ve yazIn gazetemiz var. SIk sIk gOrUS alISveriSinde bulunabiliriz.Biribirimize yardImImIz dokunabilir. Simdilik hoSCa kalIn derken, PETEK'e emeGi geCen tUm dostlara sevgiler selamlar; CalISmalarInIzda baSarIlar... Omer F. Ozen Bizim Anadolu YazI iSleri MUd. YazISma adresi: Bizim Anadolu C.P. Succ. Desjardins Montreal PQ CANADA H5B 1H3 E-Ulak:(Sinan GUngOr arkadaSIn Onerisi Cok hoSuma gitti) [email protected] --------------------------------------------------------------------------- >Date: Wed, 24 May 95 19:01:02 -0400 >From: Tuncer Oren
Sayin Meral Demirtas, PETEK'in birinci sayisi ile ITU'ye yarasir bir nitelik standardi tanimladiniz. Kapsadigi konulari ve herbirinin icerigini son derece dengeli ve nitelikli buldum. PETEK, basindan sonuna zevkle okudugum cok nadir dergilerden oldu. ITU'lu olmaktan bir kere daha gurur duydum. Boylesine olumlu dusunen bilincli bir genc grubunun (her yastan) Ulkemizin geleceginin bir teminati olduguna inaniyorum. PETEK'in icerigi ve niteligi bana "Bu dergiye yazilir" dedirtti. Onumuzdeki sayilarda beraber olmak uzere. Yayin Kurulu'nun butun uyelerine, sahsinizda en icten tesekkur ve tebriklerimi bildirmek isterim. Sevgi ve selamlar Tuncer Oren (Prof. Dr.) Makina, 1960 (Dernek no: 1873) http://www.csi.uottawa.ca:80/~oren --------------------------------------------------------------------------- >Date: Thu, 8 Jun 95 13:59:32 +0200 >From: Turgut Gursel
6.6.1995 - Berlin DeGerli PETEK YayIn Kurulu Uyeleri, "Oncelikle, uzun ve sabIrlI bir CalISmanIn UrUnU olan bu derginin CIkarIlmasIndaki katkIlarInIzdan dolayI hepinizi tek tek kutlamama izin veriniz. Yeni bir dUSUnce veya proje ilk kez ortaya sUrUldUGUnde, onu destekleyenler kadar, hangi nedenle olursa olsun, bunu kOsteklemek isteyenler de olacaktIr. GenIS bir kitlenin ilgisizliGi ise, bir engel kabul edilmese de umut ve cesaret kIrIcI olarak deGerlendirilebilir. SanIrIm sizler bu sIkIntIlI yoldan geCtiniz, geCiyorsunuz. Dergi, Cok genel olarak deGerlendirildiGinde, bazI eksiklerine karSIn (ilk sayIda hOS gOrUlmesi gereken hatalar da gOz OnUnde bulundurulursa), ITU-MD adIna CIkarIlan, gerekli dUzenlemeler ile birlikte (ki bundan yola CIkabiliriz) ITU-MD'yi temsil edebilecek Ozellikte, kendini yenilemeye ve geliSmeye aCIk bir yayIn organI niteliGine sahiptir. Dergi ile ilgili elestirilerimi Su Sekilde Ozetlemek istiyorum: 1) Her ne kadar bu konu kapanmIS ve de bu yUzden YayIn Kurulu Uyelerini kIzdIracak olsamda, PETEK Dergi'nin ASCII formatInda hazIrlanmasInIn bUyUk bir dezavantaj olarak karSImIzda durduGunu, Dergi'nin dIS gOrUnUSUnU ve estetiGe dayalI okunabilirliGini olumsuz yOnde haylietkilediGini benden bir kez daha duymak zorunda kalacaksInIz. 2) Dergi'ye yazI gOnderenlerin isimlerinin yaklaSIk UC kez tekrarlanmasI (konu baSlIGInIn yanInda, yazInIn giriSinde ve yazI sonunda) aSIrI derecede dikkat Cekiyor ve bunun bir standarta baGlanarak bire indirilmesi gerekiyor. 3) Ikinci sayIdan itibaren her bOlUm iCin bir "GiriS" yazIsI yerine, tUm bOlUmleri kapsayan tek bir "GiriS" yazIsI yayInlanacaGInI sanIyorum. 4) Dergi'de yayInlanacak yazIlarIn uzunluGu ile ilgili bir alt sInIra gereksinim var. CUnkU yayInlanan tek satIrlIk bir OzdeyiS veya iki-UC satIrlIk fIkra ile ilgili olarak, o yazIyI gOnderen kiSi iCin beS veya altI satIrlIk bilgi vermek gerekiyor. (YazIlarIn en az on satIr olmasI bir uzun veya iki kIsa (OzgUn) fIkradan ya da on OzdeyiSte oluSmasI kuralI getirilebilir. BOylelikle yazI gOnderecek olanlar, kUCUk bir yazI parCasI yollamak yerine yazIlarInI biriktirir,gOzden geCirir ve toplu olarak gOnderirler. Deyim yerindeyse, bOylelikle "bir atImlIk barutla" yola CIkIlmaz.) 5) Dergi'nin ilk bOlUmUnde ITU-MD'nin Subelerinin tanItImIna yer verilmesi Cok olumlu ve yerindedir. Bundan sonrasI Sube tanItIm yazIsI gOnderecek arkadaSlarIn maharetine kalIyor. (Ilk sayIda bazI yazIlarIn biraz kIsa olmasI, SUbe ve Ulke ile ilgili olarak sInIrlI bilgi vermesi, belki de bu yazIlarIn belli bir SUre sonra yinelenmesini gUndeme getirebilir.) 6) Dergi'nin ikinci, UCUncU, dOrdUncU ve beSinci bOlUmlerinin ("Akademik DUnyadan", Bilim ve Teknoloji, Internet ve Bilgisayar DUnyasIndan, MUhendis GOzUyle"), bu yayInIn iCeriGi yOnUnden Cok Onemli ve Dergi'yi "taSIyIcI" bOlUmler olduGunU dUSUnUyorum. Bu sayIda ikinci, dOrdUncU, ve beSinci bOlUmlerin iCerik olarak yeterli olduGu kanIsIndayIm. (Dr. UnlU'nUn yazIsI, ilgili bOlUmUn dolayIsIyla derginin iCeriGini alabildiGine zenginleStirmiS.) Ilk sayI olduGu iCin UCUncU bOlUmUn her ne kadar yazIsIz CIkmasI normal sayIlsa da,Onemli bir SansIzlIk olduGunu sOylemek gerekiyor AyrIca, YayIn Kurulu Uyeleri'nin, UCUncU ve beSinci bOlUmler arasIndaki yazI tasnifi sIrasInda, birbirleriyle Cok yazISacaGInI sanIyorum. (BOlUmlerin iCeriGinin birbirleriyle CakISmamasI oldukCa Onemli.) 7) AltIncI bOlUmUn varlIGI Dergi'ye zenginlik katIyor. Ancak, iCeriGin yedinci ve sekizinci bOlUmlerden ne denli ayrI tutulmasI gerektiGi bir sorun olabilecektir. Oyle ki, GiriS yazIsInIn ikinci paragrafI, bu bOlUmden sekizinci bOlUmUn oluSturulduGunu gOsteriyor ve artIk buraya ait olmadIGI anlaSIlIyor. Birinci paragrafa dOnersek, hangi sanatCImIzIn az veya Cok tanIndIGI ve dolayIsIyla bu kOSede yer verildiGi gereGinden fazla tartISma malzemesi taSIyor. (En iyisi bu tip kIstaslardan olabildiGince kaCInmak.) 8) Yedinci bOlUme gelince..."Mizah, Cok ciddiye alInmasI gereken bir konudur" dUSUncesinden hareketle, belki de bu konuda gereGinden fazla katI (tutucu) dUSUnUyorum ve bu bOlUmUn Dergi'nin "yumuSak karnInI" oluSturduGunU ileri sUrUyorum. YayIn Kurulu Uyeleri'nin, yalnIzca eniyi yazIlarI yayInlama ile bOlUmU doldurmak iCin her yazIyI yayInlama aCmazIna dUSme durumunun oldukCa sIk ortaya CIkabileceGini sanIyorum. (KuSkusuz, Ozenle hazIrlanmIS ve OzgUn nitelikler taSIyan yazIlarIn yayInlanmasInIn gerektiGi naCiz gOrUSUmdUr.) 9) Dilimiz iCin ayrI bir bOlUmUn (sekizinci bOlUm) ayrIlmasI, bilim dili olarak TUrkCe'ye aGIrlIk veren ve bu konuya ayrI bir deGer biCen ITUnUn dil politikasI ile uygunluk gOstermesi bakImIndan Cok olumludur. Bu bOlUmde yayInlanan yazIm nedeniyle Simdilik bOlUmUn iCeriGine dOnUk bir eleStiri yazamayacaGIm. 10) Kapsam DISI Konular bOlUmUyle, serbest bir yazI kOSesinin oluSturulmaSI uygundur. Ancak, kapsam olarak, diGer bOlUmlere girmeyen her konunun (Seyin) buraya dahil edilmesi, dolayIsIyla aSIrI derecede geniS alana sahip bir "kapsam" ile karSIlaSIlmasI sorunu var. (Belkide ileri sayIlarda bu bOlUmun adI biraz deGistirilebilir.) Bu bOlUmun dUzeyiniyUksek tutma konusu da, siz YayIn Kurulu Uyeleri'nin sorumluluk alanIna dUSUyor. 11) Her dergi gibi burada da (onuncu bOlUm) okuyucu mektuplarIna, dolayIsIyla dUSUncelerine yer verilmesi yerindedir. Takdir edersiniz ki, mektuplarIn yayInInda, olumlu/olumsuz eleStiriden Once yapIcI eleStirilerin yayInlanmasI esas olmalIdIr. 12) Dergi YayIn Kurulu Uyeleri'nin, YazI DeGerlendirme Kurulu Uyelerinin ve CeSitli katkIlarda bulunan kiSilerin isimlerinin her sayIda yayInlanma yeri ve yazI bUyUklUGU mutlaka bir standarta baGlanmalIdIr. (ASCII formatInda hazIrlanan bir dergide bu tip bilgilerin sonda verilmesi sanIrIm uygun olacaktIr.) 13) ITU-MD Uyelik Formu'nun her sayIda yayInlanmasI yerindedir. YazInIn baSInda da ifade ettiGim gibi, gelinmiS olunan bu nokta ozverili bir CalISmanIn UrUnUdUr. Derginin ve dolayIsIyla baSarIlI CalISmanIzIn sUrekliliGini diliyorum. SaygIlarImla K. Turgut Gursel (ITU-MD Almanya Kolu) ----------------------------------------------------------------------------- >Date ; Thu, 15 Jun 1995 >From: R.N. Celik
Degerli ITU Mezunlari Dernegi Uyeleri, Bildiginiz gibi, dernek yayin organimiz PETEK, ozverili calismalar sonucunda hazirlanmis ve 19 Mayis 1995 gunu ilk olarak hepinizin bildigi gibi yayinlanmistir. Boyle bir derginin hazirlanmasi ve yayina sokulmasi takdir edersiniz ki ozen, ozveri ve yogun calisma gerektirmektedir. Bu da nedenle dergi yayin kuruluna ve emegi gecen tum arkadaslarimiza, Ingiltere birimi olarak icten tesekkurlerimizi iletiyoruz. PETEK, dernegimizin yeni bir yayin organi olmasiyla birlikte, uyeler arasindaki iliskileri, genel haberleri, birim haberlerini ve bunun gibi bircoklarini birbirimize ulastirmamizi ve aramizdaki iliskileri ve baglari saglamlastirmayi sagliyacak olan cok yararli ve onemli bir yayin organimizdir. PETEK'in gucu ve okunma talebi, her bir ITU Mezununun boyle bir yayindan olan beklentilerine yanit verebilmesine baglidir. Bunu gerceklestirmenin yolu ise, PETEK in cok sesliliginin olmasindan gecmektedir. Buda dernegimizi olusturan tum birimlerin ve uyellerimizin PETEK e yapacaklari katki ile olanakli duruma getirilebilir. Bunlara bagli olarak her birimiz, dernegimizin etkin birer uyesi olarak, sesimizi ve varligimizi duyurmamizi sagliyacak olan PETEK yayin organimizin, gercekten ITU Mezunlarinin sesi olabilmesi, birlikteligimizin olusturdugu gucu etkinlestirebilmesi ve en onemlisi tek bir noktaya saplanmayip cok renkliligini yitirmemesi ve devam ettirebilmesi icin yapabilecegimiz hic bir katkiyi ve sarfedebilecegimiz hic bir emegi esirgememeli, dergimiz PETEK e bir ITU Mezunu sorumlulugu ile sahip cikmali, benzer uygulamalarina ornek bir Dergi durumuna getirmeliyiz. Yasamdaki en guzel duygu, birligin, beraberligin ve paylasimin hissedilmesidir. Yayin organimiz PETEK in dernegimizdeki birlik beraberlik ve paylasimi artirmasi ve birbirimize ulasmak icin uzattigimiz elleri anlayis, saygi ve guvenle baglamasi dileklerimle diyor, iyi gun ve calismalar diliyorum. Rahmi Nurhan CELIK ITU Mezunlari Dernegi Ingiltere Birimi Baskani --------------------------------------------------------------------------- SAYIN KAYA BUYUKATAMAN/ SAYIN MERAL DEMIRTAS, 15.06.1995 TUM DUNYAYA YAYILMIS OLAN ITU MEZUNLARININ KATKILARI ILE HAZIRLANAN PETEK ISIMLI ELEKTRONIK DERGININ ILK SAYISINI ALDIM. EMEGI GECEN BUTUN ARKADASLARIMIZI TEBRIK EDIYOR VE BASARILARININ DEVAMINI DILIYORUM. PETEK DERGISINI COGALTARAK YONETIM KURULU UYELERINE VE SN. CAHIT IDIL'E ULASTIRDIM. PETEK ILE ILGILI GORUSLERIMI ASAGIDA OZETLIYORUM: 1. DERGIMIZIN 3 AYDA BIR YAYINLANMASI YAZILARIN VE HABERLERIN GUNCELLIGINI KAYBETMESINE YOL ACMAKTADIR. DAHA KUCUK HACIMDE, AYDA BIR YAYINLANMASI ILE DAHA COK ILGI CEKECEKTIR. 2. FOTOKOPI ILE COGALTILILIRKEN KARISIKLIK OLMAMASI ICIN DERGIMIZE SAYFA NUMARASI VERILMELIDIR. 3. TURKCE KARAKTERLERIN ANLASILABILMESI ICIN BULUNAN YOL IYI BIR COZUM FAKAT OKUMA KOLAYLIGI VE TURKCE KARAKTERLERIN ANLASILABILMESI ICIN BUTUN YAZILARIN BUYUK HARFLERLE YAZILMASINI TEKLIF EDIYORUM. 4. OKUYUCULARIN ILGISININ DAGILMAMASI ICIN YAZILAR VE DERGI MUMKUN OLDUDUNCA KISA OLMALIDIR. USA'DAN E-MAIL ILE GONDERILEN MESAJLAR DA MUMKUN OLDUGU KADAR KISA OLMALI VE GEREKTIGI ZAMANLARDA GECILMELIDIR. Dr. Y. Muh. Osman Simav (Makina '75) ITU-MD Turkiye Merkezi Kurucu Uye [Sayin Simav'in mesaji Ilhan Bayraktar
tarafindan iletilmistir.] --------------------------------------------------------------------------- 10.2 Okurlarimizdan gelen mesajlara yanit --------------------------------------------------------------------------- Sevgili PETEK Okurlari, Ilk sayimizin yayinini takip eden saatlerde, PETEK Gonulluleri kendi aralarinda dergi ile ilgili gorus ve elestirilerde bulundular ki bunlardan bir kismi okuyuculardan gelen mektuplarda da goruldu. Yayimlanmis derginin ozgunlugunu bozmamak icin virgulune dahi dokunmadan onu evsayfasinda oldugu gibi birakmayi uygun bulduk. PETEK Gonullulerinden ve siz degerli okuyucularimizdan gelen yapici onerilerin bir kismi uygulamaya konuldu, bir kisminin uygulanabilmesi icin de cozum arama calismalarimiz devam etmektedir. Yazimizin asagidaki bolumlerinde, okuyucularimizdan gelen mesajlarda yer alan konulara deginecegiz. PETEK'in ilk sayisini hazirlarken Internet ortaminin sundugu olanaklarin siz okuyucularimizin kullandiklari sistemlerin ozelliklerine gore degistigini dikkate alarak PETEK'i mumkun olan en kolay ulasilabilir ve de okunabilir sekilde hazirlamaya ozellikle dikkat ettik. Bu konuda bizlerle gorusen okurlarimizin genelde PETEK'e kolayca ulasabildiklerini ogrenmek bizleri cok memnun etti. Bazi okuyucularimiz da kullandiklari sistemin ozelliklerinden dolayi PETEK'e ulasmakta gucluk cektiklerini bildirdiler. PETEK'in yazi formatiyla ilgili aldigimiz elestirilere gelince. Ilk sayimizda dergi formati konusunda neler dusundugumuzu ve sonucta neden ASCII formatini sectigimiz konusuna deginmistik. Kullanmakta oldugumuz formatin baslica eksikligi, Turkce karakterlerin verilememesi. Bunun icin Turkce yazilarin tamami buyuk harflerle yazilsin onerisini aldik. Tamami buyuk harflerle yazilan yazilar, okuyucunun gozleri uzerinde olumsuz etki yaratacagi icin bu tip yazilari da uygun gormedigimizi belirtmek isteriz. Zaman icerisinde PETEK'teki yazi formati uzerine degisik cozumler bulmaya gayret edecegiz. PETEK'in uzunlugu uzerine de bazi yorumlar geldi. Bildiginiz gibi PETEK, siz okuyucularimizdan gelen yazilari yayin ilke ve amaclarina uydugu surece yayimlamayi amaclayan bir dergi. Yayinlarimiza olanak saglayan ortamda ise dergimizin uzunlugu karsimiza bir sorun olarak cikmiyor. Biz de bu ozelligi bir avantaj olarak gorerek siz okuyucularimiza PETEK'in ne kadar uzun olurlarsa olsunlar her zaman okunmaya deger yazilarla dolu olacagini hatirlatmak istiyoruz. Aldigimiz onerilerden birisi de, derginin daha sIk yayimlanmasi istegiydi. PETEK Dergisi, dergiyi yayina hazirlayanlarin gonullu cabalari ile yayin hayatini surdurmektedir. Uc ayda bir cikarmamizin baslica nedeni budur, zamanimiz olsa da ayda ya da hafta bir cikartabilsek. Uc ayda bir cikiyor olmasi nedeniyle, dergide guncelligini yitirmis yazilara yer verilmemesine ozel itina gosterilmektedir. Anket sonuclarimiza gelince; bugune kadar anketimizi cevaplayan herkese tesekkurler. Anketlerimize verdiginiz cevaplar ve onerileriniz bizlere dogru yolda oldugumuzu ve de sizlerin de bizlere bu yolda destek olacaginizi gosteriyor. Anketimizi cevapladiginiz surece sizlerle daimi iletisim sansimizin oldugunu hatirlatmak istiyoruz. Gelecek sayilarimizda da anketimize olan ilginizin devam etmesini umuyoruz. Bizler PETEK Gonulluleri olarak, sizlerle iletisim icinde olabildigimiz sure icinde dergimizin daha iyiye gidecegine ilk gunden beri inanmaktayiz. PETEK sadece bizlerin degil, hepimizin eseri oldugu surece daimi ve basarili olacaktir. Bu nedenlerden dolayi PETEK'le ilgili her konuda oneri, elestiri ve fikre acik oldugumuzu burada tekrar hatirlatmak istiyoruz. PETEK'in ilk sayisinin yayinlandigi gunden beri, bircok okuyucumuzla gerek anketimize verdikleri cevaplarla, gerekse de bizlere yazdiklari yazilar sayesinde, PETEK'le ilgili olumlu veya olumsuz elestirileri tartisma sansimiz oldu. Bir kez daha burada bizlere PETEK'le ilgili elestirilerini, onerilerini ve tebriklerini ileten herkese tesekkurlerimizi sunariz. Bir sonraki sayimizda tekrar gorusmek dilegi ile... Saygi ve sevgilerimizle, PETEK Yayin Kurulu --------------------------------------------------------------------------- 10.3 PETEK Anket Formu --------------------------------------------------------------------------- Sevgili PETEK Okuyucusu, Sizlerle paylasmakta oldugumuz ITU-MD E-Dergisi PETEKin hepimize hitap eden yeniliklere ve gelismelere acik bir dergi olmasini amacliyoruz. Bunun da buyuk olcude okuyucularimizin dergimiz hakkindaki goruslerini almakla ger- ceklesebilecegini dusunerek, sizler icin bir anket hazirladik. Asagidaki anket sorularina vereceginiz yanitlarla, bizlere etkin olarak yardimci olmus olacaksiniz. Ilginize ve anket icin ayirdiginiz zamana tesekkurler. PETEK Yayin Kurulu --------------------------------------------------------------------------- Lutfen buradan kesip asagidaki adrese e-mail ile gonderiniz. Tolgay Nur ([email protected]) --------------------------------------------------------------------------- [1]. ITU-MD E-Dergi PETEK hakkindaki sorular: ---------------------------------------- 1. PETEK'in organizasyonu hakkindaki gorusleriniz nelerdir? ( ) Begendim ( ) Begenmedim ( ) Daha iyi olmasi icin goruslerim: ....................... 2. Kullanmakta oldugunuz sistemde PETEK'in yazi satir genisligi bir problem teskil ediyor mu? Yanitiniz evetse, bir satirdaki kabul edilebilir azami karakter sayisi sInIrInIzI belirtiniz. 3. PETEK'te yer alan bolumleri puanlarla degerlendirir misiniz? (0-10 arasi, 0 en kotu, 10 en iyi olmak uzere) ( ) ITU MezunlarI DerneGi (ITU-MD) Tanitim ( ) Akademik Dunyadan ( ) Bilim ve Teknoloji ( ) Internet ve Bilgisayar Dunyasindan ( ) Muhendis Gozuyle ( ) Sosyal Bilimler ve Kultur ( ) Mizah ( ) Dilimiz, Deyimlerimiz ve Atasozlerimiz ( ) Serbest Kose ( ) Okuyucudan 3. PETEK'te olmasini arzu ettiginiz baska bolum var mi? (Onerdiginiz bolum adini ve amacini kisaca yaziniz.) [2]. PETEK Okuyucu Profilinin Belirlenmesine Iliskin Sorular: -------------------------------------------------------- 1. En son mezun oldugunuz egitim kurumunun adi ve bolumunuz? (Yuksek lisans ve doktora sahibi okuyucularImIzdan ayrIca lisans derecelerini hangi universiteden aldIklarInI belirtmelerini rica ediyoruz.) 2. ITU-MD uyesi misiniz? ( ) Evet ( ) Hayir (Yanitiniz evetse, lutfen asagidaki soruyu da yanitlayiniz.) Bulundugunuz ITU-MD subesinin adi: (Yanitiniz hayirsa, asagidaki soruya geciniz.) PETEK E-Dergisi Dagitim Listesi'ne katilmak ister misiniz? ( ) Evet E-mail adresiniz: ( ) Hayir 3. Ilerde PETEK'in sizinle onerinizleriniz ve elestirilerinizle ilgili olarak temasa gecmesini istiyorsaniz, lutfen asagidaki ilgili kisimlari doldurunuz. Aksi takdirde, asagidaki kismin doldurulmasina gerek yoktur. Adiniz: E-mail adresiniz: --------------------------------------------------------------------------- Anketimize katildiginiz icin, PETEK Gonulluleri olarak tesekkur ederiz. --------------------------------------------------------------------------- =========================================================================== =========================================================================== 11. PETEK YayIn Kurulu Uyeleri =========================================================================== Bu sayImIzda etkin gOrev alan PYK Uyeleri: Baskan: Meral Demirtas (Meteoroloji '90)
--------------------------------------------------------------------------- Meral Demirtas Tel: (44) (01734) 318950 University of Reading Fax: (44) (01734) 352604 Department of Meteorology E-mail: [email protected] 2 Earley Gate Reading RG6 2AU United Kingdom --------------------------------------------------------------------------- Baskan Yrd.: Harun Taner (Gemi InsaatI '88)
___________________________________________________________________________ Harun Taner | Tel. : + 49 30 31425899 Technische Universitaet Berlin | Fax : + 49 30 31426883 ISM, Sekr.SG-10, Salzufer 17-19 | E-mail : [email protected] D-10587 Berlin Deutschland | http://cadence.fb12.tu-berlin.de/~taner ___________________________________________________________________________ Uye: O. Haldun Unalmis (Ucak '87)
--------------------------------------------------------------------------- Omer Haldun UnalmIS Tel: (512) 349-7192 3524 Greystone Drive, #101 Fax: (512) 349-7192 (please call first) Austin, TX 78731 E-mail: [email protected] U.S.A. [email protected] --------------------------------------------------------------------------- =========================================================================== 12. PETEK YayIn DanISmanI =========================================================================== Kaya Buyukataman (Makina '64)
_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ _/ _/ _/ Kayaalp Buyukataman Ph,D #INTERNET : [email protected] _/ _/ P&W Externals-Nacelles Prd Cntr #INTERNET : [email protected] _/ _/ Value Engineering Group #RCINET : [email protected] _/ _/ Gear Systems and Controls #NETCOM : [email protected] _/ _/ Mail Stop : 169-19 #PROFS : c904762 #SUN : BUYUKAK _/ _/ E Hartford, CT 06108 #Ph/Fx Home: (203) 282-0251 _/ _/ USA #Ph:(203) 565-0524, Fx:(203) 565-5990 _/ _/ _/ _/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ =========================================================================== 13. YazI DeGerlendirme Kurulu Uyeleri =========================================================================== Bu sayImIzda etkin olarak katkIda bulunan YDK Uyeleri: * Meral Demirtas
YazI DeGerlendirme Kurulu Bsk. * Harun Taner
YazI DeGerlendirme Kurulu Bsk. Yrd. * O. Haldun Unalmis
YazI DeGerlendirme Kurulu Uyesi * Emrah Can
YazI DeGerlendirme Kurulu Uyesi * Hakan Aydin
YazI DeGerlendirme Kurulu Uyesi * Sibel Demirbas
YazI DeGerlendirme Kurulu Uyesi =========================================================================== 14. PETEK Gonullulerine ve PETEK yazarlarina tesekkur =========================================================================== ITU-MD Uluslararasi Kurulusu Baskani ve PETEK Yayin Danismanimiz Kaya Buyukataman'a surekli destegi ve etkili yardimlari icin, bu sayimizin hazirlanmasinda gorev alan yukarida listesi verilen etkin PETEK Yayin Kurulu ve Yazi Degerlendirme kurulu Uyelerine, dergimizin "homepage" calismalarini yapan Can Sandalci'ya ve ilgili sayfadaki renkli PETEK logo tasarimini yapan Koksal Hocaoglu'na, ve tabii ki bizleri icten iletileri ve yazilariyla destekleyen tum yazarlarimiza en icten tesekkurlerimizi sunariz. =========================================================================== 15. ITU-MD Uyelik Formu =========================================================================== _/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ _/......................... ISTANBUL TEKNIK UNIVERSITESI _/ _/....... /\ /\ ....... <<
>> _/ _/..... / | / | ..... <
>_/ _/.. / // | .... _/ _/. /^/^ / / / ... 235 E River Dr. Suite 1502 _/ _/.. /()|'`--/ _ / .. E Hartford, CT, 06108, USA _/ _/.. \_'/' '` \_' .. _/ _/.. '//`--' '\ .. Phone / Fax : (203) 282-0251 _/ _/... || //--/ ' \ .. _/ _/..... \\ ||\_/\\ .. COMPONENT ALUMNI ASSOCIATION LOCATIONS _/ _/....... || \_/ ....Almanya-Ingiltere-Turkiye(2)-Japonya-Kanada(3) _/ _/.......1989 \\ \ ...Fransa-Hongkong-Avusturya-Kibris-Belcika/Hollanda_/ _/........................ Avusturalya-Saudi Arabistan-Amerika(16)-Norvec _/ _/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/_/ _/[ITU-MD (Home Page, Member List, E-dergi "PETEK ", and E-mail) ADRESSES]_/ _/http://www.ece.orst.edu/~ituweb (Homepage) finger [email protected]_/ _/http://geoweb.tamu.edu/~e0c1768 (GencITU Homepage) http://www.itu.edu.tr_/ _/http://www.ece.orst.edu/~ituweb/itu/petek.html ftp.itu.edu.tr/pub/petek_/ _/E-mail:
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South Korean Ban Ki-moon was reappointed unopposed in June 2011 as head (secretary-general) of what organization?
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BBC News - Profile: United Nations
Profile: United Nations
The UN's New York headquarters
The United Nations (UN), which emerged in 1945 from the devastation of global conflict, aims to "save succeeding generations from the scourge of war".
Its mission is to maintain international peace and security and to promote friendly relations between countries.
The UN Charter upholds human rights and proposes that states should work together to overcome social, economic, humanitarian and cultural challenges.
BACKGROUND
The UN's predecessor, the League of Nations, was established after the 1914-18 World War.
It aimed to prevent another global conflict, but it failed to halt the slide towards war in the 1930s and was disbanded in 1946.
Civil war in Liberia prompted the UN's biggest troop deployment
Much of the league's structure and many of its aims were adopted by its successor.
In 1944 the US, Britain, the Soviet Union and China met in Washington and agreed on a blueprint for a proposed world organisation.
The blueprint formed the basis of talks in 1945 between representatives from 50 countries. Under the terms of the resulting charter the UN came into being on 24 October 1945.
MEMBERS
The UN comprises 193 member states. South Sudan is the newest member - it joined in July 2011. Membership grew as colonies became independent and the Soviet Union disintegrated. The Vatican and Taiwan remain non-members. Most members have permanent missions at the UN's main headquarters in New York.
Potential members are recommended by the Security Council and are admitted by a two-thirds majority vote in the General Assembly.
Member nations contribute to the running costs of the UN. A country's contribution is assessed on its ability to pay. The US is the top contributor.
STRUCTURE
General Assembly
The assembly is the UN's main forum for debate. It is the only UN body which includes representatives from all member countries. Each member country has one vote.
Members can discuss any subject in the UN Charter, from international security to the UN budget. The assembly can issue recommendations, based on its deliberations. But it has no power to force countries to act on these.
The assembly may also adopt "declarations", reflecting high degrees of concern or resolve among members.
On key issues - including international security - a two-thirds majority is needed to adopt a resolution.
The General Assembly meets for three months of the year from mid-September, and for special and emergency sessions. Its annual sessions open with a "General Debate", in which each member country delivers a statement about its perspective on world events.
Most assembly business is dealt with by its six Main Committees. The assembly approves or rejects their recommendations.
Security Council
The council is tasked with ensuring global peace and security. It has five permanent member nations: China, France, Russia, the UK and the US.
Ten other countries have temporary membership on a rotating basis.
The council can impose economic sanctions and can authorise the use of force in conflicts.
It also oversees peacekeeping operations.
Economic and Social Council
The council spearheads the UN's economic, social, humanitarian and cultural activities.
It oversees the work of commissions which deal with human rights, population growth, technology and drugs, among other issues.
Its 54 members are elected by the General Assembly.
International Court of Justice (World Court)
The court is the main judicial body of the UN and is tasked with settling legal disputes submitted to it by states. It sits in the Dutch city of The Hague.
SOME RECENT COURT RULINGS
2011: Rules that it does not have jurisdiction to examine case filed by Georgia that accuses Russia and separatist rebels of ethnic cleansing.
2010 Rules that Kosovo's declaration of independence from Serbia in 2008 did not break international law.
2006: Rules against Argentina's attempt to have paper mill projects in Uruguay suspended
2005: Rules that Uganda must compensate DR Congo for looting during 1998-2003 war
2004: Majority ruling that parts of Israel's West Bank barrier built on Palestinian land are illegal
2004: Orders review of convictions of 51 Mexicans on death row in US
2002: Clears way for Bosnia to seek compensation from Belgrade over 1992-95 war
2002: Awards sovereignty of Bakassi peninsula, claimed by Cameroon and Nigeria, to Cameroon
The court's 15 judges are elected by the General Assembly and the Security Council.
The court's decisions are binding, although nations have sometimes refused to accept its rulings.
Secretariat
The Secretariat undertakes the day-to-day work of the UN, administering the programmes and policies of the organisation. Its work includes research, translation and media relations. Some 9,000 Secretariat staff are drawn from 170 countries.
Trusteeship Council
The council administered the UN's trust territories. It suspended its activities in 1994 when the last of the trust territories, Palau in the south Pacific, became independent.
The council, made up of the five permanent Security Council members, agreed in 1994 to meet "as occasion required".
THE UN SYSTEM
Fourteen independent agencies make up the "UN System" alongside many of the organisation's own programmes and agencies.
The independent agencies include the World Bank, the International Monetary Fund and the World Health Organisation. They are linked to the UN by cooperation agreements.
Fighting hunger: UN's World Food Programme at work in Afghanistan
The UN's own major agencies and programmes include:
1982-1991 - Javier Perez de Cuellar (Peru)
1992-1996 - Boutros Boutros-Ghali (Egypt)
1997-2006 - Kofi Annan (Ghana)
Ban Ki-moon, a former South Korean foreign minister, took up the post on 1 January 2007.
He was re-elected for a second term by the UN General Assembly, unopposed and unanimously, in June 2011, with effect from 1 January 2012.
Mr Ban, who is the first Asian secretary-general for 35 years, describes his priorities as mobilising world leaders to deal with climate change, economic upheaval, pandemics and increasing pressures involving food, energy and water.
In style, he prefers quiet diplomacy and sees himself as a bridge-builder, aiming to give voice to the world's poorest and most vulnerable people, and to strengthen the UN itself, which was dented when he took office by scandals over the UN oil-for-food programme in Iraq, and corrupt procurement.
He was born in Chungju, Korea, in 1944 and studied international relations at Seoul University. He worked at South Korea's UN mission before joining the government.
He succeeded Kofi Annan, a Ghanaian, who became the UN's seventh secretary-general in 1997. He was re-elected for a second term in 2001.
The General Assembly elects the secretary-general for a five-year renewable term. The post is often filled by candidates from smaller, neutral nations.
ISSUES
The US-led war in Iraq in 2003 - launched without Security Council authorisation - led to apocalyptic predictions of the collapse of the council and of the UN system.
Deadly attack on its Baghdad HQ forced UN to rethink its role in Iraq
Secretary-General Kofi Annan warned that pre-emptive attacks "could set precedents that result in a proliferation of the unilateral and lawless use of force".
He added that the UN could only head off unilateral military responses by showing that it could respond collectively to the security concerns of individual countries.
The possibility of pre-emptive action would mark a major departure from the charter, which advocates containing threats through containment and deterrence.
Peacekeeping
The UN has taken on an increasingly interventionist approach since the end of the Cold War, the tense stand-off between the Soviet bloc and the West which dominated much of the organisation's first four decades.
But despite some successes in the peacekeeping arena, operations in Bosnia, Rwanda and Somalia were flawed, failing to prevent massacres and even genocide.
A 2000 report criticised the UN's insistence on neutrality in situations where one side resorted to violence, warning that this could render missions ineffective.
The organisation's blue and white olive branch motif does not guarantee safety; more than 1,500 peacekeepers have been killed since the UN's inception.
Power
The share-out of power in the UN, particularly in the Security Council, is hotly debated. Critics say the over-riding influence of the council's five permanent members is unfair.
The former secretary-general Kofi Annan, among others, has described the structure of the council as anachronistic. The major powers on the Security Council oppose moves to give more power to the General Assembly.
Corruption
The UN came under heavy fire in 2005 when an investigation into the oil-for-food programme that it operated with Saddam Hussein's Iraq found that the scheme had been mismanaged and was riddled with corruption. It criticised the secretary-general for failing to oversee the programme adequately.
Peacekeeping operations have been hit by accusations of fraud, as well as charges of sexual abuse by peacekeeping troops.
Money
Having been mired in a financial crisis for many years, the UN has come under pressure to cut spending and to slim down its bureacracy. Member nations owe the organisation billions of dollars.
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United Nations facts, information, pictures | Encyclopedia.com articles about United Nations
The principal organs of the UN, as specified in the charter, are the General Assembly, the Security Council, the Economic and Social Council , the Trusteeship Council (see trusteeship, territorial ), the International Court of Justice , and the Secretariat. Other bodies that function as specialized agencies of the UN but are not specifically provided for in the charter are the Food and Agriculture Organization , the International Bank for Reconstruction and Development and the associated International Finance Corporation and International Development Association, the International Civil Aviation Organization , the International Labor Organization , the International Maritime Organization, the International Monetary Fund , the International Telecommunication Union , the United Nations Children's Fund , the United Nations Educational, Scientific, and Cultural Organization , the Universal Postal Union , the World Health Organization , the World Intellectual Property Organization, and the World Meteorological Organization . Temporary agencies have included the United Nations Relief and Rehabilitation Administration , the International Refugee Organization (whose responsibilities were later assumed by the Office of the United Nations High Commissioner for Refugees ), and the United Nations Relief and Works Agency for Palestine Refugees in the Near East , which is still in existence.
The official languages of the UN are Arabic, Chinese, English, French, Russian, and Spanish. The working languages of the General Assembly are English, French, and Spanish (in the Security Council only English and French are working languages).
The Secretariat and the Secretary-General
All UN administrative functions are handled by the Secretariat, with the secretary-general at its head. The charter does not prescribe a term for the secretary-general, but a five-year term has become standard. Trygve Lie , the first secretary-general, was succeeded by Dag Hammarskjöld (1953–61), who served until his death. U Thant , acting secretary-general, was elected secretary-general (1962), was reelected in 1966, and served through 1971. Succeeding secretaries-general were: Kurt Waldheim (1972–81); Javier Pérez de Cuéllar (1982–91), Boutros Boutros-Ghali (1992–96), Kofi Annan (1997–2006), and Ban Ki-Moon (2007–). (See also the table entitled United Nations Secretaries-General .) The secretary-general transcends a merely administrative role by his authority to bring situations to the attention of various UN organs, by his position as an impartial party in effecting conciliation, and especially by his power to "perform such … functions as are entrusted to him" by other UN organs. Also strengthening the office of secretary-general is the large Secretariat staff, which is recruited on a wide geographic basis and is required to work exclusively in the interests of the organization.
The General Assembly
The only UN body provided by the charter in which all member states are represented is the General Assembly. The General Assembly was designed to be a deliberative body dealing chiefly with general questions of a political, social, or economic character. It meets in a regular annual session beginning the third Tuesday in September; special sessions are sometimes held. It has seven main committees set up to deal with specific matters designated as (1) political and security, (2) economic and financial, (3) social, humanitarian, and cultural, (4) trusteeship, (5) administrative and budgetary, (6) legal, and (7) special political. It also has procedural, standing, and many ad hoc committees. The assembly passes on the budget and sets the assessments of the member countries. It may conduct studies and make recommendations but may not advise on matters under Security Council consideration, unless by Security Council request. In the assembly, decisions on routine matters are taken by a simple majority of members voting; a two-thirds majority is required for matters of importance, such as the admission of new members, the revision of the charter, and budgetary and trusteeship questions.
The Security Council
The Security Council was constructed as an organ with primary responsibility for preserving peace. Unlike the General Assembly, it was given power to enforce measures and was organized as a compact executive organ. Also unlike the assembly, the Security Council in theory functions continuously at the seat of the UN.
The council has 15 members. Five—China (until 1971 the Republic of China [Taiwan]; since then the People's Republic of China), France, Great Britain, the United States, and Russia (until 1991 the USSR)—are permanent. The 10 (originally six) nonpermanent members are elected for two-year terms by the General Assembly; equitable geographic distribution is required. Customarily there are five nonpermanent members from African and Asian states, one from Eastern Europe, two from Latin America, and two from Western Europe and elsewhere. In the council the presidency is occupied for one-month terms in the alphabetical order of the members' names in English.
In 1997 a UN commission proposed changes to the council, including adding five new permanent members without veto powers, adding four additional nonpermanent members, and placing restrictions on the use of the veto. The proposed changes were regarded by many nations as a groundwork for negotiations on the eventual restructuring of the council. Brazil, Germany, India, Japan, and South Africa have sought permanent seats on the council, and in July, 2005, the first four nations submitted a General Assembly resolution calling for the expansion of the council (but not for veto-power for new permanent members). The African Union, however, has called for new permanent members to have the veto and for Africa to receive two permanent seats. There has been no significant progress on the issue, but in Sept., 2008, the General Assembly unanimously called for intergovernmental negotiations on the enlargement of the council, which began in Feb., 2009.
There are two systems of voting in the Security Council. On procedural matters the affirmative vote of any nine members is necessary, but on substantive matters the nine affirmative votes required must include those of the five permanent members. This requirement of Big Five unanimity embodies the so-called veto. In practice the council has, on most substantive matters, not treated an abstention by a permanent member as a veto. In two situations, however, those of recommending applicants for UN membership and of approving proposed amendments to the charter, the actual concurrence of all permanent members has been required. The veto has prevented much substantive action by the UN, but it embodies the reality that resolution of major crises requires agreement of the major powers.
Under the charter the council may take measures on any danger to world peace. It may act upon complaint of a member or of a nonmember, on notification by the secretary-general or by the General Assembly, or of its own volition. In general the council considers matters of two sorts. The first is "disputes" (or situations that may give rise to them) that might endanger peace. Here the council is limited to making recommendations to the parties after it has exhausted other methods of reaching a solution. In the case of more serious matters, such as "threats to the peace," "breaches of the peace," and "acts of aggression," the council may take enforcement measures. These may range from full or partial rupture of economic or diplomatic relations to military operations of any scope deemed necessary. By the terms of the charter, the UN was forbidden to intervene in matters "which are essentially … domestic," but this limitation was not intended to hinder Security Council measures to prevent threats to peace. The charter was intentionally ambiguous regarding domestic issues that could also be construed as threats to peace and left a potential opening for intervention in domestic issues that threaten to have dangerous international repercussions.
History
Origins
The earliest concrete plan for the formation of a new world organization was begun under the aegis of the U.S. State Department late in 1939. The name United Nations was coined by President Franklin Delano Roosevelt in 1941 to describe the countries fighting against the Axis. It was first used officially on Jan. 1, 1942, when 26 states joined in the Declaration by the United Nations, pledging themselves to continue their joint war effort and not to make peace separately. The need for an international organization to replace the League of Nations was first stated officially on Oct. 30, 1943, in the Moscow Declaration, issued by China, Great Britain, the United States, and the USSR.
At the Dumbarton Oaks Conference (Aug.–Oct., 1944), those four countries drafted specific proposals for a charter for the new organization, and at the Yalta Conference (Feb., 1945) further agreement was reached. All the states that had ultimately adhered to the 1942 declaration and had declared war on Germany or Japan by Mar. 1, 1945, were called to the founding conference held in San Francisco (Apr. 25–June 26, 1945). Drafted at San Francisco, the UN charter was signed on June 26 and ratified by the required number of states on Oct. 24 (officially United Nations Day). The General Assembly first met in London on Jan. 10, 1946.
It was decided to locate the UN headquarters in the E United States. In Dec., 1946, the General Assembly accepted the $8.5 million gift of John D. Rockefeller, Jr., to buy a tract of land along the East River, New York City, for its headquarters. The principal buildings there, the Secretariat, the General Assembly, and the Conference Building, were completed in 1952. The Dag Hammarskjöld Memorial Library was dedicated in 1961.
Original Vision and Cold War Realities
In practice the UN has not evolved as was first envisaged. Originally it was composed largely of the Allies of World War II, mainly European countries, Commonwealth countries, and nations of the Americas. It was conceived as an organization of "peace-loving" nations, who were combining to prevent future aggression and for other humanitarian purposes. Close cooperation among members was expected; the Security Council especially was expected to work in relative unanimity. Hopes for essential accord were soon dashed by the frictions of the cold war , which affected the functioning of the Security Council and other UN organs.
The charter had envisaged a regular military force available to the Security Council and directed the creation of the Military Staff Committee to make appropriate plans. The committee—consisting of the chiefs of staff (or their deputies) of the Big Five—was unable to reach agreement, with the USSR and the other four states on opposing sides; thus no regular forces were established. The same split frustrated the activities of two special Security Council bodies, the Atomic Energy Commission and the Commission on Conventional Armaments. Hence no arrangements were concluded for regulating the production of atomic bombs or reducing other types of armaments (see disarmament, nuclear ). The charter anticipated that regional security agreements would supplement the overall UN system, but in fact such comprehensive alliances as the North Atlantic Treaty Organization (NATO), the Organization of American States , the Southeast Asia Treaty Organization , and the Warsaw Treaty Organization to an extent bypassed the UN system.
There were some early instances of Soviet cooperation with the United States and other powers that allowed for UN successes in restoring or preserving peace. These included the settlement (1946) of the complaint of Syria and Lebanon that France and Great Britain were illegally occupying their territory; the partitioning of Palestine (see Israel ); the fighting over Kashmir between India and Pakistan (see India-Pakistan Wars ); and the withdrawal of the Dutch from Indonesia. However, in many other issues of more direct importance to the great powers, conflict between the USSR and the remaining members of the Big Five prevented resolution. The Security Council was crippled by the veto, which by the end of 1955 had been used 78 times, 75 of them by the Soviet Union.
Growing Activity of the Assembly
In reaction to the limitations that the cold war imposed on the Security Council, the United States, Britain, France, and other nations tried to develop the General Assembly beyond its original scope. In the assembly the United States and Great Britain had strong support from among the Commonwealth and Latin American countries and generally commanded a majority. The Soviet Union could muster only a smaller bloc, sufficient to create debate between East and West but less effective in voting.
Of more importance were procedures evolved in the Korean crisis in 1950. At that time the Soviet Union was boycotting the Security Council because of the UN refusal to admit the People's Republic of China as a member. Since the USSR was not present to cast a veto, the Security Council was enabled to establish armed forces to repel the North Korean attack on South Korea (see Korean War ). Thus, at a time when the young organization had begun to seem politically sterile, it gave birth to the first UN army and to the widest "collective security" action in history up to that time, although the United States provided the bulk of both fighting personnel and matériel. In addition, firmer UN action in future crises was prepared for when, in Nov., 1950, the assembly adopted the "Uniting for Peace" resolution, which permitted it to take its own measures when use of the veto paralyzed the council. Although the assembly has been convened a few times under this resolution, its authority to require action by members has remained vague, and it has never developed workable enforcement machinery.
Some areas were opened for UN intervention, however, where world opinion and great power responsiveness favored it. In the struggle for independence in Morocco, Algeria, and elsewhere, the ruling colonial powers claimed these conflicts to be domestic; with their seats on the Security Council they were in a position to veto assembly resolutions, and with the official governments of rebellious territories under their control they were enabled to forestall UN intervention. In the Hungarian revolt (1956), requests that the USSR withdraw its troops from Hungary and that UN observers be admitted to the country were rejected by the Soviet Union. In the Suez crisis (1956), however, the General Assembly resolution for an immediate cease-fire and for withdrawal of invading forces was heeded by Great Britain, France, and Israel (see Arab-Israeli Wars ).
Expanding Role of the Secretary-General
Parallel to the growing activity of the assembly was the expanding role of the secretary-general. Trygve Lie, as secretary-general, made vigorous efforts to muster world opinion in such difficulties as the Korean crisis, but his labeling of North Korea as the aggressor earned him Soviet enmity and thus limited his effectiveness. Under the "quiet diplomacy" of Dag Hammarskjöld the secretary-generalship gained greater scope. The secretary-general, not the deadlocked Security Council, was entrusted with organizing and establishing UN forces in the Suez crisis. He worked closely with the General Assembly on other issues. In 1958, when an assembly resolution asking for a strong force of UN observers in Lebanon had been vetoed by the council, the secretary-general nevertheless followed the assembly's recommendation.
Beyond such missions Hammarskjöld interpreted his office as responsible for preserving peace even when the assembly itself was deadlocked and could issue no definite instructions. In practice he operated largely under a General Assembly mandate but frequently took executive steps that could not be completely detailed by instructions. Thus the office of secretary-general was evolving as the UN's de facto executive authority in matters of international conflict, and the Security Council began to meet much less frequently.
Effects of a Growing Membership
By the late 1950s the UN was being revolutionized by a change in membership. Since the inception of the UN there had been a steady growth of feeling that the organization should comprise all the nations of the world. But new membership was long blocked by East-West rivalry; each side was antagonistic to admission of new members unfavorable to its views, and as non-Communist countries outnumbered Communist ones the USSR was especially intransigent. From 1947 to 1955 only Yemen (1947), Pakistan (1947), Myanmar (1948), Israel (1949), and Indonesia (1950) gained admission. The way to a compromise was led by Canada in 1955; 16 new members were admitted in that year, and thereafter expansion was rapid.
Accompanying expansion came voting realignment. The clear majority of the United States and its allies disappeared as the Afro-Asian group of nations (see Third World ) obtained over half of the assembly seats. New voting blocs formed, including the NATO nations, the Arab nations, the Commonwealth nations, and, increasingly, a general Afro-Asian bloc. Latin America shifted away from its pro-U.S. position. Other themes began to equal that of the cold war in assembly debates, and more militant stands were taken against remnants of colonialism.
The changed nature of the UN was revealed in UN Africa policy in the early 1960s. The UN acted strongly in the crisis in the Congo , and during its involvement there the secretary-general developed his office to an unprecedented extent. When the UN was invited (1960) by the Congo government to send troops there, a UN force was quickly organized by Hammarskjöld from among neutral European and African states. The UN troops, confronted by social and political chaos, engaged in direct military action to force Katanga province to reintegrate with the Congo, which it finally did in 1963.
UN action in the Congo and later in sending peacekeeping forces to Cyprus (1964) demonstrated a willingness to intervene in basically internal situations, both to restore order and to prevent the spread of disorder to neighboring states. This willingness was especially evident in the attention paid to the remaining colonial areas, mainly in Africa. The UN repeatedly condemned the colonial policies of Portugal (until that country began to free its colonies after the 1974 coup) and the racial policies of South Africa and Rhodesia, against which severe economic sanctions were applied.
Diminished UN Influence and Its Uncertain Revival
Having lost its automatic majority in the assembly, the United States joined the Soviet Union in limiting UN power and authority, mainly by keeping major issues within the purview of the Security Council and the veto, with inaction the usual result. There was a corresponding decline in the freedom of movement allowed the secretary-general. In the wake of Hammarskjöld's Congo operation and accidental death, the Soviet Union's "troika" plan for a three-person secretary-generalship—an Eastern, a Western, and a neutralist member, each with a veto—was a sign that the USSR would not tolerate another activist secretary-general. Although its plan was defeated, the USSR's goal was largely achieved, since succeeding secretaries-general avoided actions that might be controversial.
Severe financial pressures have also served to restrict UN action. A number of countries, including the USSR, have refused to pay for UN actions, such as the Congo operation, not directly approved by the Security Council. The United States successfully pushed for a reduction of its assessment to 25% of the UN budget in 1977, instead of one third or more, but has still been in substantial arrears. (By the late 1990s the problem of U.S. arrears had grown so great that the United States was in danger of losing its vote in the General Assembly.)
Finally, the major powers have tended to deal with each other outside the framework of the UN. While certain agreements in peripheral areas of disarmament and international cooperation have been worked out within the UN—e.g., the peaceful use of atomic energy (see Atomic Energy Agency, International ), cooperation in outer space, and arms limitation on the international seabed—most major negotiations and agreements have been on a bilateral basis.
As a result, until 1991 the UN played a relatively secondary role in most world crises, including the Arab-Israeli Wars of 1967 and 1973; the India-Pakistan War of 1971; the Vietnam War; and the Afghanistan War. However, with Soviet cooperation, the UN played a major role approving action in the Persian Gulf in 1991 to drive Iraq from Kuwait, and it actively supervised the subsequent cease-fire, embargo, and removal of strategic weapons from Iraq (see Persian Gulf War ).
Since the early 1970s, the UN expanded its activity in the development of less developed countries. The UN and its related agencies have had a significant impact in disease control, aid to refugees, and technological cooperation. It has provided a mechanism through which developed countries can jointly contribute with a minimum of national antagonism and from which less developed countries can receive aid with a minimum of suspicion and resentment. The UN has also been active in setting standards of human dignity and freedom, such as in the Universal Declaration of Human Rights and the establishment of international labor standards, and has been a forum for discussion on some environmental issues, such as at the "Earth Summit" in 1992.
The current UN is an all but universal global institution. Its peacekeeping forces were awarded the Nobel Peace Prize in 1988, and in 2001 the UN itself, along with Secretary-General Annan, was awarded the prize. Beginning in the 1990s, the UN was increasingly involved in peacekeeping efforts throughout the world. Although the UN played a subsidiary role in the Persian Gulf War , its potential to gain a more prominent peacekeeping role was enhanced with the end of the cold war. In recent years the UN has supervised the 1993 elections in Cambodia (as part of its largest peacekeeping effort ever) and the 1999 referendum in East Timor (although it could not prevent the violence the followed), and it has mounted peacekeeping operations in Angola, Bosnia, Congo (Kinshasa), Eritrea and Ethiopia, Haiti, Kosovo, Mozambique, Sierra Leone, Somalia, and Sudan and Chad among others. In addition, the UN has provided police forces in regions, such as Kosovo, Bosnia, and East Timor, where the local government could not.
The Security Council's assertiveness in enforcing the Gulf War cease-fire resolutions in the early 1990s seemed indicative of a new vigor. Later divisions on the council over that issue, however, and limited success with respect to peacekeeping in Somalia, Bosnia, Haiti, Sierra Leone, and Côte d'Ivore indicate that, unless the parties overseen by such forces are desirous of peace, perhaps the council can assert itself successfully only when the great powers are convinced that their interests are at stake. The fact was made all-too-obvious by the divisions that emerged between the United States and Britain, on one side, and France, Russia, and China over whether to approve military action against Iraq in 2003. Other divisions hampered the UN's ability to develop (2007) a fully workable peacekeeping mission in Sudan and Chad, where rebellion in Sudan's Darfur region and bordering parts of Chad created large numbers of refugees beginning in 2003. On the other hand, the UN peacekeeping mission along the Eritrea-Ethiopia border (2000–2008) was ended after the two benefiting nations undermined it.
In an effort to ensure that UN peacekeeping missions that are mounted are effective, Annan pushed for forces that were large enough to be able to enforce the peace, though that was not always possible. UN peacekeeping forces have also become more assertive about using force to protect themselves and civilians and more active in enforcing the peace. In 2011, in response to fighting in Libya, the Security Council authorized a no-fly zone in Libya to protect civilians and imposed sanctions on the government, but the NATO-Arab mission enforcing the zone also acted at times in apparent support of the rebels, who ultimately overthrew the government. A peace mission to Syria in 2012, which only involved UN observers, was not successful in stemming the Arab Spring conflict there. A UN peacekeeping force was deployed in the Central African Republic in 2014, in response to fighting between Christian and Muslim militias following the overthrow of the government; the force superseded and absorbed an African Union contingent that had been deployed in the country in 2013.
A related and pressing problem has been the financial crisis created by the arrears owed by the United States and other nations, a crisis exacerbated by the expense of increased peacekeeping operations. Even as the nations of the world have been expanding the UN's role as peacekeeper, its ability to fund such operations has been hampered by nonpayment of UN dues. American dissatisfaction with the UN has led to opposition within Congress to payment of UN dues and resulted in unyielding U.S. opposition to the reelection of Boutros-Ghali as secretary-general. Kofi Annan, who succeeded Boutros-Ghali in 1997, worked to streamline UN operations and reduce costs, in part to restore American confidence and interest in the organization. In 1999 the U.S. Congress passed legislation that would pay some of the nation's back dues, but it also called for a further reduction in the assessment that the United States is expected to pay. An agreement in Dec., 2000, called for a reduction in U.S. dues to 22% of the UN's budget. In 2000, U.S. arrears had reached $1.3 billion, according to UN calculations, but by the end of 2004 that had been reduced by more than 80%.
In 2004 the UN's reputation was tarnished by revelations about corruption in the oil-for-food program that allowed Iraq, beginning in 1996 and ending after the U.S.-led invasion, to export oil to generate income that was to be used to purchase food and other humanitarian relief. Saddam Hussein's government received sizable kickbacks through the program (although the money Iraq earned through smuggling oil abroad was much greater), and many outside Iraq illicitly profited as well. A detailed UN investigation into the program, led by Paul Volcker , began in 2004, and it released its final report in 2005. The investigation accused the UN official who had headed the program of personally benefiting from it, and faulted the conduct of others, including two of Annan's close advisers. The integrity of Annan's son, who benefited from employment and payments from a company involved in the program, was questioned, although Annan himself was not accused of benefiting or of manipulating the program to benefit anyone. However, Annan was criticized for having exercised inadequate oversight (as was the Security Council) and for having failed to make a thorough inquiry into the affair when questions first arose about it.
Also in 2005 Annan attempted to win international support for a group of comprehensive reforms within the United Nations, but agreement proved difficult to secure. UN members did approve the establishment of a Peacebuilding Commission, intended to aid war-torn nations in reestablishing political stability and economic growth. In Dec., 2005, under pressure from the United States and other wealthy nations, UN members approved a two-year budget with a spending cap for 2006 that was expected to be reached in June of that year. The intention was to link the approval of further spending to passage of management reforms by the General Assembly.
The General Assembly approved (Mar., 2006) the replacement of the UN Human Rights Commission with a Human Rights Council. The move was designed to restore credibility to the UN's human rights body, which was criticized for having included among its member nations many countries that had been denounced for violations of human rights, but the new body soon faced similar criticisms. In May the Assembly refused to approve the centerpiece of Annan's ambitious administrative reform plans for the United Nations; some modest reforms were approved in July. The budget cap, meanwhile, had been removed in June by the General Assembly. Annan was succeeded as secretary-general by South Korean diplomat Ban Ki-Moon in 2007.
Bibliography
The United Nations publishes a series of comprehensive yearbooks (1947–). See also M. Waters, The United Nations (1967); L. M. Goodrich, E. I. Hambro, and A. P. Simons, Charter of the United Nations: Commentary and Documents (3d ed. 1969); D. W. Wainhouse, International Peacekeeping at the Crossroads (1973); L. M. Goodrich, The United Nations in a Changing World (1974); D. P. Moynihan, A Dangerous Place (1978); Conference on United Nations Procedures, Global Negotiations and Economic Development (1980); E. Luard, A History of the United Nations (2 vol., 1982–89); J. P. Humphrey, Human Rights and the United Nations (1983); P. R. Baehr and L. Gordenker, The United Nations: Reality and Ideal (1984); Department of Public Information, The United Nations and Human Rights (1984); R. Riggs and J. Plano, The United Nations: International Organization and World Politics (1987); P. J. Fromuth, ed., A Successor Vision: The United Nations of Tomorrow (1988); A. Roberts, United Nations, Divided World: The UN's Role in International Relations (1988); R. Berridge, Return to the United Nations: UN Diplomacy in Regional Conflicts (1991); S. Meisler, United Nations: The First Fifty Years (1995); T. Hoopes and D. Brinkley, FDR and the Creation of the U.N. (1997); S. C. Schlesinger, Act of Creation: The Founding of the United Nations (2003); M. Mazower, No Enchanted Palace: The End of Empire and the Ideological Origins of the United Nations (2009); R. Jolly et al., UN Ideas That Changed the World (2009).
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The United Nations (UN) is a global organization of states that aims to find cooperative solutions for international security, economic, and social problems. The first formal use of the term United Nations appeared in the Declaration by the United Nations (January 1, 1942), in which twenty-six Allied countries pledged to defeat the Axis Powers and subscribed to the principles of the Atlantic Charter (August 14, 1941) during World War II (1939–1945). These principles included “the establishment of a wider and permanent system of general security.”
From August to October 1944, delegates from the United States , the Soviet Union , the United Kingdom , and the Republic of China met at the Dumbarton Oaks estate in Washington, D.C., to negotiate the formation of a new organization to replace the League of Nations. Most of the outstanding issues were settled at the Yalta Conference (February 4–11, 1945) among the leaders of the “Big Three” nations: U.S. president Franklin D. Roosevelt (1882–1945), British prime minister Winston Churchill (1874–1965), and Soviet general secretary Joseph Stalin (1879–1953). Shortly thereafter, delegates of fifty nations met in San Francisco to finalize the negotiations, culminating in the signing of the UN Charter on June 26, 1945. On August 8, 1945, the United States became the first country to ratify the Charter. The United Nations Organization came into being on October 24 (celebrated since 1948 as United Nations Day) when the majority of original signers, including the great powers (the four Dumbarton Oaks conveners and France ), had ratified the Charter.
STRUCTURE
Although the UN Charter opens with the famous phrase “We the peoples of the United Nations,” the United Nations is primarily an organization of sovereign states. Membership is open to all “peace-loving states” (Article 4), but disputes over the admission of new members fell victim after World War II to the cold war conflict. In 1955 the United States and the Soviet Union reached a compromise that allowed for the admission of sixteen new members. Still, controversy persisted over the membership status of the partitioned states of Germany , Korea , Vietnam , and China. Both German states were admitted in 1973 and both Korean states in 1991. Vietnam entered as a single state in 1977. Nationalist China ( Taiwan ) represented China until November 1971, when the United States ended its objection to the membership of the People’s Republic of China. In 2006 the United Nations had 191 member states.
The UN Charter also established the six “principal organs” of the United Nations: the General Assembly, the Security Council, the Economic and Social Council, the Trusteeship Council, the International Court of Justice, and the Secretariat. The General Assembly is the United Nations’ plenary body. Aside from occasional special sessions, it meets in annual sessions that usually start in September and last for three months. The General Assembly oversees subsidiary bodies, calls international conferences, approves the budget, and adopts nonbinding resolutions on a wide variety of issues. General Assembly decisions are taken by majority vote based on a one-state–one-vote principle. Since 1987, after lobbying by the United States, critical votes on the budget are taken by unanimity rule (instead of the historical two-thirds majority) in an effort to curtail large annual budget increases. Budget assessments are made on a capacity-to-pay basis. As of 2005, the United States was responsible for 24 percent of the UN budget, followed by Japan (19 percent) and Germany (8 percent). Countries do not always meet their budget obligations in a timely manner: In September 2005 member states owed the United Nations $3 billion in outstanding peacekeeping and regular budget payments ($1.2 billion from the United States alone).
The Security Council has primary responsibility for the maintenance of international peace and security. Under chapter VII of the UN Charter, the Security Council can adopt coercive measures, including economic sanctions and the use of force, which are binding on individual member states. The Security Council has five permanent members (China, France, the Russian Federation, the United Kingdom, and the United States) and ten nonpermanent members that are elected for two-year, nonrenewable terms by the General Assembly. (Until 1965, the Security Council only had six nonpermanent members.) Security Council resolutions require an affirmative vote of nine members, including the five permanent members. By 2005 the permanent members had exercised their veto right 244 times, but on only twenty occasions since 1990. The veto threat is, however, still a powerful tool to block unwanted resolutions.
The Economic and Social Council coordinates and supervises the work of numerous commissions and expert bodies on economic and social matters, including human rights. Members are elected for three-year terms by the General Assembly. The Economic and Social Council’s membership has gradually expanded from eighteen to fifty-four. The Economic and Social Council has limited powers other than its ability to submit recommendations to the General Assembly (by majority vote). Formally, the Economic and Social Council coordinates the activities of various specialized agencies, including the World Bank Group and the International Monetary Fund (IMF). Developing countries have long, and unsuccessfully, pushed for a greater role for the Economic and Social Council vis-à-vis these organizations. Other specialized UN agencies, each with its own budget, membership, and charter, include the International Labor Organization (ILO), the Food and Agriculture Organization (FAO), the United Nations Educational, Scientific, and Cultural Organization (UNESCO), and the World Health Organization (WHO).
The Trusteeship Council was set up to monitor UN trust territories that were not designated as strategic by their administrating powers (strategic trust areas were the Security Council’s responsibility). The Trusteeship Council ceased its operations on November 1, 1994, when the last remaining trust territory (Palau) became independent.
The International Court of Justice, located in The Hague, Netherlands , issues advisory opinions on legal questions brought to it by other UN organs and settles legal disputes submitted to it by member states. Its fifteen judges are elected for nine-year terms by the General Assembly and Security Council. By 2005 the International Court of Justice had delivered twenty-five advisory opinions and eighty-seven judgments on contentious cases, primarily on border and maritime disputes. The binding nature of International Court of Justice opinions depends on whether state parties have previously agreed to its compulsory jurisdiction.
The Secretariat is the United Nations’ bureaucracy. In 2005 it employed around nine thousand international civil servants who answer to the United Nations alone for their activities. While most civil servants are stationed at the UN headquarters in New York , the United Nations also maintains staffed offices elsewhere. The Secretariat is headed by the secretary-general, a prestigious post that has been occupied by Trygve Lie ( Norway , 1946–1952), Dag Hammarskjöld ( Sweden , 1953–1961), U Thant ( Burma [ Myanmar ], 1961–1971), Kurt Waldheim ( Austria , 1972–1981), Javier Pérez de Cuéllar ( Peru , 1982–1991), Boutros Boutros-Ghali ( Egypt , 1992–1996), Kofi Annan ( Ghana , 1997–2006), and Ban Ki-moon (South Korea) who was sworn in on December 14, 2006, and began serving on January 1, 2007. Critics have charged that the demands of being the world’s primary diplomat sometimes undermine the secretary-general’s ability to also be an effective manager of a large bureaucracy.
PEACE AND SECURITY
When states sign the UN Charter, they agree not to use or threaten force “against the territorial integrity or political independence of any state, or in any manner inconsistent with the Purposes of the United Nations” (Article 2). There are two circumstances under which force is consistent with the United Nations’ purposes: when it is exercised in self-defense (Article 51) and when the Security Council approves a collective action under chapter VII. The first important authorization of a collective action occurred in 1950 (July 7), when the Security Council authorized the United States to install a central command under the UN flag to restore peace and security following the armed attack by the Democratic People’s Republic of Korea (North Korea) against the Republic of Korea (South Korea).
UN action in Korea was possible only because the Soviet Union had temporarily vacated its Security Council seat in protest against nationalist China’s representation. After the Soviet delegate returned, the General Assembly adopted the “Uniting for Peace” resolution, which allowed the General Assembly to circumvent a deadlocked Security Council through special emergency sessions. This procedure has been invoked ten times, most notably in 1956 to order the French and British to end their military intervention in the Suez Canal and to create the UN Emergency Force (UNEF I) to provide a buffer between Egyptian and Israeli forces.
UNEF I was the first large-scale example of peacekeeping, an activity not mentioned in the Charter. During the cold war, peacekeeping missions were generally limited to providing a buffer between warring parties at the invitation of those parties, prime examples being the longstanding UN forces in Cyprus and Lebanon . An exception was the more ambitious 20,000-person force employed in the Congo between 1960 and 1964. This operation failed to achieve its main objectives, led to a protracted conflict about peacekeeping financing, and cost respected Secretary-General Hammarskjöld his life when his plane crashed in the Congo on September 18, 1961.
UN activity in international security was reinvigorated with the end of the cold war. In 1988 and 1989, for the first time in a decade, the Security Council authorized new peacekeeping missions that were sent to cold war hotspots such as Afghanistan , Angola , Namibia , and Nicaragua . A transformation in UN collective security occurred with the adoption of Security Council Resolution 678 on November 29, 1990, which authorized the use of “all necessary means” if Iraq would not vacate Kuwait by January 15, 1991. The resolution conferred legitimacy on the use of force against Iraq by a U.S.-led coalition. Since then, the Security Council has granted similar authorizations to (groups of) states in eleven cases, including East Timor (with Australia as the leading state) and Haiti (with the United States as leader).
A second significant shift occurred in 1992, when the Security Council authorized the deployment of large peacekeeping forces to end civil wars in Cambodia and Yugoslavia . This was merely the prelude to increased UN involvement in domestic conflicts across the globe. Between 1991 and 2005, the Security Council authorized forty-eight peacekeeping and other multinational uses of force, almost all concerning civil conflicts rather than interstate wars. These efforts were not without risk: more than two thousand UN peacekeepers have lost their lives, most since 1991. The United Nations has also become actively involved in postwar reconstruction and has even run transitional administrations, most notably in East Timor and Kosovo. Moreover, it has created international tribunals to try war crimes in Rwanda , Sierra Leone , and the former Yugoslavia.
Despite its active record since the cold war’s end, the United Nations’ contribution to the preservation of peace and security has come under serious scrutiny. First, the United Nations has been unable to prevent genocides in Rwanda (1994) and the Sudan (2005). Second, the Security Council has been deadlocked on important cases and has not been able to prevent states or coalitions of states from going it alone in the absence of UN authorization, as illustrated by the intervention of the North Atlantic Treaty Organization ( NATO ) in Kosovo in 1999 and the U.S.-led invasion of Iraq in 2003. Third, weak and understaffed UN missions have occasionally done more harm than good, as illustrated by the United Nations’ failure to maintain the promised safe haven of Srebrenica (1995). Fourth, UN-imposed sanctions on Iraq caused much suffering among the Iraqi population while failing to resolve the conflict. Moreover, the UN “Oil for Food” office allowed massive fraud to occur in the administration of the sanctions.
Some critics justifiably lament UN bureaucratic and peacekeeping practices, as acknowledged by the United Nations’ remarkable Brahimi Report (2000). Yet, the United Nations ultimately remains an organization of states. The United Nations can be a useful vehicle for cooperation on those issues where states are committed, but it has few means beyond persuasion to compel states to make committed efforts. In all, most analysts believe that the United Nations has had a modest but significant positive impact, especially on the resolution of civil wars.
OTHER ISSUES
The United Nations has played an active role on a large range of other issues. The United Nations was an important arena for the transformation of former colonies into sovereign states. To many new states, UN membership served as the affirmation of their sovereignty. Moreover, General Assembly Resolution 1514 (December 14, 1960) became the most influential political declaration of the existence of a right to self-determination and the illegitimacy of colonial rule.
The 1948 Universal Declaration of Human Rights provides the foundation for the treatment of human rights in the United Nations. The United Nations administers other global human-rights instruments, such as the Convention Against Torture and Other Cruel, Inhuman, or Degrading Treatment or Punishment (1987), and organizes global conferences, such as the Beijing Women’s Conference (1995), that set the normative debate on human rights. It has, however, few enforcement mechanisms other than public shaming through the Human Rights Commission, which critics charge is political and selective.
The United Nations has also provided a forum for arms control negotiations and administers important disarmament treaties. An independent agency, the International Atomic Energy Agency (IAEA), monitors observance of nuclear treaties and can refer violators to the Security Council, which can then decide on coercive measures.
The United Nations also plays an important role in economic development and humanitarian relief, primarily through special programs and funds, such as the UN Children’s Fund (UNICEF), the UN Development program (UNDP), and the Office of the UN High Commissioner for Refugees (UNHCR). UNHCR provides a crucial coordinating role in providing relief to the world’s refugees (around twenty million in 2005). UNDP is most active in the development and monitoring of the UN Millennium Development goals: an ambitious set of development targets to be achieved by 2015.
The most difficult issue for the United Nations continues to be the Middle East . The United Nations was instrumental in creating the state of Israel and in resolving the 1956 Suez crisis. Yet, its ability to play a constructive role has been compromised by increased politicization. Israel and its defenders charge that the United Nations regularly adopts inflammatory resolutions that unfairly target Israel. For example, between 1975 and 1991, the General Assembly annually adopted a resolution that equated Zionism with racism, a charge that resurfaced at the World Conference Against Racism, Racial Discrimination, Xenophobia, and Related Intolerance, held in Durban, South Africa , in 2001. Defenders of Palestine contend that Israel has repeatedly ignored General Assembly and Security Council resolutions, as well as International Court of Justice rulings.
Reform is also perennially on the United Nations’ agenda. Reform attempts generally involve the creation of a blue-ribbon committee, including the High-Level Panel on Threats, Challenges, and Change, established in 2003. The recommendations of these committees rarely lead to fundamental changes. Instead, the United Nations regularly reinvents itself in response to major events and the ensuing new demands on the organization.
SEE ALSO League of Nations; Multilateralism; Peace; Peace Process; World War II
Atlantic Charter. 1941. U.S. Department of State International Information Programs: Basic Readings in U.S. Democracy. http://usinfo.state.gov/usa/infousa/facts/democrac/53.htm.
Charter of the United Nations. 1945. http://www.un.org/aboutun/charter/.
Claude, Inis L. 1971. Swords Into Plowshares: The Problems and Progress of International Organization. 4th ed. New York: Random House.
Doyle, Michael, and Nicholas Sambanis. 2000. International Peacebuilding: A Theoretical and Quantitative Analysis. American Political Science Review 94 (4): 779–801.
Malone, David, ed. 2004. The UN Security Council: From the Cold War to the 21st Century. Boulder, CO: Lynne Rienner.
Report of the Panel on United Nations Peace Operations (Brahimi Report). 2000. http://www.un.org/peace/reports/peace_operations/.
Roberts, Adam, and Benedict Kingsbury, eds. 1993. United Nations, Divided World: The UN’s Roles in International Relations. 2nd ed. Oxford and New York: Oxford University Press.
Schlesinger, Stephen. 2003. Act of Creation: The Founding of the United Nations. Boulder, CO: Westview.
Ziring, Lawrence, Robert E. Riggs, and Jack A. Plano. 2004. The United Nations: International Organization and World Politics. 4th ed. Belmont, CA: Wadsworth.
Erik Voeten
See also: cold war ; league of nations; united states , relations with
bibliography
United States. (1945). United States Statutes at Large (79th Congress, 1st Session, 1945), 59(2):1033–1064, 1125–1156.
United States. Department of State. (1944). Department of State Bulletin, vol. 11. Washington, DC: Office of Public Communication, Bureau of Public Affairs.
United States. Department of State. (1945). Conferences at Malta and Yalta, 1945 (Foreign Relations of the United States diplomatic papers 6), 969–984. Washington, DC: Government Printing Office.
United States. Department of State. (1945). Department of State Bulletin, vol. 13. Washington, DC: Office of Public Communication, Bureau of Public Affairs.
Harold J. Goldberg
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i don't know
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How many sides (different straight outer edges, excluding shadow) does each '2' have in the London 2012 Olympics logo?
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History Of Architecture Notes For part2 Examination (Indian Institute Of Architects) | Punjab | India
History Of Architecture Notes For part2 Examination (Indian Institute Of Architects)
History of Architecture Notes for part 2 Examination of Indian Institute Of Architeccts
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Chandigarh1Laurie Baker11Louis Kahn16Frank Lloyd Wright24Bauhaus45Ludwig Mies van der Rohe55Le Corbusier67Hafeez Contractor80Antoni Gaudí82Achyut Kanvinde87Joseph Allen Stein88Raj Rewal90Philip Johnson92B. V. Doshi99Anant Raje101Walter Gropius102Modern architecture107Crystal Palace, London112Eiffel Tower118Woolworth Building136
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15-M movement shows its strength Thousands of protesters in six main columns began arriving in Madrid last Saturday after a 34-day-long march from different points in Spain to attend a mass meeting on Sunday in the Puerta del Sol where the movement was born on May 15th.
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Since last week’s “Bonkers” column I remembered an incident that we witnessed years ago here in Spain. I was talking to a friend about what people carry on scooters and mopeds here in Spain - you’d get nicked within 30 seconds doing it in the uK - and I was recalling an incident when we were on holiday here one november and saw going round a roundabout in Fuengirola a Vespa type scooter. On this scooter was a man driving it, followed by a child of around seven clinging to his back, followed by the ‘mujer’ who had a child in a papoose type carrier on her back. Bad enough? nah! - on the running board of the scooter was their huge Mastin type dog whose tail was dragging along the floor as the driver negotiated the roundabout and, best of all, it was raining and the only person with a helmet of any kind was the driver so, what did the ‘mujer’ do? She had her brolly up! Barking!! I attended a birthday party on Monday at Jacaranda Care Home. It has been the birthdays of four of the lady residents and three staff during July so the owners put on a great party for them with sandwiches and sausage rolls and, of course, cake Yummy. Before that though, the weekend, and especially Sunday was so hot I could hardly move and before you say “it’s yer age, dear” and while I admit it could have something to do with it, even my Spanish neighbours are complaining about the heat and the humidity seems to be increasing year on year. Phew!
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15-M movement shows its strength
Alberto Fabra (left) was sworn in on Tuesday as the fifth premier of Valencia, taking over from Francisco Camps (right) who resigned last week to fight an accusation of accepting several suits in return for political favours. Sr Camps and Valencia mayor Rita Barberá accompanied Sr Fabra to the regional parliament for the swearing in ceremony. Sr Fabra said he intended to “work hard every day to create jobs
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The Workers Commissions’ spokeswoman for health matters, Carme Navarro, warned that the majority of the centres would not reopen.
Rebellion in Parliament Speaker José Bono and Industry Minister Miguel Sebastian had a spat last week about the correct form of dress for MPs in the House when the latter turned up without a tie. Sr Bono reprimanded Sr Sebastian about his lack of formality and the latter claimed it was an energysaving move – the government would not
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There were no violent incidents either then or on Monday, when between 200 and 300 activists held the first Social Forum of the 15.M Movement in Madrid's Retiro Park to hammer out an alternative Constitution which they want to put to a referendum. The themes debated included international policy, the environment, education, feminism, participative democracy, the economy, culture and health. As one activist put it: "The future of the movement lies in recovering the values that the political class has lost." A surprise visitor on Monday was former World Bank president and Nobel economics laureate Joseph Stiglitz who was in Madrid to advise Alfredo Perez Rubalcaba, the Socialist Party's candidate for the next election.. Mr Stiglitz spoke to the “indignados” for 12 minutes. He wished them the best of luck and told them that bad ideas had to be replaced by good ones. He said the economic crisis has shown that the current problem capitalism has is with financial markets that are not regulated.
AndAluCIA TOdAY
1888
Philip Pratt unveiled the first electronic automobile
Zapatero 'not waiting for ETA' After his meeting with David Cameron in London on Monday, Prime Minister Jose Luis Rodriguez Zapatero told reporters that he had “very clear ideas” about anti-terrorist policies and anything else that appeared in the press was “pure science fiction”. He was referring to a report which appeared in the El Mundo newspaper that the Basque terrorist group ETA is expected to issue a communiqué in the next few days declaring it will lay down its arms and disband. Related press reports speculate that this would enable Sr Zapatero to call an immediate general election because the dissolution of the terrorist group could either
attract sufficient votes to keep the Socialist Party in power, or rob the Partido Popular of an absolute majority. ETA has been badly hit by the arrests of most of its top men and women in France or Spain in recent years but intelligence sources warn that its latest truce, declared in January this year, was a ploy to gain time and reorganise. Many
political observers believe ETA is playing cat-andmouse with the prime minister's desire to be the
man who put an end to 52 years of violence. ETA celebrates the 52nd anniversary of its
foundation in 1959 on July 30th, although it did not become active until the late 1960s.
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Harsher penalties for road deaths The Attorney General's Office has announced that drivers who cause accidents resulting in the deaths of others will be charged with death by reckless homicide. It will be applied in cases of speeding over 150 kph, driving over the limit, using a mobile phone while
driving, not resting sufficiently over long distances or not respecting the safety distance between vehicles. The Attorney General considers that too many cases of deaths and injuries caused by reckless driving end in fines after agreements have been
reached with the insurance companies involved. Just days after the announcement was made, a driver in Castellon was detained after running over and killing two men aged 62 and 68 while under the influence. The man was released on bail of €6,000.
Population dropping
Telegraph makes a boo-boo Under the headline 'Mafia mobsters banned from wearing designer label clothes', The Telegraph reported on Monday that a newly-appointed prison governor in Italy called Rita Barbera has cracked down on convicted Mafia mobsters flaunting their wealth and status in prison. The photograph accompanying the story was of Rita Barberá, who has been the mayor of Valencia since 1991. What a difference the accent on the “a” makes!
There has been a drop in the population figures of just over 27,700 so far this year, as more immigrants return home, fewer arrive and more Spaniards seek work abroad. The figure would be much higher if it were not for the 300 immigrants who acquire Spanish nationality every day. Some acquire nationality easily, like the Peruvian-born novelist and Nobel prize winner Mario Vargas Llosa. Others have a much harder time and a longer wait, which is why most Moroccans intend to stay here for life once they
get their Spanish passports, according to a Ministry of Justice spokesman. He said many Latin Americans who can apply for nationality if they have a Spanish grandparent or parent do so to be able to draw social benefits in these hard economic times. Those who do not have that option are heading home in increasing numbers.
Rise in antiimmigrant feeling According to the latest report from the Observatory
of Racism and Xenophobia, four out of every ten Spaniards are in favour of expelling unemployed immigrants because “they receive more from the State than they contribute”. Just over 80 per cent said there are too many foreigners. Many believe that foreigners make up more than 21 per cent of the population when the figure is less than 12 per cent. Just over 40 per cent continue to believe that the effects of immigration are positive, 5 per cent less than in last year's report.
WEDNESDAY, July 27th 2011
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CIA feared for King's life
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a coup as late as December 1981. After the coup attempt, the CIA feared the king ran the risk of assassination from two quarters – the dissident elements in the armed forces and the Basque terrorist group ETA. Formed as an anti-Franco organisation in the 1960s, it was widely expected that ETA would abandon its violent tactics after
Franco's death on November 20th 1975. But the group then revealed its true aim – an independent state consisting of the French and Spanish Basque provinces and Navarre. ETA violence peaked in 1980, when the group killed 118 people. Franco had appointed the then Prince Juan Carlos as his successor in 1969, on the understanding that he
opponents, especially the Church, predicted. The number of divorces did increase in 2005 and 2006 but since 2007 has been dropping. According to the
2005 law, a friendly divorce would take two months, and up to six months if there was any opposition. One divorce lawyer said “it was a joke” because even
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Most wanted ETA jailed
would be an “authoritarian monarch” and continue the Franco regime. Instead, in the period known as the Transition, the king and Adolfo Suarez, the man he appointed prime minister in July 1976, dismantled the system, paving the way for the first free general election – in June 1977 – to be held in Spain since February 1936.
Quickie divorce not so quick The so-called 'quickie divorce' which came into effect six years ago has proved to be not so quick and has not caused the increase in divorces that its
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Recently declassified CIA documents reveal that the organisation feared King Juan Carlos's life was in danger for having opposed the attempted coup on February 23, 1981, when a group of Guardia Civil stormed Parliament and held all the MPs in the building hostage for nearly 24 hours. There had been speculation that the king had been part of the conspiracy until he came out openly against it on television in the early hours of February 24th, but the CIA documents prove that he opposed the attempted coup from the moment he heard about it. The documents also show that a section of the armed forces was still considering
EWS
the friendliest divorce took longer than two months and if one of the partners proved unwilling, the process could drag out for a year or longer.
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A judge has sentenced Garikoitz Aspiazu, a former military leader of the Basque terrorist group ETA, to 377 years in jail for his involvement in the bomb attack on a mayor in 2002. Mayor Esther Cabezudo survived the assassination attempt. At the time of his arrest in France in November 2008, Aspiazu – aka Txeroki (Cherokee) – was the most wanted ETA fugitive. He was captured in a raid on an apartment in Cauterets in the French Pyrenees and returned to Spain in May. M ADRID
Prostitutes’ ads targeted The government has approved a law to ban prostitutes from advertising in all the country’s newspapers, including their online editions, to protect minors from such advertising and prevent sexual exploitation. The only exceptions will be web pages or internet publications geared for adult entertainment. The government now has to win over newspaper publishers who claim the ads are legal and protected by the constitutional right to freedom of the press. Feminist organisations support the the ban, arguing that prostitution degrades women. MADRID
Businessmen want early elections A poll of 232 companies for El Pais newspaper shows that business leaders have lost confidence in the government's economic policies and want next March’s general election brought forward. After the Socialists lost heavily to the Partido Popular in May's elections, PM José Luis Rodríguez Zapatero said he would press ahead with labour reform and drastic cuts to public spending but most businessmen believe the PP will win the next election, which would strengthen Spain's position in the international money markets.
WEDNESDAY, July 27th 2011
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Sir Walter Raleigh introduced tobacco from Virginia to england
Police questioned N as Norway mourns
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Hundreds of thousands of Norwegians poured on to the streets in towns and cities across Norway on Monday to remember the victims of Friday's twin attacks by Anders Behring Breivik, many of them raising up flowers in memory of the eight people killed in the Oslo blast and 68 now known to have died on the island of Utoeya. Even as Crown Prince Haakon told 100,000 people gathered in Oslo that "tonight the streets are filled with love", there were growing doubts about whether the police are equipped to deal with the challenges of violent crime that has been increasing in a society used to leaving doors unlocked and children to play without fear. Until now, Norway's low rates of violent crime have been a point of pride for many Norwegians. Murders,
when they do occur, are front-page news. In 2009, the last date for which official statistics are available, there were 29 murders in this country of 4.6 million. In Oslo, highranking officials rarely even bother with a security detail. But last Friday's massacre has made many stop to think about a police force whose members are rarely armed. A spokeswoman for the Norwegian police union said criminals are now carrying weapons, and some people think that police officers should have
weapons as well. Gry Jorunn Holmen said it was too early to make any assessments, but the union had formed a commission to explore the issue. For the police, she said, “it’s getting tougher.” Meanwhile, in the wake of the attacks heavily armed commandos are stationed outside the gingerbread facades of government buildings and the nation is plainly on edge – experts say that some things might have to change. Norway is one of only three Western European countries lacking
a fully armed police force. Most police officers in Britain and Iceland do not carry firearms, either. Norway’s neighbor, Sweden, began requiring its officers to carry guns in 1965. The increasing presence of foreign criminal networks active in Norway is part of the reason for higher crime rates, Ms. Holmen said, though domestic criminal groups have also become more brazen. Just two days after the attacks, men in military fatigues shot a 27year-old man to death in his home in southern Norway.
UN to airlift food to Mogadishu The UN World Food Programme is to start airlifting food to Somalia, WFP head Josette Sheeran said on Monday at crisis talks on East Africa's drought. It will be the first airlift of food aid since the UN declared a famine in two areas of Somalia last week. Somali Foreign Minister Mohamed Ibrahim warned at the emergency meeting in Rome that more than 3.5 million people living in areas controlled by Islamists "may starve to
death". Al-Shabab, which has ties to al-Qaeda, controls most of Somalia and has banned the WFP from their areas, accusing it of being political. Ms Sheeran said aid would be airlifted to the capital, Mogadishu, where the weak interim government – backed by an African Union
peace force – controls only parts of the city. Tens of thousands of Somalis have been fleeing al-Shabab areas and heading to Mogadishu and into neighbouring Kenya and Ethiopia in search of food. Somalia is thought to be worst hit by the drought, but Ethiopia, Kenya and
Djibouti have also been affected. More than 10 million people in the region are thought to be at risk of starvation. Analysts say the drought has been caused by the lack of rains and the failure of governments to finance agriculture and irrigation schemes adequately.
Parliament in mainly Roman catholic malta has passed a historic law legalising divorce which now only requires the president's signature. The law was passed by 52 votes to 11 with five abstentions and one absence, months after 53% of voters backed the reform in a referendum. The law will take effect in october if – as expected – it is approved by President George Abela. Before monday's vote, malta was the only eU state without divorce legislation and couples had have to travel abroad to obtain divorces. mexico
Mass arrests in human trafficking raids
more than 1,000 people have been arrested in a crackdown on human trafficking and sexual exploitation in ciudad Juarez during raids that began last Friday. Dozens of bars and hotels in the city centre were searched for missing people, and police said they had also mALAYSiA
Refugee swap agreement signed Australian and malaysian officials have signed a deal in an attempt to stem the flow of asylum seekers travelling to Australia by boat. Under it, Australia can send 800 asylum seekers to malaysia, and will take 4,000 refugees from malaysia over the next four years. Prime minister Julia Gillard said it would "smash the business model of people smugglers". But Amnesty international has said asylum seekers are routinely mistreated in malaysia where they are "frequently caged in appalling conditions, exploited and caned".
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WEDNESDAY, July 27th 2011
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Debt impasse leads to verbal blows US President Barack Obama and Republican House Speaker John Boehner have blamed each other for the deadlock over the federal debt crisis, as a deadline to avert a default looms. On Monday, Mr Obama went on TV to condemn the Republicans' insistence on steep budget cuts, saying that "Most Americans, regardless of political party, don't understand how we can ask a senior citizen to pay more for her Medicare before we ask corporate jet owners and oil companies to give up tax breaks that other companies don't get." Mr Boehner responded by accusing the president of seeking a "blank cheque" and insisted that the government's "spending
binge" was over. The US risks default if a deal to raise the borrowing limit is not reached by August 2nd. The federal government runs a budget deficit that topped $1.5 trillion this year, and has run up a national debt of $14.3 trillion. Congress has routinely voted to raise the debt limit in the past but this year, Republicans – buoyed by a newly elected crop of fiscal conservatives – have refused to agree to a debt increase without significant reductions in the budget deficit. The chief
sticking points in negotiations are the Republicans' resistance to raising taxes and the Democrats' desire to protect social programmes for the poor and elderly, and a public pension scheme. If the debt ceiling is not raised, the US Treasury could run out of money to pay all of its bills – which could lead to interest rate rises, threaten the US economy and in turn the global recovery.
Bolivar 'death tests' inconclusive Scientists examining the exhumed remains of South American independence hero Simon Bolivar said they have not been able to determine the cause of his death. Last year, President Hugo Chavez ordered the exhumation of Bolivar to
see if there was any evidence that he had been murdered. Most historical accounts maintain he died from tuberculosis in 1830, and the scientists found no evidence to support – or rule out – that theory. Nor did they find any proof
that he had been poisoned, as Mr Chavez believes. The president had been in Cuba for a week for chemotherapy but appeared in public on Sunday at celebrations marking the anniversary of Bolivar’s birth.
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UK News Energy prices soar - again! Prices for your winter warmth in the UK are set to increase by as much as 18% as Scottish and Southern Energy companies announce that they intend to hoik their prices for electricity by 11% and gas by 18% as from September this year. This follows another increase in costs they made earlier this year. It means that the average household annual dual fuel bill will go up by £171 to £1,265 – the highest ever. Scottish and Southern justify the increase by saying that their home delivery costs over the last year have risen by 14%, their mandatory funding of schemes such as the Carbon Emissions Reduction Target has risen
by 11%, and the wholesale price of fuel has risen by 23% for electricity and 40% for gas. The next Scottish and Southern Energy rise means that 11 million people will be living in fuel poverty. If the other largest six energy groups follow suit, lobby group Consumer Focus estimate that 12 million will be pushed over the limit. The company has promised that this will be the last increase until August 2012 at the earliest. A whole year without an increase – whoop-di-do! Pensioners are already struggling – and don’t forget that there will be no more widows’ pensions starting in future, nor any
married person’s allowance – so they will be hard pressed to afford to put even one bar of their three bar electric fire on this winter. People will have to go back to open fires and gathering their own sticks at this rate – is this (pictured above) what Britain really wants for its ageing population?
Murderer gets life
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The “body in the bath” case drew to its conclusion in Japan last Thursday when Tatsuya Ichihashi was sentenced to life in prison for the murder in March 2007 of the British teacher, 22-year-old Lindsay Ann Hawker from Brandon near Coventry. Her body was found in a sand filled bath on the balcony of his Ichikawa flat, just east of Tokyo, to where she had been invited after meeting him in a café to go over some points in his English lessons. After
the
killing
Ichihashi was on the run for over two years and even had plastic surgery carried out in an attempt to hide from the authorities. He was caught in November 2009 after his plastic surgeon contacted police and gave him away. Miss Hawker’s parents had travelled constantly between the UK and Japan, sometimes giving out leaflets in the street, to try and help the Japanese police catch their daughter’s murderer. After the sentencing last week her father, Bill praised them for their hard work in
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tracking Ichihashi down and not giving up until they got their man saying “Lindsay loved Japan, and you have not let her down.” Judge Masaya Hotta said Ichihashi had shown no respect for Miss Hawker's life and had committed a "heinous" crime. The defendant admitted killing Miss Hawker but said that her death had been an accident, adding that he was only trying to stop her screaming as he raped her by gagging her. She died of suffocation and post-mortem results showed that she had also been strangled after she had died – the defendant said that he had tried to revive her. Her parents, Bill and Julia Hawker and her sisters Lisa and Louise were in court in Chiba to hear the verdict. The family had asked the court to show the defendant no mercy, requesting the death penalty, the maximum sentence in Japan for such a crime. Ichihashi has written a book about his life on the run and has offered any royalties from the book to the Hawkers. His offer has been rejected.
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SOCA appeals for help in tracing escapees from violent prison van break-out The UK's Serious Organised Crime Agency (SOCA) is asking holidaymakers and ex-pats on the Spanish Costas to be on the look out for two fugitives. The men, Kirk Bradley and Anthony Downes, escaped on Monday 18th July when the prison van they were travelling in was attacked by a gang armed with guns and baseball bats. At the time they were on their way from HMP Manchester to a court in Liverpool to face firearms charges. The security van driver and his passenger were taken to hospital though they are not thought to be badly hurt. The attackers escaped with the prisoners in a car. SOCA believes that because of long-standing links the men may be attempting to travel to Spain, or may even already be here. Downes is known
to be an associate of Kevin Parle, another fugitive on the Crimestoppers 'most wanted' list, who is thought to be in Spain and is wanted in connection with two murders in Liverpool. SOCA's Frank Francis said: "These are dangerous men and it is very important that nobody approaches them. We are asking people who think they may have seen them to call Crimestoppers, either in Spain or in the UK. You can do this free, and completely anonymously. Our priority is getting these two back into custody as soon as possible."
Kirk Trevor Bradley is 25 years old, 5'10", of proportionate build, with green eyes and cropped black hair. He has a Liverpool accent. Anthony Downes, also known to associates as Fat Tony, is 24 years old, 5'7" with blue eyes and short straight dark hair. Contact Crimestoppers in Spain on 900 555 111. Your call will be answered in the UK by a Crimestoppers agent. For Crimestoppers in the UK call 0800 555 111. You can also pass on information via the Crimestoppers website: www.crimestoppers-uk.org
Spanish Government offers more information in English language to property owners and purchasers English speaking property owners and purchasers are to get greater access to property information in English, under new measures announced by the Spanish authorities. Expatriate home owners and buyers are now able to request a Land Registry certificate (nota simple) in English from the Colegio de Registradores (College of Registrars). A certificate, including the translation fee, costs €29 plus IVAand can be requested from the Colegio de Registradores website https://buyingahouse.regis tradores.org. In addition, the new central government decree that came into force on 7th July introduces a range of measures that the Government says will protect property purchasers and homeowners, helping to ensure that purchasers have the necessary information in hand and preventing property problems from occurring in the future. HM Ambassador to Spain, Giles Paxman, said:
“I welcome these initiatives. Communicating essential information in English, combined with the measures announced in the decree, should help to ensure buyers are accurately informed of any legal issues connected with a property. However these measures will not, of course, do anything to help existing homeowners who have been experiencing issues with their properties. We will continue to work with the Spanish authorities to ensure these
problems are addressed.” British nationals considering buying a property in Spain or experiencing property problems are strongly urged to read the wealth of advice on the property section of the UKinSpain website, available at http://ukinspain.fco.gov.uk /en/help-for-britishnationals/living-in-spain/ property-in-spain/.
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WEDNESDAY, July 27th 2011
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Local News Junta de Andalucia 'paralysed' The president of the Partido Popular-Andalucia, Javier Arenas, warned on Monday that the Junta de Andalucia“is paralysed”and only has enough money to pay the staff, electricity and water. He said the economic situation he will inherit if the PP wins the next regional election – as forecast – will be “much more serious” than that found in other regions. At a press conference on Monday, Sr Arenas said that despite the reduction of public sector workers' salaries last year, Andalucia was the only region in the country which continued to take on more staff. He
said the Junta had suspended all financial help to the tourism sector and for public works and “is ruining hundreds of local suppliers”.
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1795
Spain and France signed a peace treaty
Police get access to drivers' data A new agreement signed by Fuengirola town council and the Traffic Authority (DGT) in Madrid will give the town's local police access to the DGT's database on drivers. This will enable the police to identify
drivers and vehicles more rapidly and efficiently. Past collaboration between the council and the DGT has reduced accidents by 26 per cent despite the increase in the number of vehicles on the road.
Unions announce 'hot autumn' The General Workers Union (UGT) and the Workers Commissions (CC.OO) have announced a “hot autumn” of actions against regional and national government cuts starting on September 9th with protest actions planned until October 7th, when protest marches will be held in the eight Andalucian provincial
capitals. Union spokesmen said the workers' “cup of patience” had already run over, warning it would take ten years to recover the jobs lost in recent years. Business leaders had to realise that conflict with the workers was going cost them much more than reaching agreements with them because they would not “renounce their rights”.
Travel agencies shutting down In the past year, 292 – or 15 per cent – of the 1,942 travel agencies that were operating in Andalucia have closed their doors. Only in Catalonia and Madrid was the industry harder hit, according to a survey carried out by the 11811 telephone information company. A
spokesman said the travel sector was one of those that had been hardest hit by the economic crisis and in addition it had to face increasing competition from the Internet which more and more people were using to plan their holidays and reserve hotels and tickets.
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Malaga company goes to Dominican Rep The solar panel company Isofoton is in talks with the government of the Dominican republic, where it hopes to install the largest solar panel park in Latin America. Dominican industry minister Manuel Garcia Arevalo said he had been very impressed by the state-of-the-art technology during his recent visit to the Isofoton factory in Malaga. Isofoton
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president Angel Luis Serrano said the company hoped to build a solar panel assembly plant in the Dominican Republic similar to the one it has plans to build in the United States.
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had been a girl of 17.Most of the women treated were housewives, while the men tended to be outside workers in the fishing, agriculture and the construction sectors. The spokesman said melanoma could be successfully treated if diagnosed early.
Got a story? Got pictures? Send your stories or pictures to The News
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MAlAGA
Feria date change proposed
Police save 'botellon' girl Two local policeman saved a 21-year-old girl from drowning off the La Araña beach in Malaga where a botellon (drinking party) was being held. She was spotted floating out to sea at 3 am on Sunday morning and was already 100 metres from the shore when the police called in a maritime rescue boat. However, the nearest boat is stationed at Fuengirola so one policeman jumped into the sea to save the woman, while the other kept his flashlight on her.
The City Council’s cultural councillor, damian Canedia, has proposed holding the August feria in September as a way to extend the tourism season. But the president of Malaga’s hotel association, Aehma, said the proposal was “madness”. He said people “still had vacation money to spend in August and anyway, children go back to school in September.” The feria is celebrated in August to mark the Catholic Monarchs’ liberation of the city from the Moors on August 19th, 1487. AndAluCiA
Golf a lucrative business Junta de Andalucia figures show that golf tourism generated an income of €678 million last year, representing nearly five per cent of the province’s total income from tourism. The head of the Junta’s Tourism, Trade and Sports department, luciano Alonso, said the half a million golfers who vacation in the province every year spend on average around €140 a day. He said the number of visiting golfers had grown by 17 per cent in the last five years. CARTAMA
Bids asked for bypass The Junta de Andalucia’s public works agency has asked for bids for a road to bypass Cartama Pueblo. When the 1.4kilometre-long road is completed, traffic from Alhaurin el Grande would not have to go through the town as it does now, but would go straight to the Coin-Cartama roundabout that accesses the Malaga highway. The two towns have been demanding the bypass for years and the Junta needs an estimated €155,000 for its construction which would take 22 months to complete.
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Monday this week saw special celebrations for four of Jacaranda Care Home’s residents. Jacaranda, on the outskirts of Alhaurin de la Torre has had a very busy July so far and on Monday threw a special birthday party for four special ladies. Katie Elliot and Marjorie Whittle were both 92, Irene Harrison was 90 and Mary Clarke’s 86th was on the actual day of the party. The weather was, of course sunny and most of the residents of Jacaranda were sitting under the gazebo chattering away to their guests. Irene’s son had flown over from his home on Gran Canaria and her grandson and greatgrandson arrived from the UK to spend her birthday with her – something they
still do every year even though they live so far apart normally. Three staff birthdays also come up in July and between residents and staff a total of 484 years had to be celebrated.
Drinks – alcoholic and nonalcoholic plus tea and coffee – were served and the party got underway. A lovely buffet lunch, prepared by Carol (pictured above) was enjoyed by all, with egg mayonaise, cheese and pickle, and tuna with cucumber sandwiches – all properly done in little triangles with the crusts cut off, plus sausage rolls, home-made coleslaw, samosas and different
5
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flavoured crisps, and a cake stand filled with beautifully made little cup cakes. What more could you want? Martine and Iain took over Jacaranda in March of this year after Georgie’s retirement and their motto is “Whatever It Takes” to get the job done right. The caring of owners and staff alike make Jacaranda into the “home” that it is. Their passion to make sure that all their residents are cared for – and that means their physical, mental and emotional needs – is second to none. How do we know this at The News? Because the dad of one of our people stayed there while he was here for a couple of months and really did not want to go back to the UK afterwards!
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WEDNESDAY, July 27th 2011
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Community Lions’ Summer Promotion The Mijas La Cala Lions club recently held a successful promotion of their summer collection of ladies fashions and accessories in the shady courtyard of a restaurant in La Cala village. The combination of a delightful setting, with attentive staff serving wine and tapas, a greatly enjoyed fashion show and an impressive selection of
quality merchandise at affordable prices ensured healthy sales of several hundred euros. Lions’ president Rosalyn Rowley also took the opportunity to present a cheque for €2,000 to ADIMI, one of the club’s nominated youth charities, for the purchase of equipment for disabled children.
“THE NEWS”WANTS TO HEAR YOUR NEWS Is there something happening locally that you would like our readers to know about? Is your society or organisation planning a fundraiser or special event?
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A positive attitude goes a long way Isn’t it nice these days of doom and gloom to find a group of people not prepared to accept the current employment situation. Who instead of sitting back and saying “help me” are doing something to help themselves. I was asked by Centro Al Andalus three years ago to teach a group of Spanish adults business English. The course is was funded by the Junta de Andalucia for unemployed people to study and practise English in a business environment. The main course syllabus was flexible so between us we designed a course which included the usual grammar, but also a chance to speak to a “native” and learn how English people live and work. How sometimes as English people we find it hard to get used to the “hasta mañana”, relaxed attitude of the Spanish and how some days we can not think of the word for the
thingymajig that’s required under the sink. We also covered basic introductions and face to face conversations including dealing with complaints and problems. The students learnt how to make appointments and take messages, the hardest way being on the telephone. The daily routine of a working English person is also looked at and great fun is had listing the differences between us. The “no siesta” in England is received with looks of horror from the students. “One hour for lunch!” they cry. We also explore the more serious side of business, the different terms we use and our laws. This part gave students insight into our confusion over their laws and regulations – and yes we English should learn Spanish, but faced with a mountain of them it is nice to have help every now and then.
The other part of this course involves starting a business in English, hard enough in your own language but in another, quite a challenge. The students get the opportunity to design a company from scratch. This includes history, figures, profits, costs, web page, logo, graphics and future forecasts. The students then have to present their project to their classmates. Every year we have run this course I have been bowled over by the standard, the enthusiasm and professionalism of the students. This year’s group is no exception, and I felt it was necessary to write about the positive attitude these people have. They always come to class with a smile on their faces and ready to learn. At the end of the course they have a chance to have work experience within a local company. It would be great if we could have more
English companies offering places, so if you are interested in next year’s programme, please let us know. And finally thanks to all the students, who have made my job much easier and made me smile every day. Written by Lynne Roberts
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WEDNESDAY, July 27th 2011
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Gibraltar
News Keep your eyes You couldn’t open at all times make it up! Items such as iPods and Smart Phones had been disappearing from people’s bags while they were on the Eastern Beach recently and police had advised people that they must keep an eye on their belongings and not let their guard down while sunbathing or going for a dip in the sea. Following
a
tip-off,
Anthony Fraser walked in Central Police Station on the Rock on Monday and gave himself up.
police searched the homes of two teenage boys, found one of the stolen phones and arrested them.
Illegals ask for housing on the Rock The two men who were caught trying to swim to South Mole last September have again appeared in court. The two illegal immigrants claimed to be Algerian but had no papers with them and are suspected to be Moroccan citizens. While their case is waiting for information from the Moroccan authories they say they are having to live on the streets and have demanded that Gibraltar house them until the case is resolved – a demand that was turned down by the Gibraltar authorities. They had admitted in court last year that they had tried to enter Gibraltar without the proper permit. A deportation order was given and the men were remanded in custody. While the authorities were trying to make
arrangements, they came to the conclusion that the men were not Algerian as they claimed, but were in fact Moroccan which has held up proceedings for the last ten months.
Frazer, 39-years-old and the grandson of notorious gangster “Mad” Frankie Fraser, appeared in court on Tuesday and praised the local police saying they were “great” whilst agreeing to extradition to the UK to face charges for trying to smuggle two tonnes of cannabis resin into the UK in frozen chickens. When asked about being extradited he said: “I want to go back. Yes.” There had been an international arrest warrant out on him and he had been living in Spain.
Tourist offices in Gibraltar are located in Casemates Square, the Airport Arrivals Hall, the coach terminus and the cruise terminal and at the frontier. Main Tourist Administration Office Duke of Kent House Cathedral Square, Tel: +350 20074950 e-mail: [email protected] The Gibraltar Tourist Board also operates in London at: Gibraltar Government Office150 Strand,London WC 2R 1JA.Tel: +44 (0) 207 836 0777 email: [email protected]
Anthony Fraser has now been remanded in custody until arrangements are made for his journey back to the UK to face the British Courts there. His grandfather “Mad” Fraser, now 87, was a notorious London gangster with a history of violent crimes and has spent half of his life in prison
Liam Fox meets chief minister for talks
Note: Gibraltar phone numbers consist of eight digits. When phoning from within Gibraltar just dial the eight digits.When phoning from the Costa del Sol and the rest of Spain or from abroad precede the number with the international dialling code which is 00350.
Gibraltar 2011 Bank Holidays
Aug. 29th Summer Bank Holiday Sept. 12th Gibraltar National Day Dec. 25th Christmas Day Dec. 26th Boxing Day
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Gibraltar is still waiting for answers to their questions from Morocco. After 28 days the detention order had to be renewed and was subsequently renewed for many months until magistrates decided a few weeks ago that they should be released pending answers from Morocco and deportation.
TOURIST OFFICES
On arrival at the Gibraltar airport, secretary of state for defence Liam Fox was greeted by chief minister Peter Caruana. The chief minister (pictured above) has declared that the signing of the bilateral 2011 Lands Deal with the Ministry of Defence will represent substantial rental and home ownership opportunities for young Gibraltarian families. As a result of the major
transfer of assets for civilian use, the local government will also get open spaces, industrial facilities, the whole of the HMS Rooke complex and many other areas. During a joint press conference with the visiting UK defence secretary at Convent Place this weekend, Mr Caruana said that the new arrangements take previous agreements "to a whole new level".
Morrisons, Latinos (Casemates square), Latinos (Main Street), Tourist Centre (Casemates Square), ICC Centre, Newsagents - Albor (Ocean Village), Newsagents - Ocean Village Express, O’Reilley’s (Ocean Village), Bianca’s (Ocean Village If you would like to advertise your business in The News, please call us on 0034 952 454 491 to find out about some fantastic offers we have on this page!
Gib fuel prices from Morrisons Is it worth going to Gib with an empty tank? Usually the answer is yes! We check Morrison’s prices each week. Unleaded per litre £1.04(€1.21) Super unleaded £1.13 (€1.32) Diesel per litre £0.98 (€1.13) The exchange rate used by Morrisons is €1.16 to £1 and the prices are as at 6pm Tuesday July 26th .
WEDNESDAY, July 27th 2011
news Your outlook on the World
the
Martin Delfín Writes for the English language version of
A much needed reining in
Confusing the public
F
Q
or some time now, there has been a growing concern about the seemingly limitless powers of the regional governments – and it wasn’t just a case of opposition politicians trying to undermine the party in power in the regions. Opinion polls over the past few years have shown that about 70 per cent of the ordinary men and women in the street also want to see regional government powers curtailed. It doesn’t make sense to have 17 different education systems, which has led to a good education depending on accident of birth. Children born in the north of Spain consistently do better at school than kids in Andalucia or Extremadura, the two regions with the worst education records. Ditto the health system, with Andalucia and Extremadura at the bottom of the list here as well. Why should doctors and other health workers want to work in these two regions when they can work in other regions where the pay is often considerably better, filling the vacancies left there by the increasing number of doctors and nurses who have emigrated to other EU countries where the salaries are even better? And so it goes on.
B
ut now it looks as if something good may come out of the political tsunami resulting from the May 22nd regional and local elections and the ongoing economic crisis. Many councils changed hands after that election, usually the Socialists making way for the Partido Popular. It was a huge victory for the PP, but it had an equally huge sting in the tail. The simple truth is that the councils, with few exceptions, are bankrupt and the government in Madrid may finally be forced to do what it should have done years ago – reorganize the regional government model to eliminate the duplication of powers which has led to the ridiculous situation where Spain in fact has 18 prime ministers, 18 health ministers, and so on down the line. All the regional top officials have to enjoy the same lifestyle as their counterparts in Madrid – fancy cars, mobile phones (which they also distribute freely to their henchmen), several credit cards (the Junta’s tourism delegate to the Malaga provincial government apparently had the use of more than 40 credit cards). And who foots the bill – the Junta in Sevilla, the provincial governments (yes, every province has its own government), or the local councils? Where do they get their money from? EU subsidies, the money the government in Madrid is committed to giving the regions, and the taxpayers. And we won’t go into the murky area of the backhanders that these people have been receiving for years for one favour or another, most of which lined their own pockets.
I
’m not making up any of this – I’m merely passing on bits of information I glean from op-ed articles and news stories published in the national and
local press.
T
he situation in Andalucia has been made even worse by the fact that the Socialists have governed the region since it became “autonomous” 30 years ago, and most of the local councils have been in their hands, with a smattering governed by or in alliance with the Izquierda Unida (IU, United Left) or the Partido Andalucista. Councils, or provincial governments like Malaga, that are governed by the PP get very short shrift from the Junta, which punishes them by dragging its feet when it comes to subsidising or funding much needed infrastructure works. The other side of the coin is that when the PP was in power from 1996 to 2004, it got its own back by making life difficult for the Junta.
U
nfortunately we won’t know just how indebted Andalucia is until the regional election is held next March but I’m afraid we can expect the worst. I dare bet any money that when the full extent of the corruption in Sevilla is revealed by the PP victory which everyone is predicting, it will make the so-called Gurtel corruption case, which led to the downfall of former Valencia premier Francisco Camps last week, look like child’s play.
M
ind you, a PP victory is not an absolute cert. The government has just announced that it will start paying some 600,000 people under the age of 30 €400 a month if they enrol in training courses. The scheme is to be implemented closer to the general election in March, which will coincide with the regional election in Andalucia. And get this, the scheme will be launched in Andalucia before it goes national. How's that for a bare-faced vote buying?
U
nfortunately for the Socialists, everyone remembers similar attempts in the past – the socalled one-off “baby cheque” of €2,500 which was one of Zapatero's first pay-offs to be axed. Another was the withdrawal of the €461 to unemployed people who had run out of dole credits. The PP is going to have to make some painful cuts when they take power, as Aznar had to in 1996, when he inherited a similar economic situation from Felipe Gonzalez. (pictured)However, people know that the PP doesn't give with one hand and take away with the other, as Zapatero has done consistently since 2004.
uestion: What is the difference between Francisco Camps and Alfredo Pérez Rubalcaba? Answer: One is indicted and the other one is not. Question: Does the Partido Popular (PP) really think it can confuse Spaniards in demanding that Rubalcaba step aside as the Socialist candidate because some of his former subordinates are facing criminal charges in an alleged police leak case? Answer: Yes.
U
nfortunately, the PP once again is trying to mix apples with oranges. Following last Wednesday’s sudden resignation of Francisco Camps, the Valencia regional premier who is facing trial on a bribery charge, the PP is demanding that Rubalcaba do the same. Camps surprised everyone when he decided not to take Mariano Rajoy’s advice and plead guilty to the charge that he accepted tailor-made suits from a group of businessmen who received fat contracts with his government. The PP leader wanted Camps to avoid an embarrassing trial in the autumn that could have severe political implications for the opposition as they prepare for the general elections.
B
ut Camps didn’t want to get the dubious distinction of becoming the only sitting regional premier in recent times convicted of a crime. Always maintaining his innocence, he prefers going to trial even though it cost him his post.
knowledge about a police leak that allowed a group of ETA terrorists to escape before their arrests. Just days before Camps’ indictment, three former police officials were charged in the socalled Faisán case in which someone alerted an ETA middleman about an impending police raid in 2006. Rubalcaba, who was serving as interior minister at the time, conducted a thorough internal investigation to see who was responsible for tipping off ETA. The judge that indicted the three former police officials did not find anything to conclude that Rubalcaba or any of his top officials were involved. His name is not mentioned in any indictment nor has it come up in the investigation. But the PP is using the Faisán case against Rubalcaba.
I
t is unfortunate how organisations like the PP spend their time trying to confuse the public while there is pressing business concerning the financial state of affairs. It is fortunate, however, that most voters in Spain are keenly aware of the PP’s tricks. Politics involves deceit and confusion, and the opposition party has shown its expertise in this. Camps, his co-defendants and the three former police officials will all have their days in court. Until then, the PP must be reminded that the defendants have their constitutional rights to a fair trial, which shouldn’t be affected by overzealous statements or exuberant publicity that may affect their case.
I
t is true that Camps had been a real headache for Rajoy and the rest of the PP. The opposition leader didn’t want to demand publicly that Camps resign, but privately Rajoy wished that the problem would just go away. While lauding Camps for having the decency to step aside for the benefit of the party, Rajoy isn’t at all happy that a public trial will indeed be held in the autumn. Besides Camps, three other former Valencia officials will stand trial in the case. Even though none of the defendants hold elected office, there will no doubt be some juicy testimony concerning how business was conducted in Valencia during Camps’ past two terms in office. Rajoy had the opportunity of banning Camps from running for reelection earlier this year. But he didn’t. The 47-year-old politician won a third term by a landslide during May’s regional elections. Just weeks after celebrating his victory, the Valencia High Court indicted him and his now co-defendants in the socalled “suit gate” case that involves those dastardly businessmen who were connected to the Gürtel network.
N
ow that Camps has stepped down “for the benefit of the party,” the PP is asking Rubalcaba to take note. The opposition claims that the former deputy prime minister isn’t fit to run as the Socialist candidate because of speculation that he may have had prior
Francisco Camps
16 n Advertising Features
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Flood your culinary senses at Restaurant el Rio Restaurante El Rio in Calle Manuel Fernandez, which is off Calle Francisco Cano – two roads back from the Yaramar Hotel – in Los Boliches, Fuengirola, has been open for 15 years specialising in top quality Spanish and International food.
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Run by Antonio Cabrera and family who pride themselves on service and quality, El Rio’s signature dishes are roast duck with seasonal vegetables served on a platter, steak on a hot stone, steak tartar and Chateaubriand as well as
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Bar El Rio is open 12 till late daily. Both venues are closed Sunday and Monday lunchtime. To book your table and for more information call them on 952 664 311 or 691 406 453
www.thenewsonline.es
e new one’s here! Valerie Mitchell’s new book, The Third Twelve Shortcuts to Spanish is out this week. Valerie who writes the bi-weekly column, Poco a Poco in The News is following on her very successful first two books, plus her verb book and her little book of Spanish idioms. If you have enjoyed her other books with their easy to understand, and chatty manner this new, third book is a must-have. Originally from Ireland where she studied modern languages at Trinity College, Dublin, Valerie has run the Centro de Idiomas language school in Coín for the past 10 years and has lots of experience in helping people to communicate. Her classes aim to get people speaking and understanding Spanish and it was with this
in mind that she started her Shortcuts to Spanish series which avoids the conventional, grammarbased approach and helps you to speak from the first page. At only five Euros each, for the “Shortcuts” books, they are ideally priced. Treat yourself or a friend and start talking now. You can buy your books from The News offices in Coin; Woody’s in Calle la Poeta Salvador Rueda 93 behind the Confortel, or David’s Books in Francisco Cano, 49, both in Los Boliches, Anne’s Books on the upper level in Bonanza Square or from Valerie herself via her website at www.cslspain.com and if you want to join one of her classes, call her on 952 450 747 or email vjeffrey @fastmail.com
LEGION RIDERS AT FARO 2011 The great Faro 2011 Rally was on from the 14th till the 17th July and this year, being the clubs 30th Anniversary, it was always going to be bigger and louder than ever! This rally, organised by the “Moto Clube Faro”, is said to be the largest annual motorcycle meet outside the US and this year was no exception with an estimated 80,000 plus present – it was somewhat like Glastonbury with bikes and no trouble. The entrance fee of only €45 includes all your camping, a T-shirt, badges, three meals, medical facilities and beer at only €2 a pint – you can see why it’s such a popular choice. Located on church land next to Faro Airport, it’s easy to get to by air and easy to find if you are coming by road, as most people do. Entertainment is an important element of this event. It was kicked off on the 14th with “Iron Maiden” flying in from St. Petersburg on their own
private jet during their “Final Frontier” world tour. After Faro 2011 they flew off to their next gig in Madrid on Saturday 15th. The entertainment is always varied – from rock bands and folk groups to gospel singers – and this year was predominantly from the UK, Portugal and Spain headed up with the aforementioned Iron Maiden, and Hells Bells, an excellent AC/DC tribute band purported to be the best. All were thoroughly enjoyed by everyone listening from the UK, as well as Mindlock & Iris from Portugal and Mago de Oz from Spain. There were also children’s entertainers for the crèche as well as lots of local musicians including the local town band and the Orquestra do Algarve. Live music from early morning throughout the day and night and into the next morning, pretty much 24/7 and when the bands stop, the revving of the motorbikes start! If you add
Dangerous Ellis and his better half from Coin enjoy Faro 2011
to this the Custom Bike Show, Wet T-shirt Competition, Erotic Show, plus a “Bikers” market selling everything from Tshirts to tattoos you can get the feel of the rally. There was also a Custom Bike Farm with bikes from heaven plus everything else you get at these major events. To feed the needs of the attendees there were numerous bars and food stalls with the beer being dispensed from 40-foot tankers. Beer barrels were simply not big enough! As you would expect there were more motorcycles than you could shake a stick at – from Custom Trikes to
Mopeds and everything in between coming from all over Europe and with riders from as far away as Russia. Over the last three years The Royal British Legion Riders Branch in Spain has organised a dedicated RBLR camping area plus a RBLR promotion tent in the market area – the pitch being provided free by the Faro club. The first group from Spain arrived at lunchtime on the 12th after leaving Benajarafe (just east of Malaga) at 7am. They had taken the simple route going up to the A92, main motorway Granada to Seville, through Seville on to Huelva, crossing the
Portuguese border at Ayamonte and then straight down to Faro. Many thanks must go to Dennis Scrivens for providing/driving our support vehicle/trailer which carried our promotional tent and its material, a lot of bags, tents etc., for those arriving over the next few days and any equipment for the bikes we might need. When we arrived on site we first contacted Luis Braza, the Faro Club Secretary, to sort out our tented area which we had asked to be, as we had been for the last two years, near the Oasis Bar – very noisy but popular with all nationalities. It didn’t take long before we had been given our area just where we wanted and with our RBLR banner and our tents put up, we were ready to receive our members and friends. Over the next few days around 60 “Riders” and friends arrived and were accommodated in the shade. Everyone seemed to have a great time over the four days
and to end the rally there was a prize giving for the many events and the grand raffle was drawn for a trip to the USA and a Harley Davidson. For information on The Royal British Legion Riders Branch (a National Royal British Legion Branch) or Faro 2012 contact Dave Pusey on 0034 952514226 or 0034 653108415 email him at [email protected] or look at their local blog; http://rblrinspain.blogspot .com/
WEDNESDAY, July 27th 2011
news Your outlook on the World
OUT &
the
ABOUT
Your Weekly Entertainment Guide INSIDE THIS WEEK New slimming club coming to La Risa@Lauro Golf Fri 29th Reggae Fiesat at Siboney, Coin, Sunday 31st. Starts 4pm Fabulous music weekend at Pógs
A perfect night with Peter Peter Andre is famous for a lot of things – his marriage to Katie Price aka Jordan, his reality television appearances, being an all-round nice guy and dad of the year.
B
ut musically you have to cast your mind back to the 1990s when he was in his heyday,scoring top ten hits and albums. Now, post his very public divorce from Katie Price, Peter Andre has been investing a lot of time and energy into re-launching his career as a singer.
A
nd the man with the finely honed pecs has hit the road in a series of concert appearances which brought him to Spain last week. The singer brought his show to Marbella to the Playa del Pinillo, next to the famous Marbella arch and was greeted with rapture by a
largely female audience of all age ranges, who weren’t slow to let him know just how much they loved him. With a smattering of good natured dads, husbands and boyfriends in the audience, the scene was set for a night of emotion.
H
is UK gigs have been hugely successful and one group of three women from Portsmouth had made the trip to Marbella to see him after failing to get tickets to his sell-out concert in their home town. Peter ran through some of his biggest hits from the 1990s, as well as singing some songs from stars which he has himself loved over the years, including Stevie Wonder and The Police. He treated his fans to songs from his new
album Accelerate and ran through the big recent songs like Behind Closed Doors and Call Me A Doctor and with his warm good humour had everyone jumping up and down.
B
ut there was one song they were all there to hear and they were happy to be teased by Andre until finally he delivered the ditty that was made famous again during his appearance in I’m A Celebrity, Get Me Out of Here – the faux-reggae perfect-for-summer sound of Mysterious Girl. Arms were held aloft and the audience swayed in love and appreciation.
T
hen it was time for the finale. Andre has been
Lisa’s Bar
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collaborating with Guy Chambers, famous for Robbie Williams’s Angels, and he ended the evening with his new single, the melodic A Perfect Night. A perfect song to draw the balmy evening to a close. Written by Andrea MacLean
#
NOW OPEN serving drinks, tea and coffee from 5pm every day
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Your Weekly Entertainment Guide
Motown and soul
look fabulous! Happy Birthday Ditte & Hayley at El Potro Love from Pete and Sartori at Woody’s & everybody at
The News
At Bar La Risa, Lauro Golf, starting this Friday 29th July at 9.30am, a new weekly slimming club will start called Simply Slimmer. Simply Slimmer is run by a very successful weight loss consultant called Gillian Connelly. She had an accident in 2005 which resulted in her breaking three bones in her back. Her weight rocketed due to lack of exercise and her answer to constant pain was 'comfort food'. After hearing colleagues
complaining about points/weighing/ measuring and counting calories she didn't think there was any hope. But then she discovered an entirely new way to slim –. a way that meant she could still have a social life, eat the same as her family, enjoy a few glasses of wine and still lose weight week on week. It wasn't so much a diet as a new outlook on food. Gillian joined the programme in October 2005 and hit her target weight 12 weeks later with
a weight loss of 21/2 stone. She has maintained the weight loss for almost seven years now, her back causes her no problems anymore and she's been a consultant for six years. Simply Slimmer opened its first group in Spain in February 2011. The groups have been a great success and this week a new group will open at Bar La Risa, Lauro Golf. The Simply Slimming Plan is suitable for all ages and health ranges, it is also suitable for vegetarians. It isn't so much a diet as a
Healthy Heating Plan that allows flexibility and fun whilst losing weight. A steady healthy weight loss is easily achievable whilst still enjoying the luxuries in life ie wine, chocolate, curry etc. They have also teamed up with ZUMBA Spain to help encourage members to lead a more active life and tone up whilst working towards their ultimate goal. For a no obligation chat please pop along to Bar La Risa, you may be very pleasantly surprised that slimming can be fun!!!!!
Janette Smith, a loyal Cudeca volunteer from the Alhaurín el Grande shop is organising a Motown and Soul night in aid of Cudeca on Saturday, 6th August in Alhaurín el Grande. There will be entertainment from Acefm and a raffle. Tickets are available from the Coin or Alhaurin el Grande Cudeca shops. A fantastic open air event for only €10 including food and entertainment. For more information, please contact Janette on 633 814 325 before 3pm and after 9pm or email motownsoulnightinfo@gm ail.com.
RESTAURANTE EL RIO Come and enjoy our usual high standard of service and food%
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CASA KON-TIKI The Home of Fish and Chips OPEN ALL DAY 7 DAYS A WEEK
12 NOON ‘TIL 11PM NEW! Early Bird Special 7 Days, noon until 6pm Fish, Chips, Peas, Bread only €3.95pp Lunch time sandwiches €1.50 Main meals from €4.95 Sunday Roast Lunch €5.95pp Buy two jumbo fish, chips & mushy peas, get a bottle of wine free only €9.95 each
Chris The Dish: 667 842 359 John The Fish: 678 292 792 2nd street behind Yaramar Hotel, Los Boliches Visit us at www.los-boliches.es
* Chill Out to the Sounds of Dave Lee from 3 pm * Welcome Cava
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* Traditional Sunday Lunch Menu from 11.95 euros
* Happy Hour from 6 to 8pm
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* Special Sunday Night Room rates ask at Reception
Book your table at Reception 952 585 988
Book your table at Reception or call Hotel Tamisa Golf on
WEDNESDAY, July 27th 2011
news Your outlook on the World
the
M
Mocha
Serving a selection of snacks, paninis, baguettes, etc., Plus main meals including Rack of Ribs, and Entrecôte steaks.
Sunday Roast €7.95 OAP special price €5.95 children €4.95 Open every evening except Wednesdays with a new menu. On Fridays you can enjoy fresh battered cod, chips & Mushy Peas
Fri - Sat Happy Hour 6.30 - 7.30
Daily from 9am Sat. & Sun. 10am
952 597 188 Calle Gerald Brenan 89 Alhaurin El Grande
Come and enjoy the best of Indian cuisine in our newly refurbished airconditioned restaurant or dine on our fabulous terrace
Menu del Dia 3 courses €9,95 EAT FROM OUR MENU WITH PRICES REDUCED BY UP TO 10 & 15%
Take-away service Free home delivery with orders over €25.00 OPEN 7 DAYS Lunch 1.30 - 4.00pm Dinner 7.00 - 12.00pm
Urb. El Rodeo, Coin
952 455 599 626 977 224 BAR EUROPA Tommy’s KaraoKe Every Friday from 22nd July at 9.30 Happy Hour 9.30 - 10-30 Be a star in the bar
Opp. La Trocha CC, Coin
New Spanish course now started semi-intensive only a couple of places left!
[email protected] www. cslspain.com Download Valerie’s books at her website
Alhaurin el Grande’s NEWESt BIStRO cAFE
Indian Restaurante
LIVEIC MUS Av Antonio Machado
£1.30
Now Open from 4pm with Janine (J9)
cAll FOR MORE INFO
Free wi-fi zone Sky Sports
MUMTAZ MAHAL
Terry @ Buzby ad ’
Wednesday 27th Jordana + Cher + Lady Gaga tributes Thursday 28th Black Bais - Michael Jackson, Lionel Ritchie etc Friday 29th Alexandra Avery - vocalist Saturday 30th The Cleverleys - Tribute to the Everley Brothers Sunday 31st Lesley Harrison - female vocalist Monday August 1st Tony Montana - as Michael Bublé followed by Natalie Monroe, and Tomo Tuesday 2nd Dex - guitar and vocals Mad Terry Karaoke from midnight every night with Mad Terry, and Tomo the King of Karaoke.
Race Night Friday August 19th due to popular demand.
654 396 651
Jamaican food, cocktails and live music from the Reverend Toon plus guest appearance from Phoebe
£1.50
£1.60
There are some great photos of Pógs and the Monkey Tennis performance from two weeks ago at www.picasaweb.google.co m/woodysfotos/monkeyte nnispogs. For the best results type that in and then click on slide show – feel free to download.
Fresh Filtered Coffee
20p
£1.10
Great entertainment and quite a weekend for Pógs – just 70m inland from Fuengirola port by the PYR hotel. Try to make it on all three nights, you're worth it.!
Drinks are well priced, (pint lager €2.40, bottles €1.80) plus there's a dance floor and the Guinness is good.
Grand Opening this Sunday 19th June Don’t miss it!SUNDAY 31ST 4PM See article, REGGAE FIESTA left with
Decaffeinated served as any of the above
£1.30
And it's not over! At Pógs on Sunday night it's the amazing Stolen Gnomes. An extraordinary Celtic fusion band, dripping with talent, their
influences range from 60's Motown, traditional Spanish folk, to Irish reels and jigs. With Guitar, Cajón, Fiddle Mandolin, Bodhrán and Bass. This is toe-tapping fun, with heart and feeling, plus just enough electric amplification to give it some real kick.
In La Trocha Commercial Centre. Food served daily from 1pm except Monday when it’s 6pm. Try our very popular BBQ menu.
Extra Shots
*FREE ENTRY* Shows start at 9.30pm. Open all day.
£1.40
Monday, Wednesday & Thursday Robbie’s Karaoke Roadshow from 9.30pm. Come and be the star in the bar. Tuesday “Black Bais” male vocals, soul, Tamla Motown, R&B, great voice! Friday Siobhan - female vocalist from Dublin Fun for all ages Saturday Night Life - comedy vocal duo, not to be missed! Sunday “Mr Blue Eyed Soul” Danny Stone
Hot chocolate with Cream
SPECIAL OFFER! 8oz entrecôte steak with all trimmings & bottle Rioja - only €20 per couple
Pot of Tea for one
Nelson of Shack-Attack fame took Pògs to a new high. The whole band were on top form, in tune and smack on target. It was a fantastic night. This band love to play together – Beatles, Neil Young, Clapton, Commodores Marvin Gaye, Thin Lizzy – and they are going to do it all again live this Saturday.
s
Selection of Speciality Twinings Teas
Siboney
EL MOJITO Plaza de Remo La Carihuela Torremolinos
Selection of various drinks available at the counter
£1.50
Saturday 30th is the big band night, Monkey Tennis are back. Two weeks ago they were literally bouncing off the walls at Pógs, the joint was really jumpin'. With all six members going at it, Monkey Tennis put on a terrific show. The addition of the brass section, trumpet and sax to keyboard, guitar, drums and bass really made it special. The guest appearances from singer Alice Reay and Steve
Freshly made Thick and Creamy Milkshakes
The rock and roll ball starts rolling on Friday night with the classic fourman rock band Traffic Jam. Locally well known with a good following, Traffic Jam deliver talented renditions of U2, Pink Floyd, Carlos Santana and more, recently their own songs too – a real rock band that's suitably noisy and passionate.
Strawberry
Three bands, some 15 musicians will perform live on stage over this weekend at Pógs Irish Bar in Fuengirola. This is a really big weekend for great music!
Chocolate
A real humdinger music weekend at Pógs
" !
JK’s
This Wee k!
Wednesdays 8.30pm Bingo - jackpot €400 Quiz with jackpot Friday July 22nd Cloudy Night - private evening members only Friday 19th August RACE NIGHT - due to popular demand Saturday 30th JK’s Charity Auction starts at 11am Auction starts 2pm JK’s is open from 2pm
654 396 651
Pol. Ind La Trocha, Coin [email protected]
La Risa @ Lauro Golf la Risa 3rd Anniversary Party - BBQ and buffet plus live entertainment - July 30th - €19.50 - must book! NEW! la Risa Simply Slimmer Slimming club Starts Friday 29th July 9.30am
Monday: 2 course menu only €7.50 per person Wednesday & Friday Our popular Fish & chips available all day Saturday Night: Special Menu available Sunday: Excellent Sunday lunch including lamb shoulder €5 supplement for 2 persons. Pre-order required Kitchen now open to 9pm Monday - Saturday For further details of all these events call us on 660 350 896 or pop into the bar.
On the road between Alhaurin el Grande & Alhaurin de la Torre Across From the Clubhouse
Reservations: 660 350 896
By Mof at the movies
Things that go bump in the night.
email: [email protected] web: www.coinlife.info
I
have always liked a good horror story, something to get the heart pumping with adrenalin and a good old fashioned fright. I like clever stories and I’m not overly keen on the ‘Slasher Genre” that seems to have dominated in recent years. I think that is why I enjoyed a Spanish horror called “The Baby’s Room” which I saw at the weekend.
MoViES to WAtcH out FoR
Bad Teacher
R
by Jake Kasdan, starring Cameron Diaz, Justin Timberlake If you fancy a bit of summer bad-ass humour to contrast with the wonderful world of wizards, and cartoon cars, and to fill the gap before the next superhero blockbuster, then Cameron Diaz’s performance in Bad Teacher should fit the bill. She plays Elizabeth, a foul mouthed, unscrupulous, couldn’tcare-less teacher who barely tolerates the kids in
her class. Elizabeth is only interested in one thing – getting out of the day job she hates and starting the life of luxury that she thinks she deserves. To that end she has identified the sugar daddy and got engaged, and all is going to plan until he dumps her and she’s back to the drawing board. Cue the entry of new teacher Scott (Timberlake) who just happens to be as cute as sixpence and, even
more luckily, the son of very wealthy parents. Elizabeth sets her cap at Scott but rather irritatingly he seems to be attracted to Amy (Lucy Punch), an enthusiastic and dedicated teacher at the school. Elizabeth decides that a boob job is the answer – bigger boobs will catch Scott and win her a future of unalloyed wealth and happiness. But for that she needs money – so she sets
out to win the cash bonus on offer for the teacher whose class performs best. Hmm, good luck with that one! In the meantime sarcastic gym teacher Russell (Jason Segal) starts to make some unwelcome advances. It’s not going to win any awards, but the politically incorrect jokes raise the laughs, and Diaz and Timberlake are on good form, along with the rest of the cast.
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ecently aired on BBC Four amongst a season of Spanish Cinema, The Baby’s Room (La habitación del hijo) is a 2006 film from the Director Alex de la Iglesia who also wrote the screenplay with Jorge Guerricaechevarria. The pair have produced a real cracker of a film which keeps you in suspense throughout. A clever tale of a married couple with a baby living in their new home, who one night, hear voices coming over the baby monitor. In good old fashioned horror style, once they reach the baby’s room there is nothing there. The father buys a video version of said baby monitor, and – guess what?– they see someone on the video screen captured from the camera in the baby’s room too. This, of course, sends the parents into a blind panic thinking that they have intruders in the house.
A
fter calling the police, they have alarms fitted and take all sensible security measures with locks etc but, of course, this – being a horror film – makes no difference at all. To tell you more would simply give away the best part of the plot and spoil it for you. This is one super nerve-jangly film without the bloody gore we so often see, because it is so cleverly made it doesn’t need to rely on cheap effects. A film very much in the suspense style of Hitchcock, with excellent use of creepy music that just adds to the whole experience.
I
f you love a horror, get this one. I generally dislike subtitled films as I find them hard work trying to read and subsequently missing the action, but on this occasion it was definitely worth it.
O
n the subject of horror, there is one actor that
Christopher Lee as Dracula
gave me nightmares as a kid. Whilst he is probably a really nice guy in real life, his onscreen portrayal of Count Dracula gave me many sleepless nights, waking terrors and made me sleep with the light on until I was in my mid teens. That actor is Christopher Lee. He starred in a number of highly successful Hammer Horrors in the sixties and seventies but for me the most frightening of his characters was that of Dracula. I think it was the imposing height of the man and those red eyes that did it. Christopher Lee went on to become much more than a Hammer Actor, starring in many other horrors and has had roles in Bond films, Lord of the Rings, The Wicker Man and Star Wars. He is still working today at the ripe old age of 89. In fact he reprised his role as Saruman in the forthcoming “The Hobbit : There and Back Again”, due for release December 2012.
C
hristopher Lee has been honoured by the Queen with a CBE in 2001 and knighted in 2009. He was also given the BAFTA Academy Fellowship Award in 2011 in recognition of his contribution to film. Quite rightly so I feel.
N
one of the other horror films at the time had such an effect on me as Christopher Lee’s Dracula and I was not really that bothered by Dracula films with other actors in the lead role. I remember thinking at the time that some of the so called horrors, were all “a bit pants” as they say these days. As an adult, I can often sit through films that have others hiding behind the sofa. I suppose now in my later years I am just not so easily frightened by films. Maybe Christopher Lee did me a big favour, although it didn’t feel like it at the time.
WEDNESDAY, July 27th 2011
news Your outlook on the World
the
August 23rd September 22nd
by Cathy Stronach
You have been travelling on a long journey wondering if there will be an end in sight. Just as it seems as though progress has been made then Uranus has moved in to tilt the balance back a notch. The thing to bear in mind is that Rome wasn’t built in a day, great things take time to manifest. Someone new may enter into your life that will help you piece together the next part of the jigsaw – you will then be able to put your best foot forward. Be ready to take the bull by the horns and take the lead. You don't need to know all the answers, but you are expected to be able to find the right ones when needed. The attention of others is being shifted towards you; everyone knows you are the one who gets things done. Venus is being blessed by Jupiter now and this energy is going to take you into areas you know little or nothing about, therefore it is important to have those around you whom you trust. Benefits are swinging your way. There is a restless desire within for something to materialise and this can make you try and force an issue this week. Rules you have made for yourself about how things should be and in what order may start to show a few kinks due to unexpected developments. What matters more than anything is keeping focused, remembering that things are happening in their own time and in their own way for a reason. Unfinished business may need taking care of. You may be blessed with talents and abilities but if you don’t do anything with them then you leave a trail of missed chances in your wake. So, Cancer, motivate yourself this week as there are many opportunities surrounding you right now, put yourself first and take care of your own wants and needs. Break free from your safety zone and follow through on your hunches and ideas – the heavens are waiting to reward you for any creative steps you take. Are you doing something for yourself or for a greater purpose, is it what another wants or is it what you want? It is time to get busy as this could prove to be the start of one of the greatest phases in your life, not everyone will be able to shine and prosper, only those that can rise above themselves – it is your time to take charge, to be specific and put your suggestions out there. Let others see your brilliance; it is all about what you can and did do. You will always be your toughest critic and because of this the universe is asking you to be kinder on yourself, get off your own back and give yourself a break. You have been held back for quite some time but now things are starting to change in a dramatic way, if they haven’t appeared yet then they are definitely coming. You will just need to roll with whatever happens and make sure the things you do are done with skill and precision.
Kym’s Kitchen ...you don’t have to be a chef!
Put on the oven? Not a chance indoors at the moment in this heat, so this is a great opportunity to bar-b-q. I don’t know what it is about men and a naked flame but tell them you want a bar-b-q and most of them want to do the cooking. The Australians reckon it’s because they can have a “tinnie” or two while they’re doing that but, I think that’s rubbish the Aussies will have a beer whether they’re cooking or not. Whatever! At least it gives the ladies a break so that can be bad, now can it “mate”! This recipe for chicken can be good because you can prepare the whole thing, seal the bag and shove it in the freezer for later use if you want too. So, if you’re stuck in front of the cooker anyway, you might as well prepare a few to freeze then you won’t have anything to do except thaw it before the guy in your life cooks it!
Bar-b-q chicken Ingredients: ● 120ml cider vinegar ● 3 tablespoons prepared coarseground mustard ● 3 cloves garlic, peeled and minced ● 1 lime, juiced ● 1/2 lemon, juiced ● 100gr brown sugar ● 1½ teaspoons salt
● ground black pepper to taste ● 6 tablespoons olive oil ● 6 skinless, boneless chicken breast halves
Directions In a large glass bowl, mix the cider vinegar, mustard, garlic, lime juice, lemon juice, brown sugar, salt, and pepper. Whisk in the olive oil. Place chicken in the mixture. Cover, and marinate 8 hours, or overnight.
Preheat your bar-b-q or electric grill for high heat. Lightly oil the grill plate. Discard the marinade and place the chicken on the prepared grill, and cook 6 to 8 minutes per side, until juices run clear.
LIBRA
Life can’t always be fun and frolics especially now as Saturn is working its way through Libra asking you to add a bit of refinement and structure to your environment. As long as you can remain humble and at the same time be willing to stand your ground for what you know is right, then this week you can make some real changes to your surroundings. The determination you rd September 23 feel within right now will allow you to do what needs to be done when others nd October 22 look for excuses to quit.
SCORPIO
October 23rd November 21st
Inside you know what you know and you trust what you know and when you speak and act it comes from an unwavering place – it is these skills that make people stop and listen and what gives you an air of authority. Old desires and unfinished conversations that need to be had so the air and pathways can be cleared will rise up and you will feel like piercing straight to the heart of the matter. It is all or nothing with you and dancing round an issue is a waste of time and energy.
SAGITTARIUS There is a need to start again from a greater and stronger position and in order for you to do this you have to be willing to let go of something. There are lots of people who can talk a good story but there are few out there who can actually get things done. The key is to work hard and do it better than everybody else and to do that you need to lead by example, take the lessons nd November 22 December 21st you have learned and teach them to others. Success is assured.
CAPRICORN It could feel as if you are being asked to make a leap of faith and take things further than you would like. There is something serious going on and you have to be ready to both learn and take on the challenges and obstacles that you might encounter. You will be taking an original path not a tried and tested one so you have to draw on your inner strength to help you steer your own ship. nd December 22 Movement in the area of finances is occurring - you will start to see some th January 19 increase.
AQUARIUS
PISCES
February 19th March 20th
You may want to skip some steps but there is no getting round the bridge that you have to cross this week, try as hard as you might there is no getting round whatever it is that you need to go through. No amount of detachment will prove to be able to keep you distanced from a certain feeling, which is exactly the way it needs to be. Whatever emotion is surfacing from the deep will equal all the encouragement you need to motivate you.
You are being given the vision to see what is there and available for you to build upon. This vision can’t make things happen for you but it is a guide to enable you to make things happen for yourself. You can achieve great pleasure from your efforts and actions right now. This can be a turning point in your life with gains and happiness found in expanded communication. There are things that need to be said.
Directions to our Coin Supermarket
Just off the Horse Roundabout at El Rodeo
WEDNESDAY, July 27th 2011
Read your favourite news, plus a whole lot more in
www.thenewsonline.es
Contemporary lifestyle and celebrity gossip
WHAT A WASTE
Amy Winehouse dead At just 27-years-old the talented Ms Winehouse was found dead in her house in London last Saturday Police say that the cause of death at this stage is unknown but no-one else is thought to be involved. They will await toxicology reports after an autopsy carried out on Monday could not determine the cause of death. Amy was found by her bodyguard in her £2.5 million Camden Square house and was reported to have been dead for some six hours before her body was discovered. She was proclaimed “beyond help” by London Ambulance personnel and was pronounced dead at 3.45pm on Saturday 23rd July. Two ambulances and a paramedic on a bicycle arrived within five minutes of being called to the scene. Friends have said that she had been on a drinking binge in the days leading
up to her death.
people are downloading it.
behaviour.
Her last public appearance was just last week when she was on stage with her goddaughter Dionne Bromfield at the Roundhouse in London. She did not sing despite pleas from Dionne, but she did take the mike to ask people to buy Dionne’s album and danced next to her while she sang.
The singer's death has also sparked a clamour for her albums. Music store HMV in Ipswich reported a staggering 800 per cent rise in sales of her two albums since the singer was found dead.
In June this year, she was booed off stage during her comeback tour in Belgrade as she couldn’t sing and, indeed, could hardly stand up, seemingly not aware of where she was or what she was supposed to be doing. She cancelled the rest of her European tour following the incident.
Born Amy Jade Winehouse on 14th September 1983, her debut album, Frank was nominated for the Mercury Prize and her follow-up, Back to Black, was nominated for six Grammys and won five. However, she was unable to travel to the US to accept her awards because of her health. Back to Black, which was first released in 2006 is once again in the charts as
It has been reported that the controversial star did not take hard drugs prior to hooking up with husband Blake Fielder-Civil during the years between her two albums. Both sets of parents have blamed the other for their offspring’s drug problems. Blake’s mother said on Monday that she was worried about her son trying to commit suicide following Amy’s death. The couple have hit the tabloid headlines countless times because of their drinking and drugs habits and irrational
In an interview in 2008, her mother Janis said she would be unsurprised if her daughter died before her time. She said: 'I've known for a long time that my daughter has problems. But seeing it on screen rammed it home. I realise my daughter could be dead within the year. We're watching her kill herself, slowly. I've already come to terms with her dead. I've
Her last appearance - Amy with god-daughter Dionne last week steeled myself to ask her what ground she wants to be buried in, which cemetery. Because the drugs will get her if she stays on this road. I look at Heath Ledger and Britney. She's on their path. It's like watching a car crash - this person throwing all these gifts away.' Amy had visited her mother on Friday. Reports say that her father, Mitch Winehouse, also a musician who was in New York due to perform at the Blue Note Jazz Club on Monday when he heard the news, had already written her eulogy as he was expecting her to die at any time. But only eleven days
ago he had Tweeted: “Amy’s going to be fine.” In the meantime, he had apparently been in talks with the rehab unit, Focus 12 where Russell Brand had been, in an effort to get his daughter once more into rehab. Apparently she said “no,no,no” as in her most famous song.It had been noticed that she had started putting on weight again and it was generally thought that, this time Amy was going to make it. Sadly this wasn’t to be. Her funeral was held yesterday (Tuesday) at an unknown location but thought to be at a cemetery in North London.
e Corrs are back e Maltese Tenor Well, one of them anyway. World famous during the 90s, Irish band The Corrs were much listened to with “Runaway”, “Forever”, and “So Young” but now lead vocalist and youngest member of the family Andrea Corr, 36, has released a new album of covers entitled “Lifelines”, produced by John Reynold. It includes her own version of “State of Independence” and songs from different eras, from John Lennon to Kirsty MacColl. Singing Billie Holiday’s “I’ll be seeing you” takes courage and Andrea’s version is certainly up to standard. In an interview she said that the album is full of songs that mean something to her, that remind her of special times in her life. Andrea said that she took a break from music as she had lost her love of singing for a while and the rest of the group took time out to raise their
young families. She reinvented herself as a theatre actress, playing an acclaimed Jane Eyre at the Gate in Dublin last year, and appeared in the Olivier Award-winning Dancing at Lughnasa at the Old Vic in London the year before. She is coming up to her second wedding anniversary to Brett Desmond, a hedge-fund manager and son of the Irish billionaire Dermot Desmond, whom she married (in front of celebrity guests including Bono) at a golf club in County Clare and says she can’t wait to be a mother. Her first solo album “Ten Feet High”, produced by
Being hailed as the next Pavarotti, tenor Joseph Caleja says “There is only ever going to be one Pavarotti.”
Nellee Hooper (who has also worked with Madonna, Bono amd Gwen Steffani) was released in 2007 to much acclaim. But the single released from the album was not the hit she had hoped for. Coming from a musical Irish family, she had loved singing The Corrs’ own songs but was persuaded by her producer to do something different and doing covers of the songs she’d always enjoyed singing was a “no pressure” job.
Joseph Caleja, also known as The Maltese Tenor, performed Verdi’s Requiem at the Royal Albert Hall in London’s Proms last week. He said that had been a dream come true as he had been spellbound by the film “The Man Who Knew Too Much” when he was a child of seven. The film climaxes with a clash of cymbols at the Royal Albert Hall and ever since it had been one of his ambitions to sing there. He added that, as a performer you are so close to the audience that it is wonderful to see the expressions on their faces and that, if you’re doing well, you can see the people nodding their approval! It had been a “very emotional and inspirational performance” for him. Asked if he thought that opera is going in the right direction he said that:
“Opera should be for everyone. It has to move with the times and is not something that’s just for the elite anymore.” He approved of the performances being shown in cinemas across the world, sometimes in 3D. When he was a boy of thirteen or fourteen, he had watched the Mario Lanza film “The Great Caruso”. In the film Lanza is seen singing holding a glass of red wine so the next time he had to go to choir practice he had worked out that red wine was obviously good for your throat. He poured some into a plastic water bottle and went along to the practice, explaining to the priest when asked what he thought he was doing, that he had seen it in the film. The priest was not convinced!
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Optimists less prone to strokes
Menaces that lurk in water
A positive outlook on life may cut a person's risk of having a stroke, according to a new study by researchers at the University of Michigan.
Swimming is one of the most popular sports activities and is replete with health benefits. It improves both mental and physical well-being, and is ideal for people with chronic ailments like arthritis, fibromyalgia, anxiety disorders and physical disabilities – as well as providing pregnant women with temporary relief from gravity. But swimming in rivers, lakes, pools or the ocean can lead to what the health experts call “recreational water illnesses,” infections or irritations caused by germs or chemicals contaminating the water. These unseen pollutants can cause ailments of the ears, eyes, skin, nervous system, gastrointestinal and respiratory tracts, and any cut or scratch you may have. Recreational water illnesses are on the rise and last year more than 90 per cent of the cases registered in the US resulted from swimming in treated water — pools and the like that were supposed to be sanitized. The usual culprit was a bacterium called Cryptosporidium, which is resistant to chlorine. However, there are preventive measures swimmers can take. The most common problem is diarrhoea from swallowing water contaminated with germ-laden faeces. Just one swimmer who has diarrhoea can contaminate the water in a large pool or water park. Natural waters are contaminated with faecal and other germs by sewage overflow, storm water run-off, boating wastes and septic systems that malfunction. It is a myth that seawater quickly kills pathogens; coastal waters in particular are rich in nutrients that enable bacteria to survive despite the salt. Viruses
can be even worse because they live longer than bacteria in salt water. Protection starts with a shower before entering a pool – not just a superficial rinse but a full-body soak with special attention to germ-laden body parts. People with a diarrhoeal illness should respect fellow swimmers and stay out of the water. That also applies to ill babies. Check that pool water is tested regularly for proper chemical balance. But even a wellmaintained swim site can result in inflammation of the ears and eyes. So-called swimmer’s ear (acute otitis externa) results in pain, tenderness, redness and swelling of the external ear canal, usually caused by a bacterial infection in the outer ear canal. The primary culprit is residual moisture, and the best preventive is to keep the ear canals dry with earplugs or a tight-fitting cap. After swimming, tilt your ear first to one side then the other, shake out
any water, then dry your thoroughly with a towel. To protect eyes wear goggles that fit snugly and are your own. Borrowed goggles could be contaminated with germs that cause conjunctivitis. In addition to polluting microbes, ocean waters sometimes have freeswimming organisms that cause swimmer’s itch, as well as the stinging cells of jellyfish. Swimmer’s itch, or cercarial dermatitis, is a rash caused by an allergic reaction to microscopic parasites of birds and mammals that are released into both fresh water and salt water by snails, their intermediate hosts.
Avoid swimming in areas where snails are common or where signs have been posted warning of this problem or the presence of jellyfish. To counter the effects of swimmer’s itch, use a corticosteroid or anti-itch cream, and bathe in Epsom salts or baking soda. If stung by jellyfish, dab the skin with vinegar to neutralize the toxin and relieve the pain. People allergic to bee stings should be especially careful to stay out of waters containing jellyfish. If you are allergic to one, you may well be allergic to the other.
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Past studies have also shown that an optimistic attitude is linked to a lower risk of heart disease. The researchers said the protective effect of being optimistic may be down to behavioural choices, such as taking vitamins, eating a
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They asked more than 6,000 men and women aged 50 and over – none of whom had ever had a stroke – to rate how optimistic they felt on a 16 point scale. The volunteers were then tracked for two years, during which time 88 of them suffered a stroke, some of them fatally. The researchers then compared both sets of data and found that every point increase on the optimism scale corresponded to a nine per cent reduction in acute stroke risk over the two years, even after adjusting for factors such as chronic illness, other reported health problems and social and lifestyle factors which may affect stroke risk.
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healthy diet and exercising, adding that there is evidence which suggests that positive thinking might have a biological effect too, such as boosting the immune system. Stroke is the third most common cause of death after heart disease and all cancers, and a leading cause of disability. A spokesman for the UK's Stroke Association said it had long been believed that positive thinking can improve recovery after a stroke, so it was interesting to find out that it could also reduce the risk of having a stroke in the first place: "There are many cynics amongst us, but it seems that helping people to make the most of life and viewing your glass as half full could go a long way to improving our overall health and wellbeing.”
WEDNESDAY, July 27th 2011
FILM
Wed, July 27th 23:45
Alien Autopsy Two British likely lads believe they've bought genuine footage of an alien autopsy, but have to fake the film when the original is damaged Ant and Dec’s forage into the world of movies
FILM
Fri, July 29th 01:05
Babylon The story of Blue, a young man of Jamaican descent living in Brixton in 1980, as he hangs out with his friends, fronts a dub sound system, loses his job, struggles with family problems and has his friendships tested by racism.
FILM
Sun July 31st 22:15
The Kingdom After an American facility in the Middle East is bombed, a sympathetic Saudi police captain helps a team of federal agents flush out a terrorist cell in Riyadh.
FILM
Sat, July 30th 22:00
Cloverfield A leaving party for New Yorker Rob Hawkins is rudely interrupted by the arrival of an unwelcome guest, something that has a penchant for smashing up skyscrapers, playing football with the Statue of Liberty's head and handpicking humans as snacks. Rob and a small band of friends pick their way across....
FILM
Mon, Aug 1st 21:00
The Ninth Gate A rare books dealer is asked to track down the two remaining editions of a 15th-century book. The books are reputed to have engravings in them from Satan himself and, as the man pursues his quest, death and danger mounts as he begins to understand the reasons....
SERIES
Mon Aug 1st 23:45
Gary: Tank Commander
www.thenewsonline.es In the 2nd part of this new series Rob Brydon sings an Elvis song accompanied by Bill Bailey playing the cowbells. British R&B soul star, Beverley Knight also joins Rob for a special duet close to both of their hearts, and upand-coming Australian comedian, Celia Pacquola, provides some cheeky stand-up.
Fri July 2th 22.00
July 28
FRIDAY July 29th
06:00 Breakfast 09:15 Heir Hunters 10:00 Homes Under the Hammer 11:00 Cowboy Trap 11:45 Saints and Scroungers 12:15 Bargain Hunt 13:00 BBC News at One 13:30 BBC London News 13:45 Doctors 14:15 Only Fools and Horses 15:05 Copycats 15:35 Me and My Monsters 16:00 All Over the Place 16:30 Little Howard's Big Question 17:00 Newsround 17:15 Pointless 18:00 BBC News at Six
18:30 BBC London News 19:00 Olympics 2012: One Year to Go 19:30 The Great British Weather 20:30 Sherlock 22:00 BBC News at Ten 22:25 BBC London News 22:35 The Lottery Draws 22:45 Not Going Out 23:15 Him & Her 23:45 Alien Autopsy 01:15 Weatherview 01:20 Bang Goes the Theory 01:50 Country Tracks 02:45 Richard Hammond's Engineering Connections 03:35 Royal Upstairs Downstairs
06:00 Breakfast 09:15 Heir Hunters 10:00 Homes Under the Hammer 11:00 Cowboy Trap 11:45 Saints and Scroungers 12:15 Bargain Hunt 13:00 BBC News at One 13:30 BBC London News 13:45 Doctors 14:15 Only Fools and Horses 15:05 Copycats 15:35 Me and My Monsters 16:00 Project Parent 16:30 Richard Hammond's Blast Lab: The Experiments 17:00 Newsround 17:15 Pointless 18:00 BBC News at Six
18:30 BBC London News; Weather 19:00 The One Show 19:30 EastEnders 20:00 Traffic Cops 21:00 Torchwood: Miracle Day 22:00 BBC News at Ten 22:25 BBC London News 22:35 Kids Behind Bars 23:35 Richard Hammond's Journey to... 00:35 Holiday Weatherview 00:40 Panorama 01:10 Countryfile 02:10 Fake Britain 02:55 Royal Upstairs Downstairs 03:25 Newsday
06:00 Breakfast 09:15 Heir Hunters 10:00 Homes Under the Hammer 11:00 Cowboy Trap 11:45 Saints and Scroungers 12:15 Bargain Hunt 13:00 BBC News at One 13:30 BBC London News 13:45 Doctors 14:15 Only Fools and Horses 15:05 Copycats 15:35 Me and My Monsters 16:00 Remote Control Star 16:30 Fee Fi Fo Yum 17:00 Newsround 17:15 Pointless 18:00 BBC News at Six 18:30 BBC London News
19:00 The One Show 19:30 The Good Cook 20:00 EastEnders 20:30 A Question of Sport 21:00 My Family 21:30 Miranda 22:00 BBC News at Ten 22:25 BBC London News 22:35 Would I Lie to You? 23:05 My Favourite Joke 23:35 The National Lottery Draws 23:45 The Ring Two 01:25 Weatherview 01:30 Rick Stein's Spain 02:30 Restoration Home 03:30 Royal Upstairs Downstairs 04:00 BBC News
08:30 LazyTown 08:55 Bob the Builder 09:05 The Koala Brothers 09:15 Driver Dan's Story Train 09:35 Chuggington 09:45 Mr Bloom's Nursery 10:05 Gigglebiz 10:20 ZingZillas 10:45 Waybuloo 11:05 In the Night Garden 11:35 Beautiful but Dangerous 13:00 World Swimming Championships 15:00 The Weakest Link 15:45 Antiques Road Trip 16:30 Flog It! 17:15 Escape to the Country 18:00 Eggheads
18:30 Celebrity Eggheads 19:00 Rick Stein's Spain 20:00 Top Gear 21:00 The Code 22:00 Never Mind the Buzzcocks 22:30 Newsnight 23:20 Botham: The Legend of '81 00:20 The Tudors 01:15 Newsday 01:30 Asia Business Report 01:45 Sport Today 02:00 Newsday 02:30 Asia Business Report 02:45 Sport Today 03:00 Newsday 03:30 Asia Business Report 03:45 Sport Today
08:30 LazyTown 08:55 Bob the Builder: Project Build It 09:05 The Koala Brothers 09:15 Driver Dan's Story Train 09:35 Chuggington 09:45 Mr Bloom's Nursery 10:05 Gigglebiz 10:20 ZingZillas 10:45 Waybuloo 11:05 In the Night Garden 11:35 Affair With a Stranger 13:00 World Swimming Championships 14:15 Live: Ricoh Women's British Open, Golf 17:15 Escape to the Country 18:00 Eggheads 18:30 Celebrity Eggheads
19:00 Space Shuttle: The Final Mission 20:00 Rick Stein's Spain 21:00 Towns with Nicholas Crane 22:00 Have I Got Old News for You 22:30 Newsnight 23:20 James May on the Moon 00:20 The Tudors 01:10 Newsday 01:30 Asia Business Report 01:45 Sport Today 02:00 Newsday 02:30 Asia Business Report 02:45 Sport Today 03:00 Newsday 03:25 Pages from Ceefax
08:55 Bob the Builder: Project Build It 09:05 The Koala Brothers 09:15 Driver Dan's Story Train 09:35 Chuggington 09:45 Mr Bloom's Nursery 10:05 Gigglebiz 10:20 ZingZillas 10:45 Waybuloo 11:05 In the Night Garden 11:35 Letter from an Unknown Woman 13:00 World Swimming Championships 14:15 Live: Ricoh Women's British Open, Ladies European Tour Golf 17:15 Escape to the Country
18:00 Eggheads 18:30 Celebrity Eggheads 19:00 Madagascar 20:00 Gardeners' World 21:00 The First World War from Above 22:00 The Rob Brydon Show 22:30 Newsnight 23:05 Scenes from a Teenage Killing 01:05 Babylon 02:35 The Weather Show 03:00 BBC News 03:30 Click 03:45 Newswatch 04:00 Pages from Ceefax
06:00 Daybreak 08:30 Lorraine 09:25 The Jeremy Kyle Show 10:30 This Morning 12:30 Loose Women 13:30 ITV News and Weather 14:00 Auction Party 15:00 Dickinson's Real Deal 16:00 Wild at Heart 17:00 Dinner Date 18:00 London Tonight 18:30 ITV News and Weather 19:00 Emmerdale 19:30 The Corrie Years 20:00 50 Greatest Harry Potter Moments
22:00 News at Ten and Weather 22:35 Nature's Fury 23:35 Homes from Hell 00:30 The Zone 02:30 Pillow Talk 04:15 ITV Nightscreen
06:00 Daybreak 08:30 Lorraine 09:25 The Jeremy Kyle Show 10:30 This Morning 12:30 Loose Women 13:30 ITV News and Weather 14:00 Auction Party 15:00 Dickinson's Real Deal 16:00 Wild at Heart 17:00 Dinner Date 18:00 London Tonight 18:30 ITV News and Weather 19:00 Emmerdale 19:30 Tonight 20:00 Emmerdale
20:30 Coronation Street 21:00 Single Handed 22:00 News at Ten and Weather 22:35 Piers Morgan's Life Stories 23:35 Odd One In 00:20 The Zone 02:20 Tonight 02:50 ITV Nightscreen 04:35 The Jeremy Kyle Show
06:00 Daybreak 08:30 Lorraine 09:25 The Jeremy Kyle Show 10:30 This Morning 12:30 Loose Women 13:30 ITV News and Weather 14:00 Auction Party 15:00 Dickinson's Real Deal 16:00 Wild at Heart 17:00 Dinner Date 18:00 London Tonight 18:30 ITV News and Weather 19:00 Emmerdale 19:30 Coronation Street 20:00 Love Your Garden
20:30 Coronation Street 21:00 Charles & Diana: Wedding of the Century 22:00 News at Ten and Weather 22:35 Assassins 00:55 The Zone 03:00 Unleashed 04:40 ITV Nightscreen
07:00 Freshly Squeezed 07:30 Everybody Loves Raymond 07:55 Frasier 08:25 According to Jim 08:55 Friends 09:55 Three in a Bed 10:55 A Place in the Sun: Home or Away 12:00 Channel 4 News 12:05 The Fairy Jobmother 13:05 The Secret Supper Club 13:35 Sainsbury's and Channel 4 Present... 13:40 Live: Channel 4 Racing 16:00 Deal or No Deal 17:00 Come Dine with Me 18:00 The Simpsons
18:30 Hollyoaks 19:00 Channel 4 News 19:55 4thought.tv 20:00 Jo Frost: Extreme Parental Guidance 21:00 24 Hours in A&E 22:00 Murdoch: The Mogul Who Screwed the News 23:05 The Killing 00:05 Sainsbury's and Channel 4 Present... 00:10 Demetri Martin: Person 01:05 4Play 01:20 The Shockwaves Album Chart Show 01:35 Victim 03:15 My Other Wheelchair Is a Porsche
06:35 The Hoobs 07:00 Freshly Squeezed 07:30 Everybody Loves Raymond 07:55 Frasier 08:25 According to Jim 08:55 Friends 09:25 Friends 09:55 Three in a Bed 10:55 A Place in the Sun: Home or Away 12:00 Channel 4 News 12:05 The Fairy Jobmother 13:10 The Secret Supper Club 13:40 Live: Channel 4 Racing 16:00 Deal or No Deal 17:00 Come Dine with Me 18:00 The Simpsons
18:30 Hollyoaks 19:00 Channel 4 News 19:55 4thought.tv 20:00 Help! My House Is Falling Down 21:00 The Killing 22:00 8 Out of 10 Cats Uncut 22:50 Rhod Gilbert and the Award-Winning Mince Pie 23:50 Sainsbury's and Channel 4 Present... 23:55 The Vue Film Show 00:25 Lounge on the Farm with Ticketline 00:50 Hollyoaks Music Show 01:15 Cast Offs 02:10 The Sex Education Show 03:05 Dispatches
07:25 Everybody Loves Raymond 07:55 Frasier 08:25 According to Jim 08:55 Friends 09:55 Three in a Bed 10:55 A Place in the Sun: Home or Away 12:00 Channel 4 News 12:05 The Fairy Jobmother 13:05 The Secret Supper Club 13:35 Sainsbury's and Channel 4 Present... 13:40 Live: Channel 4 Racing 16:00 Deal or No Deal 17:00 Come Dine with Me 18:00 The Simpsons
18:30 Hollyoaks 19:00 Channel 4 News 19:30 4thought.tv 19:35 First Cut 20:00 Come Dine with Me 21:00 8 Out of 10 Cats 21:30 Alan Carr: Chatty Man 22:30 Chris Moyles' Quiz Night 23:20 The Big Bang Theory 23:50 Sirens 00:50 4Play 01:05 Abbey Road Debuts 01:20 My Name Is Earl 02:05 Mesh 02:10 The Real Housewives of New Jersey 02:55 Ugly Betty
07:15 The Mr Men Show 07:30 Thomas and Friends 07:45 Noddy in Toyland 08:00 Fifi and the Flowertots 08:10 Milkshake Monkey 08:15 Peppa Pig 08:20 Peppa Pig 08:25 Roary the Racing Car 08:35 Bananas in Pyjamas 08:50 Olivia 09:00 The Little Princess 09:15 The Wright Stuff 11:10 The Wright Stuff Extra 12:10 5 News Lunchtime 12:15 Ice Road Truckers 13:15 Home and Away 13:45 Neighbours 14:15 Law & Order
15:15 Mystery Woman: Mystery Weekend 17:00 5 News at 5 17:30 Neighbours 18:00 Home and Away 18:25 OK! TV 19:00 5 News at 7 19:30 Garden ER 20:00 The Removal Men: Pickfords 21:00 NCIS 22:00 Panic Room 00:20 Poker 01:20 Super Casino 04:00 The Family Recipe 04:10 Michaela's Wild Challenge 04:35 Michaela's Wild Challenge
07:00 Ben And Holly's Little Kingdom 07:10 The Mr Men Show 07:25 Thomas and Friends 07:40 Noddy in Toyland 07:55 Fifi and the Flowertots 08:10 Peppa Pig 08:25 Roary the Racing Car 08:35 Bananas in Pyjamas 08:50 Olivia 09:00 The Little Princess 09:15 The Wright Stuff 11:10 The Wright Stuff Extra 12:10 5 News Lunchtime 12:15 Ice Road Truckers 13:15 Home and Away 13:45 Neighbours 14:15 Law & Order 15:15 A Soldier's Love Story
17:00 5 News at 5 17:30 Neighbours 18:00 Home and Away 18:25 OK! TV 19:00 5 News at 7 19:30 How Do They Do It? 20:00 Air Crash: Heathrow Emergency 21:00 Cowboy Builders 22:00 Candy Bar Girls 23:00 Police Interceptors 00:00 Super Casino 04:00 The Family Recipe 04:10 Michaela's Wild Challenge 04:35 Michaela's Wild Challenge
07:05 Ben And Holly's Little Kingdom 07:15 The Mr Men Show 07:30 Thomas and Friends 07:45 Noddy in Toyland 08:00 Fifi and the Flowertots 08:15 Peppa Pig 08:20 Peppa Pig 08:25 Roary the Racing Car 08:40 Bananas in Pyjamas 08:50 Olivia 09:00 The Little Princess 09:15 The Wright Stuff 11:10 The Wright Stuff Extra 12:10 5 News Lunchtime 12:15 Ice Road Truckers 13:15 Home and Away 13:45 Neighbours
14:15 Law & Order 15:15 Working Miracles 17:00 5 News at 5 17:30 Neighbours 18:00 Home and Away 18:25 OK! TV 18:55 5 News at 7 19:00 npower Test Cricket 20:00 Danger: Diggers at Work 21:00 Castle 22:00 The Mentalist 22:55 CSI: Miami 23:50 Inside Hollywood 00:05 Super Casino 04:05 Motorsport Mundial 04:35 Great Scientists
19:00 Doctor Who 19:50 Doctor Who Confidential 20:00 Geordie Finishing School for Girls 21:00 Poor Kids 22:00 Family Guy 22:25 Family Guy 22:45 American Dad! 23:30 American Dad! 23:55 American Dad!
00:20 American Dad! 00:40 American Dad! 01:00 White Van Man 01:30 White Van Man 02:00 Geordie Finishing School for Girls 03:00 Poor Kids 04:00 White Van Man 04:30 Small Teen, Bigger World 05:30 SIGN OFF
19:00 Top Gear 20:00 The World's Strictest Parents 21:00 Our War 22:00 EastEnders 22:30 The Pranker 23:00 Family Guy 23:25 Family Guy 23:45 Our War 00:55 The World's Strictest Parents
01:55 The Pranker 02:25 Kellie: The Girl Who Played with Fire 03:25 Alex: A Life Fast Forward 04:25 Jamie: Drag Queen at 16 05:25 SIGN OFF
19:00 Live: IAAF Athletics 21:00 World's Craziest Fools 21:30 The Pranker 22:00 EastEnders 22:30 Russell Howard's Good News 23:00 Family Guy 23:25 Family Guy 23:45 Angry Boys 00:15 Geordie Finishing School for Girls
01:15 Mongrels 01:45 The Pranker 02:15 World's Craziest Fools 02:45 Angry Boys 03:15 Russell Howard's Good News 03:45 Mongrels 04:15 Geordie Finishing School for Girls 05:15 SIGN OFF
WEDNESDAY, July 27th 2011
news Your outlook on the World
the
New Series: Air Crash: Heathrow Emergency Thurs July 28th 20.00
SATURDAY July 30
th
On 29th July 1981, Prince Charles and Lady Diana Spencer tied the knot in a wedding which captivated the nation. 30 years on, Juliet Aubrey narrates a look back at this defining moment of the 20th century, telling the story of the day using testimony from the people who witnessed it and from those who played a key role in the day's events.
Doc: Charles & Diana: Wedding of the Century Fri July 29th 21.00
SUNDAY July 31
NoTE: Add 1 hour for Spanish viewing times.
TUESDAY August 2nd
06:00 Breakfast 11:30 The Good Cook 12:00 BBC News 12:05 BBC London News; Weather 12:00 BBC News 12:05 BBC London News 12:10 Formula 1: The Hungarian Grand Prix 14:20 World Swimming Championships 15:20 Golf: Women's British Open 17:10 BBC News 17:20 BBC London News; Weather 17:30 Total Wipeout 18:30 Tonight's the Night 19:30 The National Lottery:
In It to Win It 20:20 Casualty 21:10 John Bishop's Britain 21:40 BBC News King Arthur 23:55 Amityville II: The Possession 01:30 Weatherview 01:35 World Olympic Dreams 02:00 BBC News 02:30 HARDtalk 03:00 BBC News 03:30 Our World 04:00 BBC News 04:30 Click
06:00 Breakfast 09:00 The Andrew Marr Show 10:00 Sunday Morning Live 12:00 BBC News 12:05 Formula 1: The Hungarian Grand Prix 15:25 My Family 15:55 Escape to the Country 16:55 Songs of Praise 17:30 Horrible Histories with Stephen Fry 18:00 BBC News 18:20 BBC London News; Weather 18:30 Antiques Roadshow 19:30 Countryfile 20:30 Inspector George Gently
22:00 BBC News 22:15 BBC London News; Weather 22:25 Sugartown 23:25 Moving On 00:10 Weatherview 00:15 The Street That Cut Everything 01:15 The Street That Cut Everything 01:50 Holby City 02:50 Antiques Road Trip 03:35 Asia Business Report 03:45 Sport Today 04:00 Newsday 04:30 HARDtalk
06:00 Breakfast 09:15 Heir Hunters 10:00 Homes Under the Hammer 11:00 Cowboy Trap 11:45 Saints and Scroungers 12:15 Bargain Hunt 13:00 BBC News at One 13:30 BBC London News 14:15 Only Fools and Horses 15:05 Copycats 15:35 Me and My Monsters 16:00 Dick & Dom Go Wild 16:30 Horrible Histories 17:00 Newsround 17:15 Pointless 18:00 BBC News at Six 18:30 BBC London News 19:00 The One Show
19:30 Fake Britain 20:00 EastEnders 20:30 Dying for a Drink Panorama 21:00 New Tricks 22:00 BBC News at Ten 22:25 BBC London News; Weather 22:35 A Question of Sport 23:05 The Celebrity Apprentice USA 00:30 Weatherview 00:35 A History of Celtic Britain 01:35 Animal 24:7 02:20 Island Parish 02:50 Antiques Road Trip 03:35 Asia Business Report 03:45 Sport Today
06:00 Breakfast 09:15 Heir Hunters 10:00 Homes Under the Hammer 11:00 Cowboy Trap 11:45 Saints and Scroungers 12:15 Bargain Hunt 13:00 BBC News at One 13:30 BBC London News 14:15 Only Fools and Horses 15:05 Copycats 15:35 Me and My Monsters 16:00 Gimme a Break 16:30 Cop School 17:00 Newsround 17:15 Pointless 18:00 BBC News at Six 18:30 BBC London News 19:00 The One Show
19:30 EastEnders 20:00 Holby City 21:00 DIY SOS: The Big Build 22:00 BBC News at Ten 22:25 BBC London News; Weather 22:35 An Abuse of Trust 23:05 Imagine... Being a Concert Pianist 00:05 Weatherview 00:10 Coast 01:10 Fake Britain 01:55 Saints and Scroungers 02:25 Island Parish 02:55 Antiques Road Trip 03:40 Asia Business Report 03:45 Sport Today 04:00 Newsday 04:30 HARDtalk
08:50 Dennis & Gnasher 09:00 Trade Your Way to the USA 09:30 Fee Fi Fo Yum 10:00 Mission: 2110 10:25 League of Super Evil 10:40 Wolverine and the XMen 11:00 OOglies 11:15 Richard Hammond's Blast Lab: The Experiments 11:40 MOTD Kickabout 12:00 Lifeline 12:10 Coast 12:15 Antiques Road Trip 13:00 Antiques Road Trip 13:45 Sodom and Gomorrah 16:10 Flog It! 17:10 Golf: Women's British
Open 18:00 Athletics: World Trials and UK Championships 19:30 Dad's Army 20:00 The Impressionists: Painting and Revolution 21:00 BBC Proms 2011: Walton's Violin Concerto 23:20 The Rob Brydon Show 23:50 TOTP 2: 80s Special 00:50 Tapeheads 02:20 Summer 03:40 Pages from Ceefax
06:00 Wibbly Pig 06:10 Dip Dap 06:15 Pinky Dinky Doo 06:30 Tinga Tinga Tales 06:45 Octonauts 07:00 Deadly 60: Brazil 07:30 Arthur 07:55 Dennis & Gnasher 08:10 Junior MasterChef 08:35 Bear Behaving Badly 09:00 Friday Download 10:00 Something for the Weekend 11:30 EastEnders 13:30 Golf: Women's British Open 17:00 World Swimming Championships 18:00 Athletics: World Trials
and UK Championships 20:00 Top Gear 21:00 Dragons' Den 23:00 What Just Happened 00:35 Trees Lounge 02:05 BBC News 02:30 Asia Business Report 02:45 Sport Today 03:00 Newsday 03:30 Asia Business Report 03:45 Sport Today 04:00 Newsday 04:50 Pages from Ceefax
08:30 LazyTown 08:55 Bob the Builder: Project Build It 09:05 The Koala Brothers 09:15 Driver Dan's Story Train 09:35 Chuggington 09:45 Mr Bloom's Nursery 10:05 Gigglebiz 10:20 ZingZillas 10:45 Waybuloo 11:05 In the Night Garden 11:35 Whistle Down the Wind 13:15 Diagnosis Murder 14:00 Wanted Down Under 15:00 The Weakest Link 15:45 Antiques Road Trip 16:30 Flog It! 17:15 Escape to the Country 18:00 Eggheads
18:30 Celebrity Eggheads 19:00 Victorian Pharmacy 19:30 Wonderstuff 20:00 University Challenge 20:30 Antiques Master 21:00 My Life as a Turkey: Natural World Special 22:00 Mock the Week 23:20 Torchwood: Miracle Day 00:15 The Tudors 01:05 Newsday 01:30 Asia Business Report 01:45 Sport Today 02:00 Newsday 02:30 Asia Business Report 02:45 Sport Today 03:00 Newsday 03:30 Asia Business Report 03:40 Pages from Ceefax
08:30 LazyTown 08:55 Bob the Builder: Project Build It 09:05 The Koala Brothers 09:15 Driver Dan's Story Train 09:35 Chuggington 09:45 Mr Bloom's Nursery 10:05 Gigglebiz 10:20 ZingZillas 10:45 Waybuloo 11:05 In the Night Garden 11:35 Dead Reckoning 13:15 Diagnosis Murder 14:00 Wanted Down Under 15:00 The Weakest Link 15:45 Antiques Road Trip 16:30 Flog It! 17:15 Escape to the Country 18:00 Eggheads
18:30 Celebrity Eggheads 19:00 Dragons' Den 20:00 Restoration Home 21:00 The Hour 22:00 Twenty Twelve 23:20 Towns with Nicholas Crane 01:10 Newsday 01:30 Asia Business Report 01:45 Sport Today 02:00 Newsday 02:30 Asia Business Report 02:45 Sport Today 03:00 Newsday 03:30 Asia Business Report 03:40 Pages from Ceefax
06:10 Dora the Explorer 06:45 Jungle Junction 07:00 Jungle Junction 07:25 Monk 07:55 SpongeBob SquarePants 08:10 SpongeBob SquarePants 09:25 Coronation Street Omnibus 11:45 This Morning: Saturday 12:45 ITV News & Weather 12:50 Agatha Christie's Murder is Easy 14:45 Columbo: A Stitch in Crime 16:15 Harry Potter and the
Deathly Hallows Part 2: Behind the Magic 17:15 London Tonight 17:25 ITV News & Weather 17:40 Harry Potter and the Prisoner of Azkaban 20:15 Odd One In 21:00 Penn & Teller: Fool Us 22:00 The Marriage Ref 23:00 ITV News & Weather 23:15 The Specialist 01:15 The Zone 03:15 In Plain Sight 04:05 ITV Nightscreen
06:00 Signed Stories 06:30 Chloe's Closet 06:50 Mickey Mouse Clubhouse 07:25 Monk 07:55 Horrid Henry's Movie Mayhem 08:25 May the Best House Win 09:25 Dickinson's Real Deal 10:25 60 Minute Makeover 11:30 This Morning: Sunday 12:30 Dinner Date 13:30 ITV News and Weather 14:30 Inspector Morse 16:30 Midsomer Murders 18:30 London Tonight 18:45 ITV News and Weather
22:00 ITV News and Weather 22:15 The Kingdom 00:15 The Zone 02:00 Motorsport UK 02:55 ITV Nightscreen
06:00 Daybreak 08:30 Lorraine 09:25 The Jeremy Kyle Show 10:30 This Morning 11:25 ITV News 11:30 This Morning 12:30 Loose Women 13:30 ITV News and Weather 14:00 Auction Party 15:00 Dickinson's Real Deal 16:00 Rosemary and Thyme 17:00 The Chase 18:00 London Tonight 18:30 ITV News and Weather 19:00 Emmerdale 19:30 Coronation Street
20:00 Countrywise Kitchen 20:30 Coronation Street 21:00 Show Me the Funny 22:00 News at Ten and Weather 22:35 Out of Sight 00:45 The Zone 02:50 Nightwatch with Steve Scott 03:40 ITV Nightscreen 04:35 The Jeremy Kyle Show
06:00 Daybreak 08:30 Lorraine 09:25 The Jeremy Kyle Show 10:30 This Morning 11:25 ITV News 11:30 This Morning 12:30 Loose Women 13:30 ITV News and Weather 14:00 Auction Party 15:00 Dickinson's Real Deal 16:00 Rosemary and Thyme 17:00 The Chase 18:00 London Tonight 18:30 ITV News and Weather 19:00 Emmerdale 19:30 Wildlife Patrol
20:00 Cops with Cameras 21:00 Homes from Hell 22:00 News at Ten and Weather 22:35 Celebrity Juice 23:20 iTunes Festival 00:15 The Zone 02:20 Crossing Jordan 03:05 ITV Nightscreen
06:10 The Hoobs 06:35 The Vue Film Show 07:55 The Morning Line 08:55 Friends 09:55 Smallville 10:50 Friends 11:20 Pop up Pop Quiz 12:10 Dirty Sexy Things 13:15 The TV Book Club 13:55 Channel 4 Racing 16:05 Sainsbury's and Channel 4 Present... 16:10 Come Dine with Me: Extra Portions 16:40 Come Dine with Me: Extra Portions 17:10 Come Dine with Me: Extra Portions 17:40 Come Dine with Me:
Extra Portions 18:15 Channel 4 News 18:50 Crocodile Dundee II 21:00 Camelot 22:00 Cloverfield 23:40 Underworld: Evolution 01:35 Bums, Boobs and Botox 02:30 24 Hours in A&E 03:25 Embarrassing Bodies 04:20 Hill Street Blues
06:05 The Treacle People 06:15 The Hoobs 06:40 The Hoobs 07:35 Motor Racing 08:00 Sainsbury's and Channel 4 Present... 08:05 Friends 08:30 Friends 09:00 Harry Potter and the Deathly Hallows Part 2: T4 Premiere Special 09:30 Hollyoaks Omnibus 12:00 Ibiza Rocks With Xbox Kinect 12:20 T4 on the Beach: Buried Treasures 13:20 The Simpsons 13:55 The Simpsons 14:25 Undercover Boss
15:25 Help! My House Is Falling Down 16:30 Sainsbury's and Channel 4 Present... 16:35 The Spiderwick Chronicles 18:25 Channel 4 News 19:00 A Place in the Sun: Home or Away 20:00 Holiday Hijack 21:00 Juno 22:50 Under Siege 00:50 Stand up for the Week 01:40 The Pawnbroker 04:25 Hill Street Blues 05:15 One Tree Hill
06:00 The Hoobs 06:50 Everybody Loves Raymond 07:45 Friends 08:15 Friends 08:45 90210 09:55 Made in Chelsea 11:00 Friends 11:30 Friends 12:00 Channel 4 News 12:05 A Place in the Sun: Home or Away 13:05 Gentlemen Prefer Blondes 14:55 Celebrity Come Dine with Me: Extra Portions 15:25 Celebrity Come Dine with Me: Extra Portions 16:00 Deal or No Deal
17:00 Celebrity Come Dine with Me: Extra Portions 17:30 Celebrity Come Dine with Me: Extra Portions 18:00 The Simpsons 18:30 Hollyoaks 19:00 Channel 4 News 23:35 4thought.tv 23:40 Chris Moyles' Quiz Night 01:15 Infernal Affairs III 03:15 Hill Street Blues 04:05 One Tree Hill 04:55 Cookery School
06:50 Everybody Loves Raymond 08:15 Friends 08:45 90210 10:00 Made in Chelsea 11:00 Friends 12:00 Channel 4 News 12:05 A Place in the Sun: Home or Away 13:05 River Cottage Bites 13:15 Carry On Abroad 14:55 Come Dine with Me: Extra Portions 15:25 Come Dine with Me 16:00 Deal or No Deal 17:00 Come Dine with Me: Extra Portions 17:30 Come Dine with Me: Extra Portions
18:00 The Simpsons 19:00 Channel 4 News 19:55 Sainsbury's present... Hannah Cockroft 2012 20:00 The Sex Education Show 21:00 Undercover Boss 22:00 Ramsay's Kitchen Nightmares USA 23:05 4thought.tv 23:10 Alan Carr: Chatty Man 00:15 PokerStars.co.uk European Poker Tour 01:10 FIVB World Beach Volleyball Tour 02:05 KOTV 03:55 Grudge Match 04:10 Scrapheap Challenge
07:50 The Little Princess 08:05 The Adventures of Bottle Top Bill and His Best Friend Corky 08:20 Bert and Ernie's Great Adventures 08:25 Mist: Sheepdog Tales 08:40 Rupert 08:55 Olivia 09:15 The Mr Men Show 09:30 The Milkshake! Show 10:00 Inside Hollywood 10:15 Mexican Food Made Simple 10:45 Cheyenne Autumn 13:50 Sugarfoot 15:25 War Arrow 17:00 Blue Thunder 19:00 Cricket: England v
India 19:55 5 News Weekend 20:00 NCIS 21:00 CSI: Miami 22:00 Law & Order: Special Victims Unit 22:55 CSI: Crime Scene Investigation 23:55 Inside Hollywood 00:00 Super Casino 04:05 The Family Recipe 04:10 The FBI Files
06:15 Fifi and the Flowertots 06:25 Fireman Sam 06:40 Miss Spider's Sunny Patch Friends 06:50 Elmo's World 07:05 Roobarb and Custard Too 07:30 Noddy in Toyland 07:40 Hana's Helpline 07:50 Bert and Ernie's Great Adventures 08:00 The Little Princess 08:10 The Adventures of Bottle Top Bill and His Best Friend Corky 08:25 Mist: Sheepdog Tales 08:40 Rupert Bear 08:55 Olivia 09:10 The Mr Men Show
09:25 Milkshake Monkey 09:30 The Milkshake! Show 10:00 How Do They Do It? 10:30 Police Interceptors 11:30 One Year to Go: Building Stratford 12:30 Beyond the Poseidon Adventure 14:45 The Last Starfighter 16:40 The Karate Kid, Part II 18:55 5 News 20:00 Cowboy Builders 21:00 xXx 23:25 Linewatch 01:10 Super Casino 04:05 The Family Recipe 04:10 Great Artists 04:35 Divine Designs
07:15 The Mr Men Show 07:30 Thomas and Friends 07:45 Noddy in Toyland 07:55 Milkshake Monkey 08:00 Fifi and the Flowertots 08:15 Peppa Pig 08:20 Peppa Pig 08:25 Roary the Racing Car 08:50 Olivia 09:00 The Little Princess 09:15 The Wright Stuff 11:15 The Wright Stuff Extra 12:10 5 News Lunchtime 12:15 Ice Road Truckers 13:15 Monkey Life 14:15 CSI: NY 15:15 Chinese Food in Minutes 15:20 McBride: Fallen Idol
17:00 5 News at 5 17:30 Neighbours 18:00 Meerkat Manor 18:25 OK! TV 18:55 5 News at 7 19:00 Cricket: England v India 20:00 Police Interceptors 21:00 The Ninth Gate 23:45 Frankenstein 01:25 Super Casino 04:05 The Family Recipe 04:10 Michaela's Wild Challenge 04:35 Michaela's Wild Challenge 04:55 County Secrets
07:05 Ben And Holly's Little Kingdom 07:15 The Mr Men Show 07:30 Thomas and Friends 07:45 Noddy in Toyland 07:55 Milkshake Monkey 08:00 Fifi and the Flowertots 08:10 Peppa Pig 08:20 Peppa Pig 08:25 Roary the Racing Car 08:50 Olivia 09:00 The Little Princess 09:15 The Wright Stuff 11:10 The Wright Stuff Extra 12:10 5 News Lunchtime 12:15 Ice Road Truckers 13:10 Meerkat Manor 14:20 CSI: NY 15:15 Love's Long Journey
17:00 5 News at 5 18:00 Meerkat Manor 18:25 OK! TV 18:55 5 News at 7 19:00 Cricket: England v India 20:00 Megastructures 21:00 CSI: Miami 22:00 CSI: Crime Scene Investigation 22:55 CSI: Crime Scene Investigation 23:55 True Crime Scene 00:55 Super Casino 03:55 Animal Rescue Squad 04:10 Michaela's Wild Challenge 04:35 Michaela's Wild Challenge
19:00 Top Gear 20:00 Don't Tell the Bride 21:00 Great Movie Mistakes 2: The Sequel 23:00 Family Guy 23:20 Family Guy 23:45 American Dad! 00:05 American Dad! 00:25 Edinburgh Comedy Fest Live 01:25 Don't Tell the Bride
02:25 Great Movie Mistakes 2: The Sequel 04:20 Edinburgh Comedy Fest Live 05:20 SIGN OFF
19:00 Formula 1: The Hungarian Grand Prix 20:00 The World's Strictest Parents 21:00 White Van Man 21:30 White Van Man 22:00 Family Guy 22:45 American Dad! 23:30 World's Craziest Fools 00:00 White Van Man 00:30 White Van Man
01:00 Geordie Finishing School for Girls 02:00 Kellie: The Girl Who Played with Fire 02:55 World's Craziest Fools 03:25 The World's Strictest Parents 04:25 Geordie Finishing School for Girls 05:25 SIGN OFF
19:00 Doctor Who 19:55 Great Movie Mistakes 2: The Sequel 20:00 Snog Marry Avoid? 20:30 Underage and Pregnant 21:00 Small Teen, Bigger World 22:00 EastEnders 22:30 World's Craziest Fools 23:00 Family Guy
23:20 Family Guy 23:45 Gary: Tank Commander 01:45 World's Craziest Fools 02:15 Jamie: Drag Queen at 16 03:15 Snog Marry Avoid? 03:40 Gary: Tank Commander 05:20 SIGN OFF
19:00 Total Wipeout 20:00 Small Teen, Bigger World 21:00 Geordie Finishing School for Girls 22:00 EastEnders 22:30 Angry Boys 23:00 Family Guy 23:20 Family Guy 23:45 Geordie Finishing School for Girls
00:45 Mongrels 01:15 Angry Boys 01:45 Underage and Pregnant 02:15 Small Teen, Bigger World 03:15 Mongrels 03:45 Total Wipeout 04:45 Underage and Pregnant
WEDNESDAY, July 27th 2011
Read your favourite news, plus a whole lot more in
www.thenewsonline.es
Take a break TARGET PUZZLE
SUDOKU by Papocom Fill in the grid so that every row, every column and every 3 x 3 grid contains the digits 1 through 9. With no repeats, that means that no number is repeated in any row, column or box. Level:
Level:
MEDIUM
HARD
See how many words of four or more letters you can make from the given nine letters. In making a word each letter may be used only once. The key letter must be used in each word.
P I A E NG A R P
D E L S A E SMB
Target
1-2 Poor 3-9 Average 10-15 Good 16-18 Excellent
1-5 Poor 6-13 Average 14-22 Good 23-25 Excellent
The following are not allowed: - Words beginning with a capital letter - Words with a hyphen or apostrophe - Plural words ending in “s” The 9-letter word APPEARING
Across
Down
1. Apprentice sorcerer Monarch found working in Stoke-on -Trent. (5,6) 9. A male twitcher confined to Alcatraz, perhaps? (7) 10. Practised a departmental approach. (5) 11. Red berry tree planted by Mr Bean’s creator. (5) 12. Waterborne race meeting. (7) 13. A copper added to males’ discretion (6) 15. Spring off course. (6) 18. This type of bulwark engine is not out. (7) 20. Quietly called for damage reportedly. (5) 22. Service supply organisation acronym. (5) 23. Its’ a fun thing to use inflated language. (7) 24. Using our nut saved us from undertaking a daredevil enterprise. (11)
2. Quarrel level indicator. (5) 3. A relationship that Mr Abramovich has toward the church. (7) 4. In extreme poverty, then write to Mr Geller apparently. (6) 5. Guitar sound made by the release of 2d, maybe? (5) 6. Might he put structures up straight alternatively. (7) 7. Rare bias not resulting in irregularities. (11) 8. Iron out a mechanism that Robert Louis invented. (5,6) 14. Disparage and informed on dreadlock style. (7) 16. Rival publishers out of print enigma. (7) 17. Strange but still an appropriate fashion size. (3,3) 19. Cheerful veil a partner might be glad to be described as wearing. (5) 21. Advantage one to Europe and farewell to the French. (5)
1
1. Severe reprimand (8-4) 9. Grasslike plant (5) 10. One entering new territory (7) 11. Musical symbol indicating pitch (4) 12. In whichever place (8) 14. Part of foot (6) 15. Highly polished (6) 18. Run away (4,4) 20. Network (4) 22. Badly reared (3-4) 23. Physician's stand-in (5) 24. Have a fit (5,1,6)
2. Compensation (7) 3. Look for (4) 4. Be imminent (6) 5. Benevolence (8) 6. Excessively fat (5) 7. Traditional verse for children (7,5) 8. Shrink (12) 13. Part of US prison for condemned murderers (5,3) 16. Sheet with cut-out letters, pattern etc for copying (7) 17. Mould (6) 19. Monarch - drafting tool (5) 21. Let the cat out of the bag (4)
Quick
7. What is the common name of aluminium/aluminum oxide crystals used in grinding?
20
22
23
8. Lachryma Christi, an old Italian sweet red wine translates to mean 'whose what'? 9. Spell the word Privillege; Privelige; Privilege; Priviledge?
24
15. glossy 18. turn tail 20. mesh 22. ill-bred 23. locum 24.throwawobbly
1. dressing-down 9. sedge 10. pioneer 11. clef 12. anywhere 14. instep
15. source 18. inboard 20. prang 22. NAAFI 23. fustian 24. adventurous
1. Harry Potter 9. birdman 10. adept 11. rowan 12. regatta 13. acumen
Across
2. redress 3. seek 4. impend 5. goodwill 6. obese 7. nursery rhyme 2. arrow 3. romance 4. penury 5. twang 6. erector 7. aberrations
Down
Across
2
1. Anagram (same letters in a different order, making different word or words) 2. Eight 3. Monaco 4. Intel Corporation (of processors, or 'chips') 5. Roger's Profanisaurus (the character is Roger Mellie, 'The Man on the Telly') 6. Wedgwood (fully Josiah Wedgwood and Sons) 7. Corundum 8. Christ's Tear 9. Privilege
Cryptic
‘General knowledge’ QUIZ
CROSSWORD
8. psychiatrist 13. death row 16. stencil 17. mildew 19. ruler 21. blab 8. steam engine 14. upbraid 16. opposer 17. odd fit 19. alive 21. adieu
WEDNESDAY, July 27th 2011
news Your outlook on the World
the
“THE NEWS”WANTS TO HEAR YOUR VIEWS Send letters to the editor as part of an e-mail text to [email protected]
Joan Turner I read on the internet recently about the the Guardia Civil who were stopping cars on the Javea to Gata road and fining the drivers up to 150 euros for driving in flip flops. Apart from the obvious
by email safety worry of them falling off your feet while driving, the traffic laws states that you must wear full shoes when driving. This means any shoe without a back can be against the law,
Frank de la Pierre I read with interest your piece about driving shoes recently and, although somewhere in my very deep and distant memory I seem to remember something about shoes being part of driving law, it hadn’t occurred to me that my beloved flip-flops were illegal. Like many others in Spain at this time of year, I virtually live
Following on from the letters from Harold Rice, I am writing to tell you that some of us in the area of La Carreta in Coin have now been without town water (for which we pay) for five weeks. Some people in the area have been reconnected and are now supplying us, via their supply as much as they can but people who have wells on their premises have
Maybe a pair of driving shoes should be kept in the car throughout the summer!!
So, what to do about it? I suppose I’ll have to keep ‘driving’ shoes in the car from now on but, what a pain - and when my wife drives I can expect a real palaver about
having to change out of her nice dressed-up shoes into some crummy pair of flatties - and what if people see her in them when we get wherever we’re going? Methinks life is going to be hard for a little while but, I suppose we are lucky to be living in a place where flip-flops have been de rigueur for nine months of the year anyway.
Coin
found that these have run dry too. A petition was arranged by our Spanish neighbours, which we signed and they duly took it into Coin Town Hall but, has anything happened or have they told us when we are likely to be reconnected? Absolutely not! All they will say is that the tanker, that I understand your editor saw going along
Stargazing By Ken Campbell
If you would like to be kept up to date or take part in any of the events then go to www.kencampbell.info
Apollo 15 What were you doing 40 years ago today?
Torrenueva
in them and am particularly fond of a pair I’ve had for nearly 15 years! “Throw them out”, I hear you cry but, no, me and my flip-flops are inseparable.
La Carreta Residents
not just flip flops. And just think how many pairs of full shoes you can buy with 150 euros.
the road towards the ‘semillas’ plant last week, is still broken with no sign of a date for it to be fixed and they cannot even supply us with a tanker of water. They told us it was up to us to pay for a delivery from a private contractor but, the last time one of us did that it turned out that they had taken it from the acequia drain and charged us a fortune for what is unfit water. This is an intolerable situation and the new Mayor should be ashamed of himself for not doing something about it. We all know that, from time to time and for one reason or another, pipes break and have to be fixed but, FIVE WEEKS? This is a joke and not a funny one for those of us who have animals as well.
CENTRO DE IDIOMAS COIN
Spanish New! Book 3 - available now!
952 45 07 47
[email protected] www. cslspain.com You can now buy Valerie’s books online from her website, Woody’s Bookshop, David’s Books & The News office in Coin
C
hirpy Chirpy Cheep Cheep was at number 1, the last episode of the Beverley Hillbillies was being shown on TV, I was 12 and had just started my school summer holidays and Apollo 15 was on its way to the Moon.
T
he crew consisted of Commander Dave Scott, Lunar Module pilot James Irwin and Command Module pilot Alfred Worden. Later in 2000 Dave Scott became engaged to British Television News reader Anna Ford.
A
pollo 15 was to be the fourth Moon landing. NASA had been forced to cut its Moon landing missions down from 21 to just 17 so the pressure was on to move on more quickly than had been planned. On this mission the astronauts would spend three days on the Moon with 19 hours spent outside the Lunar Module exploring the lunar surface. To help them travel further afield it was necessary to have some transport so being Americans they had a really expensive car called the Lunar Rover Vehicle (LRV).
O
n arrival at the Moon, Worden would remain in orbit alone while Scott and Irwin made the descent to the Moon’s surface in the Lunar Module. Unlike Apollo 11, 12 and 14 which had landed on relatively smooth areas in the Lunar ‘seas’ Apollo 15 was headed for an area in the Moon’s mountainous region known as Hadley Rile. Four days after launch Apollo 15 landed safely on the Moon on July 30th 1971.
T
he LRV had been stowed in a compartment in the Lunar Module that was not much larger than a chest of drawers, by amazing engineering the whole car had been folded up and with a tug on a simple rope it unfurled like a flower opening. The LRV was big enough for two fully- suited astronauts to ride on as well as carrying all their equipment. It was powered by two 36Volt batteries that operated the four motors that drove each wheel. It had a top speed of 8 mph and a range of about 57 miles although it was never driven further than the astronauts could walk back in case it broke down. Only three Rovers were ever built for Apollo 15, 16 and 17 at a cost of $38 million without doubt making it the most expensive car in history!
A
colour TV camera mounted on the front of the Rover could be remotely operated from Earth. This allowed far better television coverage than in the earlier missions. On each mission, at the conclusion of the astronauts' stay on the surface, the commander drove the LRV to a position away from the Lunar Module so that the camera could show the lift off . But because of the time delay from the Moon to the Earth and back again to the camera the operator in Mission Control had difficulty in keeping the LM ascent stage in frame throughout the launch. On the third and final attempt (Apollo 17), the launch and ascent were successfully tracked.
S
tanding in front of the remote camera Dave Scott performed his famous hammer and feather experiment. By dropping a hammer and a feather at the same time in an airless atmosphere on the Moon, both hit the ground at exactly the same time. The astronauts also left behind a reflector, still used today by scientists on Earth who fire a laser beam at it to measure the Moon’s distance from Earth, hoax conspirators take note!
S
cott and Irwin collected a total of 170lbs of Moon rock during their three Moon walks while Al Worden orbiting above continued to map the Lunar surface and take high resolution photographs. This film had to be retrieved from the rear of the Service Module during a space walk while on their way back to Earth.
T
he mission ended on August 7th when the capsule ‘Endeavour’ splashed down in the Pacific Ocean 12 days after leaving Earth. And Maggie May was now number 1! For more info go to www.kencampbell.info
WEDNESDAY, July 27th 2011
Read your favourite news, plus a whole lot more in
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the
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ALHAURIN el Grande 3 bed apartment, 1 bath, lounge / dinner, utility room, terrace, views, 90m² , €110.000 Av. Gerald Brenan. (136)tnp 952499189 / 648800430 ---------------------------------------------ALHAURIN gRANDE - REDUCED 4 bedroom house. €239,000 or part exchange for smaller property. Details from www.costa-campo.com (137)p or Owner 634355214 ---------------------------------------------CALAHoNDA Detached chalet, 4 bedrooms, 21/2 bathrooms, private pool, large garage, roof terrace, 620m2 plot, plenty of off road parking. Close to all amenities. A real family home just needs some TLC. €350,000 952930039, 606611228 - no (113)f agents ---------------------------------------------CoIN ToWN CENTRE. Lovely large house with potential for B&B. 5 bedrooms, 3.5 bathrooms. Reduced €229,000 negotiable. BARgAIN (138)p 685407610 ---------------------------------------------CoIN Legal Country Home. 4 bedrooms, 2 bathrooms, private pool, 1,600m2 irrigated garden. Secure fencing, main services, phone and Sky. Reduced to €250,000. (128)p 952455269, 689368014 ---------------------------------------------MULA, MURCIA The new Paramount theme park is going to be opening so get in now to get the holiday crowds bookings with this home and business opportunity. HOUSE 1 consists of 3 bedrooms, 2 reception rooms, kitchen, bathroom, courtyard and roof terrace. Fully rewired. House 2 has 4 bedrooms, 2 receptions plus cave room for wine, kitchen, bathroom. courtyard and huge roof terrace. HOUSE 2 needs total refurbishment but is structurally sound and would yield in the region of €700 per week for holiday rental income when done up. Mula is also known for its hot spring baths. Price for both houses is €125,000. Don’t miss out on this great opportunity! Tel: 661114 070
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30 n Sports & Motors Motors Flash
Motors
Read your favourite news, plus a whole lot more in
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Flying car is declared legal at last For the price of a Ferrari , 200,000$, and a modest deposit of just 10,000$ the flying car has at last been declared officially road legal. It means the Terrafugia Transition could be in U.S. garages as early as next autumn, after two years of delays. It may not be the world's first flying car, but its makers say it is the first to have wings that fold up automatically at the push of a button. Drivers can convert it from a twoseater road car to a plane in less than 30 seconds with the touch of a button.
Hamilton burns it up Read moredelays.html#ixzz1T7kIOn2Z
McLaren's Lewis Hamilton won a thrilling German Grand Prix with a commanding drive at an unseasonally chilly Nurburgring to move up to third in the championship.
Lewis shows his joy on the podium
Hamilton had earned his second spot on the grid due to a flying qualifying lap
on Saturday, and one which he said was one of his best ever. So a second victory of the season – and his 16th career victory – leaves Hamilton 82 points behind Vettel with nine races left to go. Hamilton celebrated on his pit-to-car radio: "Great job guys, great job. Keep pushing, these are the results we can get, it's amazing." The first round of stops saw Webber make a more decisive move as he pitted first on lap 14 and while Hamilton, Alonso and Vettel jostled for position coming out of the pit lane two laps later Webber
continued racing into the lead. An intense battle followed with less than two seconds covering Webber, Hamilton and Alonso. But Vettel, who had spun on the damp track, fell away from the leading pack. The second stop for new soft tyres saw another dramatic switch of position with Webber again pitting first followed on the next two laps by Hamilton and Alonso. Hamilton moved into the lead, slightly nudging Webber out of the way as the Australian tried to defend his lead, but Alonso moved in front on his way out of the pit lane. The Spaniard's lead did
not last long as Hamilton drove around the Ferrari on the outside (the exact move that Webber had tried on Hamilton) to move back into first position. "Hamilton is incredible," commented F1 BBC co-commentator David Coulthard. "He's in permanent attack mode and there's no love lost between him and Alonso either." Massa led Vettel for quite a long stint but both drivers needed one final stop to use the prime hard tyre, both teams tried to outwit the other with misleading pit stop orders, meaning both racers had to stop on the penultimate lap and Red Bull won the pit race giving Vettel an important fourth place finish.
Stunning Stoner wins at Laguna Casey Stoner reasserted his authority on the 2011 MotoGP World Championship with a thrilling victory in Sunday's US Grand Prix at Laguna Seca. At a track where he suffered a bitter defeat at the hands of Valentino Rossi in 2008, Stoner spent the early laps behind Repsol Honda team-mate Dani Pedrosa as pole sitter Jorge Lorenzo led the way. The trio of former Laguna winners pulled quickly away from the rest of the field, with Stoner taking second from
Pedrosa shortly after the halfway stage, with a neat pass on entry to the Corkscrew. Stoner was soon locked on to Lorenzo's rear wheel and made his victory pass in style, riding around the outside of Yamaha's reigning world champion during the flat-out run up and over Turn One, on lap
26 of 32. Thereafter Stoner quickly pulled a safe advantage and the delighted Australian took his fifth win of the season by 5.634sec at the chequered flag. Having lost points to nearest title rival Lorenzo at the last two rounds, Stoner now heads for the summer break having built his title lead back up to 20 points. Lorenzo's team-mate Ben Spies got boxed-in at the start and saw any hopes of a home podium end when he was stuck behind Valentino Rossi for the first three laps. Having finally passed the Ducati rider, Spies inherited fifth when Marco Simoncelli crashed out – the fourth time this season – then caught and passed Repsol Honda's Andrea Dovizioso for fourth place in the closing stages.
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David Adams ready to set off with Kia Sportage
e Big Cricket Ride Kia Motors are helping expro cricketers Chris and David Adams to get on their bikes as they set off to cycle to every first-class cricket ground to help beat Leukaemia and Lymphoma. As sponsors of Surrey County Cricket Club and the Kia Oval, the company was only too happy to provide Chris – the county’s cricket manager – and his brother with two new Sportages as support vehicles for their 868 mile challenge as they visit 18 grounds in 15 days during October. Chris and David, who are both nicknamed Grizzly, will be starting the Big Cricket Ride at Durham County Cricket Club and finishing at the Kia Oval and are inviting celebrities, sponsors and cricketers to join them on various days of their tour. The Big
Cricket Ride is raising money in aid of Leukaemia and Lymphoma Research, and the brothers’ motivation is personal. Chris and David’s father John, was sadly diagnosed with Peripheral T Cell lymphoma attached to the liver last year and is currently undergoing treatment. Peripheral T cell lymphomas are a group of rare lymphomas that affect the T-cells found in the peripheral circulating blood. Chris Adams played first class cricket for Derbyshire from 1988 to 1997. Since then he joined Sussex as captain and captained them to the 2003, 2006 and 2007 County Championship title. Chris had a brief career for England between 1998 and 2000 and is now cricket manager at Surrey County Cricket Club based at The Kia Oval.
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Hamilton passed Mark Webber's Red Bull in the run to the first corner to take the lead and held off an eager Fernando Alonso round the next curve to gradually ease away from the pack. A below par drive saw Red Bull's Sebastian Vettel finish fourth but his championship lead remains 77 points. Jenson Button was retired by his team due to hydraulic problems, his second non finish in a row.
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WEDNESDAY, July 27th 2011
news Your outlook on the World
the
e Senior British Open goes over the pond again American Russ Cochran won the Senior’s British Open by two shots on Sunday, holding off the challenge of fellow Americans Mark Calcavecchia and the fastfinishing Tom Watson to capture his first major title. The 52-year-old Cochran claimed the winner's check of €216,101 after making six birdies in a nerveless 5under 67 in his final round at Walton Heath, finishing at 12 under par. The left-hander picked up all his shots in the first 10 holes, opening up a five-shot lead. He remained unruffled in the testing closing stretch despite a bogey on No. 14 that cut his advantage to two shots. It was Cochran's third victory on the Champions Tour but his first this season. His son, Reed, was carrying
his bag. "To do it in a major and on this golf course means so much. And to do it with the kids here, it's even
better." Cochran's elder son, Ryan, was also caddying this week for Mike Goodes. Calcavecchia had shared the overnight lead with Cochran and South Africa's David Frost, but finished runner-up and was left to
regret four-putting from 15 feet on the par-3 No. 9 for a double-bogey. Looking for a record fourth success at the
Senior British Open, Watson was tied for third with compatriot Corey Pavin (69) at 9 under after shooting a vintage 67. The first home for England was Berkshire’s Barry Lane who made 70 to
finish fifth at 8 under par. With only one victory to his name at the 1991 Centel Western Open when he overhauled Greg Norman in the final round, Cochran has blossomed in his three seasons on the senior circuit. He won two tournaments in a three-week span in September last year and has played himself into regular contention at the majors, finishing third at the Senior U.S. Open in 2009 for a key breakthrough and a cheque for €122,098. That qualified him for the Tour's highprofile events and he tied for third at last year's Senior British Open at Carnoustie. "That's the beauty of the senior tour. You can have these guys that come out and shine," Watson said.
Cavendish gets his jersey at last Britain’s Mark Cavendish won for the third time on the Champs Elysees to secure the first green jersey by a British rider as points winner on the Tour. Cavendish, ‘The Manx Missile’ who has now won 20 stages of the race in his career, crossed the line first after a frenetic sprint finish on the Champs-Elysees. "I've been trying to get the green jersey for the last few years, it is a special day," said the 26-year-old. However, despite the relatively comfortable final margin of victory Cavendish was not assured of securing the green jersey until he won the final sprint. If Rojas had won the stage then Cavendish would have needed to finish second or third to claim the jersey he so highly coveted. "I've been incredibly lucky to have a group of team-mates who have been committed to me winning races and it has paid off," said the HTC Highroad cyclist. "I can't stress how lucky I am, I couldn't do it alone. I'm super emotional, super happy." Cadel Evans took the yellow jersey to become Australia's first Tour winner in this historic race. France finally scored a stage win in this Tour as Europcar’s young Pierre Rolland won atop l’Alpe d’Huez on Friday in the final alpine stage, grabbing the white jersey for best young
Cavendish wins the final stage from Sky’s Boasson Hagen
rider on the day his teammate Thomas Voeckler finally gave up the yellow jersey, but not without giving it his absolute all. A day after cracking on the final climb and publicly ceding any chance of winning the 2011 Tour de France, Alberto Contador went on the attack early on Friday, putting distance between himself and Cadel Evans, after the Aussie stopped twice only to finally change bikes and start to chase. Evans, so often without help had to chase over the Telegraph and the Galibier and down the long descent and valley leading to the Tour’s final climb, the Alpe d’Huez. With some help from Garmin’s Ryder Hesjedal, Evans finally rejoined the Schleck-Contador group 15km from the base of the Alpe. After Evans made contact, the pace of the front group slowed and yellow jersey Voeckler and others rejoined so that a group of
about 30 riders hit the Alpe together. Contador’s bid for a stage win finally faded on the Alpe, where he finished third and only gained a handful of seconds on Evans and Andy Schleck, who took over the jersey from Voeckler and
Sunday’s parade to Paris as Tony Martin (HTCHighroad) and team-mate of Cavendish won stage 20 of the 2011 Tour de France. Evans began the day 57 seconds down on race leader Andy Schleck (Leopard-Trek), but by the end of the 42.5km individual time trial in Grenoble, Evans had a lead of 1min and 34 secs over Schleck. At the first time check the yellow jersey had already conceded 36 seconds of that advantage to the Australian, and at the finish he had surrendered even more — Andy Schleck finally hit the line two and a half minutes slower than the new race leader.
Cadel Evans celebrates with a glass of bubbly
went into Saturday’s critical final time trial with a 57second gap ahead of Evans. Contador was at nearly four minutes behind Schleck. Cadel Evans (BMC Racing Team) finally donned that long-awaited yellow jersey on Saturday going into
“I can’t quite believe I’ve done it,” said Evans, Asked how it would feel to wear the maillot jaune into Paris, he said ,“I hope the sun’s out.” Martin likewise was elated after his winning performance on the day.
Usain Bolt just does enough to hold off Carter
Handbags at Monaco meeting Two French athletes traded blows and insults after the 1500 metres at the Diamond League meeting in Monaco. After finishing in ninth and 11th respectively, Mehdi Baala and Mahiedine MekhissiBenabbad exchanged insults before a fight ensued, with Baala at one stage attempting to headbutt his rival. Commentating for BBC Sport, Steve Cram said: "I don't think I've ever seen that in an athletics meeting. "When you see things like that happen, I've seen the police get involved." Baala and MekhissiBenabbad have had a strained relationship for some time, with former World, Commonwealth and European 1,500m
champion Cram explaining: "Baala trains with steeplechaser Bouabdellah Tahri, and Tahri and Mekhissi do not get along. Later, a contrite Baala said: "At such an event, in front of a full stadium, it's a shame to give a bad image of athletics. "We've just given athletics a bad name and a bad representation of North Africans. At the same meeting Usain Bolt had to clock his fastest 100m of 2011 to take the Monaco Diamond league 100m in 9.88 seconds. After a shaky start Bolt recovered to beat fellow Jamaican Nesta Carter (9.90) who led for much of the race. Bolt's time was the fastest in the world this year.
The winning Mijas team
e Triangle Final at Mijas Lawn Bowls At the start of the summer it was decided that there would be a competition like a mini league between Lauro, Benalmadena and Mijas bowls clubs, and the clubs would play each other four times. The final was between Benalmadena Bowls’ club and Mijas Bowls’ club and was played out at Mijas Bowls’ club recently. The spectators were treated to a great game in a very friendly atmosphere, with Mijas winning the game and the competition by 12 points. Lauro came second and then Benalmadena. The
cup was presented to Mijas captain, Pam Attwood by Jim Neilson. A lunch was provided by the Mijas social committee and consumed in a convivial atmosphere. The Triangle was a great idea and it is hoped that it can be continued next year. This September 17th –26th are the Summer Championships, being played at Mijas Lawn Bowls club. If you want to enter please contact Pam Atwood the captain, Tel 654 931 123 or the club on 952 466 038.
WEDNESDAY, July 27th 2011
Sports Flash
Read your favourite news, plus a whole lot more in
McCoist bans BBC until they apologise New Rangers manager Ally McCoist is refusing to speak to the BBC after accusing them of an 'appalling' misrepresentation of his attitude to sectarianism and football violence.McCoist refused the BBC access to his media conference on Monday at Murray Park ahead of the Uefa Champions League third qualifying round, first leg tie against Malmo at Ibrox.
Sporting
England’s Bowlers too good for India in 1st Test
SPOTLIGHT TRIATHLON
Harry Wiltshire gets six-month ban
England’s cricketers have ignited what could be an epic series with this win, India will react, of that there is no doubt. James Anderson took 5-65 as England stormed to a 196-run victory over India on the final afternoon of a thrilling opening Test at Lord's. Needing nine wickets to win, England made the perfect start, removing three batsmen in the morning session, and taking the key wicket of Sachin Tendulkar after lunch. With Suresh Raina (78) offering stubborn resistance, India battled through to tea with five wickets intact, but Chris Tremlett removed captain Mahendra Singh Dhoni and the tourists' tailenders offered little resistance. With Lord's packed to bursting and cheering every ball, Stuart Broad took the last Indian wicket, sparking jubilation among the England players as they
Tendulkar walks off after possibly his last Test innings at Lord’s
seized a 1-0 lead in the fourmatch series. And Andrew Strauss's men will head to Trent Bridge on Friday full of confidence after getting the better of the world's topranked side in a match which proved entirely worthy of the 2,000th Test. India
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number one side in the Test rankings but England will replace them if they can win the series by a two-match margin. With all four results still possible at Lord's, fans queued up outside the ground from as early as 2.00am to get their hands on a ticket for the final day's action. By 9.30am, 90 minutes before the start of play, hopefuls arriving at St John's Wood Underground station were being turned away, while the ground was beginning to fill with those lucky enough to get a seat. England will take enormous satisfaction from their victory, having been put in to bat under heavy clouds on the first day. They achieved an imposing first innings total of 474-8 declared – thanks mainly to man-of-the-match Kevin Pietersen's 202 not out – bowled India out for 286, and recovered from a second innings wobble to set them a record target. Then, on a riveting final day, all four frontline bowlers played their part in seeing them to a memorable triumph.
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American beer company Budweiser to sponsor the FA Cup US beer company Budweiser has been named as the first US sponsor of English football's FA Cup, in a three-year deal. The amount of money paid by the St-Louis based firm, has not been disclosed. Budweiser has been a sponsor of the football World Cup for 25 years and also backs US motorsport. The FA Cup had been sponsored by energy giant E.On for five years, from 2006 to 2011. The competition will now be known as the FA Cup with Budweiser. Budweiser is a subsidiary of global drinks giant Anheuser-Busch
Mohamed bin Hammam (FIFA Executive Committee member) was banned from taking part in any kind of football-related activity (administrative, sports or any other) at national and international level for a period of life. Debbie Minguell (Caribbean Football Union official) was banned from
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Inbev, formed in 2008 after InBev bought AnheuserBusch. "We are extremely pleased to have secured an iconic brand such as Budweiser to be the lead partner of the FA Cup," said FA General Secretary Alex Horne. The cup, currently held by Manchester City after they beat Stoke City in May's final, is the world's oldest domestic competition. It means England's two domestic cups are now sponsored by beer brands, with Carling the title sponsor of the League Cup.
Ethics Committee bans football officials
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i don't know
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'Core' is a brand of which computer technology company?
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Computer & IT Logo Design - Logos for Tech Companies
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Computer & IT Logo Design Explained
Businesses that work with computers and information technology have to compete in one of the world’s fastest evolving industries. These companies tend to choose computer & IT logo design that emphasize intelligence, creativity, and optimism. They offer the promise of a better world, so they have to present themselves in a way that convinces people to try their products and services.
Working in a competitive industry means you need a logo that will help your company stand out. Entrepreneurs form tech start-ups every day, putting a lot of pressure on business owners and managers to keep up with the latest ideas and make their companies seem hip.
That is not always an easy task to accomplish. Mixing the right features, however, can produce a computer logo that suits your business’s personality and target audience.
Images Used in Successful Company Logos
Logos that use either relevant or novel images and symbols can quickly communicate something integral about your business’s personality.
The Apple computer logo is a great example. While the company has changed its logo throughout its history, it always uses the image of an apple. The image has become so popular that Apple doesn’t even need to mention its name. Anyone who sees the logo automatically thinks about Apple the company, not just the fruit.
According to some, the Apple computer logo takes its symbol from the Biblical story explaining how humans betrayed God’s orders and got kicked out of Eden. It is important to note that, in the story, Adam and Eve disobey God by eating fruit from the Tree of Knowledge. In many versions of the story, an apple represents that fruit. Notice that the apple in Apple’s logo has a bite taken out of its side. This symbol indicates that the company dedicates itself to pursuing knowledge.
That’s the kind of symbolism that can make a logo successful on many levels.
TiVo takes a different approach by including a humanized television in its logo. The character has legs, a smile, and antennae that make it look like a human-television hybrid. It is a playful look that doesn’t take itself too seriously. TiVo makes products that make entertainment exciting and convenient. In using an animated symbol, this company wants to communicate the fun aspects of using its products.
Popular Colors Used in IT Logos
Many tech companies decide to use logos that include a lot of red in the text or image. According to color psychology, red’s positive features include excitement, strength, and energy. Because companies working within the limits of technology rely on these features, it makes sense that so many of them would want red in their logos.
Some popular companies that use red in their logos include Adobe, Netflix, SanDisk, Oracle, and Nintendo. Each of these companies offers something unique that consumers cannot get anywhere else. Many of them have released products that people use daily. Adobe, for instance, creates software that makes it possible for people to share PDF files, alter images, and mix music. Putting red in its logo shows that Adobe is committed to pursuing new technologies and has a deep interest in intellectual exploration.
Blue is another color commonly used by computer and IT companies. This makes sense because people see blue as intellectual, trustworthy, and serene. It is a cool color that tells customers they can rely on the company to do its job properly.
Some technology companies that use blue in their logos include PayPal, Sun Microsystems, HP, and Facebook. By using blue, the companies communicate that they can meet goals because they take a calm, intellectual approach to solving problems. That’s exactly what many people want from technology companies.
Popular Typeface Options Used in Technology Logos
Technology companies need a contemporary look. Consumers want to know that they are buying services and products from businesses that keep up with the latest technological developments.
That helps explain why almost every computer and IT company uses sans serif typefaces. People see these typefaces as stable, modern, and efficient. Serif typefaces typically make logos look too clunky and heavy for the tech industry, and script typefaces seem too traditional. Because tech companies want to look like they’re on the cutting edge, they need sans serif typefaces that communicate contemporary styling.
Practically all information technology companies use sans serif typefaces, but some of them stand out as premium examples of how businesses can use them to look ultra-contemporary. Some of the best examples include Intuit and Asus.
There are some companies that use serif typefaces, but they are usually older companies that want to communicate their stability. Some logos that use serif typeface include IBM, Sony, and Symantec.
These companies may intentionally resist the temptation to make themselves look more contemporary. While a contemporary logo design can work well, some follow fashionable trends that come and go. By using a heavier, footed typeface, companies like IBM and Sony tell customers that they are here to stay. They are not interested in creating trendy tech. They want to make innovative technology that focuses on constant improvement instead of short-lived trends.
Why Use The logo Company?
You may have your own idea of how you want to display your company’s personality and core motivations. The Logo Company gives a questionnaire to each client so the designers know exactly what you want your logo to communicate.
After completing the survey, The Logo Company assembles a team of at least five designers to work on your project. These logo designers have specific skills that make them suitable for the computer and IT industry, so they know what ideas work well and what pitfalls to avoid.
Because multiple people work on your logo design, you get to choose from at least five options. In many cases, each designer creates more than one logo sketch. Our professionals have so many creative ideas that they can present several design options for your company. This helps ensure that you will get a logo that works best for you and your business and is completed on time and to budget.
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Intel
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Which pottery company originally developed the designs Kutani Crane, Wild Strawberry and Jasperware?
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Best Computer Buying Guide - Consumer Reports
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Laptops
Laptops let you use your computer away from your desk, but you pay for that mobility with a keyboard that's a little more cramped, a higher price, and (sometimes) reduced performance. They're also more expensive to repair than desktops.
Whether your main consideration is portability or power, screen size will be an essential factor in deciding which type of laptop is right for you. Visit our computer ratings (available to subscribers) for more.
Smaller (10" to 13" screen size)
If you're planning to carry the laptop around with you frequently, an 11- to 13-inch model may be the right choice.
While 10- or 11-inch laptops may require you to sacrifice some performance, laptops in this range tend to have fast processors and, more importantly, fast solid-state drives, for very good or excellent performance. But you'll also lighten your load.
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Other Types
Lighter and less expensive than most laptops, these highly mobile devices offer an extra dose of portability and many–but certainly not all–of the features. Click here to check our computer ratings .
Chromebooks
Chromebooks are based on Google's Chrome operating system. They're generally inexpensive, with some starting as low as $170. They're designed for users willing to work on and store most of their files online. Chromebooks are quick to start up, partly because the operating system doesn't place the demands on the computer that a heavy-duty OS like Windows does, and partly because they use solid-state drives instead of hard drives.
On the downside, there's not a lot of storage space on a Chromebook. You need access to the internet to get the best work out of one of these machines. And these aren't workhorse computers, though they are fine for creating and sharing documents, web surfing, email, streaming videos and light gaming.
Lower-priced hybrid drives, which combine a hard drive with solid-state memory, represent a good compromise.
Optical Drives
Blu-ray Disc (BD) drives are the newest standard. They're capable of playing Blu-ray movies and can store 25GB (single layer) or 50GB (dual layer) of data, respectively.
Many of today's laptops come without an optical drive, saving weight and cost. With high-capacity flash drives available, extra storage isn't a problem on these models. But installing older software—typically distributed on a CD or DVD—could be a problem. Most of today's software is distributed via download, so there's little need for an optical drive.
The Battery
When not plugged into a wall outlet, laptops use a rechargeable lithium-ion battery for power. Laptops go into sleep mode when used intermittently, extending the time between charges.
You can lengthen battery life if you dim the display, turn off WiFi connectivity when it's not needed, and use only basic applications.
Some laptops, most notably Apples, Ultrabooks, and other thin-and-light models have non-removable batteries, which may be costly to replace when run-time starts decreasing.
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Computer Features
Although most computers come with a basic, pre-defined set of features, that doesn’t mean you don’t have choices. Use this guide to help wade through your options. For more check our computer ratings (available to subscribers).
Video Outputs
If you're buying a desktop, check to see which video outputs it has. Except for all-in-ones, almost all desktops have a VGA (analog) output, and most also have a digital output, either DVI (digital visual interface) or HDMI (high-definition multimedia interface).
• VGA is fine for most uses, but for a cleaner, crisper image on large displays, go with DVI or HDMI. You may have to buy an inexpensive cable.
• Most laptops no longer come with a VGA port. Most new desktops and laptops have an HDMI output to feed video to a monitor or an external HDTV .
Monitors (for desktops)
Screen sizes (measured diagonally) generally range from 15 to 24 inches, but you can find larger ones. The most common sizes are 19 and 20 inches.
Most are wide-screen, which fit widescreen movies better but give you less screen area per inch. Those who plan to edit photos or videos should note differences in color, viewing angle, contrast, and brightness. Monitors are often less expensive when bundled with a new computer.
Displays (for laptops)
A 15- to 16-inch display should suit most people. Displays that are 13, 14, and 17 inches are also common, and some manufacturers are also offering 11-inch laptops.
The screens on most laptops are glossy instead of matte. Glossy screens have more saturated colors and deeper blacks but are also more prone to glare. Like desktop monitors, most laptop displays are wide-screen to show wide-screen movies at their best.
Touchscreens
Borrowing from tablets , companies have begun including touchscreens on many laptops. The notable exception is Apple. These have custom, touch-enabled multimedia apps and include multitouch capability, which lets you use your fingers to zoom, turn, and scroll.
Windows 10, which is engineered to work on mobile devices as well as conventional computers, appears to be accelerating the trend. Computers with touchscreens tend to cost more.
Networking
For connecting to the Internet, all desktops come with an Ethernet port that lets you run a cable between your desktop and your router. If it's not possible to run such a cable through your home, consider a Wi-Fi adapter. Many desktops have this built in. If not, you can buy one for about $40 and plug it into a USB port. You'll also need a wireless router.
Laptops come with wireless built in, and some have a port for connecting an Ethernet cable, although many are ditching it to save space.
Intel's WiDi capability is built into some new laptops that have an Intel Core i-series processor (with a four-digit processor number). WiDi lets you wirelessly stream video from your laptop to a TV. But it requires an external box, which costs $60 from Netgear.
WiDi supports 1080p resolution. Similar streaming-media technologies include DLNA, WHDI, Miracast, and WirelessHD. Other products, such as Roku and Apple TV, let you wirelessly stream video directly to a TV without a computer.
Wireless Mouse
Most of those that come bundled with desktops are optical, meaning light sensors on their undersides track movement. If you have a wireless mouse, you won't have to deal with a cord, but you will have to recharge or replace the batteries every few months.
Ports
The latest port to arrive in computers is USB C. It's reversible, so you'll never insert a USB C plug in the wrong way. It can also be used to supply power to your laptop. With an adapter, it's compatible with earlier versions of USB.
USB ports let you connect a variety of add-on devices, such as digital cameras or external hard drives, as well as flash drives for copying files to and from the hard drive. Having these ports at the front of the desktop case makes connecting devices more convenient.
An Ethernet port or wireless network card lets you link several computers in the household to share files, a printer , or a broadband Internet connection.
Thunderbolt, a very fast data-transfer port is also used for connecting external devices. The latest version 3 uses a USB C connector. However, there are fewer compatible devices available for it than there are for USB.
An eSATA port lets you connect an external hard drive for faster file transfer than with USB 2.0. USB 3.0 matches the speed of eSATA-connected hard drives. eSATA has almost disappeared on todays computers.
An HDMI output jack lets you run a video cable from the computer to a TV so you can use the computer's DVD drive to view a movie, or stream from an online service such as Netflix to a TV instead of watching on computer monitor.
Photo: Google
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Computer Brands
This list comprises the major computer brands. In choosing a brand, consider the manufacturer's technical support and reliability as shown in our surveys.
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i don't know
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What is the common name of aluminium/aluminum oxide crystals used in grinding?
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Aluminum oxide - CreationWiki, the encyclopedia of creation science
Aluminum oxide
18 W m−1 K−1
Structure
79.04 J mol−1 K−1
Hazards
Disclaimer and references
Aluminum Oxide is a chemical compound consisting of two aluminum ions and three oxygen ions demonstrated by the formula Al2O3 Another commons name for aluminum oxide is aluminium oxide which is its proper name. It may also be referred to as aloxide, aloxite, or alundum. It is most frequently found in a crystalline polymorphic phase which s comprised of the mineral corundum which helps form several precious stones such as rubies and sapphires. Aluminum oxide is very commonly used in industry to produce aluminum metal because of its hardness, and high melting point.
Contents
5 Related References
Properties
Aluminum oxide is also a electrical insulator because of it's high thermal conductivity (about 30 Wm K-1) Aluminum oxide s also completely insoluble in water. It is also commonly used as an industrial abrasive material for cutting tools.
Aluminum oxide is responsible for the resistance of metallic aluminium to weathering. It also is very reactive with atmospheric oxygen because of its thin passivation layer. Aluminum oxide is often used to enhance metals and prevent rusting especially in bronze. The structure of aluminum oxide is amorphous, but several reactions such as plasma electrolytic oxidation will make it harder. This compound is an amphoteric substance meaning that it can react with both acids and bases acting as an acid with a base and a base with an acid neutralizing the other ion and producing a salt.
Occurrences
Corundum
Oxide is mined up from the earth. Corundum is the most common occurring crystalline form of aluminum oxide. Corundum can also be found in higher quality forms that compose rubies and sapphires. The red in a ruby owes its color to traces of aluminum oxide. Likewise, sapphires occur in various colors depending on the varying amounts of impurities from other substances such as iron or titanium.
Uses
Aluminum Oxide can be used in the making of ceramics. It is very useful when you are making ceramics because it has good mechanical strength, heat conductivity, fire resistant, corrosion and wear resistance, sliding properties, and it is a good electric insulation. Those properties do not relate to all of the ceramics that are created from aluminum oxide. Aluminum oxide can be mined and sometimes it is used as a natural abrasive so most emery boards are made from aluminum oxide, also a lot of sandpaper is made from Aluminum Oxide. It is also used in the coating of compact fluorescent lamps. Microdermabrasion uses aluminum oxide crystals. Aluminum oxide can be found as a crystal which is called corundum.
Gallery
Aluminum oxide slag - a byproduct of Solid rocket motor.
Related References
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Corundum
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Lachryma Christi, an old Italian sweet red wine translates to mean 'whose what'?
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Alumina (Aluminium Oxide) - The Different Types of Commercially Available Grades
Alumina (Aluminium Oxide) - The Different Types of Commercially Available Grades
Written by AZoMMay 3 2002
High Purity Aluminas
Background
Alumina is the most widely used oxide ceramic material. Its applications are widespread, and include spark plugs, tap washers, pump seals, electronic substrates, grinding media, abrasion resistant tiles, cutting tools, bioceramics, (hip-joints), body armour, laboratory ware and wear parts for the textile and paper industries. Very large tonnages are also used in the manufacture of monolithic and brick refractories. It is also used mixed with other materials such as flake graphite where even more severe applications are envisaged, such as pouring spouts and sliding gate valves.
Key Properties
The characteristics which alumina has and which are important for these applications are shown below.
• High compression strength
• Resistant to chemical attack by a wide range of chemicals even at elevated temperatures
• High thermal conductivity
• High electrical resistivity even at elevated temperatures
• Transparent to microwave radio frequencies
• Low neutron cross section capture area
• Raw material readily available and price not subject to violent fluctuation
Annual Production
Annual production of alumina is some 45 million tonnes, of which 90% is used in the manufacture of aluminium metal by electrolysis.
Where Does Alumina Come From?
Most of the aluminium oxide produced commercially is obtained by the calcination of aluminium hydroxide (frequently termed alumina trihydrate or ATH). The aluminium hydroxide is virtually all made by the Bayer Process. This involves the digestion of bauxite in caustic soda and the subsequent precipitation of aluminium hydroxide by the addition of fine seed crystals of aluminium hydroxide.
Phases of Alumina
Aluminium oxide exists in many forms, α, χ, η, δ, κ, θ, γ, ρ; these arise during the heat treatment of aluminium hydroxide or aluminium oxy hydroxide. The most thermodynamically stable form is α-aluminium oxide.
Aluminium Hydroxides
Aluminium forms a range of hydroxides; some of these are well characterised crystalline compounds, whilst others are ill-defined amorphous compounds. The most common trihydroxides are gibbsite, bayerite and nordstrandite, whilst the more common oxide hydroxide forms are boehmite and diaspore.
Commercially the most important form is gibbsite, although bayerite and boehmite are also manufactured on an industrial scale.
Aluminium hydroxide has a wide range of uses, such as flame retardants in plastics and rubber, paper fillers and extenders, toothpaste filler, antacids, titania coating and as a feedstock for the manufacture of aluminium chemicals, e.g. aluminium sulfate, aluminium chlorides, poly aluminium chloride, aluminium nitrate.
Commercial Grades of Alumina
Smelter Grade Alumina
Smelter or metallurgical grade alumina is the name given to alumina utilised in the manufacture of aluminium metal. Historically it was manufactured from aluminium hydroxide using rotary kilns but is now generally produced in fluid bed or fluid flash calciners. In the fluid flash processes the aluminium hydroxide is fed into a counter-current stream of hot air obtained by burning fuel oil or gas. The first effect is that of removing the free water and this is followed by removal of the chemically combined water; this occurs over a range of temperatures between 180-600ºC. The dehydrated alumina is principally in the form of activated alumina and the surface area gradually decreases as the temperature rises towards 1000ºC. Further calcination at temperatures > 1000ºC converts this to the more stable α-form. The conversion to the α-form is typically of the order of 25% and the specific surface area is relatively high at >50m²/g due to the presence of transition aluminas.
Calcined Alumina
If aluminium hydroxide is heated to a temperature in excess of 1100ºC, then it passes through the transition phases of alumina referred to above.
The final product, if a high enough temperature is used, is α-alumina. The manufacturing process is commercially undertaken in long rotary kilns. Mineralisers are frequently added to catalyse the reaction and bring down the temperature at which the α-alumina phase forms; fluoride salts are the most commonly used mineralisers.
These calcined alumina products are used in a wide range of ceramic and refractory applications. The main impurity present is sodium oxide. Various grades are produced which differ in crystallite size, morphology and chemical impurities.
The calcined grades are often sub-divided into ordinary soda, medium soda (soda level 0.15-0.25% wt%) and low soda alumina.
Low S oda Alumina
Many applications, particularly in the electrical/electronic areas, require a low level of soda to be present in the alumina. A low soda alumina is generally defined as an alumina with soda content of <0.1% by weight. This can be manufactured by many different routes including acid washing, chlorine addition, boron addition, and utilisation of soda adsorbing compounds.
Reactive Alumina
“Reactive” alumina is the terms normally given to a relatively high purity and small crystal size (<1 μm) alumina which sinters to a fully dense body at lower temperatures than low soda, medium-soda or ordinary-soda aluminas. These powders are normally supplied after intensive ball-milling which breaks up the agglomerates produced after calcination. They are utilised where exceptional strength, wear resistance, temperature resistance, surface finish or chemical inertness are required.
Tabular Alumina
Tabular alumina is recrystallised or sintered α-alumina, so called because its morphology consists of large, 50-500 μm, flat tablet-shaped crystals of corundum. It is produced by pelletising, extruding, or pressing calcined alumina into shapes and then heating these shapes to a temperature just under their fusion point, 1700-1850ºC in shaft kilns.
After calcination, the spheres of shapes of sintered alumina can be used as they are for some applications, e.g. catalyst beds, or they can be crushed, screened and ground to produce a wide range of sizes. As the material has been sintered it has an especially low porosity, high density, low permeability, good chemical inertness, high refractoriness and is especially suitable for refractory applications.
Fused Alumina
Fused alumina is made in electric arc furnaces by passing a current between vertical carbon electrodes. The heat generated melts the alumina. The furnace consists of a water cooled steel shell and 3-20 tonne batches of material are fused at any one time. The fused alumina has a high density, low porosity, low permeability and high refractoriness. As a result these characteristics, it is used in the manufacture of abrasives and refractories.
High Purity Aluminas
High purity aluminas are normally classified as those with a purity of 99.99% and can be manufactured by routes starting from Bayer hydrate using successive activations and washings, or via a chloride to achieve the necessary degree of purity. Even higher purities are manufactured by calcining ammonium aluminium sulfate or from aluminium metal. In the case of the route via ammonium aluminium sulfate, the necessary degree of purity is obtained by successive recrystallisations. Especially high purities can be made from aluminium by reacting the metal with an alcohol, purifying the aluminium alkoxide by distillation, hydrolysing and the calcination. A minor route involves subjecting super purity aluminium metal pellets under distilled water to a spark discharge.
Applications include the manufacture of synthetic gem stones such as rubies and yttrium aluminium garnets for lasers, and sapphires for instrument windows and lasers.
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i don't know
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Sibilance is what sort of sound?
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Sibilant | Define Sibilant at Dictionary.com
sibilant
[sib-uh-luh nt] /ˈsɪb ə lənt/
Spell
Phonetics. characterized by a hissing sound; noting sounds like those spelled with s in this
[th is] /ðɪs/ (Show IPA) rose
[rohz] /roʊz/ (Show IPA) pressure
[presh-er] /ˈprɛʃ ər/ (Show IPA) pleasure
[plezh-er] /ˈplɛʒ ər/ (Show IPA) and certain similar uses of ch, sh, z, zh, etc.
noun
Latin
1660-1670
1660-70; < Latin sībilant- (stem of sībilāns), present participle of sībilāre to hiss), equivalent to sībil(us) a hissing, whistling (of imitative orig.) + -ant- -ant
Related forms
Examples from the Web for sibilant
Expand
Historical Examples
They had both become aware of a sort of sibilant breathing, and they looked round them in bewilderment.
A Duet Arthur Conan Doyle
The name, also sibilant and thus easier to hear, was 'Esens'.
A Singular Life Elizabeth Stuart Phelps
She spoke French with the soft, sibilant intonation of the Spaniard.
The Double Four E. Phillips Oppenheim
With the chief's sibilant warning the boys softly laid down the tools and motor parts they were handling, and stood at attention.
Dick Merriwell Abroad Burt L. Standish
British Dictionary definitions for sibilant
Expand
adjective
1.
(phonetics) relating to or denoting the consonants (s, z, / ʃ /, / ʒ /), all pronounced with a characteristic hissing sound
2.
having a hissing sound: the sibilant sound of wind among the leaves
noun
C17: from Latin sībilāre to hiss, of imitative origin; compare Greek sizein to hiss
Collins English Dictionary - Complete & Unabridged 2012 Digital Edition
© William Collins Sons & Co. Ltd. 1979, 1986 © HarperCollins
Publishers 1998, 2000, 2003, 2005, 2006, 2007, 2009, 2012
Word Origin and History for sibilant
Expand
adj.
1660s, from Latin sibilantem (nominative sibilans), present participle of sibilare "to hiss, whistle," possibly of imitative origin (cf. Greek sizein "to hiss," Lettish sikt "to hiss," Old Church Slavonic svistati "to hiss, whistle"). Related: Sibilance; sibilation (1620s).
n.
"speech sound having a hissing effect," 1772, from sibilant (adj.).
Online Etymology Dictionary, © 2010 Douglas Harper
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Hiss
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What voltage is the common zinc-carbon or alkaline AAA battery (also coded LR03, E92, AM4 among others)?
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Voice Over Xtra
To Hide Your Hissing 'S'
The Great Voice Company
Many women, and some men, have problems with an overly sibilant "S" that hisses in a distracting manner.
A hissing "S" can be especially troublesome for voice-over artists when a sensitive microphone picks up every nuance of our speech.
Sibilance that may barely be noticeable in casual conversation can become a real issue in the recording studio. So it's very important that we voice-over artists know how to control it.
Minimizing sibilance requires a two-step approach:
studio know-how, and
articulation and diction exercises you can do at home. Doing these exercises on a regular basis will help strengthen the muscles that produce the letter "S".
SHAPING UP
If you haven't had formal diction training, a clean, crisp "S" sound can be difficult to achieve.
An imperfectly shaped mouth or tongue will affect the sound of your "S" - and because few of us are perfectly shaped anyway, it's likely you will have to learn to make some adjustments to compensate for the shape of your particular mouth.
But no matter what kind of mouth shape you have, a good clean "S" requires:
careful and precise articulation,
well-toned speech muscles, and
proper tongue placement.
Just as you need a work-out program to keep your body in shape, you'll also need a work-out program for the muscles in your mouth.
ARTICULATION ACTIONS
While proper tongue position for a clean "S" sound is difficult to explain in writing, here are some things to keep in mind when pronouncing the letter "S" ...
Be sure that the tip of the tongue does not touch the back of the upper front teeth.
Ideally, the tip of the tongue should be placed about � inch behind the upper front teeth, almost in position for a "t".
Raise the tongue so the sides press firmly against the inner surfaces of the upper molars.
CAN YOU DO IT?
Keeping the proper tongue position in mind, say the following sentences aloud s-l-o-w-l-y to practice the initial, medial and final "S" sound:
Stan seasoned the salad with salt.
Put the best biscuit in the basket.
In this race, bets on pets are off limits.
Good luck! You'll find more exercises to strengthen diction and minimize sibilance on my Magnetic Speaking PowerHome Study System .
Susan Berkley is a top voice-over artist and is the voice of AT&T and Citibank. She is the author of Speak To Influence: How To Unlock The Hidden Power of Your Voice and president of The Great Voice Company, helping to turbocharge the careers of emerging and professional voice talent worldwide. For more information and a free subscription to the Inside Voiceover e-zine, visit her web site (below).
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i don't know
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A ploughman's lunch traditionally features what main foodstuff with bread?
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Traditional English Pub Style Ploughmans Lunch Recipe - Food.com
Cook
0 mins
Just the words Ploughman's Lunch, conjures up images of lazy lunches sat outside with friends, in the Beer Garden of an old Country Pub! This is one of the most famous of pub lunches - so simple and yet so satisfying, especially if taken with a pint of real ale or cider! Although the term "Ploughman’s Lunch" was first coined in the 1930’s, as part of a very successful marketing campaign, the concept behind it goes back much further. Throughout the centuries, agricultural workers would take their lunch out to the fields with them; this usually consisted of bread and cheese with ale or cider - a perfect combination! It's easy to prepare and should consist of at least the following: crusty bread and butter; a selection of English cheeses; pickled onions; chutney and pickles. This also makes excellent picnic food, and is easy to pack and transport. I have two pickle recipes on Recipezaar that would be wonderful with this lunch: A British Classic - Pan Yan Pickle and The Almost Original Branston Pickle Recipe! .
Ingredients
5-Ingredient Lunches
Directions
Arrange the buttered bread on a large platter or plate; you can also leave the bread unbuttered, and place a pat of butter on the side instead.
Cut 4 ozs of cheese per person, it is nice to have a choice of two cheese, such as 2 ozs Cheddar and 2 ozs Stilton - arrange these on the same platter/plate.
Put the pickled onions and chutney or pickles on the side of the plate, along with a fresh tomato left whole and the spring onions.
Make sure there is salt and pepper available, as well as some good real ale or cider!
Enjoy!
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Cheese
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Scuppernong, named after a N Carolina USA river, is a variety of what?
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Ploughman's Lunch Recipe - Taste.com.au
Taste.com.au
Cooking for 1 or 2
Easter
This traditional platter features crusty ciabatta bread, cheese, ham, pickled onions, tomato chutney and red peppers.
0:05
300g Bake At Home ciabatta
200g sliced leg ham
1/2 cup Baxters Tomato Chutney with Red Pepper
12 gherkins
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Preheat oven to 180C or 160C fan-forced. Cook ciabatta according to packet directions.
Step 2
Arrange remaining ingredients on a platter. Tear off hunks or slice ciabatta and serve with platter.
Find recipes that make the most of seasonal produce in our summer collection. You may also enjoy our warm salad and pasta collections.
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Reduce food waste and make your grocery shop go further with these tips, tricks and recipes.
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i don't know
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What legal term equates to 'being caught red-handed' and translates as 'in blazing crime'?
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Legal Latin Terms | GCM Legal | 0861 88 88 35
An argument derived from previous event
/ˌeɪ praɪ.ɔəraɪ/
a quo
from which
Regarding a court below in an apppeal, either a court of first instance or an appellate court, known as the court a quo.
/ˌeɪ ˈkwoʊ/
ab extra
from outside
Concerning a case, a person may have received some funding from a 3rd party. This funding may have been considered ab extra.
/ˌæb ˈɛkstrə/
ab initio
from the beginning
"Commonly used referring to the time a contract, statute, marriage, or deed become legal. e.g The couple was covered ab initio by her health policy." [1]
/ˌæb ɪˈnɪʃi.oʊ/
absque hoc
without this
"Presenting the negative portion of a plea when pleading at common by way a special traverse." [1]
A ctori incumbit probatio
On the plaintiff rests the proving
The burden of proof falls to the plaintiff, claimant, or petitioner according to Roman law.
actus reus
Part of what proves criminal liability (with mens rea)
/ˌæktəs ˈriː.əs/
ad coelum
to the sky
Abbreviated from Cuius est solum eius est usque ad coelum et ad infernos which translates to "[for] whoever owns [the] soil, [it] is his all the way [up] to Heaven and [down] to Hell." The principle that the owner of a parcel of land also owns the air above and the ground below the parcel.
/ˌæd ˈsiːləm/
Cadit quaestio
The question falls
Indicates that a settlement to a dispute or issue has been reached, and the issue is now resolved.
Casus belli
The justification for acts of war.
/ˈkeɪsəs ˈbɛlaɪ/
casus fortuitus
fortuitous event
Force majeure, specifically a man-made inevitable accident (e.g. riots, strikes, civil war); ex: When H.M.S. Bounty was destroyed by Hurricane Sandy, October 29, 2012, casus fortuitus would describe the H.M.S. Bounty being at the wrong place when Hurricane Sandy came up the coast.
Caveat
When used by itself, refers to a qualification, or warning.
Caveat emptor
Let the buyer beware
In addition to the general warning, also refers to a legal doctrine wherein a buyer could not get relief from a seller for defects present on property which rendered it unfit for use.
/ˈkævi.ætˈɛmptɔr/
A type of writ seeking judicial review.
/ˌsɜrʃi.əˈrɛəraɪ/,/ˌsɜrʃi.əˈrɛəriː/
With other things the same
More commonly rendered in English as "All other things being equal."
/ˌsɛtərɨsˈpærɨbəs/
Nobody suffers punishment for mere intent
communio bonorum
The aggregate of marital property under a community property matrimonial regime.
compensatio morae
Delay in payment or performance on the part of both the debtor and the creditor
compos mentis
Having command of mind
Of sound mind. Also used in the negative "Non compos mentis", meaning "Not of sound mind".
/ˈkɒmpɒsˈmɛntɨs/
A condition without which it could not be
An indispensable and essential action, condition, or ingredient.
consensus ad idem
Agreement to the same
Meeting of the minds, mutual assent, or concurrence of wills. Parties must be of one mind and their promises must relate to the same subject or object [3] Also consensus in idem.
consensus facit legem
Consensus makes the law
Stipulates that when two or more persons arrive at a good faith agreement, the law will insist on that agreement being carried out.
consuetudo pro lege servatur
Custom is held as law
Where no laws apply to a given situation, the customs of the place and time will have the force of law.
contra
Against
Used in case citations to indicate that the cited source directly contradicts the point being made.
contra bonos mores
Contracts so made are generally illegal and unenforceable.
contra legem
Against the law
Used when a court or tribunal hands down a decision that is contrary to the laws of the governing state.
Contradictio in adjecto
contra proferentem
Against the one bringing forth
Used in contract law to stipulate that an ambiguous term in a contract shall be interpreted against the interests of the party that insisted upon the term's inclusion. Prevents the intentional additions of ambiguous terminology from being exploited by the party who insisted on its inclusion.
coram non judice
Before one who is not a judge
Refers to a legal proceeding without a judge, or with a judge who does not have proper jurisdiction.
corpus delicti
Body of the crime
A person cannot be convicted of a crime, unless it can be proven that the crime was even committed.
/ˈkɔrpəs dɨˈlɪktaɪ/
cui bono
As a benefit to whom?
Suggests that the perpetrator(s) of a crime can often be found by investigating those who would have benefited financially from the crime, even if it is not immediately obvious.
cuius est solum eius est usque ad coelum et ad inferos
For whoever owns the soil, it is theirs up to Heaven and down to Hell
Used in reference to the rights of property owners to the air above, and land below, their property.
de bonis asportatis
Carrying goods away
Specifies that larceny was taking place in addition to any other crime named. E.g. "trespass de bonis asportatis".
debellatio
Complete annihilation of a warring party, bringing about the end of the conflict.
de bonis non administratis
Of goods not administered
Assets of an estate remaining after the death (or removal) of the designated estate administrator. An "administrator de bonis non administratis" will then be appointed to dispose of these goods.
de die in diem
From day to day
Generally refers to a type of labor in which the worker is paid fully at the completion of each day's work.
de facto
In fact
Literally "from fact"; often used to mean something that is true in practice, but has not been officially instituted or endorsed. "For all intents and purposes". Cf. de jure.
de futuro
Often used to mean "start it all over", in the context of "repeat de integro".
de jure
According to law
Literally "from law"; something that is established in law, whether or not it is true in general practice. Cf. de facto.
de lege ferenda
Of the law as it should be
Used in the context of "how the law should be", such as for proposed legislation.
de lege lata
Of the law as it is
Concerning the law as it exists, without consideration of how things should be.
delegatus non potest delegare
That which has been delegated, cannot delegate [further]
de minimis
Various legal areas concerning small amounts or small degrees.
de minimis non curat lex
The law does not concern itself with the smallest [things]
There must be a minimal level of substance or impact in order to bring a legal action.
de mortuis nil nisi bonum
Of the dead, [speak] nothing unless good
Social convention that it is inappropriate to speak ill of the recently deceased, even if they were an enemy.
de novo
Anew
Often used in the context of "trial de novo"—a new trial ordered when the previous one failed to reach a conclusion.
defalcation
Cutting off with a sickle
Misappropriation of funds by one entrusted with them.
deorum injuriae diis curae
The gods take care of injuries to the gods
Blasphemy is a crime against the State, rather than against God.
dictum
(thing) said
A statement given some weight or consideration due to the respect given the person making it.
doli incapax
Incapable of guilt
Presumption that young children or persons with diminished mental capacity cannot form the intent to commit a crime.
dolus specialis
Heavily used in the context of genocide in international law.
domitae naturae
Tame or domesticated animal. Also called mansuetae naturae. Opposite of ferae naturae (below)
donatio mortis causa
Deathbed gift
Gift causa mortis; "The donor, contemplating imminent death, declares words of present gifting and delivers the gift to the donee or someone who clearly takes possession on behalf of the donee. The gift becomes effective at death but remains revocable until that time." [2]
dramatis personae
dubia in meliorem partem interpretari debent
Doubtful things should be interpreted in the best way
Often spoken as "to give the benefit of the doubt."
duces tecum
A "subpoena duces tecum" is a summons to produce physical evidence for a trial.
ei incumbit probatio qui dicit
Proof lies on him who asserts.
The concept that one is innocent until proven guilty.
ejusdem generis
Of the same class.
Known as a "canon of construction", it states that when a limited list of specific things also includes a more general class, that the scope of that more general class shall be limited to other items more like the specific items in the list.
eo nomine
Something done voluntarily and with no expectation a legal liability arising therefrom.
ex injuria jus non oritur
Law does not arise from injustice
A principle in international law that unjust acts cannot create laws.
ex officio
Something done or realized by the fact of holding an office or position.
ex parte
From [for] one party
A decision reached, or case brought, by or for one party without the other party being present.
ex post
Based on knowledge of the past.
ex post facto
From a thing done afterward
Commonly said as "after the fact."
ex post facto law
A retroactive law. E.g. a law that makes a past act illegal that was not illegal when it was done.
expressio unius est exclusio alterius
The express mention of one thing excludes all others
When items are listed, anything not explicitly stated is assumed to not be included.
ex proprio motu
Commonly spoken as "by one's own accord."
ex rel
[arising] out of the narration [of the relator]
Abbreviation of ex relatione. Used when the government brings a case that arises from the information conveyed to it by a third party ("relator").
ex turpi causa non oritur actio
From a dishonorable cause an action does not arise
A party cannot bring a legal action for consequences of his own illegal act.
exempli gratia
For the sake of example
Usually abbreviated "e.g.".
ex tunc
From then
Term used in contract law to specify terms that are voided or confirmed in effect from the execution of the contract. C.f. ex nunc.
ex nunc
From now on
Term used in contract law to specify terms that are voided or confirmed in effect only in the future and not prior to the contract, or its adjudication. C.f. ex tunc.
extant
Existing
Refers to things that are currently existing at a given point, rather than things that are no longer so.
factum
Deed
1. an assured statement made; 2. completion of a will and all its parts to make it valid and legal; 3). book of facts and law presented in a Canadian court
facio ut facias
I do, that you may do
A type of contract wherein one party agrees to do work for the other, in order that the second party can then perform some work for the first in exchange.
favor contractus
Favor of the contract
A concept in treaty law that prefers the maintaining of a contract over letting it expire for purely procedural reasons.
felo de se
Felon of himself
A suicide. This archaic term stems from English common law, where suicide was legally a felony, thus a person who committed suicide was treated as a felon for purposes of estate disposal.
ferae naturae
Wild animals by nature
Wild animals residing on unowned property do not belong to any party in a dispute on the land. Opposite of domitae naturae (above)
fiat
A warrant issued by a judge for some legal proceedings.
Fiat justitia et pereat mundus
Let there be justice, though the world perish.
Often used as a motto, notably by Ferdinand I, Holy Roman Emperor.
fiat justitia ruat caelum
Let justice be done though the heavens fall.
Also sometimes a motto, a legal maxim that justice must be done regardless of the result otherwise.
fieri facias
May you cause to be done
A writ ordering the local law enforcement to ensure that damages awarded by the court are properly recovered. A writ of execution.
fortis attachiamentum, validior praesumptionem
strong attachment, the stronger presumption
When determining whether a chattel is a fixture: "size doesn't matter, how much or degree chattel is attached to 'land' and to 'what' "
forum non conveniens
Disagreeable forum
A concept wherein a court refuses to hear a particular matter, citing a more appropriate forum for the issue to be decided.
/ˈfɔərəm nɒnkənˈviːni.ɛnz/
fructus industriales
Industrial fruits
Emblements; in property law, a co-owner profitng from her or his fructus industriales is solely responsible for any losses that my occur.[2] (vs. fructus naturales, see below)
fructus naturales
Natural fruits
Vegetation naturally growing from old roots (as pasturage) or from trees (as timber or fruit) (vs. fructus industriales, see above)
fumus boni iuris
Smoke of a good right
Refers to having a sufficient legal basis to bring legal action.
functus officio
Having performed his office
A person, court, statute, or legal document that has no legal authority, because its original legal purpose has been fulfilled.
generalia specialibus non derogant
The general does not detract from the specific.
Specifies that a certain matter of law be covered by the most specific laws pertaining, in the event that broader laws conflict with the specific one.
gravamen
The basic element or complaint of a lawsuit.
/ɡrəˈveɪmɛn/
guardian ad litem
Guardian for the case.
An independent party appointed in family law disputes to represent parties that cannot represent themselves, such as minors, developmentally disabled, or elderly.
habeas corpus
May you have the body
A writ used to challenge the legality of detention. Orders the detaining party to "have the (living) body" of the detained brought before the court where the detention will be investigated.
/ˈheɪbi.əsˈkɔrpəs/
Enemy of the human race
A party considered to be the enemy of all nations, such as maritime pirates.
i.e.
That is
Abbreviation of id est, meaning "that is", in the sense of restating something that may not have been clear.
ibid.
In the same place
Abbreviation of ibidem, meaning "in the same place. Used when citing sources, to indicate the cited source came from the identical location as the preceding one.
idem
The same
Used in citations to indicate the cited source came from the same source as the preceding one, though not necessarily the same page or location. C.f. ibid.
ignorantia juris non excusat
Ignorance of the law does not excuse
A principle that states that not having knowledge of a law is not an excuse for breaking it.
imprimatur
Let it be printed.
An authorization for a document to be printed. Used in the context of approval by a religious body or other censoring authority.
in absentia
In absence
A legal proceeding conducted without the presence of one party is said to be conducted in absentia, e.g., trial in absentia or being sentenced in absentia.
In articulo mortis
at the moment of death
Often used in probate law, as well as for testimony in the sense of a dying declaration.
in camera
Conducted in private, or in secret. The opposite of in open court.
in curia
Conducted in open court. The opposite of in camera.
in esse
Actually existing in reality. Opposite of in posse.
in extenso
In the extended
In extended form, or at full length. Often used to refer to publication of documents, where it means the full unabridged document is published.
in extremis
In extreme circumstances. Often used to refer to "at the point of death."
in flagrante delicto
In blazing offense
Caught in the actual act of committing a crime. Often used as a euphemism for a couple caught in the act of sexual intercourse, though it technically refers to being "caught in the act" of any misdeed.
in forma pauperis
In the manner of a pauper
Someone unable to afford the costs associated with a legal proceeding. As this will not be a barrier to seeking justice, such persons are given in forma pauperis status (usually abbreviated IFP), wherein most costs are waived or substantially reduced.
/ɪn ˌfɔrməˈpɔːpərɨs/
in futuro
In the future
Refers to things to come, or things that may occur later but are not so now. As in in futuro debts, i.e. debts which become due and payable in the future.
/ɪn fjuːˈtjʊəroʊ/
in haec verba
In these words
Used when including text in a complaint verbatim, where its appearance in that form is germane to the case, or is required to be included.
in limine
At the threshold
A motion to a judge in a case that is heard and considered outside the presence of the jury.
in loco parentis
In the place of a parent
Used to refer to a person or entity assuming the normal parental responsibilities for a minor. This can be used in transfers of legal guardianship, or in the case of schools or other institutions that act in the place of the parents on a day-to-day basis.
/ɪn ˌloʊkoʊ pəˈrɛntɨs/
in mitius
In the milder
A type of retroactive law that decriminalizes offenses committed in the past. Also known as an amnesty law.
in omnibus
Used to mean "in every respect." Something applying to every aspect of a situation.
in pari delicto
Used when both parties to a case are equally at fault.
in pari materia
In the same matter
Refers to a situation where a law or statute may be ambiguous, and similar laws applying to the matter are used to interpret the vague one.
in personam
In person
Used in the context of "directed at this particular person", refers to a judgement or subpoena directed at a specific named individual. C.f. in rem.
in pleno
One who represents themselves in court without the [official] assistance of an attorney.
in propria persona
In one's own proper person
Alternate form of in prope persona. One who represents themselves in court without the [official] assistance of an attorney.
in re
In the matter [of]
Used in the title of a decision or comment to identify the matter they are related to; usually used for a case where the proceeding is in rem or quasi in rem and not in personam (e.g. probate or bankrupt estate, guardianship, application for laying out a public highway) and occasionally for an ex parte proceeding (e.g. application for a writ of habeas corpus).
/ɪn ˈriː/
in rem
About a thing
Used in the context of a case against property, as opposed to a particular person. See also in rem jurisdiction. C.f. in personam.
/ɪn ˈrɛm/
in situ
In position
Often used in the context of decisions or rulings about a property or thing "left in place" after the case as it was before.
/ɪn ˈsaɪtjuː/, /ɪnˈsɪtjuː/
in solidum
For the whole
Jointly and severally; where a group of persons share liability for a debt, such as co-signers to a loan, the debtor can sue a single partyin solidum, that is, to recover the entire amount owed.
in terrorem
In order to frighten
A warning or threat to sue, made in the hopes of convincing the other party to take action to avoid a lawsuit.
in terrorem clause
Clause "in order to frighten"
A clause in a will that threatens any party who contests the will with being disinherited. Also called a no-contest clause.
in toto
indicia
Indications
Often used in copyright notices. Refers to distinctive markings that identify a piece of intellectual property.
infra
innuendo
By nodding
An intimation about someone or something, made indirectly or vaguely suggesting the thing being implied. Often used when the implied thing is negative or derogatory.
inter alia
Among others
Used to indicate an item cited has been pulled from a larger or more complete list.
/ˌɪntər ˈeɪli.ə/
inter arma enim silent leges
For among arms, the laws fall silent
A concept that during war, many illegal activities occur. Also taken to mean that in times of war, laws are suppressed, ostensibly for the good of the country.
inter rusticos
Refers to contract, debts, or other agreements made between parties who are not legal professionals.
inter se
Amongst themselves
Refers to obligations between members of the same group or party, differentiated from the whole party's obligations to another party.
inter vivos
Between the living
Refers to a gift or other non-sale transfer between living parties. This is in contrast to a will, where the transfer takes effect upon one party's death.
/ˌɪntər ˈvaɪvɒs/
iudex non calculat
The judge does not calculate
A principle that calculation errors made by the court do not invalidate the judgement on a technicality. Also taken to mean that the judge does not tally up the arguments of both sides and decide in favor of the more numerous, but rather weighs all of the evidence without regard to the number of arguments made.
jura novit curia
The court knows the law
Concept that parties to a case do not need to define how the law applies to their case. The court is solely responsible for determining what laws apply.
jurat
(He) swears
Appears at the end of an affidavit, where the party making the affirmation signs the oath, and the information on whom the oath was sworn before is placed.
juris et de jure
Of law, and from law
Irrebuttable or conclusive presumptions of law. One cannot argue against, or try to otherwise refute these.
jus
jus accrescendi
Right of survivorship; right of accrual
(1) Right of survivorship: In property law, on the death of one joint tenant, that tenant's interest passes automatically to the surviving tenant(s) to hold jointly until the estate is held by a sole tenant. The only way to defeat the right of survivorship is to sever the joint tenancy during the lifetime of the parties, the right of survivorshop takes priority over a will or interstate accession rules.[2] (2) (Civil law) right of accrual: Right of the beneficiary to succeed proportionately to a benefit that another beneficiary in the same will cannot or does not want to take.
jus ad bellum
Laws to war
Refers to legalities considered before entering into a war, to ensure it is legal to go to war initially. Not to be confused with ius in bello(q.v.), the "laws of war" concerning how war is carried out.
jus civile
A codified set of laws concerning citizenry, and how the laws apply to them.
jus cogens
Compelling law
Internationally agreed laws that bear no deviation, and do not require treaties to be in effect. An example is law prohibiting genocide.
jus commune
Common law
Not actually referring to common law, this term refers to common doctrine and principles of civil law that underlie all aspects of the legal system.
jus gentium
Law of nations
Customary law followed by all nations. Nations being at peace with one another, without having to have an actual peace treaty in force, would be an example of this concept.
jus in bello
Laws governing the conduct of parties in war.
jus inter gentes
Laws governing treaties and international agreements.
jus naturale
Natural law
Laws common to all people, that the average person would find reasonable, regardless of their nationality.
jus primae noctis
Right of the first night
Supposed right of the lord of an estate to take the virginity of women in his estate on their wedding night.
jus quaesitum tertio
Right to third-party relief
Right of a third-party beneficiary to sue in order to enforce a third-party contract (i.e., the opposite of privity of contract).
jus sanguinis
Right of blood
Social law concept wherein citizenship of a nation is determined by having one or both parents being citizens.
/ˈdʒʌsˈsæŋɡwɨnɨs/
Social law concept wherein citizenship of a nation is determined by place of birth.
/ˈdʒʌs ˈsoʊlaɪ/
jus tertii
Law of the third
Arguments made by a third party in disputes over possession, the intent of which is to question one of the principal parties' claims of ownership or rights to ownership.
lacunae
Void, gap
A situation arising that is not covered by any law. Generally used in International Law, as all countries codify according to their own systems of law.
leges humanae nascuntur, vivunt, moriuntur
The laws of man are born, live, and die
Illustrates that laws are made, are in force for a period, and then become obsolete.
lex commissoria
Forfeiture clause for nonperformance of a contract, especially (1) a provision that a pledge shall be forfeited if a loan is defaulted, or (2) a condition that money paid on a contract of sale shall be forfeited and the sale rescinded if outstanding payments are defaulted. Also known as a pactum commissorium.
lex communis
Common law.
Alternate form of jus commune. Refers to common facets of civil law that underlie all aspects of the law.
lex lata
The law as it has been enacted
lex loci
The law of the place
The law of the country, state, or locality where the matter under litigation took place. Usually used in contract law, to determine which laws govern the contract.
/ˈlɛks ˈloʊkaɪ/
Later law removes the earlier
More recent law overrules older ones on the same matter.
lex retro non agit
The law does not operate retroactively
A law cannot make something illegal that was legal at the time it was performed. See ex post facto law.
lex scripta
Law that specifically codifies something, as opposed to common law or customary law.
lex specialis derogat legi generali
Specific law takes away from the general law
Where several laws apply to the same situation, the more specific one(s) take precedence over more general ones.
liberum veto
Free veto
An aspect of a unanimous voting system, whereby any member can end discussion on a proposed law.
lingua franca
The Frankish language
A language common to an area that is spoken by all, even if not their mother tongue. Term derives from the name given to a common language used by traders in the Mediterranean basin dating from the Middle Ages.
lis alibi pendens
Lawsuit elsewhere pending
Refers to requesting a legal dispute be heard that is also being heard by another court. To avoid possibly contradictory judgements, this request will not be granted.
lis pendens
Suit pending
Often used in the context of public announcements of legal proceedings to come. Compare pendente lite (below).
locus
A condition of being fraudulent or deceptive in act or belief.
maleficia propositis distinguuntur
evil acts are distinguished from (evil) purposes/crimes are distinguished by evil intent
evil acts are distinguished from evil purposes [4] crimes are distinguished by the intention [5]
malum in se
Something considered a universal wrong or evil, regardless of the system of laws in effect.
malum prohibitum
Prohibited wrong
Something wrong or illegal by virtue of it being expressly prohibited, that might not otherwise be so.
mandamus
We command
A writ issue by a higher court to a lower one, ordering that court or related officials to perform some administrative duty. Often used in the context of legal oversight of government agencies.
/mænˈdeɪməs/
mare clausum
Closed sea
A body of water under the jurisdiction of a state or nation, to which access is not permitted, or is tightly regulated.
/ˈmɛərriːˈklɔːzəm/
mare liberum
Open sea
A body of water open to all. Typically a synonym for International Waters, or in other legal parlance, the "High Seas".
mens rea
Guilty mind
One of the requirements for a crime to be committed, the other being actus reus, the guilt act. This essentially is the basis for the notion that those without sufficient mental capability cannot be judged guilty of a crime.
/ˈmɛns ˈriː.ə/
modus operandi
Manner of operation
A person's particular way of doing things. Used when using behavioral analysis while investigating a crime. Often abbreviated "M.O."
/ˈmoʊdəs ɒpəˈrændaɪ/, /ˈmoʊdəs ɒpəˈrændiː/
Delay in payment or performance in the part of the creditor or obligor
mora solvendi
Delay in payment or performance in the part of the debtor or the obligee
mortis causa
Gift or trust that is made in contemplation of death
mos pro lege
That which is the usual custom has the force of law.
motion in limine
Motion at the start
Motions offered at the start of a trial, often to suppress or pre-allow certain evidence or testimony.
mutatis mutandis
Having changed [the things that] needed to be changed
A caution to a reader when using one example to illustrate a related but slightly different situation. The caution is that the reader must adapt the example to change what is needed for it to apply to the new situation.
ne exeat
Let him not exit [the republic]
Shortened version of ne exeat repiblica: "let him not exit the republic". A writ to prevent one party to a dispute from leaving (or being taken) from the court's jurisdiction.
/ˈniː ˈɛksi.æt/
ne bis in idem
Not twice in the same
Prohibition against double jeopardy. A legal action cannot be brought twice for the same act or offense.
negotiorum gestio
Management of estate
Quasi-contractual obligation arising from good works affecting other people, obliging the benefited party (dominus negotii) to reimburse the gestor for the cost that was used in doing good works
nemo auditur propriam turpitudinem allegans
no one can be heard, who invokes his own guilt
Nobody can bring a case that stems from their own illegal act
nemo dat quod non habet
no one gives what he does not have
If someone purchases something that the seller has no right to (such as stolen property), the purchaser will likewise have no legal claim to the thing bought.
nemo debet esse iudex in propria
no one shall be a judge in his own case
In the past it was thought that it included just two rules namely (1) nemo debet esse judex in propria causa (no one shall be a judge in his own case)
nemo judex in sua causa
no one shall be a judge in his own case
Prevents conflict of interest in courts. Often invoked when there is really no conflict, but when there is even the appearance of one.
nemo plus iuris ad alium transferre potest quam ipse habet
no one can transfer a greater right than he himself has
A purchaser of stolen goods will not become the rightful owner thereof, since the seller himself was not the owner to begin with.
nihil dicit
he says nothing
A judgement rendered in the absence of a plea, or in the event one party refuses to cooperate in the proceedings.
nisi
A decree that does not enter into force unless some other specified condition is met.
/ˈnaɪsaɪ/
Refers to the court of original jurisdiction in a given matter.
/ˈnaɪsaɪˈpraɪ.əs/
nolle prosequi
Not to prosecute
A statement from the prosecution that they are voluntarily discontinuing (or will not initiate) prosecution of a matter.
/ˈnɒliːˈprɒsɨkwaɪ/
nolo contendere
I do not wish to dispute
A type of plea whereby the defendant neither admits nor denies the charge. Commonly interpreted as "No contest."
/ˈnoʊloʊ kɒnˈtɛndɨriː/
non adimpleti contractus
Of a non-completed contract
In the case where a contract imposes specific obligations on both parties, one side cannot sue the other for failure to meet their obligations, if the plaintiff has not themselves met their own.
non compos mentis
not in possession of [one's] mind
not having mental capacity to perform some legal act
non constat
it is not certain
Refers to information given by one who is not supposed to give testimony, such as an attorney bringing up new information that did not come from a witness. Such information is typically nullified.
non est factum
It is not [my] deed
A method whereby a signatory to a contract can invalidate it by showing that his signature to the contract was made unintentionally or without full understanding of the implications.
non est inventus
He is not found
Reported by a sheriff on writ when the defendant cannot be found in his county or jurisdiction.
non faciat malum, ut inde veniat bonum
not to do evil that good may come
Performing some illegal action is not excused by the fact that a positive result came therefrom. Often used to argue that some forms of expression, such as graffiti or pornographic films, cannot be given the protection of law (e.g. copyright) as they are or may be considered illegal or morally reprehensible.
non liquet
it is not clear
A type of verdict where positive guilt or innocence cannot be determined. Also called "not proven" in legal systems with such verdicts.
non obstante verdicto
notwithstanding the verdict
A circumstance where the judge may override the jury verdict and reverse or modify the decision.
novus actus interveniens
a new action coming between
a break in causation (and therefore probably liability) because something else has happened to remove the causal link
noscitur a sociis
it is known by friends
An ambiguous word or term can be clarified by considering the whole context in which it is used, without having to define the term itself.
nota bene
note well
A term used to direct the reader to cautionary or qualifying statements for the main text.
nudum pactum
An unenforceable promise, due to the absence of consideration or value exchanged for the promise.
nulla bona
no goods
Notation made when a defendant has no tangible property available to be seized in order to comply with a judgement.
nulla poena sine lege
no penalty without a law
One cannot be prosecuted for doing something that is not prohibited by law.
nullum crimen, nulla poena sine praevia lege poenali
no crime, no punishment without a previous penal law
One cannot be prosecuted for doing something that was not prohibited by law at the time and place it was committed, notwithstanding laws made since that time. A form of prohibition on retroactive laws.
nunc pro tunc
An action by a court to correct a previous procedural or clerical error.
obiter dictum
a thing said in passing
in law, an observation by a judge on some point of law not directly relevant to the case before him, and thus neither requiring his decision nor serving as a precedent, but nevertheless of persuasive authority. In general, any comment, remark or observation made in passing
onus probandi
A fundamental principle of law
par delictum
Used when both parties to a dispute are at fault
parens patriae
parent of the nation
Refers to the power of the State to act as parent to a child when the legal parents are unable or unwilling.
pari passu
Equal ranking, equal priority (usually referring to creditors)
pater familias
father of the family
The head of household, for purposes of considering the rights and responsibilities thereof. (Civil law) bonus paterfamilias: a standard of care equivalent to the common law ordinary reasonable man.
pendente lite
while the litigation is pending
Court orders used to provide relief until the final judgement is rendered. Commonly used in divorce proceedings. The adverbial form oflis pendens (above).
per capita
dividing money up strictly and equally according to the number of beneficiaries
per contra
Legal shorthand for "in contrast to"
per curiam
through the court
A decision delivered by a multi-judge panel, such as an appellate court, in which the decision is said to be authored by the court itself, instead of situations where those individual judges supporting the decision are named.
/ˌpɜrrˈkjʊəri.æm/
A judgement given without reference to precedent.
per minas
Used as a defense, when illegal acts were performed under duress
per proxima amici
by or through the next friend
Employed when an adult brings suit on behalf of a minor, who was unable to maintain an action on his own behalf at common law.
per quod
by which
Used in legal documents in the same sense as "whereby". A per quod statement is typically used to show that specific acts had consequences which form the basis for the legal action.
per se
Something that is, as a matter of law.
per stirpes
by branch
An estate of a decedent is distributed per stirpes, if each branch of the family is to receive an equal share of an estate.
periculum in mora
danger in delay
A condition given to support requests for urgent action, such as a protective order or restraining order.
persona non grata
unwelcome person
A person who is officially considered unwelcome by a host country in which they are residing in a diplomatic capacity. The person is typically expelled to their home country.
/pərˈsoʊnə nɒnˈɡrɑːtə/, /pərˈsoʊnə nɒnˈɡreɪtə/
posse comitatus
power of the county
A body of armed citizens pressed into service by legal authority, to keep the peace or pursue a fugitive.
/ˈpɒsiː ˌkɒmɨˈteɪtəs/
Refers to an autopsy, or as a qualification as to when some event occurred.
post mortem auctoris
Used in reference to intellectual property rights, which usually are based around the author's lifetime.
praetor peregrinus
The Roman praetor (magistrate) responsible for matters involving non-Romans.
prima facie
at first face
A matter that appears to be sufficiently based in the evidence as to be considered true.
/ˈpraɪməˈfeɪʃi.iː/
prior tempore potior iure
earlier in time, stronger in law
(1) A legal principle that older laws take precedent over newer ones. Another name for this principle is lex posterior. (2) (Scots law, civil law), usually translated as "prior in time, superior in right", the principle that someone who registers (a security interest) earlier therefore ranks higher than other creditors.
prius quam exaudias ne iudices
before you hear, do not judge
probatio vincit praesumptionem
as a matter of form
Things done as formalities.
pro hac vice
For this turn
Refers to a lawyer who is allowed to participate (only) in a specific case, despite being in a jurisdiction in which he has not been generally admitted
pro per
Abbreviation of propria persona, meaning "one's own person"
Representing oneself, without counsel. Also known as pro se representation.
pro rata
from the rate
A calculation adjusted based on a proportional value relevant to the calculation. An example would be a tenant being charged a portion of a month's rent based on having lived there less than a full month. The amount charged would be proportional to the time occupied.
pro se
Representing oneself, without counsel. Also known as pro per representation.
/ˌproʊ ˈsiː/, /ˌproʊ ˈseɪ/
quareitur
it is sought
The question is raised. Used to declare that a question is being asked in the following verbiage.
quaere
query
Used in legal drafts to call attention to some uncertainty or inconsistency in the material being cited.
quantum
quantum meruit
as much as it deserves; as much as she or he has earned[3]
In contract law, a quasi-contractual remedy that permits partial reasonable payment for an incomplete piece of work (services and/or materials), assessed proportionately, where no price is established when the request is made.[3]
In contract law, and in particular the requirement for consideration, if no fixed price is agreed upon for the service and/or materials, then one party would request a reasonable price for the said services and/or materials at the end of the job. A common example would be a plumber requested to fix a leak in the middle of the night.[3]
quantum valebant
as much as they were worth
Under Common Law, i.e. a remedy to compute reasonable damages when a contract has been breached—the implied promise of payment of a reasonable price for goods.
In contract law, for requirements of consideration, reasonable worth for goods delivered.
Usage: quantum meruit has replaced quantum valebant in consideration;[3] in the case of contract remedy, quantum valebant is being used less, and could be considered to be obsolete.
quasi
Resembling or being similar to something, without actually being that thing.
qui facit per alium facit per se
who acts through another, acts himself
One who delegates a task to another, takes full responsibility for the performance of that act as if he himself had done it. Basis for thelaw of agency
qui tam
Abbreviation of qui tam pro domino rege quam pro se ipso in hac parte sequitur, meaning "who pursues in this action as much for the king as himself".
In a qui tam action, one who assists the prosecution of a case is entitled to a proportion of any fines or penalties assessed.
quid pro quo
this for that
An equal exchange of goods or services, or of money (or other consideration of equal value) for some goods or services.
quo ante
Returning to a specific state of affairs which preceded some defined action.
quo warranto
by what warrant?
A request made to someone exercising some power, to show by what legal right they are exercising that power. A type of writ.
quoad hoc
as to this
Used to mean "with respect to" some named thing, such as when stating what the law is in regards to that named thing.
quod est necessarium est licitum
What is necessary is lawful
R
Rex or Regina
King or Queen. In British cases, will see R v Freeman meaning Regina against Freeman. Changes with King or Queen on throne at time.
ratio decidendi
Reason for the decision
The point in a legal proceeding, or the legal precedent so involved, which led to the final decision being what it was.
ratio scripta
The popular opinion of Roman law, held by those in the Medieval period.
rationae soli
by reason of the soil
"Certain rights may arise by virtue of ownership of the soil upon which wild animals are found."[2]
rebus sic stantibus
things thus standing
A qualification in a treaty or contract, that allows for nullification in the event fundamental circumstances change.
reddendo singula singulis
referring solely to the last
The canon of construction that in a list of items containing a qualifying phrase at the end, the qualifier refers only to the last item in the list.
res
res communis
common to all
Property constructs like airspace and water rights are said to be res communis - that is, a thing common to all, and that could not be the subject of ownership. With airspace, the difficulty has been to identify where the fee simple holder's rights to the heavens end. Water is a bit more defined — it is common until captured.[2]
res gestae
things done
Differing meaning depending on what type of law is involved. May refer to the complete act of a felony, from start to finish, or may refer to statements given that may be exempt from hearsay rules.
res ipsa loquitur
the thing speaks for itself
used in tort law when there is no proof of what caused the harm, but it is most likely only the thing that could have caused the harm
res judicata
a matter judged
A matter that has been finally adjudicated, meaning no further appeals or legal actions by the involved parties is now possible.
/ˈriːz dʒuːdɨˈkeɪtə/, /ˈreɪz/,/dʒuːdɨˈkɑːtə/
res nullius
nobody's thing
Ownerless property or goods. Such property or goods are able and subject to being owned by anybody.
res publica
All things subject to concern by the citizenry. The root of the word republic.
res publica christiana
All things of concern to the worldwide body of Christianity
respondeat superior
let the master answer
A concept that the master (e.g. employer) is responsible for the actions of his subordinates (e.g. employees).
restitutio in integrum
total reinstatement
(1) Restoration of something, such as a building or damaged property, to its original condition.
(2) In contract law, when considering breach of contract and remedies, to restore a party to an original position. [3]
rex non potest peccare
The king can do no wrong
Used to describe the basis for sovereign immunity
salus populi suprema lex esto
The good of the people shall be the supreme law
Used variously as a motto, a reminder, or a notion of how the law and governments in general should be.
scandalum magnatum
Defamation against a peer in British law. Now repealed as a specific offense.
scienter
knowingly
Used when offenses or torts were committed with the full awareness of the one so committing.
scire facias
A writ, directing local officials to officially inform a party of official proceedings concerning them.
scire feci
I have made known
The official response of the official serving a writ of scire facias, informing the court that the writ has been properly delivered.
se defendendo
self-defense
The act of defending one's own person or property, or the well-being or property of another.
seriatim
in series
Describes the process in which the court hears assorted matters in a specific order. Also refers to an occasion where a multiple-judge panel will issue individual opinions from the members, rather than a single ruling from the entire panel.
sic utere tuo ut alienum non laedas
use your property so as not to injure that of your neighbours
While an individual is entitled to the use and enjoyment of one's estate, the right is not without limits. Restrictions can give rise to tort actions include trespass, negligence, strict liability, and nuisance. [2]
sine die
without day
Used when the court is adjourning without specifying a date to re-convene. See also adjournment sine die.
sine qua non
Refers to some essential event or action, without which there can be no specified consequence.
situs
the place
Used to refer to laws specific to the location where specific property exists, or where an offense or tort was committed.
solutio indebiti
performance of something not due
Undue performance or payment, obliging the enrichee (accipiens) to return the undue payment or compensate the impoverishee (solvens) for the undue performance
stare decisis
To stand by [things] decided.
The obligation of a judge to stand by a prior precedent.
/ˈstɛəriː dɨˈsaɪsɨs/
statu quo
the state in which
In contract law, in a case of innocent representation, the injured party is entitled to be replaced in statu quo. Note the common usage isstatus quo from the Latin status quo ante, the "state in which before" or "the state of affairs that existed previously." [3]
stratum
a covering, from neuter past participle of sternere, to spread
1)
In property law, condominiums has said to occupy stratum many stories about the ground. [2]
2)
Stratum can also be a societial level made up of individuals with similar status of social, cultural or economic nature.
3)
Stratum can refer to classification in an organized system along the lines of layers, levels, divisions, or similar grouping.
sua sponte
of its own accord
Some action taken by the public prosecutor or another official body, without the prompting of a plaintiff or another party. (compare ex proprio motu, ex mero motu which are used for courts)
sub judice
Refers to a matter currently being considered by the court.
sub modo
subject to modification
Term in contract law that allows limited modifications to a contract after the original form has been agreed to by all parties.
sub nomine
under the name
Abbreviated sub nom.; used in case citations to indicate that the official name of a case changed during the proceedings, usually after appeal (e.g., rev'd sub nom. and aff'd sub nom.)
sub silentio
under silence
A ruling, order, or other court action made without specifically stating the ruling, order, or action. The effect of the ruling or action is implied by related and subsequent actions, but not specifically stated.
subpoena
under penalty
A writ compelling testimony, the production of evidence, or some other action, under penalty for failure to do so.
subpoena ad testificandum
Under penalty to be witnessed
An order compelling an entity to give oral testimony in a legal matter.
subpoena duces tecum
bring with you under penalty
An order compelling an entity to produce physical evidence or witness in a legal matter.
suggestio falsi
A false statement made in the negotiation of a contract.
sui generis
Something that is unique amongst a group.
sui juris
Refers to one legally competent to manage his own affairs. Also spelled sui iuris.
suo motu
of its own motion
Refers to a court or other official agency taking some action on its own accord (synonyms: ex proprio motu, ex mero motu). Similar tosua sponte.
supersedeas
refrain from
A bond tendered by an appellant as surety to the court, requesting a delay of payment for awards or damages granted, pending the outcome of the appeal.
suppressio veri
suppression of the truth
Willful concealment of the truth when bound to reveal it, such as withholding details of damage from an auto accident from a prospective buyer of the car in that accident.
supra
Used in citations to refer to a previously cited source.
tantum et tale
thus and such
(Scots law) "as is", to disclaim implied warranties, as in to purchase or convey something tantum et tale
terra nullius
no one's land
Land that has never been part of a sovereign state, or land which a sovereign state has relinquished claim to.
trial de novo
trial anew
A completely new trial of a matter previously judged. It specifically refers to a replacement trial for the previous one, and not an appeal of the previous decision.
trinoda necessitas
three-knotted need
Refers to a threefold tax levied on Anglo-Saxon citizens to cover roads, buildings, and the military.
uberrima fides
Concept in contract law specifying that all parties must act with the utmost good faith.
ultra posse nemo obligatur
no one is obligated (to do) more than he can
Specifies that one should do what he can to support the community, but since everyone has different levels of ability, it cannot be expected that all will perform the same.
ultra vires
beyond the powers
An act that requires legal authority to perform, but which is done without obtaining that authority.
universitas personarum
Aggregate of people, body corporate, as in a college, corporation, or state
universitas rerum
uno flatu
in one breath
Used to criticize inconsistencies in speech or testimony, as in: one says one thing, and in the same breath, says another contradictory thing.
uti possidetis
as you possess
Ancient concept regarding conflicts, wherein all property possessed by the parties at the conclusion of the conflict shall remain owned by those parties unless treaties to the contrary are enacted.
uxor
Used in documents in place of the wife's name. Usually abbreviated et ux.
vel non
Used when considering whether some event or situation is either present or it is not.
veto
The power of an executive to prevent an action, especially the enactment of legislation.
vice versa
Something that is the same either way.
vide
Used in citations to refer the reader to another location.
videlicet
Contraction of videre licet, meaning "it is permitted to see"
Used in documents to mean "namely" or "that is". Usually abbreviated viz.
vinculum juris
the chains of the law
Something which is legally binding.
vis major
greater or superior force
Force majeure, specifically events over which no humans have control, and so cannot be held responsible. Equivalent to an "Act of God". Compare casus fortuitus (see above).
viz.
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In flagrante delicto
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Erratum is a list of what at the end of a publication?
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- Parliamentary Procedure and Debate
Parliamentary Procedure and Debate
Compiled by Mary D. Moore
amicus curiae
An amicus curiae (also amicus curiæ; plural amici curiae, literally "friend of the court") is someone who is not a party to a case , who offers information that bears on the case but who has not been solicited by any of the parties to assist a court . This may take the form of legal opinion , testimony or learned treatise (the amicus brief) and is a way to introduce concerns ensuring that the possibly broad legal effects of a court decision will not depend solely on the parties directly involved in the case. The decision on whether to admit the information lies at the discretion of the court. The phrase amicus curiae is legal Latin .
The role of an amicus is often confused with that of an intervener . The role of an amicus is, as stated by Salmon LJ (as Lord Salmon then was) in Allen v Sir Alfred McAlpine & Sons Ltd [1968] 2 QB 229 at p. 266 F-G:
I had always understood that the role of an amicus curiae was to help the court by expounding the law impartially, or if one of the parties were unrepresented, by advancing the legal arguments on his behalf.Wikipedia
Presentation[ edit ]The role of an amicus is often confused with that of an intervener . The role of an amicus is, as stated by Salmon LJ (as Lord Salmon then was) in Allen v Sir Alfred McAlpine & Sons Ltd [1968] 2 QB 229 at p. 266 F-G:
I had always understood that the role of an amicus curiae was to help the court by expounding the law impartially, or if one of the parties were unrepresented, by advancing the legal arguments on his behalf.The situation most often noted in the press is when an advocacy group files a brief in a case before an appellate court to which it is not a litigant . Appellate cases are normally limited to the factual record and arguments coming from the lower court case under appeal; attorneys focus on the facts and arguments most favorable to their clients. Where a case may have broader implications, amicus curiae briefs are a way to introduce those concerns, so that the possibly broad legal effects of court decisions will not depend solely on the parties directly involved in the case.
In prominent cases, amici curiae are generally organizations with sizable legal budgets. In the United States, for example, non-profit legal advocacy organizations, such as the American Civil Liberties Union , the Landmark Legal Foundation , the Pacific Legal Foundation , the Electronic Frontier Foundation , the American Center for Law and Justice or NORML , frequently submit such briefs to advocate for or against a particular legal change or interpretation. If a decision could affect an entire industry, companies other than the litigants may wish to have their concerns heard. In the United States , federal courts often hear cases involving the constitutionality of state laws. Hence states may file briefs as amici curiae when their laws are likely to be affected, as in the Supreme Court case McDonald v. Chicago , when thirty-two states under the aegis of Texas (and California independently) filed such briefs. [2]
Amici curiae who do not file briefs often present an academic perspective on the case. For example, if the law gives deference to a history of legislation of a certain topic, a historian may choose to evaluate the claim from specialized expertise. An economist, statistician, or sociologist may choose to do the same. Newspaper editorials, blogs , and other opinion pieces arguably have the capability to influence Supreme Court decisions as de facto amici curiae. [3] [4] They are not, however, technically considered amicus curiae, as they do not submit materials to the Court, do not need to ask for leave, and have no guarantee that they will be read.
United States Supreme Court Rules[ edit ]The Supreme Court of the United States has special rules for amicus curiae briefs sought to be filed in cases pending before it. Supreme Court Rule 37 states, in part, such a brief should cover "relevant matter" not dealt with by the parties which "may be of considerable help". [5] The cover of an amicus brief must identify which party the brief is supporting, or if the brief supports only affirmance or reversal. Supreme Court Rule 37.3(a). The Court also requires that, inter alia, all non-governmental amici identify those providing a monetary contribution to the preparation or submission of the brief. Supreme Court Rule 37.6. Briefs must be prepared in booklet format, and 40 copies must be served with the Court. [6]
In the United States Supreme Court, unless the amicus brief is being filed by the federal government (or one of its officers or agents) or a U.S. state, permission of the court (by means of motion for leave ) or mutual consent of the parties is generally required. Allowing an amicus curiae to present oral argument is considered "extraordinary". [7]
bona fide -in good faith
real or genuine
law : made or done in an honest and sincere way
authentic , certifiable , certified , dinkum [Australian & New Zealand], echt , genuine , honest , pukka (also pucka ), real , right , sure-enough , true
caveat emptor- let the buy
Under the principle of caveat emptor, the buyer could not recover damages from the seller for defects on the property that rendered the property unfit for ordinary purposes. The only exception was if the seller actively concealed latent defects or otherwise made material misrepresentations amounting to fraud.
Before statutory law , the buyer had no express warranty ensuring the quality of goods. In England, common law requires that goods must be "fit for the particular purpose" and of "merchantable quality," per Section 15 of the Sale of Goods Act but this implied warranty can be difficult to enforce and may not apply to all products. Hence, buyers are still advised to be cautious.
United States[ edit ]The modern trend in the US, however, is one of the implied warranty of fitness that applies only to the sale of new residential housing by a builder-seller and the caveat emptor rule applies to all other sale situations (e.g. homeowner to buyer). [2] Other jurisdictions have provisions similar to this.
In addition to the quality of the merchandise , this phrase also applies to the return policy. In most jurisdictions, there is no legal requirement for the vendor to provide a refund or exchange. In many cases, the vendor will not provide a refund but will provide a credit . In the cases of software , movies , and other copyrighted material, many vendors will only do a direct exchange for another copy of exactly the same title. Most stores require proof of purchase and impose time limits on exchanges or refunds. Some larger chain stores , such as F.Y.E. , Staples , Target , or Walmart , will, however, do exchanges or refunds at any time, with or without proof of purchase, although they usually require a form of picture ID and place quantity or dollar limitations on such returns.
Laidlaw v. Organ , [3] a decision written in 1817 by Chief Justice John Marshall , is believed by scholars to have been the first U.S. Supreme Court case which laid down the rule of caveat emptor in U.S. law. [4]
United Kingdom[ edit ]In the UK, consumer law has moved away from the caveat emptor model, with laws passed that have enhanced consumer rights and allow greater leeway to return goods that do not meet legal standards of acceptance. [5] Consumer purchases are regulated by the Sale of Goods Act 1979 .
In the UK, consumers have the right to a full refund for faulty goods. However, by convention, most retail companies allow customers to return goods within a specified period (typically a month or two) for a full refund or an exchange, even if there is no fault with the product. Exceptions may apply for goods sold as damaged or to clear.
Goods bought through 'distance selling,' for example online or by phone, also have a statutory 'cooling off' period of seven working days. To cancel the contract is to treat the contract as if it had not been made, except that the Regulations refer to the terms.
Although no longer applied in consumer law, the principle of caveat emptor is generally held to apply to transactions between businesses unless it can be shown that the seller had a clear information advantage over the buyer that could not have been removed by carrying out reasonable due diligence .
caveat venditor- Caveat venditor is Latin for "let the seller beware." It is a counter to caveat emptor and suggests that sellers can also be deceived in a market transaction. This forces the seller to take responsibility for the product and discourages sellers from selling products of unreasonable quality.In the landmark case of MacPherson v. Buick Motor Co. (1916), New York Court Appeals Judge Benjamin N. Cardozo established that privity of duty is no longer required in regard to a lawsuit for product liability against the seller. This case is widely regarded as the origin of caveat venditor as it pertains to modern tort law in US.
corpus delicti- ( Latin : "body of crime"; plural: corpora delicti) is a term from Western jurisprudence referring to the principle that a crime must have been proven to have occurred before a person can be convicted of committing that crime.For example, a person cannot be tried for larceny unless it can be proven that property has been stolen. Likewise, in order for a person to be tried for arson it must be proven that a criminal act resulted in the burning of a property. Black's Law Dictionary (6th ed.) defines "corpus delicti" as: "the fact of a crime having been actually committed."
In the Anglo-American legal system , the concept has its outgrowth in several principles. Many jurisdictions hold as a legal rule that a defendant 's out-of-court confession, alone, is insufficient evidence to prove the defendant's guilt beyond reasonable doubt. [1] A corollary to this rule is that an accused cannot be convicted solely upon the testimony of an accomplice. Some jurisdictions also hold that without first showing independent corroboration that a crime happened, the prosecution may not introduce evidence of the defendant's statement.
cui bono?- for which good?General – All corpus delicti requires at a minimum:
1) The occurrence of the specific injury; and 2) some intentional, knowing act as the source of the injury.
For example:
Homicide – 1.) An individual has died; and 2.) As a result of action (or inaction) by another person.
Larceny – 1.) Property missing; and 2.) Because it was stolen
In essence Corpus delecti of crimes refers to a palpable harm. Where there is no violation of an established right there can be no wrong.
Rights are of two kinds and they are "of the person" ( jura personarum ) and "to control external objects", ( jura rerum ).
Wrongs are also of two kinds and they are either public or private. Public wrongs are called crimes or public offenses whereas private wrongs are called torts and either involve the breach of a duty of care, a wrongful trespass against the person or property of another and breaches of agreement or contract.
In every instance there must be a palpable harm or injury to the rights of another coupled with mens rea (or guilty mind) or in the alternative an element of negligence so severe as to be called criminal.
For a more in-depth explanation, see Sir William Blackstone's Commentaries , Book 1 beginning about pg 52.
"Cuius bono?" is Latin. Big surprise there I gather. It means "Whose good?" or "Benefiting who?"
That's the big question here. Who will benefit (the most) from this weblog? You, me, or will both suffer from keeping this up to date and being up to date what's written?
I am hard-pressed to see any good coming from me keeping this weblog, but I've been persuaded to keep one.
De jure ( / d ɨ ˈ dʒ ʊər iː / , / d eɪ - / ; [1] [2] Classical Latin de iúre [dɛ ˈjuːrɛ] ) is an expression that means "concerning law ", as contrasted with de facto , which means "concerning fact". The terms de jure and de facto are used instead of "in law" and "in practice", respectively, when one is describing political or legal situations.
In a legal context, de jure is also translated as "concerning law". A practice may exist de facto, where, for example, the people obey a contract as though there were a law enforcing it, yet there is no such law. A process known as " desuetude " may allow (de facto) practices to replace (de jure) laws that have fallen out of favor, locally.
It is possible to have multiple simultaneous conflicting (de jure) legalities, possibly none of which is in force (de facto). In 1526, after seizing power Ahmad ibn Ibrahim al-Ghazi made his brother, Umar Din , the lawful (de jure) Sultan of Adal . Ahmad, however, was in practice (de facto) the actual Sultan, and his brother was a figurehead. [3] Between 1805 and 1914, the ruling dynasty of Egypt ruled as de jure viceroys of the Ottoman Empire , but acted as de facto independent rulers who maintained a polite fiction of Ottoman suzerainty . However, from about 1882, the rulers had only de jure rule over Egypt, as it had by then become a British puppet state . Thus, Egypt was by Ottoman law de jure a province of the Ottoman Empire, but de facto was part of the British Empire .
In American law, particularly after Brown v. Board of Education (1954), the difference between de facto segregation (segregation that existed because of the voluntary associations and neighborhoods) and de jure segregation (segregation that existed because of local laws that mandated the segregation), became important distinctions for court-mandated remedial purposes.
In Canada, cannabis is illegal in law, but there is widespread use in practice, especially in British Columbia. It is strikingly similar to the existence of speakeasies during prohibition , wherein enforcement of laws departed from the letter, because of widespread and popular practice.
De facto- ( / d ɨ ˈ f æ k t oʊ / , / d eɪ - / , [1]
Latin:
[deː ˈfaktoː] ) is a Latin expression that means "concerning fact". In law, it often means "in practice but not necessarily ordained by law" or "in practice or actuality, but not officially established". It is commonly used in contrast to de jure (which means "concerning the law") when referring to matters of law , governance , or technique (such as standards ) that are found in the common experience as created or developed without or contrary to a regulation. When discussing a legal situation, de jure designates what the law says, while de facto designates action of what happens in practice. It is analogous and similar to the expressions "for all intents and purposes" or "in fact".
Segregation (during the Civil Rights era in the United States)[ edit ]De facto racial discrimination and segregation in the USA during the 1950s and 1960s was simply discrimination that was notsegregation by law (de jure).
Jim Crow Laws , which were enacted in the 1870s, brought legal racial segregation against black Americans residing in the American South . These laws were legally ended in 1964 by the Civil Rights Act of 1964 . [2] [3] [4]
Continued practices of expecting blacks to ride in the back of buses or to step aside onto the street if not enough room was present for a white person and " separate but equal " facilities are instances of de facto segregation. The NAACP fought for the de jure law to be upheld and for de facto segregation practices to be abolished.
Public schools in any region of the USA may be de facto racially segregated (or nearly so) simply because they are in neighborhoods whose residents are all, or nearly all, of one race (such as urban ghettos or conversely, affluent suburbs).
This is opposed to de jure segregation, which prevailed in the American South and border states through the 1960s. Under de jure segregation, the law provided entirely separate schools for black and white students, which they legally had to attend, despite in many cases actually living closer to a school designated for the other race. In many cases, the schools for black students were older, had fewer resources of all kinds, and paid their teachers less than in white schools.
Politics[ edit ]A de facto government is a government wherein all the attributes of sovereignty have, by usurpation, been transferred from those who had been legally invested with them to others, who, sustained by a power above the forms of law, claim to act and do really act in their stead. [7]
In politics, a de facto leader of a country or region is one who has assumed authority, regardless of whether by lawful, constitutional, or legitimate means; very frequently, the term is reserved for those whose power is thought by some faction to be held by unlawful, unconstitutional, or otherwise illegitimate means, often because it had deposed a previous leader or undermined the rule of a current one. De facto leaders sometimes do not hold a constitutional office and may exercise power informally.
Not all dictators are de facto rulers. For example, Augusto Pinochet of Chile initially came to power as the chairperson of a military junta , which briefly made him de facto leader of Chile, but he later amended the nation's constitution and made himself president for life, making him the formal and legal ruler of Chile. Similarly, Saddam Hussein 's formal rule of Iraq is often recorded as beginning in 1979, the year he assumed the Presidency of Iraq . However, his de facto rule of the nation began earlier: during his time as vice president , he exercised a great deal of power at the expense of the elderly Ahmed Hassan al-Bakr , the de jure president.
In Argentina , the successive military coups that overthrew constitutional governments installed de facto governments in 1930 , 1943–1945 , 1955–1958 , 1966–1973 and 1976–1983 , the last of which combined the powers of the presidential office to those of the National Congress . The subsequent legal analysis of the validity of their actions led to the formulation of a doctrine of the de facto governments.
That doctrine was nullified by the constitutional reform of 1994 . Article 36 states :
(1) This Constitution shall rule even when its observance is interrupted by acts of force against the institutional order and the democratic system. These acts shall be irreparably null.
(2) Their authors shall be punished with the penalty foreseen in Section 29, disqualified in perpetuity from holding public offices and excluded from the benefits of pardon and commutation of sentences.
(3) Those who, as a consequence of these acts, were to assume the powers foreseen for the authorities of this Constitution or for those of the provinces, shall be punished with the same penalties and shall be civil and criminally liable for their acts. The respective actions shall not be subject to prescription.
(4) All citizens shall have the right to oppose resistance to those committing the acts of force stated in this section.
(5) He who, procuring personal enrichment, incurs in serious fraudulent offense against the Nation shall also attempt against the democratic system, and shall be disqualified to hold public office for the term specified by law.
(6) Congress shall enact a law on public ethics which shall rule the exercise of public office.
In 1526, after seizing power Ahmad ibn Ibrahim al-Ghazi made his brother, Umar Din , the de jure Sultan of Adal . Ahmad, however, was in all practice the de facto Sultan. [8] Some other notable true de facto leaders have been Deng Xiaoping of the People's Republic of China and General Manuel Noriega of Panama . Both of these men exercised nearly all control over their respective nations for many years despite not having either legal constitutional office or the legal authority to exercise power. These individuals are today commonly recorded as the "leaders" of their respective nations; recording their legal, correct title would not give an accurate assessment of their power. Terms like strongman or dictator are often used to refer to de facto rulers of this sort. In the Soviet Union , after Vladimir Lenin incapacitated from a stroke in 1923, Joseph Stalin —who, as General Secretary of the Communist Party had the power to appoint anyone he chose to top party positions—eventually emerged as leader of the Party and the legitimate government. Until the 1936 Soviet Constitution officially declared the Party "...the vanguard of the working people", thus legitimizing Stalin's leadership, Stalin ruled the USSR as the de facto dictator.
Another example of a de facto ruler is someone who is not the actual ruler but exerts great or total influence over the true ruler, which is quite common in monarchies. Some examples of these de facto rulers are Empress Dowager Cixi of China (for son Tongzhi and nephew Guangxu Emperors), Prince Alexander Menshikov (for his former lover Empress Catherine I of Russia), Cardinal Richelieu of France (for Louis XIII ), and Queen Marie Caroline of Naples and Sicily (for her husband King Ferdinand I of the Two Sicilies ).
The term de facto head of state is sometimes used to describe the office of a governor general in the Commonwealth realms , since a holder of that office has the same responsibilities in their country as the de jure head of state (the sovereign ) does within the United Kingdom .
In the Westminster system of government, executive authority is often split between a de jure executive authority of a head of state and a de facto executive authority of a prime minister and cabinet who implement executive powers in the name of the de jure executive authority. In the United Kingdom, the Sovereign is the de jure executive authority, even though executive decisions are made by the elected Prime Minister and his Cabinet on the Sovereign's behalf, hence the term Her Majesty's Government .
The de facto boundaries of a country are defined by the area that its government is actually able to enforce its laws in, and to defend against encroachments by other countries that may also claim the same territory de jure. The Durand Line is an example of a de facto boundary. As well as cases of border disputes , de facto boundaries may also arise in relatively unpopulated areas in which the border was never formally established or in which the agreed border was never surveyed and its exact position is unclear. The same concepts may also apply to a boundary between provinces or other subdivisions of a federal state .
Other uses[ edit ]A de facto monopoly is a system where many suppliers of a product are allowed, but the market is so completely dominated by one that the others might as well not exist. The related terms oligopoly and monopsony are similar in meaning and this is the type of situation that antitrust laws are intended to eliminate.
Relationships[ edit ]A domestic partner outside marriage is referred to as a de facto husband or wife by some authorities. [9] In Australia and New Zealand , the phrase de facto by itself has become a colloquial term for one's domestic partner. In Australian law , it is the legally recognized relationship of a couple living together (opposite-sex or same-sex).
The above sense of de facto is related to the relationship between common law traditions and formal (statutory, regulatory, civil) law, and common-law marriages . Common law norms for settling disputes in practical situations, often worked out over many generations to establishing precedent , are a core element informing decision making in legal systems around the world. Because its early forms originated in England in the Middle Ages , this is particularly true in Anglo-American legal traditions and in former colonies of the British Empire , while also playing a role in some countries that have mixed systems with significant admixtures of civil law.
Relationships not recognized outside of Australia[ edit ]Due to the different source of Australian commonwealth power on de factos they can only be legally recognised whilst living within a state in Australia. This is because the power to legislate on de facto matters relies on referrals by States to the Commonwealth in accordance with Section 51(xxxvii) of the Australian Constitution , where it states the new federal law can only be applied back within a state. [10] [11] There must be a state nexus between the de facto relationship itself and the Australian state. See sections 90RG, 90SD and 90SK , section 90RA , of the Family Law Act .
If an Australian de facto couple moves out of a state, they do not take the state with them and the new federal law is tied to the territorial limits of a state. The legal status and rights and obligations of the de facto or unmarried couple would then be recognised by the laws of the country where they are ordinarily resident. See the section on Family Court of Australia for further explanation on jurisdiction on de facto relationships.
This is unlike marriage and ‘matrimonial causes’ which are recognised by sections 51(xxi) and (xxii) of the Australian Constitution and internationally by Marriage law and conventions, Hague Convention on Marriages (1978). [12]
Non-marital relationship contract[ edit ]De Facto [Relationship] is comparable to non-marital relationship contracts (sometimes called "Palimony Agreements") and certain limited forms of domestic partnership, which are found in many jurisdictions throughout the world.
A "De Facto Relationship" is not comparable to common-law marriage , which is a fully legal marriage that has merely been contracted in an irregular way (including by habit and repute). Only nine U.S. states and the District of Columbia still permit this irregular form of marriage; but common law marriages are otherwise valid and recognised by and in all jurisdictions whose rules of comity mandate the recognition of any marriage that was legally formed in the jurisdiction where it was contracted.
Other uses of the term[ edit ]In finance, the World Bank has a pertinent definition:
A "de facto government" comes into, or remains in, power by means not provided for in the country's constitution, such as a coup d'état, revolution, usurpation, abrogation or suspension of the constitution. [13] A de facto state of war is a situation where two nations are actively engaging, or are engaged, in aggressive military actions against the other without a formal declaration of war .
In engineering, a de facto technology refers to systems in which the intellectual property and know-how is privately held. Usually only the owner of the technology manufactures the related equipment. Meanwhile, a standard technology consists of systems that have been publicly released to a certain degree so that anybody can manufacture equipment supporting the technology. For instance, in cell phone communications, CDMA1X is a de facto technology, while GSM is a standard technology.
In flagrante delicto ( Latin : "in blazing offence") or sometimes simply in flagrante ( Latin : "in blazing") is a legal term used to indicate that a criminal has been caught in the act of committing an offence (compare corpus delicti ). The colloquial "caught in the act" or "caught red-handed " are English equivalents. [1] [2]
The phrase combines the present active participle flagrāns (flaming or blazing) with the noun dēlictum (offence, misdeed, or crime). In this term the Latin preposition in, not indicating motion, takes the ablative . The closest literal translation would be "in blazing offence", where " blazing " is a metaphor for vigorous, highly visible action.
Aside from the legal meaning, the Latin term is often used colloquially as a euphemism for someone's being caught in the midst of sexual activity.
Habeas corpus is a legal action through which a person can seek relief from unlawful detention.
Habeas corpus may also refer to:
Habeas Corpus Act 1679 , an Act of the Parliament of England passed during the reign of King Charles II to define and strengthen the writ of habeas corpus
In camera- ( / ɪ ŋ ˈ k æ m (ə) r ə / ; Latin : "in a chamber") [1] is a legal term that means in private. [2] The same meaning is sometimes expressed in the English equivalent: in chambers.
Generally, in-camera describes court cases, parts of it, or process where the public and press are not allowed to observe the procedure or process. [2] In-camera is the opposite of trial in open court where all parties and witnesses testify in a public courtroom , and attorneys publicly present their arguments to the trier of fact .
In camera is a legal term meaning "in private".
In camera may also refer to:
In-camera effects or in-camera editing in film and video production
In loco parentis, Latin for "in the place of a parent" [1] refers to the legal responsibility of a person or organization to take on some of the functions and responsibilities of a parent . Originally derived from English common law , it is applied in two separate areas of the law.
First, it allows institutions such as colleges and schools to act in the best interests of the students as they see fit, although not allowing what would be considered violations of the students' civil liberties . [1]
Second, this doctrine can provide a non-biological parent to be given the legal rights and responsibilities of a biological parent if they have held themselves out as the parent. [2]
The in loco parentis doctrine is distinct from the doctrine of parens patriae , the psychological parent doctrine, and adoption. [3] In the United States, the parental liberty doctrine imposes constraints upon the operation of the in loco parentis doctrine. [3]
Cheadle Hulme School , founded in Manchester, England, in 1855; adopted in loco parentis as its motto, well before the world's first public education act, the Elementary Education Act 1870 . The school was established to educate and care for orphans and children of distressed parents.
In loco parentis had only precedent legal meaning for wards of court . The founding of Cheadle Hulme School, otherwise known as Manchester Warehousemen and Clerks Orphans Schools, became the first time the expression was used with legal standing in the educational field.
The first major limitation to this came in the U.S. Supreme Court case West Virginia State Board of Education v. Barnette (1943), in which the court ruled that students cannot be forced to salute the American flag . More prominent change came in the 1960s and 1970s in such cases as Tinker v. Des Moines Independent Community School District (1969), when the Supreme Court decided that "conduct by the student, in class or out of it, which for any reason - whether it stems from time, place, or type of behavior - materially disrupts classwork or involves substantial disorder or invasion of the rights of others is, of course, not immunized by the constitutional guarantee of freedom of speech ." Adult speech is also limited by "time, place and manner" restrictions and therefore such limits do not rely on schools acting in loco parentis.
In New Jersey v. T.L.O. (1985) Justice White wrote: "In carrying out searches and other disciplinary functions pursuant to such policies, school officials act as representatives of the State, not merely as surrogates for the parents, and they cannot claim the parents' immunity from the strictures of the Fourth Amendment." The case upheld the search of a purse while on public school property based upon reasonable suspicion, indicating there is a balancing between the student's legitimate expectation of privacy and the public school's interest in maintaining order and discipline. However, in Hazelwood School District v. Kuhlmeier (1987) the Supreme Court ruled that " First Amendment rights of students in the public schools are not automatically coextensive with the rights of adults in other settings, and must be applied in light of the special characteristics of the school environment" and schools may censor school-sponsored publications (such as a school newspaper) if content is "...inconsistent with its basic educational mission." Other student issues such as school dress codes along with locker, cell phone, and personal laptop computer searches by public school officials have not yet been tested in the Supreme Court.
Private institutions are given significantly more authority over their students than public ones, and are generally allowed to arbitrarily dictate rules. In the Kentucky State Supreme Court case Gott v. Berea College , it was upheld that a "college or university may prescribe requirements for admission and rules for the conduct of its students, and one who enters as a student implicitly agrees to conform to such rules of government", while publicly funded institutions could not claim the same ability.
Criticism of the Tinker doctrine by Justice Clarence Thomas[ edit ]Justice Clarence Thomas has argued that Tinker’s ruling contradicted “the traditional understanding of the judiciary’s role in relation to public schooling,” and ignored the history of public education (127 S.Ct. 2634). He believed the judiciary’s role to determine whether students have freedom of expression was limited by in loco parentis. He cited Lander v. Seaver (1859) which held that in loco parentis allowed schools to punish student expression that the school or teacher believed contradicted the school’s interests and educational goals. This ruling declared that the only restriction the doctrine imposed were acts of legal malice or acts that caused permanent injury. Neither of these were the case with Tinker.
Higher education[ edit ]Though in loco parentis continues to apply to primary and secondary education in the U.S., application of the concept has largely disappeared in higher education . This was not always the case.
Prior to the 1960s, undergraduates were subject to many restrictions on their private lives. Women were generally subject to curfews as early as 10:00, and dormitories were sex-segregated. Some universities expelled students—especially female students—who were somehow "morally" undesirable. More importantly, universities saw fit to restrict freedom of speech on campus, often forbidding organizations dealing with "off-campus" issues from organizing, demonstrating, or otherwise acting on campus. These restrictions were severely criticized by the student movements of the 1960s, and the Free Speech Movement at the University of California, Berkeley formed partly on account of them, inspiring students elsewhere to step up their opposition. [4]
The landmark 1961 case Dixon v. Alabama was the beginning of the end for in loco parentis in U.S. higher education. The United States Court of Appeals for the Fifth Circuit found that Alabama State College could not summarily expel students without due process. [5]
mandamus-we order
nolle prosequibe- unwilling to prosecute
nolo contendere-I do not wish to contest
obiter dictuma -saying by the way
prima facie-at first appearance
pro bono publico- for the good of the public
pro forma- according to form
sine die- without a day
alibi-elsewhere, in another place
alias- at another time
a posteriori - A phrase used to describe an argument derived from experience, it means “from later.”
a priori: A phrase used to describe an argument that is independent of experience and relies on previous knowledge, it means “from earlier.”
ad coelom: An abbreviation of a longer phrase, it means “to the sky” and represents the principle that whoever owns a plot of land owns it “up to Heaven and down to Hell.”
ad hoc: A phrase used to designate a solution or group gathered to address a specific issue, it means “for this.”
ad hominem: A phrase describing an attack on an opponent’s character rather than a response to the argument presented, it means “at the person.”
ei incumbit probation qui dicit: This phrase, meaning that the burden of proof is on the person who asserts a crime rather than denies it, is the basis of the principle of innocent until proven guilty.
exempli gratia: Usually abbreviated as “e.g.”, this phrase means “for the sake of example.”
flagrante delicto: A phrase that refers to the act of committing a crime, it means “blazing offense.”
mens rea: This phrase refers to one of two requirements for proving guilt: a “guilty mind”, or criminal responsibility.
modus operandi: Abbreviated as M.O. in colloquial English, this phrase means “manner of operation” and refers to a person’s particular way of doing something.
persona non grata: A phrase used to refer to unwelcome persons, usually in a diplomatic capacity.
pro bono: Meaning “for the public good”, this phrase refers to work done for free.
quid pro quo: A phrase designating an exchange of goods, services, or money, it means “this for that.”
sine qua non: A phrase that refers to an event essential to all subsequent consequences, it means “without which, nothing.”
subpoena: A common summons, it refers to an action done necessarily “under penalty” for failure to do so.
veto: A word referring to executive power to prevent an action, it means “I fo
Photograph “Gavel” by bloomsberries
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i don't know
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Laudanum is an old medicine made from which drug?
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Seduced By History: LAUDANUM USE IN THE 19TH CENTURY
LAUDANUM USE IN THE 19TH CENTURY
Laudanum Bottle
would have a cork
in the top
Laudanum is a very old drug, but use became widespread during the Victorian era. Some authors suggest that use was a major health problem. Certainly many notable people of the time were addicted: Lord Byron, Percy Blythe Shelley, John Keats, Charles Dickens, Edgar Allen Poe, William Taylor Coleridge, and Sir Arthur Conan Doyle (as well as his character Sherlock Holmes) are only a few. I confess I’m more than a little surprised that Charles Dickens appears on the list. Before we judge, however, we have to understand the times.
Look in your medicine cabinet. If yours is like mine, you stock pain relievers for headaches and arthritis, coughs, Immodium, allergies, and gas relief. In the 1800’s, mortality from cholera, malaria, and dysentery was very high. Now we only have to take an Immodium tablet or something similar, but diarrhea actually killed huge numbers of people while they suffered terrible cramping. Even if laudanum couldn’t cure them, it eased their pain.
New Rx's
decrease death
rates
Tuberculosis was a problem, made worse by living conditions and hard work necessary for life in those times. Think of the furor when there’s an outbreak of e-coli, but that must have been commonplace in Victorian times and hardly newsworthy.
It’s hard to realize just how deadly these diseases were because we have sanitation that has diminished cholera and dysentery. The drainage of swamp lands decreased malaria, a disease one of my ancestors contracted from living in the Brazos River Valley near Waco, Texas in the 1880’s. Introduction of aspirin in 1899 provided an alternative medication for pain relief. Along with antibiotics, modern pharmaceuticals have diminished the severity of all those diseases.
A century ago, a
have taken
laudanum
I wouldn’t feel comfortable providing the recipe I discovered for making laudanum, but it was 10% opium and 90% alcohol and usually flavored with cinnamon and sometimes also saffran. Not only was it available over the counter, it was recommended by doctors for everything from menstrual cramps to tuberculosis. It was much cheaper than any other form of pain killer, and that made it attractive to those in the lower economic classes. By no means was laudanum used only by the poor. Wealthy women even used it to achieve a coveted pallid complexion, and even infants were spoon fed laudanum. Only later did people realize that laudanum use was habit forming and demanded greater and greater doses to provide relief.
Modern
eliminate formerly
fatal diseases
In 1906, the Pure Food and Drug Act required that certain specified drugs--alcohol, cocaine, heroin, morphine, and cannabis--be accurately labeled with contents and dosage. Previously, many drugs had been sold as patent medicines with secret ingredients or misleading labels. Authorities estimate that sales decreased by one third after labeling was required. The Harrison Narcotics Tax Act of 1914 restricted the manufacture and distribution of opiates, including laudanum, and coca derivatives in the United States. Not until the middle of the 20th century did the U.S. government limit the use of opiates. In 1970, the U.S. adopted the Uniform Controlled Substances Act, which regulated opium tincture (laudanum) as a Schedule II substance and placed tighter controls on the drug.
Caroline Clemmons writes romance and adventures—although her earliest made up adventures featured her saving the West with Roy Rogers. Her career has included stay-at-home mom (her favorite job), newspaper reporter and featured columnist, assistant to the managing editor of a psychology journal, and bookkeeper. She and her husband live in rural North Central Texas with a menagerie of rescued pets. When she’s not writing, she enjoys spending time with family, reading, travel, browsing antique malls and estate sales, and genealogy/family history. Her latest contemporary and historical romance releases include THE TEXAN’S IRISH BRIDE, OUT OF THE BLUE, SNOWFIRES, SAVE YOUR HEART FOR ME to be released March 10th, and the upcoming HOME SWEET TEXAS HOME. Read about her at http://www.carolineclemmons.com/ and http://carolineclemmons.blogspot.com/ . She loves to hear from readers at [email protected]
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Opium
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Toledo is a high quality what made in the Spanish town of that name?
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19TH CENTURY LAUDANUM BOTTLE
19TH CENTURY LAUDANUM BOTTLE
19TH CENTURY ART OF MOURNING� E-MAIL [email protected]
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i don't know
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A turbine is essentially a what, driven by water or gas, etc?
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Turbine | Define Turbine at Dictionary.com
turbine
[tur-bin, -bahyn] /ˈtɜr bɪn, -baɪn/
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noun
1.
any of various machines having a rotor, usually with vanes or blades, driven by the pressure, momentum, or reactive thrust of a moving fluid, as steam, water, hot gases, or air, either occurring in the form of free jets or as a fluid passing through and entirely filling a housing around the rotor.
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1815-1825
1815-25; < French < Latin turbin-, stem of turbō something that spins, e.g., top, spindle, whirlwind; akin to turbid
Dictionary.com Unabridged
Examples from the Web for turbine
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Contemporary Examples
Unfortunately for Crist, it will likely take a turbine engine to generate enough wind in his flagging sails to overtake Rubio.
Steam Turbines Hubert E. Collins
Every throb of the turbine engines was a thrust toward home.
Love Stories Mary Roberts Rinehart
Are they after some more of dad's inventions because they didn't get his turbine motor?
One form of the steam-engine that is coming into general use is the turbine.
Physics Willis Eugene Tower
British Dictionary definitions for turbine
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noun
1.
any of various types of machine in which the kinetic energy of a moving fluid is converted into mechanical energy by causing a bladed rotor to rotate. The moving fluid may be water, steam, air, or combustion products of a fuel See also reaction turbine , impulse turbine , gas turbine
Word Origin
C19: from French, from Latin turbō whirlwind, from turbāre to throw into confusion
Collins English Dictionary - Complete & Unabridged 2012 Digital Edition
© William Collins Sons & Co. Ltd. 1979, 1986 © HarperCollins
Publishers 1998, 2000, 2003, 2005, 2006, 2007, 2009, 2012
Word Origin and History for turbine
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n.
1838, from French turbine, from Latin turbinem (nominative turbo) "spinning top, eddy, whirlwind," related to turba "turmoil, crowd" (see turbid ). Originally applied to a wheel spinning on a vertical axis, driven by falling water. Turbo in reference to gas turbine engines is attested from 1904. Turbocharger is from 1934. Aeronautic turboprop is attested from 1945, with second element short for propeller.
Online Etymology Dictionary, © 2010 Douglas Harper
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Wheel
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What is the ancient process by which materials such as metal or glass are heated and then cooled slowly to ease forces produced by shaping?
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T U R B O K A R T :: Home
WHAT IS A GAS TURBINE?
A gas turbine engine is an internal combustion engine, designed to convert latent energy in a fuel (kerosene, jet fuel, diesel, gasoline, etc.) into mechanical energy or kinetic energy to do work. This energy can be used in the form of thrust, or mechanical horsepower to drive a propeller, a rotor, a transmission, a generator, or just about anything else.
The definition of a turbine is a device which converts the kinetic energy of a fluid into a rotational energy through the reaction or impluse of the moving fluid upon paddles, buckets, or blades. A common example of a turbine is a windmill. A windmill, or wind turbine, converts kinetic energy present in moving air into a rotation. In a wind turbine, the working fluid is air. In a gas turbine, the working fluid is gas. Hot combustion gases, at high dynamic pressure and temperature, pass through one or more turbine wheels, causing them to rotate, typically at very high speed. This gas turbine wheel forms the basis for what are known as gas turbine engines.
There is more to a gas turbine engine than the turbine wheel, however. Every gas turbine engine has three fundamental elements in common; the compressor, the combustor, and the turbine. These three elements form the basis of what is known as the gas producer, also referred to as the gasifier, the gas generator, or the core. The purpose of the gas producer is simply to create gas at high dynamic pressure and temperature. What is done with this high energy gas determines what specific type of gas turbine engine is being used.
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Types of Gas Turbines
Gas turbine engines generally fall into one of four categories. These are turbojet, turbofan, turboprop, and turboshaft; Although a fifth category would cover alternative uses for a gas producer core, such as a turbogenerator, turbo water pump, a jet dryer or snow melter, turbocompressor, etc.
A turbojet is the simplest form of gas turbine engine. In a turbojet, the hot gas produced is channelled through a jet pipe and jet nozzle, which increase the exhaust velocity tremendously. This gas is then expelled from the rear of the engine, creating reaction force that is referred to as thrust. This thrust was used to power the earliest jet aircraft, as well as older fighter aircraft. Turbojet engines are now almost exlusively used in small engine applications such as model jet aircraft, and various other specialized or recreational applications. The Concorde is an example of a modern aircraft that utilizes turbojet engines, although the Concorde is no longer in service.
A turbofan is similar to a turbojet, except that instead of using the hot gas produced to exclusively provide high velocity thrust, some of the gas energy is expanded through a second set of turbine wheels, often referred to as a low pressure turbine, to drive a large ducted fan in front of the engine. The low pressure turbine rotates completely independent of the gas producer, allowing the fan to turn at a slower speed than the engine core. The fan draws air in from the front of the engine, accelerates it, and feeds some of the air into the gas producer core, while the rest of it actually travels around the engine core, helping to cool the engine and quiet it as well. The air that travels through this bypass duct mixes with the core engine exhaust, where it is expelled out of the rear of the engine in the form of thrust. Depending upon the bypass ratio of the engine, the fan can contribute as much as 90% of the overall engine thrust. The bypass ratio is the ratio of air drawn in by the fan that is distributed to the bypass duct rather than the engine core. The bypass ratio can vary from as little as .2:1 on modern military fighter aircraft, to as much as 9:1 on modern commercial aircraft. Turbofans are much more efficient at high subsonic aircraft speeds, and have almost totally replaced turbojets in modern aircraft. Specific fuel consumption of a large commercial jet liner engine is dramatically lower than a turbojet engine in a fighter aircraft. Turbofans range in power output from as little as 600 lbs of thrust, to as much as 115,000 lbs of thrust as in the General Electric GE90 ultra high bypass turbofan.
A turboprop is similar to a turbofan, except that instead of turning a ducted fan, the engine turns a traditional aircraft propeller through a gearbox. Also, while in a turbofan, a significant portion of the core engine exhaust is often used to produce thrust, the core exhaust of a turboprop produces very little thrust, typically no more than around 20%. In most cases, the propeller is driven by a separate turbine wheel, usually referred to as the free power turbine. The free power turbine spins completely independent of the gas producer, so that the propeller can turn at a constant speed while the compressor rpm can be varied to increase or decrease power. However, some turboprop engines are referred to as a single spool design, where there is no free power turbine. The propeller is driven via a reduction gear by the gas producer. In most turboprops, the reduction gear is integral with the engine, although some turboprops require a separate propeller reduction gearbox.
A turboshaft engine is similar to a turboprop, exept that instead of turning a propeller, it is used to turn some other type of load. Turboshafts are most commonly used in helicopters. In a turboshaft, the hot gas produced by the gasifier is used to drive a separate free power turbine wheel that spins independently from the gas producer. The engine is designed so that the free power turbine extracts as much energy from the combustion gas as possible, and the remaining exhaust is expanded through a diffuser so that the engine exhaust produces no thrust. A turboshaft could theoretically be used to drive any load, and works equally well when running with a constant output shaft speed as it does with a variable output shaft speed. Some turboshaft engines have integrated reduction gearboxes, which convert the high speed/low torque of the free power turbine into low/speed high torque, which is more suitable to drive a load, while some engines are direct drive; output is taken off at free power turbine speed. Auxiliary power units are a type of turboshaft engine that are used in aircraft to drive the accessories when the main engines are shut down. They can drive generators, pumps, air compressors, and any number of other ancillary loads. APUs can either be single shaft, or free shaft engines.
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HOW DOES IT WORK?
As stated above, a gas turbine consists fundamentally of three elements; a compressor, a burner, and a turbine. These elements work together to produce usable power. A gas turbine is a heat engine. It produces power basically in two steps. First, it converts fuel energy into heat energy, and then it harnesses as much of that heat as possible and converts it into mechanical energy. The more heat the engine can produce, combined with the larger mass of air it can flow through the combustor, the more power it can extract.
The heat is produced by burning fuel in the burner, or combustion chamber. The more fuel that is burned per unit time, the more heat is produced. Under ambient pressure, fuel will only burn at a certain rate. This would not be sufficient to produce enough power to drive the engine cycle. In order to increase the fuel burn, air under high pressure must be forced into the burner. This is the first job of the compressor. The compressor draws in ambient air, increases its pressure, and feeds this pressurized air to the burner, where the air and fuel are mixed to provide a very high temperature combustion. In combustion, the fuel's potential energy is converted to heat energy through a chemical reaction. It should be noted that the hotter the combustion temperature, the more complete the burning of the fuel is.
The second job of the compressor is to flow large quantities of air, referred to as the air mass flow, through the combustor. The air mass serves two purposes: It cools the gas temperature of combustion down, to a value that is safe for the materials downstream of the primary combustion zone, by absorbing the combustion heat; Then, by absorbing that heat, the large mass of air expands and increases its dynamic pressure dramatically. The rapid increase in temperature due to combustion, combined with the large mass of air, creates a tremendous flow of high energy gas which provides the power to drive the turbine. This hot gas under high pressure seeks to escape the burner, and finds its exit via the burner nozzle. The burner nozzle has vanes that accelerate the gas and direct it onto the turbine wheel, or wheels, causing the turbine to spin at a high rate of speed. The turbine drives the compressor via a fixed shaft, and the cycle is complete, and self sustaining. The cycle that governs the operation of a gas turbine engine is referred to as the Brayton constant pressure cycle. The engine compressor typically requires about 2/3 of the usable heat energy produced in the burner to turn at maximum speed; the remaining energy can then be used to produce thrust or mechanical power, or a combination of the two.
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Compressor
The purpose of the compressor is twofold; It is to provide the burner with high pressure air at large air mass flows. A compressor will increase the pressure ratio anywhere from 3:1 on some of the smallest engines, to as much as 50:1 on the largest commercial turbofan engines. The compressor is probably the single most important component in a gas turbine engine, because its performance governs how powerful and how efficient the complete engine can be. Thermal efficiency of the engine is almost directly related to the pressure ratio, and engine power is very closely linked to the compressor's air mass flow. A General Electric GE90 turbofan's fan and compressor can pull in around 3,000 lbs. of air every second.
There are two basic types of compressors; axial and centrifugal. Centrifugal compressors are generally used on smaller engines. They are compact and rugged, and have a high pressure ratio increase per stage, up to 9:1 on some of the newer engines. However, very high compression ratios become difficult to accomplish with a centrifugal compressor because having multiple stages becomes awkward from a packaging and airflow standpoint. And because of the centrifugal compressor's lower efficiency, using more than one or two stages requires too much of the power produced in the burner to drive.
A centrifugal compressor consists of an impeller, a diffuser, and a compressor manifold. Air is draw in at the center of the rotating impeller, known as the inducer, and is accelerated radially toward the outside of the wheel by vanes on the face of the impeller. This air is collected in the diffuser and compressor manifold, where it is allowed to slow down, converting its velocity into static pressure. The air is then directed to the burner.
An axial compressor is more commonly used on larger engines, which require greater air flows and pressure ratios. Large commercial turbofan engines are typically axial flow engines. Axial compressors have a lower pressure rise per stage, more along the lines of 1.2-1.5:1, although some large fans have pressure rises of 3:1, but for the most part, an axial compressor is much more efficient, meaning that for the amount of compression it provides, it uses a lot less engine power than a centrifugal compressor. Also, an axial compressor is much more amenable to multi-stage use. Axial compressors with ten stages or more are very common. The General Electric J79 turbojet engine has a 17 stage axial compressor with a pressure ratio of 13:1.
An axial compressor is like a fan with many thin, angled blades along its hub. Each set of blades makes up one stage. Each compressor stage must be followed by a set of similar, stationary blades called stators, which slow down the airflow, increasing its static presssure, while directing the airflow to the next set of rotating blades. Many axial compressors feature variable geometry stator vanes, for more fine control of the airflow, especially during acceleration and deceleration of the compressor. The airflow travels from stage to stage, increasing its pressure as it goes. The compressor blades and stator vanes get subsequently shorter in length to assure the pressure increases as the air mass tries to fill a smaller volume. The high velocity airflow after the final compressor stage is converted into static pressure in the diffuser before it enters the burner.
Axial-Centrifugal and Split Compressors
It is also possible to combine both types of compressors into an engine design. In just about every case, an axial compressor of any number of stages is followed by a single centrifugal stage. The Lycoming T53 as well as the Allison T63 both feature a multi-stage axial compressor followed by a single stage centrifugal. This design takes advantage of the strong points of both compressor designs. To further improve efficiency, some engines use a split compressor, where there are actually two separate compressors, spinning on completely independent spools. Each compressor spins at its own optimum speed, driven by a separate set of turbine blades. The compressors are then usually referred to as a low and high pressure compressors. The Rolls Royce Gem has a four stage axial low pressure compressor, followed by a single stage centrifugal high pressure compressor. The Rolls Royce Olympus , which powers the Concorde, also features a split compressor, although it is completely axial. Finally, the Pratt & Whitney PW100 series of engines feature a two stage split compressor that is completely centrifugal.
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Burner
The burner is the section of the engine where air and fuel are mixed and ignited to create heat energy to drive the turbine and to provide usable power. A gas turbine engine is a continuous combustion device. As long as the engine is running, fuel is continually being burned. During engine start up, some outside ignition source, such as a spark or a pilot burner, must be present to start the combustion process, but once the engine has accelerated up to self sustaining speed, the flame will keep itself lit as long as there is fuel flow, and the ignition source can be deactivated. The burner consists of an outer combustion liner and an inner combustion liner. Compressor discharge air first enters the outer combustor, surrounding the inner combustor in a blanket of air that is designed to conduct heat away from the metal parts of the combustion chamber, which would otherwise melt from the extreme combustion temperatures, which can get as high as 4,000 degrees F or more. Since thermal efficiency and specific power are directly related to combustion temperature, engineers are constantly striving to make the burner run hotter, increasing the requirements for cooling and increasing the need for exotic, high temperature materials. Actually, only a very small portion of the compressor discharge air gets used in the combustion reaction; typically around 20%. The rest is used to cool the combustor and turbine. Air enters the inner combustor via a number of holes in the liner. The combustor is divided into three sections; the primary zone, the secondary zone, and the dilution zone. Fuel is continuously injected at the front of the burner. In the primary zone, air is admitted and recirculated to create a stable low pressure area that acts as a continuous pilot for the whole combustor. Air that enters through the secondary holes feeds the flame to accelerate the reaction and increases the temperature to the highest levels, to assure the most complete combustion of the fuel and reduced hydrocarbon formation. The dilution zone is where the large air mass is mixed with the combustion gas, to put out the flame in the rear part of the burner and cool the gases down to a lower localized temperature which is around half the maximum temperature in the primary and secondary zone, assuring that the turbine nozzle and blades don't melt, at the same time increasing the average temperature of the air mass flow to create the high volume gases to drive the turbine. The high energy gases are accelerated through the turbine nozzle where they will impinge on the turbines.
There are essentially four types of burners. The can type burner, the annular burner, the can-annular burner, and the toroidal, or scroll type burner. The can burner consists of one or more cylindrical "cans" with an outer wall and an inner wall which features the combustion holes. An annular burner is a continuous dual walled ring surrounding the engine rotor shaft. The combustion holes are on the inner wall, which surrounds the inner combustor. A can annular burner features multiple can burners for the inner combustion chambers, sitting inside of an annular outer combustion chamber. These burners can be what is referred to as through-flow or reverse-flow. The through flow design is favorable for aircraft because it allows the engine to have a smaller frontal area, but it also takes up more engine length. Much shorter and compact packaging can usually be realized by utilizing a reverse flow layout, with attendant increases in efficiency under most circumstances, due to more favorable mixing of air and fuel due to the counter-flow. The toroidal burner is a somewhat unique design; one which was used to good effect on many of the automotive turbine designs of the late 60's and 70's. The combustor is a round scroll or ring that sits around the gas producer shaft in between the compressor and turbine. The burner is fed air from holes in the scroll, in a reverse flow manner, while fuel is actually sprayed out through tiny nozzles in the rotating gas producer shaft. The hot gas is ducted 90 degrees out to the turbine nozzle. Advantages of the scroll combustor is an ultra compact design and slightly higher efficiency, due to the excellent atomization of the fuel by the spinning action of the gas producer shaft and the natural reverse flow effect of the airflow and the fuel flow opposing one another. A major disadvantage is the complexity of plumbing the fuel from the fuel controller to the center of the rotating engine shaft. The Textron Lycoming AGT 1500 Engine in the M1A1 Abrams Main Battle Tank is an example of an engine with a scroll combustor.
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Turbine
The turbine is the section of the engine where the heat energy is converted into mechanical energy, to drive the compressor, the engine accessories, and the engine load on a turboprop or turboshaft. A turbine can be single stage or multi-stage, depending on how much power it is required to absorb from the gas stream, but typically a gas turbine engine will have far fewer turbine stages for a given number of axial compressor stages, due to the fact that the high energy gas expands across a turbine stage much more naturally than the air can be compressed by a single compressor stage.
There are basically two types of turbines; the axial flow and radial flow turbine. Axial flow turbines are much more common, while radial flow turbines are rarely used, and only on very small engines.
A radial turbine is similar to a centrifugal compressor working in reverse. High velocity gas flow travels radially from the outside toward the center of the turbine wheel, impinging upon vanes and causing the wheel to rotate. The gas expands and collects at the eye of the radial turbine wheel, where it ultimately travels out of the exhaust duct.
An axial flow turbine is similar in appearance to an axial compressor. There are two types of axial turbine blades, although most turbine blades are actually a mixture of the two types. An impulse turbine has concave u-shaped blades often referred to as buckets. High velocity gas passes through a stationary set of blades referred to as the turbine nozzle vanes, which redirect the gas flow so that it strikes the concave section of the buckets almost directly. Each axial turbine stage is preceeded by a stationary set of nozzle vanes, to accelerate and turn the gas flow so that it strikes the buckets with the most force. The other type of blade is the reaction blade. Once again, the gas is turned by the nozzle to strike the blades, but it does so in more of a true axial direction. The reaction blades are designed so that when the gas strikes them, the gas molecules are deflected in a particular direction. This deflection of gas causes a reaction jet effect, which tends to turn the turbine wheel in the opposite direction to the gas flow, in much the same way a child's pinwheel spins when air is blown through it. Most axial turbines are a combination of the impulse and reaction type. The blades are blended so that the tips are reaction type blades while the roots are impulse type.
Some turbine engines feature variable geometry turbine nozzles, which automatically change position to control the way in which the gas strikes the turbine blades, while also controlling the effective nozzle area. Controlling the nozzle area allows for higher turbine inlet temperatures to be maintained as engine power is decreased, which can greatly improve engine part power efficiency. The variable nozzles can also greatly improve engine acceleration and even provide a great degree of engine braking. This feature is particularly useful when using a turboshaft engine to drive a variable speed load, such as an automobile or a tank.
In most cases, turbine nozzles and blades must be cooled somehow, or the high temperatures of the engine would melt or damage the blades, especially in modern engines which are running incredibly high burner temperatures. Cooling air comes from the compressor. As stated earlier, a majority of the air that enters the combustor is used to cool the combustion gas down, as opposed to actually being used in the combustion itself. In active turbine cooling, some of the compressor air is bled off before it reaches the burner and is circulated to the turbine blades, where it can provide additional cooling. Transpiration cooling is one modern technique for cooling the turbine blades and nozzle vanes. Compressor bleed air is actually circulated through the inside of the vanes and blades, and the air is made to escape through thousands of tiny pores in the skin of the blade. As the air escapes, it provides an insulating blanket of air around the blade, directing heat away from the skin and allowing for higher turbine inlet temperatures to be used for greater thermal efficiency.
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Additonal Gas Turbine Components
Apart from the compressor, burner, and turbine, there are many other systems involved that make a turbine work. Like any engine, there are auxiliary systems, such as the fuel system, the lubrication system, and electrical system, a starting system, etc. These systems are almost always driven by the engine's accessory gearbox. The accessory gearbox is a geartrain which is always driven off the rotation of the gas producer spool. Various gear sets in the accessory gearbox drive output pads to which the accessories are mounted. The oil system can be of either a wet sump or dry sump design. An oil pump will circulate oil to the engine's main bearings. Then, either a scavenger pump or gravity will return the oil back to the oil sump. The fuel system on a gas turbine engine is usually fairly complex. It consists of a number of pumps and some kind of fuel control unit. FCU's can be either mechanical, electronic, or a combination of the two. The FCU controls power output by varying fuel flow to the burner. FCU's are equipped with complicated engine speed governors that are designed to maintain a desired turbine speed based on power setting, engine load, ambient temperature and pressure, and a host of other factors. The electrical system consists of a generator, which sometimes also doubles as an electric engine starter motor, and an ignition system which is designed to begin the continuous combustion cycle. The ignition is typically only needed during engine start. After that, the burner will remain lit on its own. Hydraulic pumps and external air pumps are also sometimes driven off of the accessory gearbox.
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Exhaust System
The engine exhaust is treated differently depending upon the type of gas turbine engine that is being used. In a turboshaft, the exhaust is essentially just waste heat. Thrust is usually not desirable in a turboshaft, so a diffuser is used to slow down the velocity and kinetic energy, and let it vent to the atmosphere. In some turboshafts, the hot exhaust is channeled through a heat exchanger which is used to pre-heat the compressor discharge air, so that less fuel is required to be burned to achieve a target turbine inlet temperature, thus saving fuel. These heat exhangers are referred to as recuperators or regenerators. In a turboprop, the exhaust is usually ducted so that its energy can contribute some thrust. The exhaust duct is sized to maintain the relatively high exhaust gas velocity. In a turbofan, the core exhaust is also used to provide some portion of thrust, as little as 10% to as much as 90%, depending upon the bypass ratio. At any rate, it is allowed to escape at high velocity and mix with the fan discharge, or bypass air. Some turbofans mix the hot and cold exhaust streams in a jet pipe before expelling it out of a nozzle, while others exhaust the hot and cold streams individually. In a turbojet, the exhaust gas is collected in a jet pipe, and then forced to accelerate through a nozzle, to maximize thrust. Some turbojet engines have variable area jet nozzles. At low power settings, the nozzle area is large, so that the engine does not produce residual thrust. As power increases, the nozzle area decreases to further increase jet velocity and thrust while maintaining a high turbine inlet temperature. If an afterburner is used, the nozzle area must again increase, to allow the much greater volume flow to escape the jet nozzle unrestricted.
Some shaft and prop engines feature exhaust heat recuperators or regenerators. A recuperator is essentially an exhaust heat to intake air heat exchanger. The compressor discharge air is made to circulate through numerous ducts in the recuperator, as exhaust gas is allowed to flow around these ducts. This transfers some of the heat of the exhaust gases to the compressor air. Because the air is higher in temperature when it enters the burner, less fuel is required to be burned to develop the same burner pressures and turbine inlet temperatures, thus resulting in a fuel savings, especially at part load, where turbine inlet temperature can be maintained near peak while compressor rpm and mass flow decreases. A regenerator is a rotating ceramic honeycomb disc, driven at very low rpm by the high pressure spool. As a given part of the regenerator disc rotates toward the rear of the engine, exhaust is made to pass through the honeycomb elements, heating up the disc. That side of the disc then rotates back toward the intake side, where compressor discharge air is made to circulate through the disc, cooling the disc and heating the air, again improving fuel economy. This type of heat exchanger was favorable in automotive applications because of its more compact size, and its inherent self cleaning capability.
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STARTING A GAS TURBINE
Starting a gas turbine is somewhat different than starting a piston engine, although the basic operations are the same; they are just carried out in a different way. Unlike a piston engine, a gas turbine engine does not spring to life when provoked by the starter and ignition system. A gas turbine must be spooled up and allowed to accelerate to a particular speed before fuel can be introduced and ignited. Even after ignition, the engine still is not producing enough of its own power to accelerate to idle. Fuel must be carefully metered while the starter continues to accelerate the engine to a point where the engine can then continue to accelerate itself up to a governed idle speed.
Requirements for the starter motor are also very different. A piston engine's starter motor requires a quick and sudden burst of starting torque to move the crankshaft and begin the combustion cycle. A turbine engine, on the other hand, should have a very soft initial engagement, and motor torque should then build as rpm builds, to overcome the increasing compressor load. The turbine engine starter must be able to provide steadily increasing and then decreasing power over a longer period of time.
Gas turbine engines use many types of starters. The most common starter is the pneumatic starter. The pneumatic starter is basically a compact radial inflow turbine that is spun up to very high rpm through a high volume air source. Reduction gears convert the high rpm into high torque to spool up the engine. Electric starters, jet fuel starters, hydraulic starters, hand crank starters, combustion turbine starters, and combination starter generators may also be used. The most basic type of turbine starter is impingement starting. In this method, very high pressure air is injected through special nozzles that allow the air to impinge directly onto the engine's turbine, causing it to spool up. Immense quantities of air at very high pressures are required for impingement starting.
An ignition source is also needed during starting. Normally, this ignition source is only active while the starter motor is energized. Once the engine has reached self sustaining speed, the ignition source is no longer needed, as combustion is continuous and self-sustaining. Typically, a high energy spark plug is used as the ignition source, although some engines use glow plugs, or a torch igniter, also referred to as a pilot burner, or any combination of the above. A pilot burner is a very small stream of fuel that is sprayed into the combustor and ignited by a low energy spark or glow plug, as soon as the starter motor is energized. The fuel spray immediately ignites into a small flame, which then becomes the ignition source to light off the main fuel flow when it is introduced into the burner.
In most cases, the igniter is de-energized once the engine is running. However, there are certain applications where a low energy igniter runs continuously to pre-empt a flame out. Some modern engines have an auto-relight feature, which automatically fires the igniter in the even that a sudden loss of combustion temperature or pressure occurs, indicating a flameout.
Starting a typical gas turbine engine, such as the Allison T63-A-700 , goes something like this:
1. The electric fuel boost pump must be activated to provide the fuel controller and fuel pump with a source of pressurized fuel.
2. The igniter must be enabled, so that when the starter circuit is closed, the igniter will begin to produce a spark.
3. The starter circuit is closed, and the starter motor and ignition unit are energized. The starter motor begins to accelerate the compressor while the igniter begins to spark continuously.
4. At lightoff speed, between 12% and 15% N1, about the same time that the starter peaks and cannot accelerate the engine any further on its own, the throttle lever is moved from the cutoff position into the ground idle position. This fully opens the fuel cutoff valve, immediately upstream of the fuel metering valve. The metering valve has been in the minimum flow position, and so it introduces a relatively small amount of fuel to the fuel nozzle in the burner. The atomized fuel spray is immediately ignited by the hot spark of the igniter.
5. The operator continues motoring the starter, and the compressor continues to accelerate beyond lightoff speed. At this point, the combustion gases are contributing minimally to the acceleration of the engine; the starter motor is still providing a bulk of the starting torque. When the engine reaches approximately 25% N1, due to the increase in airflow, the acceleration limiter allows the fuel metering valve to open further than the minimum flow position, and the engine begins to accelerate more quickly. Turbine inlet temperature climbs very rapidly, and must be monitored carefully. At this point, the combustion gases are accelerating the engine, and the starter motor is providing less starting torque.
6. At around 50% N1, the engine reaches self sustaining rpm, the point at which the starter is no longer needed to continue accelerating the engine. The starter and igniter can be de-energized. The engine will continue to self-accelerate toward governed idle speed.
7. As the engine approaches ground idle, around 58% N1, the governing valve opens which moves the fuel metering valve in a closing direction, reducing fuel flow as rpm settles into an equilibrium, maintaining a governed 58% N1 idle.
8. The engine is allowed to stabilize momentarily before it can be put to use.
Shutting down the turbine is simple by comparison. The operator moves the throttle lever from the ground idle position to the cutoff position. This action mechanically closes the cutoff valve, which cuts all fuel flow to the burner. The engine then gradually coasts down to a halt.
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MODULATING POWER IN A GAS TURBINE
Controlling the power output of a gas turbine engine is often compared to a captain controlling the engine power on a large ship. The captain does not directly control engine power; instead, he calls down to an engineer in the engine room. The engineer then calculates what parameters need to be changed to meet the captain's request while at the same time being sure that those changes will not over exceed any limits put on the engines or the ship. Then the engineer carries out the required engine power change.
Similarly, the operator of a gas turbine engine is not directly controlling engine power. When he moves the power lever, he is essentially making a request for a certain level of power. Then, either through a complex mechanical control system, an electronic control system, or a combination of the two, the change is made in such a way that the engine will not exceed certain limits such as temperature, speed, and/or torque.
From the most basic standpoint, the amount of engine power being produced is a function of gas producer rpm. The higher the compressor rpm, the higher the air mass flow, pressure ratio, along with an increase in the turbine inlet temperature, and ulitmately, the more power is being produced. Gas producer rpm is modulated by increasing or decreasing fuel flow to the burner. Increase the fuel flow to the burner, and the gas producer rpm will increase. In some of the earliest jet engines, engine rpm, and therefore power, was controlled by a fuel valve directly connected to the throttle lever inside the cockpit. This arrangement is referred to as a full authority power control, and engineers and pilots alike quickly learned that this wasn't a safe or effective way to control a gas turbine engine. If the pilot moved the throttle lever too quickly in either direction, he could either over temp the engine or cause it to flame out. The pilots had to move the power lever very smoothly and very slowly, which was sometimes difficult in the heat of combat. With a full authority control, it was also very difficult to set a steady engine power setting, as engine rpm would have a tendency to slowly creep upward or downward.
These problems led to the development of a system called the fuel control unit, or FCU. The earliest fuel control units consisted of a complex set of mechanical linkages, flyweights, and springs connected to a fuel metering valve. The FCU was incorporated into the engine driven fuel pump, and was driven by the fuel pump drive on the accessory gearbox. An FCU basically consists of an engine speed governor, to maintain a set speed based on power lever position, and an acceleration limiter, to control the rate at which fuel flow is increased or decreased, to prevent overtemp, flameout, or even compressor surge or stall. As technology developed, Further improvements were incorporated, including bimetallic temperature compensators, and pneumatic bellows systems to compensate for varying ambient pressures and temperatures, as well as to make for more precise governing and acceleration limiting. Eventually these hydromechanical fuel control units were supplemented with electronic systems to sense temperature, compressor discharge pressure, compressor surge, and countless other parameters. This gradual shift toward electronic control finally led to the FADEC systems that are used on just about every modern gas turbine engine in production today.
FADEC stands for Full Authority Digital Engine Control, and it is essentially a fully electronic fuel control unit. A full authority fuel metering valve controls all fuel flow to the engine, but the fuel valve is actuated by an electric servomotor, which receives all of its commands from an electronic processor. The electronic processor is constantly monitoring hundreds of engine parameters including rpm, temperatures, pressures, torque, as well as power lever position. When the operator moves the power lever, the FADEC makes numerous calculations and then increases or decreases fuel flow to modulate engine power. Because so many parameters are constantly monitored, the FADEC can make engine power changes more precisely and more rapidly than the old hydromechanical systems. The incorporation of the FADEC system has improved gas turbine engine response, time between overhaul, and fuel consumption dramatically.
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i don't know
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An integer is what sort of number?
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Number Types | Purplemath
Number Types
Purplemath
Numbers are classified according to type. The first type of number is the first type you ever learned about: the counting, or "natural" numbers:
1, 2, 3, 4, 5, 6, ...
The next type is the "whole" numbers, which are the natural numbers together with zero:
0, 1, 2, 3, 4, 5, 6, ...
(The number zero, spread from India by north-African scholars, was originally viewed by European authorities as being demonic.)
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Then come the "integers", which are zero, the natural numbers, and the negatives of the naturals:
..., –6, –5, –4, –3, –2, –1, 0, 1, 2, 3, 4, 5, 6, ...
The next type of number is the "rational", or fractional, numbers, which are technically regarded as ratios (divisions) of integers. In other words, a fraction is formed by dividing one integer by another integer.
Note that each new type of number contains the previous type within it. The wholes are just the naturals with zero thrown in. The integers are just the wholes with the negatives thrown in. And the fractions are just the integers with all their divisions thrown in. (Remember that you can turn any integer into a fraction by putting it over the number 1. For example, the integer 4 is also the fraction
.)
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Once you've learned about fractions, there is another major classification of numbers: the ones that can't be written as fractions. Remember that fractions (also known as rational numbers) can be written as terminating (ending) or repeating decimals; for example, 0.5 =
and 0.76 =
, are terminating decimals, while 0.333333.... =
and 0.538461538461... =
are repeating decimals. On the other hand, we have all those other numbers that can be written as non-repeating, non-terminating decimals; these number are non-rational (that is, they cannot be written as fractions), so they are called the "irrationals". Examples would be
("the square root of two") or the number
("3.14159...", from geometry). The rationals and the irrationals are two totally separate number types; there is no overlap.
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Putting these two major classifications, the rationals and the irrationals, together in one set gives you the "real" numbers. Unless you have dealt with complex numbers (the numbers with an "i" in them, such as 4 – 3i), then every number you have ever seen has been a "real" number. "But why", you ask, "are they called 'real' numbers? Are there 'pretend' numbers?" Well, yes, actually there are, though they're actually called "imaginary" numbers; they are what is used to make the complex numbers, and "imaginary" is what the "i" stands for.
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WyzAnt Tutoring
The commonest question I hear regarding number types is something along the lines of "Is a real number irrational, or is an irrational number real, or neither... or both?" Unless you know about complexes, everything you've ever done has used real numbers. Unless the number has an "i" in it, it's a real.
Here are some typical number-type questions (assuming that you haven't yet learned about imaginaries and complexes):
True or False: An integer is also a rational number.
Since any integer can be formatted as a fraction by putting it over 1, then this statement is true.
True or False: A rational number is also an integer.
Not necessarily; the integer 4 is also the rational number
but, for instance, the rational number
is not also a integer. So this statement is false.
True or False: A number is either a rational number or an irrational number, but not both.
True! In decimal form, a number is either non-terminating and non-repeating (so it's an irrational) or else it's not (so it's a rational); there is no overlap between these two number types!
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Classify according to number type; some numbers may be of more than one type.
0.45
This is a terminating decimal, so it can be written as a fraction:
. Since this fraction does not reduce to a whole number, then it's not an integer or a natural. And everything is a real, so the answer is: rational, real
3.14159265358979323846264338327950288419716939937510...
You probably recognize this as being π, though this may be more decimal places than you customarily use. The point, however, is that the decimal does not repeat, so π is an irrational. And everything (that you know about so far) is a real, so the answer is: irrational, real
3.14159
Don't let this fool you! Yes, you often use something like this as an approximation of π, but it isn't π! This is a rounded decimal approximation, and, since this approximation terminates, this is actually a rational, unlike π itself, which is irrational! The answer is: rational, real
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10
Obviously, this is a counting number. That means it is also a whole number and an integer. Depending on the text and teacher (there is some inconsistency), this may also be counted as a rational, which technically-speaking it is. And of course it's also a real. The answer is: natural, whole, integer, rational (possibly), real
This is a fraction, so it's a rational. It's also a real, so the answer is: rational, real
This can also be written as
, which is the same as the previous problem. The answer is: rational, real
Your first impulse may be to say that this is irrational, because it's a square root, but notice that this square root simplifies:
, which is just an integer. The answer is: integer, rational, real
This number is stated a fraction, but notice that it reduces to –3, so this may also count as an integer. The answer is: integer (possibly), rational, real
Except for the section in your book where you have to classify numbers according to type, you really won't need to be terribly familiar with this hierarchy. It's more important to know what the terms mean when you hear them. For instance, if your teacher talks about "integers", you should know that the term refers to the counting numbers, their negatives, and zero.
URL: http://www.purplemath.com/modules/numtypes.htm
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Whole
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What widely used solvent and compound with the symbol (CH3)2CO smells of pear-drops and is in nail polish remover?
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Whole Numbers and Integers
Whole Numbers and Integers
Whole Numbers are simply the numbers 0, 1, 2, 3, 4, 5, ... (and so on)
No Fractions!
Examples: 0, 7, 212 and 1023 are all whole numbers
(But numbers like ½, 1.1 and 3.5 are not whole numbers.)
Counting Numbers
Counting Numbers are Whole Numbers, but without the zero. Because you can't "count" zero .
So they are 1, 2, 3, 4, 5, ... (and so on).
Natural Numbers
"Natural Numbers" can mean either "Counting Numbers" {1, 2, 3, ...}, or "Whole Numbers" {0, 1, 2, 3, ...}, depending on the subject.
Integers
Integers are like whole numbers, but they also include negative numbers ... but still no fractions allowed!
So, integers can be negative {-1, -2,-3, -4, -5, ... }, positive {1, 2, 3, 4, 5, ... }, or zero {0}
We can put that all together like this:
Integers = { ..., -5, -4, -3, -2, -1, 0, 1, 2, 3, 4, 5, ... }
Examples: −16, −3, 0, 1 and 198 are all integers.
(But numbers like ½, 1.1 and 3.5 are not integers)
These are all integers (click to mark), and they continue left and right infinitely:
Some People Have Different Definitions!
Some people (not me) say that whole numbers can also be negative, which makes them exactly the same as integers.
And some people say that zero is NOT a whole number. So there you go, not everyone agrees on a simple thing!
My Standard
I usually stick to this:
Name
{ ... -5, -4, -3, -2, -1, 0, 1, 2, 3, 4, 5, ... }
-15, 0, 27, 1102
And everyone agrees on the definition of an integer, so when in doubt say "integer".
And when you only want positive integers, say "positive integers". It is not only accurate, it makes you sound intelligent. Like this (note: zero isn't positive or negative):
Integers = { ..., -5, -4, -3, -2, -1, 0, 1, 2, 3, 4, 5, ... }
Negative Integers = { ..., -5, -4, -3, -2, -1 }
Positive Integers = { 1, 2, 3, 4, 5, ... }
Non-Negative Integers = { 0, 1, 2, 3, 4, 5, ... } (includes zero, see?)
Other Numbers
For an interesting look at other types of numbers read The Evolution of Numbers
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i don't know
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According to a global study of wind power in 2005 what extent of the world's total energy usage could be satisfied if all viable wind power locations were exploited?
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Energy Ministers | International Energy Forum
International Energy Forum
Global Energy Security Through Dialogue
Knowledge Generation Through Dialogue
20 Years of Success for the IEF
H.E. Ali Al-Naimi, Minister of Petroleum and Mineral Resources, Kingdom of Saudi Arabia
May 2014
It is more than 20 years since the first tentative steps were taken towards the creation of the International Energy Forum (IEF). Today, the membership of the IEF covers all six continents and accounts for around 90 percent of global supply and demand for oil and gas. The Forum is unique in that it comprises ... [ More ]
20 Years of Success for the IEF
H.E. Ali Al-Naimi, Minister of Petroleum and Mineral Resources, Kingdom of Saudi Arabia
It is more than 20 years since the first tentative steps were taken towards the creation of the International Energy Forum (IEF) . Today, the membership of the IEF covers all six continents and accounts for around 90 percent of global supply and demand for oil and gas. The Forum is unique in that it comprises not only consuming and producing countries of the IEA and OPEC , but also transit states and major players outside of their memberships, including Argentina, China, India,Mexico, Oman, South Africa and – this year’s host – Russia.
The relationship between consumers and producers has come a long way since that first producer/consumer meeting in Paris, July 1991,as mistrust and suspicion have gradually been replaced by transparency and dialogue. The IEF has grown in strength and scope over the past 20 years, and has played an essential role in the face of numerous energy,economic and geopolitical challenges.
The theme of this 2014 event is “The New Geography of Energy and the Future of Global Energy Security.” Certainly, the geography of energy is ever-changing – with new sources of energy coming on stream, technological innovation increasing and global energy markets becoming ever more complex.
For its part, the IEF is becoming a key source of information and insights for governments around the world, providing an open forum for governments, officials, energy industry executives and other experts to engage in a dialogue.
Unique Role: The IEF is currently the only organisation with such global representation addressing oil and gas issues. Other organisations discuss the same issues, but only the IEF is bringing together members from diverse countries. As such, it is more likely to deliver the type of intelligence and engagement that add value for member countries. The IEF’s neutrality is certainly a valuable currency. IEF events are never interpreted as promoting the agenda of a particular country, group of countries or interests. This neutrality can be leveraged to obtain much better understanding of current energy issues.
As the energy market’s focus shifts to the Pacific Basin, the IEF is also uniquely positioned to facilitate an energy dialogue among the countries of the region as well as an inter-regional dialogue. Neither the IEA nor OPEC has the membership – nor the mandate – to accomplish this in a neutral way. The IEF’s position should advance the objective of obtaining a better understanding of the region’s energy dynamics and, in turn, help promote energy security. The IEF has already started to deliver new value by generating useful insights from roundtables, seminars, workshops, symposia and ministerial meetings, which help to map the international energy conversation and identify key issues affecting oil and gas market developments. The IEF is an ideal ground for testing new ideas and exploring the possible impacts of new energy developments in a fast, cost effective way, with feedback from a broad stakeholder base.
The development of the Joint Oil Data Initiative has been a particularly important step. JODI relies on the combined efforts of producing and consuming countries and other partner organisations to build timely, comprehensive and sustainable energy data. By helping to mitigate some of the uncertainties of global energy markets, JODI aims to help moderate undue price volatility, thereby increasing investor confidence and contributing to greater stability in energy markets worldwide. I firmly believe that all nations should redouble their efforts to ensure regular and timely contributions to this important initiative.
The second theme of this IEF meeting in Moscow is energy security – a topic of fundamental importance to producers and consumers, governments and people around the world. Maintaining supplies and meeting energy demand is in all our best interests. But energy security is not only about meeting the needs of developed nations. While the world quite rightly talks about ways to reduce energy usage, we must not forget that, globally, more than 1.3 billion people are without access to electricity and 2.6 billion people are without clean cooking facilities. This aspect of energy security must also remain foremost in our minds. In the 21st century, it must be addressed.
Again, I believe the IEF, as an independent and apolitical energy forum, can and does play a key role in addressing many of the challenges facing us today and tomorrow. I fundamentally believe that it is only through dialogue and working together that difficult issues can be addressed and solved. I am looking forward to a lively and informed debate at IEF14 in Moscow and hope that our efforts at transparency and dialogue result in a productive and positive outcome.
H.E. Daniel Cameron, Secretary of Energy, Argentina
May 2014
The IEF Ministerial is one of the most significant events in the world energy sector. It is the only event where decision makers from the energy sector, from a consumer, producer or transit state, gather to discuss matters related to the present and future reality of the international energy sector. One of the most relevant ... [ More ]
Argentina’s Vision
H.E. Daniel Cameron, Secretary of Energy, Argentina
The IEF Ministerial is one of the most significant events in the world energy sector. It is the only event where decision makers from the energy sector, from a consumer, producer or transit state, gather to discuss matters related to the present and future reality of the international energy sector. One of the most relevant issues, in our view, is energy security. In the 1970s, times of oil crisis because of the Yom Kippur War and the Islamic revolution, the subject became relevant in developed countries which witnessed how the price of the world economy’s basic input rocketed.
Now in the 21st Century, energy security is not only present in developed countries’ agendas. The emerging world is today the one that has the majority of energy needs; thus, energy security has become a world issue. Nowadays, the whole planet demands more and more energy resources, which mainly continue to be non-renewable, fossil fuels like oil, natural gas and mineral coal. These sources represent an important element in the world economy, and will continue to be, according to the IEA and OPEC.
Diversification is necessary, and the increase of clean energy participation (in our view renewable and nuclear energy) will be able to complement yet not substitute conventional energy supply. Thus, even when a drastic reduction of fossil fuels and a considerable increase in the proportion of alternative energy could be achieved, due to climate protection or energy security, this security could not be reached unless fossil fuels supply is secured, which will accompany world development for years.
But we cannot sit still. The world economy has to rapidly adjust to the changes hydrocarbons depletion might bring. Due to technological advances, the world has a new chance. The emergence of non-conventional hydrocarbons development, which has caused a revolution in North America, is the last chance the world has before facing a radical change in the ways of capital production, which will allow the world economy to sustain economic growth with the inclusion of all those human beings who do not have access yet to modern energy.
Non-conventional hydrocarbons exploitation is key to world energy security. These resources are less concentrated than conventional ones that can be found in the Middle East, Central Asia and the Siberian steppe, among other locations. Thus, more states can benefit from their exploitation, which as with conventional resources must be sustainable, responsible and environmentally friendly. A geography of energy production broadened to new regions presents new challenges. As more energy producers, which must satisfy the needs of more consumers, are involved in bigger interdependence, a strengthening of the producer-consumer dialogue is necessary. In this sense, the role of the IEF is essential.
In an international system where nationalistic views on the energy sector coexist with co-operative ones that foster integration, the IEF’s articulating function and its goals of strengthening energy dialogue and fostering hydrocarbons market transparency are key to global energy security.
My country, Argentina, is part of the Union of South American Nations, which comprises twelve countries of South America. If the energy reality of each one is analysed, countries with energy surplus, import countries and countries like Argentina, a transit country and a potential export one, can be found. That said, seen as a whole, this region is self-sufficient in terms of energy, which makes South American economies competitive. The sustainable use of these energy resources will allow the region as a whole to reach security in the energy supply and even export part of those resources to other regions in the world with high energy demands. We believe being self-sufficient in terms of energy in a sustainable manner in a way to avoid compromising the energy future of coming generations is a challenge and a commitment that all countries should have. Thus, energy matrix diversification, renewable energy penetration and the efficient use of energy will contribute to this goal.
In Argentina we are developing non-conventional hydrocarbons exploration and exploitation. Nevertheless, conventional hydrocarbons will continue to be the leading actors of energy supply for a long time here. At the same time we seek progress as fast as possible in the determination of what percentage of non-conventional hydrocarbons can be converted to reserves. These resources are being explored at Cuenca Neuquina and Cuenca del Golfo San Jorge but are also found in other places in my country, which have been recognised by different international agencies as the country with possession of the second largest technically recoverable resources of shale gas (802 tcf) and shale oil (27 billion barrels). Under this framework, non-conventional hydrocarbons not only represent a step forwards towards energy security but also a significant change. Argentina’s abundant gas resources and nonconventional production allows the development of national technology and industry which will in turn allow us in coming years to reach self-sufficiency and the possibility of obtaining a source of foreign currency from oil and gas exports, the arrival of the most important companies from the oil sector and the lowest energy prices of the region.
Argentina is determined to diversify its energy matrix and implement the sustainable development concept. These actions face multiple and important challenges, because they imply breaking old paradigms and reconciling society’s interests which have different objectives. This is why a consensus is necessary to be able to implement proposals which have long-term validity and functionality. Energy development processes are long termed and should not be altered by short-term considerations. An energy development that accomplishes sufficiency, efficiency, equity and sustainability requisites needs sustained public and private actions, subjected to clear orientations from a long-term perspective.
For this, a stable energy policy is required, in line with the global policy of national development, with a long-term prospective view, also equipped with the necessary flexibility to face the effective evolution of circumstances, without attaching to rigid assumptions, denied by a changing reality. To foretell that unforeseen events will also appear must be part of the policy. Charles Darwin used to say, “It is not the strongest of the species that survives, nor the most intelligent that survives. It is the one that it is most adaptable to change.” Under this framework our country has elaborated different strategies and lines of action tending to promote and guarantee a sustainable energy matrix in the long term. The direction we should take points to energy efficiency and security, the use of cleaner and more environmentally friendly fuels, energy sources diversification and equitable and universal access to energy. Market forces are not enough to secure this goal. This is why it is necessary to generate public policies that guarantee our country’s energy sustainability for the welfare of society and the security of national development.
The conditions of social sustainability, related to the equity within society and among regions, are of vital importance in our energy policy. This means the access of isolated rural and regional communities to energy services, as well as the access of low income, socioeconomic sectors to these services in the amount and quality necessary for their welfare. Undoubtedly, energy efficiency constitutes a transversal guideline which involves the security and sustainability criteria, but it is necessary to break the paradigm that energy saving means privation. We understand energy efficiency as using a clean, renewable source, whose application will contribute to diversifying the energy matrix and provide security and quality to the supply.
Another central concept of the Argentinean energy policy is its energy matrix diversification and the reduction of its hydrocarbons dependence. In this sense we have implemented a process which has as its goal the sustained incorporation of clean energy to the matrix. This means trying to take advantage of the huge and diverse renewable energy potential our country has, both in developing large-scale generation and fostering distributed generation of this type of source. In line with the latter, projects are underway for the development and implementation of smart grids, a key element not only in the promotion of distributed, micro-generation, but also as a tool for demand management. In the same way, a plan of large hydroelectric works is underway at the national level and progress is being made with those works, which are the result of a long tradition of energy integration in our country. Also, different basins are being studied to take advantage of their vast hydroelectric potential in a sustainable and environmentally and community-friendly way.
Another central concept of the energy matrix diversification in general and electricity in particular is the launching of the Argentinean Nuclear Plan. We consider nuclear energy as a clean energy; thus, we hope that, together with renewables, nuclear makes a strong contribution to the energy matrix diversification. Nuclear energy not only implies greater nuclear energy generation but also reactivation of a sector of high impact in technical and economic development, with applications ranging from healthcare to a great amount of industrial and agro-industrial uses.
Challenges and Opportunities in the Petroleum Industry and the Role of the WPC
Pierce Riemer, Director General, World Petroleum Council
May 2014
The World Petroleum Council (WPC) is a non-political, not for profit, registered charity with the mission of promoting the sustainable exploration, production and consumption of oil and natural gas and other sources of energy for the benefit of mankind. Currently with 70 member countries, representing over 97 percent of the world’s production of oil and ... [ More ]
Challenges and Opportunities in the Petroleum Industry and the Role of the WPC
Pierce Riemer, Director General, World Petroleum Council
The World Petroleum Council (WPC) is a non-political, not for profit, registered charity with the mission of promoting the sustainable exploration, production and consumption of oil and natural gas and other sources of energy for the benefit of mankind. Currently with 70 member countries, representing over 97 percent of the world’s production of oil and natural gas, the WPC is uniquely positioned to promote a forum for the debate of the key issues that the industry is facing and the dialogue with all its stakeholders. The petroleum industry has never failed society on what respects delivering affordable and reliably supplies of oil and natural gas, except for relatively minor disruptions caused by natural disasters or manmade conflicts. However, the challenges that the industry is now facing require that new paradigms be established with respect to the level of cooperation with the industry’s stakeholders, development and deployment of breakthrough technologies and social responsibility in doing business.
The Challenge – Sustainable Supply of Ever-Growing Energy Demand
Several studies prepared and regularly updated by companies, government and non-governmental agencies, even if based on somewhat different economic growth assumptions, agree on two main projections for the next 20 years: growth of energy consumption by about 35 percent to 40 percent and the predominance of fossil fuels in the world’s energy matrix, with coal, natural gas and oil accounting for approximately 80 percent of the energy supply.
Global oil reserves and production, currently respectively at 1.4 trillion barrels and 87 million b/d, have been growing steadily over the last decades. The main challenge going forward will be not only to meet the increasing demand, which according to most estimates will reach about 110 million b/d by 2030, but, most importantly, to offset the natural decline of the current reservoir productivity. Even if a moderate decline rate of 3.5 percent per year is assumed, by 2030 the production of the reservoirs currently on stream will decrease to about half of today’s rate. In summary, the production gap to be met with new field and reservoir developments is of around 65 million b/d, a daunting task.
Natural gas demand will also steadily increase, particularly in the developing countries, with the current global consumption of approximately 112 tcf per year expected to reach 160 tcf per year by 2030. While the world’s natural gas resources are plentiful, at about 6,600 tcf total reserves plus at least the same amount of resources from unconventional sources in the United States only, delivering these to the consuming markets will require innovative solutions in production, processing and transportation, and stable geopolitical relations between producing and consuming countries.
To continue meeting the world’s demand of oil and natural gas, the industry will have to invest massive amounts of capital and venture into ever more challenging and costlier production provinces, such as the ultra-deep waters, ultra-deep reservoirs, unconventional resources, and inhospitable environments like the Arctic, remote deserts, jungles, mountain ranges and conflicted areas. It is estimated that the exploration and production activity alone will require a total capital deployment of more than $20 trillion in the next 30 years.
One of the main challenges that the industry is already facing is to continue attracting skilled human resources, both in the technical and managerial areas, to successfully implement such massive projects. In order to attract these talented professionals, the industry will need to improve its overall image, tarnished by the lingering memory of past poor records, some recent highly visible accidents, and reach out to all pools of professionals, particularly the youth and women.
And all of the above will have to be accomplished in a sustainable way, which implies ensuring attractive returns to investors, operating with increasingly higher standards of safety and care with the environment, returning a fair share of the wealth to society and local communities, and doing business in an ethical and regulatory compliant manner.
The Opportunity – Long-Term Returns To All Stakeholders
Oil and natural gas have been utilised by humankind for thousands of years. Industrial-scale exploitation of these resources is considered to have started in Pennsylvania about 150 years ago. It is impossible to predict how long the petroleum age will last, but the projections above clearly indicate that for next several decades fossil fuels will continue as the main source of energy for the world development.
If the challenges are huge, so are the opportunities that lie ahead. Very few industrial activities have the breadth of opportunities that the petroleum sector offers to develop and deploy new technologies, promote development and wellbeing, and remunerate huge sums of capital, all of these at the same time and sustainably in the short and long term. The list of ingredients for the continuing success of the petroleum industry is not long and is fairly obvious.
People, innovation and technology: The combination of skilled human resources, innovative thinking and new technologies has been and will continue to be the key factor in finding and developing new sources of hydrocarbons in the most challenging environments. It is for this reason that time and again ingenuity unlocks enormous new pools of resources that were unknown or not viable even in well-explored provinces. Recent examples are the huge shale gas resources being developed in North America and now being target around the world, and the vast amounts of oil discovered only in the last 10 years, in spite of over 50 years of exploration activity, in the Lower Tertiary of the United States’ Gulf of Mexico and the pre-salt layers of the Santos and Campos basins offshore Brazil.
Dialogue, co-operation and level ground competition: One peculiarity of the petroleum industry is that very often bitter competitors in one area establish partnerships and co-operate in other ventures. A clear trend of increasing dialogue has been established between consumers and producers (OPEC and IEA, for example), business areas (producers, refiners and automobile industry), and corporate organisations (international oil companies and national oil companies, majors and independent oil companies). It is important that this dialogue be kept at all levels, so that regulators establish fair and balanced terms under which companies may compete in level ground conditions, earn the right to exploit natural resources, generate profits for their shareholders and return a fair share of the wealth to local societies.
Highest standards of health, safety and environmental (HSE) protection: More than ever HSE considerations must be an intrinsic component of any upstream or downstream project that companies decide to carry out. Even though these may, in the beginning, imply higher implementation costs, in the medium and long term the companies with the highest HSE standards are the ones that will benefit more from productivity gains and that will earn from society the right to continue doing business; conversely, as we see more stringent scrutiny and regulations being implemented around the world, non compliance and low HSE standards will be extremely costly to companies with poor performance;
Social responsibility and business ethics as part of the business model: There is already ample evidence that companies that are socially responsible, transparent and adhere to high ethical business conduct have more access to capital and tend to be more successful in the medium and long term, as is the case with those listed in the Dow Jones Sustainability Index. Also, already almost 200 companies, including most majors, national oil companies and services companies, committed to the 10 principles of the UN Global Compact. Going forward, the most successful companies in the oil sector will be those that will strike the right balance between profitability and sharing the wealth with the local society in the form of taxes, royalties, jobs and promotion of local businesses, that operate in full compliance with the law and the culture of the community, and that adopt strict ethical business conduct, transparency and anti-corruption practices.
The WPC is committed to promoting the sustainable growth of the industry, serving as a forum for discussion of the key issues, promoting the dialogue of all stakeholders involved and disseminating the best technical, managerial and business practices of the petroleum sector.
Under the theme “Responsibly Energising a Growing World,” the premier conference of our industry will bring together world leaders, executives, experts and representatives of all stakeholders to address the key issues of the petroleum sector. For over 150 years, our industry has never failed to deliver affordable and reliable energy resources to promote the development of humankind. However, as the world population increases and economic development brings a large number of new consumers to the market, our challenge is growing ever more daunting. Oil and natural gas will continue to be the world’s leading energy resource for the foreseeable future. Meeting future demand, in a safe, socially and environmentally responsible manner will require massive investments, leading-edge technology, the highest skilled human resources, and superior ethical business practices.
The world has changed beyond recognition since the 8th World Petroleum Congress was held in Moscow in 1971, and since then the influence of energy on global affairs has grown exponentially. In June 2014 Moscow will host the 21st World Petroleum Congress, an appropriate venue reflecting Russia’s position as one of the world’s leading oil and natural gas producers. High-level executives and government officers, experts in all areas of the industry, researchers, academia, NGOs, students and society representatives will come together to collectively analyse and determine the course of the petroleum sector. Through the open debate and the exchange of fresh ideas and technologies we expect, as the main result of the event, to formulate responses to contemporary challenges of the petroleum sector and to direct and oversee social and ecological programmes.
Preparations for the 21st World Congress are already underway. An Organising Committee – established with the full support and patronage of the government of the Russian Federation – is actively working on the programme and logistics of the conference and in a global promotion campaign. I am confident that the 21st World Petroleum Congress will represent an important landmark in the history of our industry and will create a platform for truly beneficial multilateral dialogue and co-operation, which will be constructive for the future of the world economy. And, and top of it, this will be an opportunity to enjoy the rich heritage and warm hospitality of the Russian people. You cannot miss it.
A Trillion Dollars’ Worth of Transparency
Jonas Moberg, Head of Secretariat, Extractive Industries Transparency Initiative
May 2014
The EITI is the global standard for governance transparency and accountability in the extractive industries. It is now implemented by 44 countries, including major oil and gas producers like Iraq, Nigeria, Norway and the United States. Several others are preparing to become members, including Colombia, Myanmar and the United Kingdom. The EITI has brought transparency ... [ More ]
A Trillion Dollars’ Worth of Transparency
Jonas Moberg, Head of Secretariat, Extractive Industries Transparency Initiative
The EITI is the global standard for governance transparency and accountability in the extractive industries. It is now implemented by 44 countries, including major oil and gas producers like Iraq, Nigeria, Norway and the United States. Several others are preparing to become members, including Colombia, Myanmar and the United Kingdom. The EITI has brought transparency to tax and royalty payments well in excess of $1 trillion. Over 400 professionals work full time around the world on the EITI and over 800 people serve on the 44 EITI national commissions.
Is the EITI leading to reforms and better energy production? Yes. Is the EITI helping fight corruption, improve accountability and build trust? Yes. Is the EITI creating a level playing field for oil and gas operators? Yes. Is the EITI revealing commercially sensitive information, including about reserves? No. EITI and the Joint Organisations Data Initiative (JODI); do we need it all and more? EITI is about transparency of the fiscal environment and of payments made; JODI is about aggregated production volumes. A number of different complementary efforts are required before sound governance of the oil and gas sector is achieved.
Over the following pages, the above statements are considered, drawing on experience from EITI-implementing countries and the EITI’s development from a set of principles into an extensive standard. The reasons countries in very different situations implement the EITI are explored, as well as the EITI’s role in informing public debate and encouraging wider reform. Finally, a look is taken at remaining challenges and opportunities in making transparency lead to less corruption, more efficient markets and competition and improved accountability.
Reconciliation of Revenue and More
EITI-implementing countries publish annually a report that includes the reconciliation of all payments by producers with government receipts. These reconciliations are almost always done by an independent auditing firm, with Deloitte and EY amongst those that have produced EITI reports for several countries. In brief summary, these reports will often have a single table listing the producing companies, the taxes and royalties they pay, the receiving government entities and how much they report that they have received. Once a country decides to implement the EITI, all producing companies have to report, thereby creating a level playing field in terms of the transparency demanded. Drawing on early EITI experience and reflecting growing demands for further transparency, the EITI took a big leap forwards in May 2013 when the EITI Standard was approved.
The standard amends the mandate of the EITI from revenue transparency to coverage of a wider range of issues along the extractive industries value chain. From now on, EITI reports must include information about the sector beyond revenue transparency that will make the reports easier to read, analyse and use. Drawing on the experience of many producing countries already publishing their contracts, the new EITI standard encourages all implementing countries to disclose contracts and licence information. Also new is that the EITI requires that mandated social payments are disclosed and all voluntary payments are encouraged to be included in the EITI reports. For more detail on what is required, see the EITI standard here: eiti.org/document/standard.
So far, almost 200 national EITI reports have been published. They have identified missing revenues and weaknesses in legal and fiscal frameworks in, for example, Nigeria. These have in many countries led to reforms and improvements in tax collection and management systems as well as legal reforms. In its 2011 EITI report, Iraq reconciled its full export sales. Given that almost all of these companies are extra-territorial and not subject to Iraqi law, this is an impressive process and shows the way for other countries in which state oil sales make up a considerable amount of total income, for example Nigeria and Indonesia. In Norway, EITI reports make information on the oil and gas sector easily available.
Norway’s Minister of Petroleum and Energy Tord Lien said at the publication of the 2012 report: “Transparency and oversight of financial flows from oil and gas are important in order for these resources to be a source of national prosperity. Our oil revenues in 2012 correspond to around 75,000 Norwegian kroner [$13,000] per citizen.” This year, the first reports including more data in line with the 2013 EITI Standard will be published.
Why Countries Implement with the EITI
Producing countries implement the EITI for a wide variety of reasons. It is a way of minimising the risks for corruption, of attracting quality foreign direct investment and of building trust with citizens and other stakeholders.
A better understanding of how the sector is managed and governed creates a sense of trust and stability that is necessary to reduce investment risk. The reliable and timely data published in EITI reports informs public debate on the real contributions of the extractive industry, and multi-stakeholder dialogue builds trust among groups. Making reliable information available to the public and bringing stakeholders together to discuss and clarify concerns, helps to manage the expectations created by oil and gas discoveries.
Countries face different challenges and in order to be meaningful, EITI implementation needs to link with other reforms and national priorities. A common goal across countries is more informed debate and better management of the extractive industries. Even in countries where information is widely available and governance structures are strong, gathering data in one report and presenting it in an accessible way provides added value to citizens, companies and governments alike. The fact that the United States is now implementing the EITI shows that revenue transparency is relevant for resource-rich countries of all sizes and income levels.
When committing to implementation, President Barack Obama said, “The United States will join the global initiative in which these industries, governments and civil society, all work together for greater transparency so that taxpayers receive every dollar they’re due from the extraction of natural resources.”
There is a growing recognition that good governance leads to improved recovery rates. In badly governed producing countries, the government and its regulatory bodies and the producing companies may be more interested in relatively short-term maximising of production and profits, rather than taking a longer-term view, requiring more investment but ultimately leading to improved recovery rates. Transparency of contracts and revenue payments contribute towards long-term planning.
Moving Forwards Together
Ten years ago, the industry, governments and civil society agreed on 12 EITI principles. The principles recognise that the “prudent use of wealth should be an important engine to sustainable economic growth,” and that well-informed public debate can help choose appropriate options for sustainable development. Since agreeing on these principles, the EITI has evolved into a global standard. Eighty-five of the world’s largest companies support the EITI. Among them are also a growing number of national oil companies including Statoil, Pemex and Petrobras.
Helge Lund, the president and CEO of Statoil, recently said, “[EITI’s] work is important to us – and indeed for our industry. Your work is an essential part of an increasingly broad understanding that greater transparency around our business enhances stability and trust. This in turn encourages better governance and improved conditions for long-term investment, leading to more secure and reliable energy supply.” The EITI has gained support because all stakeholders have seen benefits from being part of the process. This has helped to create an expectation of transparency in the extractive industry, which was previously too often opaque and murky. There remain, however, challenges in translating expectations into practice. In some countries, EITI reporting suffers from significant delays, with several years between the reporting period and the publication of the EITI report bringing transparency to the various payments from the companies to the government. Thus, one challenge is to ensure that reporting becomes timelier. The 44 implementing countries, and a growing number of officials, company and civil society representatives working on the EITI, represent an immense pool of innovation and creativity that is constantly reshaping the EITI to make it more meaningful in different contexts.
Nigeria, for example, is planning real-time data collection to improve the timeliness and the usability of the data. Twelve countries are undertaking a pilot programme to map the beneficial owners of extractive companies. The EITI has also begun to reveal information on oil sales, namely who buys oil and gas and at what price. But whilst the EITI can scrape the surface of the oil trading business, it needs to work with others to deepen the coverage of secondary and tertiary sales to bring transparency to this business.
Transparency is Reality
Stakeholders have during the last couple of decades campaigned for more transparency. Whilst a lot of information is still hard to access and understand and in some countries, only most limited information is available, practices are changing. Contracts and licence information are becoming public, payments are reported by company and increasingly by project, and transparency is becoming a reality. The geography of energy is in constant flux, and challenges – social, environmental, technological and economic – have reached a new scale. Energy resources have enormous potential to improve the lives of billions of people, if governed well. This requires that those billions have the chance to understand and monitor their development.
H.E. Maria van der Hoeven, Executive Director, International Energy Agency
May 2014
What options exist for Europe to reduce its demand for fossil fuels, and why is encouraging this decline important? In order to reduce its consumption of fossil fuels, Europe will need to focus on fostering investment in renewables and facilitating their integration into the power system. The European Union has been a pioneer in renewables development, most recently because of the Renewable ... [ More ]
Co-Operation is Key
H.E. Maria van der Hoeven, Executive Director, International Energy Agency
What options exist for Europe to reduce its demand for fossil fuels, and why is encouraging this decline important?
In order to reduce its consumption of fossil fuels, Europe will need to focus on fostering investment in renewables and facilitating their integration into the power system. The European Union has been a pioneer in renewables development, most recently because of the Renewable Energy Directive. This has catalysed deployment and stimulated significant cost reductions. Wind and solar technologies are now being widely exploited in emerging markets as cost-competitive contributors to meeting growing power demand.
That leadership has come at a cost to Europe – with the heavy lifting concentrated in a few countries. But it is also seeing the benefits of this investment, for example reduced gas imports, improved energy security, and a developing green economy. Progress is in danger of stalling because of policy cost concerns. But with so much of the hard investment work behind us, it would not make sense to cut and run as the costs of future deployment shrink.
Key to adapting to higher energy prices, as well as the principal contributor to sustainability and reducing the use of fossil fuels, will be energy efficiency. While Europe is a leader in this field, uncertainty remains around energy efficiency regulation and deployment, and the extent to which it will be integrated with the other main parts of the climate and energy package, to ensure policy coherence.
The European Union will now need to decide how to frame energy and climate policy to 2030, particularly given the increasingly visible and potentially catastrophic impacts of climate change and long-term energy security concerns. Long-term policies are key to secure investment and green growth, and so 2030 is important as a bridge to 2050. I will refrain from commenting on the details in the Commission’s proposals, particularly as we prepare our own review of European Union policies. But in a world where clean energy technology development and deployment will be a much less European story, and where higher costs of transition risk eroding European competitiveness, the answer lies in close co-ordination, interconnection and market integration.
Given lower costs of refining in the United States, what is the outlook for refining in Europe and the Middle East?
Rarely has the contrast between “winners” and “losers” in the refining world been more pronounced than in 2013 and 2014, when new global players disrupted the traditional order. Refiners in mature economies in Europe and the Pacific continue to confront challenging market environments, while those in the United States are profiting
from the region’s supply-side revolution. In less than a decade, the United States has gone from being one of the world’s largest product importers to its largest product exporter. Investment plans are being drawn up to further take advantage of regional supply growth.
By contrast, in the non-OECD, tides are turning against the refining industry. A marked slowdown in Chinese apparent demand growth has prompted a largescale reassessment of refinery expansion plans in the very region where most of the growth had been coming from in the last 10 years, and which until recently had been expected to contribute most of it in the medium term.
While the fortunes of Asian refiners are waning, the start-up of Saudi Arabia’s Jubail refinery last year is a signal of coming changes in the Middle East oil profile, as crude producers move up the value chain and increase their focus on domestic markets.
How will South America’s oil production affect global oil markets in the short to medium term?
South America’s oil production (all liquids) was about 7.25 million barrels per day (b/d) in 2013, approximately 8 percent of global supply. Most of this supply comes from five countries: OPEC members Ecuador and Venezuela, and large non-OPEC producers Argentina, Brazil and Colombia.
In the short term (2014), we are not expecting the production outlook overall for the continent to change, assuming flat production in Venezuela and Ecuador (the IEA does not forecast OPEC production levels). Hence, given the growth in global supply and demand, the role of the continent in global oil markets would diminish slightly. South American oil demand was about 6 million b/d in 2013, so the continent is a net exporter, but given expectations of some demand growth in the continent, net exports could also be expected to decline slightly in 2014.
In the medium term (2014-2019), Argentina and Brazil are expected to see production growth and, in the case of Venezuela, production capacity growth, particularly towards the end of that period. Although South American demand will also have grown by then, the continent does have the potential to become more important to world oil markets if the Brazilian oil sector is able to successfully implement its planned massive offshore projects.
How could Mexico’s recent regulation on foreign exploration change the global oil supply and demand equation?
In the IEA’s latest (2013) Medium-Term Oil Market Report, there was no assumption of regulatory change in Mexico, and hence, continued gradual output decline was forecast for the medium term. While the recent regulatory changes will not affect the outlook for 2014, it is possible that further out into the medium term, 2014- 2019, participation of new companies in the upstream sector would bring increased investment as well as additional capabilities for deepwater or unconventional plays, which could change our forecast.
The Mexican government, in its plans from this past autumn 2013, had issued a goal of 3 million b/d of crude oil production by 2018. This is some 600,000 b/d higher than our expectation for Mexican crude oil output for that year prior to these changes. While the tail-end of our upcoming medium-term forecast for Mexican production will likely be higher, it is unlikely to be as high as the Mexican government’s initial 2018 target. This additional output will be welcome in a world market of ever-growing demand into the medium term, but will not decisively affect the global supply and demand balance.
What may happen – or what should happen – in the medium term that could bring LNG prices down for buyers?
Oil-indexed long-term contracts have traditionally played a major role in both Europe and Asia. In North America, the dynamics of supply and demand play a greater role in price setting. Yet, efficient markets do not necessarily mean low prices.
In the decade before the shale revolution, depleting United States conventional gas led to a tight supply/demand balance and very high prices. But in such an environment this counts as a market success – those price signals were key to incentivising shale development. Without the means to export, that shale revolution turned North America into a veritable gas island with lower prices.
But Asian price differences with Europe require more explanation. In this case the reason is not physical, but contractual and institutional: destination clauses and take or pay contracts lock in suppliers, and a lack of a trading hub in Asia makes it difficult to execute trades.
The effects are not trivial. Even without making any assumptions on North American LNG, the Japanese yearly import bill is over $10 billion higher than what we could see in a properly integrated LNG market. As a result of the flexible nature of LNG, economic developments and policy decisions introduce significant uncertainty into the LNG demand outlook of any given country, raising investment risk. A well-functioning market can reduce those risks and aid investment. Over the long term, this could help to mitigate the relatively high prices we see in Asia.
In the shorter term, while Asia can certainly not rely on American gas to lower prices by providing sufficient physical supplies, even after exports commence, the prospect of even relatively small amounts of spotpriced American LNG exports and greater regional competition can impact negotiations for long-term gas contracts, providing downward price pressure.
Can a natural gas price hub be developed in Asia?
Natural gas has the potential to improve energy security and economic and environmental performance in the Asian-Pacific economies. But its regional market conditions must be such that supply and demand fundamentals play a stronger role in price setting.
Thanks to relatively weak international pipeline options, developing an Asian LNG trading hub is a key step towards developing the wider regional market. This gas market would need to meet institutional and structural requirements which inspire confidence among market players to use such a hub for balancing of their portfolios, and which attract new participants such as financial institutions. That means separating transport from commercial activities; price deregulation at the wholesale level; sufficient network capacity and non-discriminatory access; and a competitive number of market participants.
The prospects are there, but even the prime candidates will need to do more. China’s fast-growing domestic gas network is still underdeveloped, and the entire production chain remains heavily regulated. Japan has a great potential to act as a hub, but it will have to take some important steps, such as improving infrastructure access and further developing its domestic power market. Externally, it also means engaging with exporters to affect the terms of gas contracting to improve efficiency while maintaining energy security. Singapore’s small domestic market means that to grow as a hub it must rely on re-exports, which are hindered by regulation. However, it is already a globally important oil-trading hub, and some of its broader strengths such as location and a supportive legal environment will be applicable for LNG. Singapore has pipeline interconnections with the traditional suppliers of Malaysia and Indonesia, and Asia’s first genuine open access LNG terminal is under construction there. Singapore already has ample LNG storage facility and arrangements that make it possible to re-export LNG from the storage tanks, and its financial institutions are already experimenting with LNG swaps.
Globally we are starting to see the long-term prospect for a world natural gas market. But integrating and deepening regional markets is a first step to addressing major global price mismatch. That would benefit Asian consumers, Asian economies, and the millions of Asian citizens choked by industrial smog.
In September 2011, you took charge of the IEA. How would you describe your tenure as Executive Director so far?
The global energy map has been changing at a rapid pace over the past several years, and this has created unique challenges in terms of our modelling and projections, but also in terms of energy governance, our co-operation with emerging economies, and our approach to energy security and sustainability. When the IEA was founded, our member countries accounted for more than three quarters of global oil demand. That share is now less than half, and such a shift has highlighted the importance of deepening our relationships with key non-member partners.
Also, our conceptions of energy security have widened to include the entire range of fuels, as well as to account for the increasing interdependencies between fuel markets. We are meeting that challenge by developing a multilateral framework of association with key partner countries, as well as with other international organisations.
Those partnerships also allow us to better tackle the global challenges of energy sustainability and climate change mitigation, both of which are becoming only more critical with each passing year, as evidenced most recently by the latest Intergovernmental Panel on Climate Change report. During my tenure I am pleased to report that this has been one of our most important missions, and we continue to stress its importance in consultations with industry, policy makers and the wider civil society.
What challenges have the agency and the global energy economy encountered that you did not foresee?
The distinction was once famously drawn between “known-unknowns” and “unknown-unknowns.” We are aware that some issue areas are bound to dramatically affect the international energy landscape, but we cannot predict precisely how. Geopolitical developments are a prime example.
The IEA is regularly exercising its ability to rapidly react to energy security threats and developments, and to stay flexible given the broad range of scenarios that might arise. The past few years have seen unique tensions in the international energy market deriving from the Middle East, Africa, Eurasia, and elsewhere. Such issues and incidents cannot necessarily be foreseen, but I am proud of our ability to respond with rapid analysis and a well-maintained international network for political and economic consultation.
“Unknown-unknowns” are by nature more difficult to prepare for. I would describe these as “gamechangers” that may arise from technological breakthroughs, economic tipping points, unexpected policy shifts, and more. Often they are the result of a combination of those, and the unconventional gas revolution in the United States is one example.
While that shift was well underway by the time I arrived, it has continued to have sometimes unforeseen implications far beyond the United States and the gas market. For example, the large variations we see in international gas and electricity prices have long-term impacts on relative competitiveness, and contribute to new energy trading relationships in gas but also in coal and power. IEA analysis recognised very early the coming “golden age of gas,” and we were one of the first to highlight its impacts globally. Still, game changers can have great impacts on our scenarios and across our analysis, so we have to remain constantly vigilant to them.
What is your most important goal to accomplish at the IEA before the end of your tenure, whenever that may be?
I mentioned how dramatically the energy economy has changed since the IEA's founding in 1974, and how they are accelerating. The dichotomy between energy consumers and producers is blurring, with major consumers like the United States seeing rising production and the prospect of exports, and traditional producers in the Middle East and elsewhere experiencing rapidly rising domestic demand.
Meanwhile, the impact of major emerging economies on global supply-demand patterns cannot be underestimated. It is in the interest of the IEA to continue to develop its co-operation with key partner countries, particularly in the association framework I mentioned earlier. Instituting that kind of deep co-operation within the framework of a global discussion on energy governance is not a task that can be completed overnight, but I hope and expect to see meaningful outcomes in the near future.
Energy Access as a Major Challenge for Small Island States
H.E. Abdou Nassur Madi, Minister of Production, Environment, Energy, Industry and Handicrafts, Union of the Comoros
May 2014
Energy access is indispensable to economic transformation in most developing countries, mainly the small developing island states such as Comoros. However, this approach to development is threatened by a chronic energy crisis in some countries and is compromising all efforts in other sectors: agriculture and fisheries, industry and crafts, tourism and also services (banks and ... [ More ]
Energy Access as a Major Challenge for Small Island States
H.E. Abdou Nassur Madi, Minister of Production, Environment, Energy, Industry and Handicrafts, Union of the Comoros
Energy access is indispensable to economic transformation in most developing countries, mainly the small developing island states such as Comoros. However, this approach to development is threatened by a chronic energy crisis in some countries and is compromising all efforts in other sectors: agriculture and fisheries, industry and crafts, tourism and also services (banks and commerce, among others). In fact, due to a small market, small island states do not enjoy affordable prices in the energy market.
Constraints to Energy Access
Small island states are isolated to energy markets, have limited resources and are facing environmental vulnerability and dependence on imported sources of energy. In addition, the very limited scale of an island is a handicap when importing a low quantity of oil and gas and then to produce electricity using diesel and small power plants at reasonable costs. This handicap is compounded by the volatility of the price of oil, which small island states are heavily dependent on for energy needs. The economy of such states cannot stand under such pressure.
Limited Natural Resources
In large countries, in the Eastern Africa subregion, more than 90 percent of the population are reliant on biomass, while in Asian countries 54 percent, Latin American countries 19 percent and the Middle East 0 percent (according to an Economic Commission for Africa repor in 2014, Energy Access and Security in Eastern Africa). In most small island states, biomass is limited and cannot be available as an alternative to oil and gas. Biomass represents more than 60 percent of energy consumption in Comoros. However, due to the pressure this situation exerted on natural resources in term of deforestation, the use of biomass is detrimental to the environment and ecosystems preservation.
Opportunities with Renewable Energy
Fortunately, the foundations and principles that the green economy offers to small island states are specific mechanisms to deal with energy challenges and sustainable development. The development of renewable energy represents not a choice but the only choice left to small island states when addressing energy challenges.
Geothermal Development in the Comoros
In the case of the Comoros islands and other islands such as Dominica and Iceland, among others, the volcano on which the archipelago is based offers opportunities in terms of energy through the heat it contains. Development of geothermal energy in Comoros is aiming for economic, social and ecological (sustainable) development. And more specifically, it aims to increase the share of clean energy in the energy mix, by replacing fossil fuels – the share of clean energy in the Comorian energy system is at a very low level, less than 3 percent. It also aims to ensure energy security and the mastery of energy dependence. This initiative is not an easy business, but the government of the Union of the Comoros has made a strong commitment to energy-sector development. The support of our partners, the government of New Zealand and UN Development Programme, urges us in this way. An approach of the African Union is committed under the Geothermal Risk Mitigation Fund to achieve a first study of the surface phase. We invite all partners to support renewable energy projects, which remain the most credible perspective to overcome difficulties in energy for most small island states.
Eelco Hoekstra, Chairman of the Executive Board and CEO, Royal Vopak
May 2014
What does Vopak plan to do to overcome the lower demand for crude oil, gasoil and biofuel storage in the Netherlands?Let me first briefly introduce Vopak. Tapping into a history of almost 400 years, we are the world’s leading independent tank storage company. Our marine terminals are strategically located on all continents along the major ... [ More ]
European Energy Security
Eelco Hoekstra, Chairman of the Executive Board and CEO, Royal Vopak
What does Vopak plan to do to overcome the lower demand for crude oil, gasoil and biofuel storage in the Netherlands?
Let me first briefly introduce Vopak . Tapping into a history of almost 400 years, we are the world’s leading independent tank storage company. Our marine terminals are strategically located on all continents along the major shipping routes for oil, chemicals, LNG and biofuels. We are specialised in the storage and handling of these liquid bulk products and as such we do not own nor trade products. We focus on providing excellent service and building long-term relationships with a wide variety of clients, who include national and international companies and governments. We operate both in mature and growth markets, alone and in joint ventures, with one-third of our activities in Asia.
Last year, Vopak did indeed experience lower occupancy rates of our Rotterdam storage tanks for crude, gasoil and biodiesel, for different reasons. For crude oil and gasoil, backwardation took away incentives to store product. For gasoil, competition increased; we also concentrated the strategic reserves that we store for several governments in the northern part of the Netherlands. This meant relocating product from one Rotterdam terminal, which now needs to be adapted to accommodate a higher throughput. For biodiesel, import duties levied on product from outside the European Union resulted in lower imports. As a result, we reached average occupancy rates of 83 percent in the Netherlands in 2013, compared to global occupancy rates of 88 percent. That was one of the main reasons for our slightly lower earnings in 2013 – a novelty after a decade of double-digit growth.
Our answer to these and other challenges in the energy markets is, first, to continue aligning our terminal network to meet our customers’ needs and capitalise on future business prospects. That requires relentlessly analysing global trends to pinpoint current and future product flows. These analyses enable us to determine how our terminal network should develop. We divest at locations with insufficient prospects, strengthen existing key locations and constantly look out for new locations. Our global storage capacity will grow from 31 mcm today to 37 mcm by the end of 2016. Secondly, our strategy focuses on improving service at our terminals while increasing cost efficiency. We aim to match the best among our clients in terms of safety and environmental performance.
What is your perspective on the uncertainty in the global energy markets?
There is no uncertainty about global demand, which is expected to grow by some 60 percent in the next 25 years – as it has in the last 25 years. But there is uncertainty about future energy choices, prices and flows. What will be the winning choices? Coal? Gas? Oil? Renewables? Other sources? Those choices will depend on the future price of each kind of energy and they will determine the future geography of global energy flows. How those factors – sources, price and flows – will play out, will determine the readiness to invest in energy infrastructure, including storage. That infrastructure is badly needed to face the growing worldwide imbalance between energy supply and demand. Because of that imbalance, companies are ready to transport energy over ever-longer distances, increasing the integration of energy markets. This applies to crude oil as well as to gasoline or liquefied gas. This trend stimulates investments in energy infrastructure. To give you an example: the financial risks of building an expensive LNG export terminal are mitigated by the possibility to ship LNG all over the world. That, in turn, increases the availability of energy and thus enhances the security of supply. In other words, the uncertainty in the energy markets is being mitigated by globalisation. Yet this is not a given. For instance, major countries can still stimulate infrastructural investments and lower logistical costs by allowing cabotage and establishing an effective legal framework to enable bonded storage, including the blending of products. So governments and regulators have a crucial role to play. They can help ensure the availability of global energy flows by liberalising the energy marketsand agreeing on regulations that enable trade.
Considering China’s growing energy demand, does Vopak have plans for expansion into China?
Absolutely! We are more than doubling our storage capacity in China, increasing it from 1.4 mcm today to 3.9 mcm in 2016. Vopak is already the largest independent liquid chemical storage provider in China. Together with our partners in several joint ventures, we currently own and operate six terminals in China, mainly storing chemicals and oil. Last March, Vopak acquired shares in a new industrial terminal in Gulei Industrial Park, in Fujian. We now have a presence in three of the seven parks that the Chinese government earmarked for the development of the petrochemical industry. We are also developing several new terminals at key locations in China. In the Yangpu Economic Development Zone in Hainan, we will have the region’s first independent oil storage terminal that can receive very large crude carriers. The crude oil flows to that part of China are expected to grow considerably and the Hainan terminal will serve as a hub at the crossroads of major shipping lanes connecting the Middle East and Africa to the Far East.
LNG is important to Europe as it tries to diversify its energy mix for economic and political reasons. Will Vopak be able to capitalise on future United States LNG shipments with its facilities in the Netherlands?
It is a fact that most countries strive to enhance their security of supply by diversifying both their energy mix and sources. The crisis in Ukraine seems to be strengthening that thinking. LNG is one option to diversify the energy mix. It can be shipped from various sources in all directions all over the world.
Our Gate terminal in Rotterdam, a joint venture with gas infrastructure company Gasunie, is a state of-the-art terminal where the largest LNG ships can dock. It was inaugurated in 2011 and stands ready to receive American LNG. But there are three “ifs.” Gate will only see new LNG flows come in from the United States if American companies are allowed to export more LNG, if they decide to export to Europe and if our customers decide to buy American LNG.
Gate has long-term contracts with major utility companies like E.ON Ruhrgas and Dong for a throughput of 12 bcm per year – the equivalent of one quarter of the Netherlands’ annual gas consumption. How will that capacity be used? That is up to our customers, the utility providers. They will decide whether or not to buy American LNG.
If they do, will there be a need to construct new LNG terminals along Europe’s coasts?
In the past year, Gate has evolved from an import terminal to a hub terminal, from where LNG is also re-exported. Technically, we can expand the storage capacity at Gate with a fourth tank, which would increase Rotterdam’s potential throughput of LNG to 16 bcm per year.
We are also looking into opportunities for starting LNG bunkering and expanding truck loading in Rotterdam. Eastward, we are looking into the feasibility of building small-scale terminals in Tallinn, Estonia, and in Gothenburg, Sweden. These locations could serve markets that are too small to receive the largest LNG carriers, but interesting enough for smaller LNG ships. In Fos-sur-Mer, near Marseille, we are conducting a feasibility study for an LNG terminal to bring more gas to the South of France and to develop small-scale activities.
Will LNG be the answer to Europe’s energy needs?
We are positive about the future of LNG, for Europe as well as for Asia, but it is not the answer to all our needs. When talking about LNG in Europe, we should distinguish between the short and the long term. For now, LNG can hardly compete with other sources. In Northern Europe, the price of LNG is higher than pipeline gas due to the high demand in Asia. And pipeline gas cannot compete with coal, as demonstrated by the recent closure of gas-fired power plants. For the long term, the share of LNG in Europe’s energy mix will continue to grow. Gas is the cleanest fossil fuel and LNG allows for impressive emission reductions for trucks and ships.
Globally, our LNG results increased in 2013. We expect these results to keep growing, as liquidity in the global LNG market increases, with more liquefaction capacity, more players, more trade and more short-term contracts. As global LNG trade increases, so does the need for flexible and independent storage. Vopak entered the LNG business three years ago with terminals in Rotterdam and in Altamira, Mexico. Our ambition is to build a global LNG network with a few major hub terminals and several small-scale terminals to serve smaller markets and remote areas. We believe in the growing role of LNG.
H.E. Uzakbay Karabalin, Minister of Oil and Gas, Republic of Kazakhstan
May 2014
Energy resources define the current and future state of the world economy. Now is a very important period for civilization as the world's population is approaching 8 billion. The volume of global GDP at purchasing power parity is about $85 trillion. Against this backdrop, conventional technologies are facing challenges associated with the exhaustibility of resources. ... [ More ]
Global Pragmatism
H.E. Uzakbay Karabalin, Minister of Oil and Gas, Republic of Kazakhstan
Energy resources define the current and future state of the world economy. Now is a very important period for civilization as the world's population is approaching 8 billion. The volume of global GDP at purchasing power parity is about $85 trillion. Against this backdrop, conventional technologies are facing challenges associated with the exhaustibility of resources. Fundamentally new approaches to energy are becoming more and more relevant, but it takes time to solve the problems of capital intensity, efficiency growth and environmental sustainability in large-scale applications. The key economic and financial attraction poles involve actively developing China, India and other countries. The global economic landscape is undergoing significant changes and requires joint efforts to definitely reach a positive dynamics of development.
In this context, it is important to consider the following aspects. First, the role of oil, gas and coal will remain the weightiest part in the world energy mix until 2030. However, the share of other sources will gradually increase. Second, the stability of the energy sector should be ensured through constructive co-operation. It is very important not to oppose oil and gas to other energy sources, but to seek common ground and effective models for co-operation. Third, the technological progress is facing new challenges. In the oil sector, this is due to the end of the period of easily recoverable oil. In the gas sector it is production cost and the need to increase efficiency. In the nuclear sector it environmental safety; and in the biofuel sector there are problems of food supply.
There should not be any confrontation in this matter. Moreover, the sectors can actively exchange their innovations, knowledge and approaches. Kazakhstan, as a country recognized among the fastest growing countries in the world and included in the world’s Top 15 by oil reserves, is aware of its increasing responsibility in addressing these and other issues. Our strategic line implies active co-operation with the global business and scientific community.
Along with conventional sources of energy, Kazakhstan takes measures to create a pool of “green economy.” However, the development options for alternative energy are considered in terms of the features of other sectors of the economy. Among other things, this implies the improvement of energy efficiency measures, the development of conventional energy sources to the "green" level, and the use of effective approaches in terms of renewable energy sources.
The results of such activity may be presented at EXPO 2017, which will be held in our capital, the city of Astana, under the motto "Future Energy" and where Kazakhstan intends to demonstrate the potential of its own and joint developments across the entire complex of the energy sector. The global "dialogue of friendship" between green and conventional energy proves to be organic in the context of development of the whole energy space of the world. Such transnational pragmatism appears to be a necessary attribute of the future energy. I am confident that our joint work and the power of partnership will allow us to achieve all desired goals.
Introduction to Iraq's Energy Policies
H.E Abdul-Kareem Luaibi Bahedh, Minister of Oil, Iraq
May 2014
Iraq's energy sector holds the key to the country's future prosperity and can make a major contribution to the stability of global energy markets. Iraq is already the world's third-largest oil exporter and has the resources and plans to increase rapidly its oil and natural gas production as it recovers from three decades punctuated by conflict and instability.Iraq has ... [ More ]
Introduction to Iraq's Energy Policies
H.E Abdul-Kareem Luaibi Bahedh, Minister of Oil, Iraq
Iraq's energy sector holds the key to the country's future prosperity and can make a major contribution to the stability of global energy markets. Iraq is already the world's third-largest oil exporter and has the resources and plans to increase rapidly its oil and natural gas production as it recovers from three decades punctuated by conflict and instability.
Iraq has put its own programmes to increase its oil production to 8 million barrels per day and gas production to 4,000 mcf per day by the year 2020. Service contracts have already been signed with more than 20 international oil companies to develop more than 16 oil- and gasfields in Iraq to ensure this increase in oil and gas production.
Iraq is actively participating in most international energy conferences and workshops and co-operating closely with the International Energy Agency, thereby showing its willingness to share its energy programmes with others. Iraq is becoming a key supplier to Asian markets, mainly China, and by 2030 Iraq will be the second-largest global oil exporter.
Natural gas can play a much more important role in Iraq's future, reducing the dominance of oil in the domestic energy mix. Iraq's gas balance and its opportunity to have a surplus for export depend on creating incentives to develop its non-associated gas resources.
Catching up and keeping pace with rising demand for electricity is critical to Iraq's natural development. Power stations in Iraq produce more electricity than ever before. Iraq needs 70 percent more net power generation capacity to meet full demand.
Energy resources provide Iraq with means to revitalise its economy and take on a new global role and responsibilities that match its potential and the richness of its resources base. There is a strong alignment between the needs of the global market for growth in Iraq's production and the needs of Iraq for revenue to build the foundation of
a modern and prosperous economy.
Energy is inevitable for human life and a secure and accessible supply of energy is crucial for the sustainability of modern societies. The future of human prosperity depends on how successfully we tackle two central energy challenges facing us today: Securing the supply of reliable and affordable energy and transitioning to a low-carbon economy. The current energy system is based primarily on hydrocarbons, fossil fuels and coal. These are finite non-renewable resources that are only found in particular parts of the world. Thus, it is geology that determines the energy resources base that is the total amount of coal, oil and gas reserve that are in existence on the planet.
There has been a global shift in the geography of oil and gas production away from the industrially developed countries towards the developing world. Equally there has been a shift away from the international oil companies as the holders of oil reserves and the main producers of oil, towards national oil companies. Not only has there been a global shift in production, there are also new centres of demand in the developing world – such as China and India – that are changing the geography of demand. All of this means that there is a limited amount of energy production. Thus, it is far from certain whether it will be possible to deliver energy services in a way that is reliable and affordable
and that will not damage the environment.
It is clear that no single country or group of countries can ensure energy security. It can only be achieved efficiently through international co-operation and that can coexist with international competition, but they need to be better balanced.
Finally, our focus here today, and the ongoing focus of the IEF is to increase co operation to achieve energy security at an affordable price linked to timely investment to supply energy in line with economic development and environmental needs.
Market Pressure: The Energy Winners And Losers
Luay Al-Khatteeb, Visiting Fellow, Brookings Doha Center
May 2014
One of the underlying themes of the recent developments in Ukraine is the current and future impact on energy markets. With Russia already enjoying a large share of the world hydrocarbons markets – with some 13 percent of global oil production and 20 percent of global natural gas production – a presence on the Crimean ... [ More ]
Market Pressure: The Energy Winners And Losers
Luay Al-Khatteeb, Visiting Fellow, Brookings Doha Centre]
One of the underlying themes of the recent developments in Ukraine is the current and future impact on energy markets. With Russia already enjoying a large share of the world hydrocarbons markets – with some 13 percent of global oil production and 20 percent of global natural gas production – a presence on the Crimean Peninsula will add further gas reserves to the country’s already unparalleled portfolio. Russia has also gained access to the Mediterranean, via the Black Sea, which is a pivotal export corridor for its hydrocarbons to both Europe and the rest of the world.
Russia supplies more than one-third of Europe’s gas demand. And current market pressure on prices may encourage Europe’s consumers to seek alternative supplies. But where will this supply come from?
European producers such as Norway and the Netherlands can attempt to increase output but are unlikely to carry out significant expansions in production. Though the Middle East has huge gas reserves, most of these remain undeveloped outside of Qatar. Regional producers will need further development in pipelines to Europe to be an effective supply source, while political instability and rising demand at home raises questions about their long-term viability. Nevertheless, mounting domestic demand in the region as well as the potential for exports to Europe and Asia means that the further development of these resources is increasingly likely.
Gas markets are regional, with widely diverging prices. At the moment, the LNG price in Europe is around $9.5 per million British thermal units (Btu), rising to more than $16.5 per million Btu in the Far East, but much lower in the US, where a vibrant spot market has helped keep prices below $5 per million Btu. Still, supply shortages in the Middle East and skyrocketing demand in Asia have put upward pressure on prices in all the regional markets. This will stimulate new developments in pipelines and transportation infrastructure to take advantage of these wide price differentials.
One new entrant to the export market is the US, which is now turning LNG import facilities into export terminals as its unconventional supplies of shale gas continue to grow, expanding over 20 percent in the past five years. The corporations responsible for this growth are keen to seek higher profit margins through export abroad. The US export programme is likely to accelerate in the forthcoming months. As a result of the crisis, US oil and gas multinationals, shareholders and US trade accounts stand to benefit from higher prices stemming from the uncertainty and turmoil in gas markets.
With a large, relatively captive market in Europe, Russia can look to the long term as it develops new markets via improved transport routes – a necessity given that oil and gas account for some 70 percent of Russia’s exports and more than 50 percent of all state revenue. Qatar, the world’s largest producer, will reap rewards from rising prices, especially if it steps up production beyond current limits. Importing nations will face higher prices, especially as the world economy recovers and demand rises.
Meanwhile, the two countries with the potential to supply the world market with more affordable gas and oil – Iran and Iraq – have been hamstrung by political barriers, be they international economic sanctions or the need to combat domestic political instability and terrorism. These two countries have the potential to increase their oil and gas production significantly: Iran has the second-largest oil reserves in the world while Iraq’s under-developed gas reserves could double with proper exploration.
Slow progress in developing these countries’ resources has benefited neighbouring producers multinational oil companies at the expense of the world’s consumers who have endured high and rising prices as a result.
Higher LNG prices will encourage importing nations to accelerate investment in their own unconventional sources while seeking investment partnerships with potential suppliers such as Iran, Iraq and various North African states. China, India and the other large Asian consumers will look to the Middle East and North Africa region, East Africa, Australia and Russia to secure supplies, while Japan may be keener to restart its nuclear plants to reduce dependency on expensive oil and LNG. Meanwhile, the EU will have to start hydraulic fracturing in its own backyard if it is wants to avoid paying higher gas prices in the future.
In short, current global market developments benefit gas exporters. It will encourage investment in the development of gas resources in the Middle East and North Africa region as it benefits those involved in shipping and piping gas around the world. The losers are European and Asian consumers who will pay higher prices for some time to come.
H.E. Charles Kitwanga, Deputy Minister for Energy and Minerals, Tanzania
May 2014
Regarding the production and use of the country’s natural gas reserves, what steps are being taken to gasify the country and decrease the reliance on burning wood for fuel? Several steps have been taken to use natural gas as a source of energy and ultimately reduce heavy dependence on fresh wood and charcoal as main ... [ More ]
Move To Gas
H.E. Charles Kitwanga, Deputy Minister for Energy and Minerals, Tanzania
Regarding the production and use of the country’s natural gas reserves, what steps are being taken to gasify the country and decrease the reliance on burning wood for fuel?
Several steps have been taken to use natural gas as a source of energy and ultimately reduce heavy dependence on fresh wood and charcoal as main fuel for cooking. The government of Tanzania, through the Tanzania Petroleum Development Corporation, is implementing a natural gas distribution project for households, institutions and vehicles. The project intended to construct infrastructure for distribution and marketing of gas to cover more than 30,000 households and institutions and 8,000 vehicles in the Dar es Salaam city. Currently, the status is: some vehicles have been converted to use CNG; some households have been connected to use natural gas, as pilot project; some institutions have been connected such as Keko Prisons, Serena Hotel and the Mgulani settlement. It is expected that upon successful operation of the pilot project, the scope will be expanded, as more gas is made available. It is expected most users of wood fuel will definitely switch to gas.
What is the anticipated future outlook for the country in terms of production, meeting local demand, and exporting gas to other countries?
Tanzania is in the final stages of adopting the Natural Gas Master Plan, which will recommend a pattern for gas production, potential domestic demand, and natural gas for export, over a defined period.
What are the target export destinations?
Emanating from the policy, the domestic market is our first priority, still the government has not ruled out exporting gas through pipeline to neighbouring countries and LNG as a means to distant markets. The export market for natural gas is yet to be determined.
Are new pipelines being considered?
Tanzania has been operating a pipeline from the Songo Songo field to Dar es Salaam, which, however, is adequate for the current and future needs. The government is constructing a new pipeline with a larger capacity from Mtwara and Songo Songo to enhance gas supply in the city.
The government has initiated preliminary discussions with gas developers (Statoil/ExxonMobil and BG/Ophir Energy) towards implementing an LNG project. This project will enable extraction of deepsea gas for export market through LNG and availability of gas for the domestic market.
How will gasification improve the country and the economy?
Tanzania is expecting to benefit a lot from gas including reliable power supply for the economy, gas-related industries and revenues from gas sales domestically or internationally. Expectations based on past experience whereby the economy of Tanzania is saving more than $1 billion per year by using natural gas instead of imported oil in existing power plants; the power sector foreign exchange market savings amounted to more than $5,109 million from July 2004 to September 2013; the industrial sector savings amounted to more than $458 million from July 2004 to September 2013.
What are the government’s aspirations on how to use the wealth brought in by the exploitation of this natural resource?
The major aspirations by the government are reflected in the natural gas policy. The natural gas policy adopted on October, 2013 clearly focuses on managing revenue arising from natural gas with a view to benefit the present and future generations of Tanzanians.
The policy explicitly stated that the government shall: establish a natural gas revenue fund for the development and growth of natural gas industry as well as for national strategic projects to unlock economy and investment for future generation; ensure that natural gas revenue is used appropriately for the benefits of the present and future generations; ensure that the local communities benefit from the natural gas activities in their respective localities and ensure that an institutional arrangement, a legal framework and guidelines to manage the fund are in place.
Natural Gas: The Destination Fuel for a Sustainable Low-Carbon Global Economy
Jérôme Ferrier, President, International Gas Union
May 2014
The International Gas Union (IGU) is representing the worldwide gas industry, gathering 83 countries, and covers 95 percent of the natural gas and LNG global activities, from the wellhead to the final consumers.There is a large worldwide consensus, among international institutions (UNO and its agencies or the OECD), governments, opinion leaders, NGOs and public opinions ... [ More ]
Natural Gas: The Destination Fuel for a Sustainable Low-Carbon Global Economy
Jérôme Ferrier, President, International Gas Union
The International Gas Union (IGU) is representing the worldwide gas industry, gathering 83 countries, and covers 95 percent of the natural gas and LNG global activities, from the wellhead to the final consumers.
There is a large worldwide consensus, among international institutions (UNO and its agencies or the OECD), governments, opinion leaders, NGOs and public opinions that finding a path to a low-carbon and sustainable energy future is a major challenge of our time.
In fact, this goal is addressing three questions that should govern any sensible energy policy:
Security of Supply: shall we have enough energy resources to cover the needs of people, the industry and transportation, in the future?
Protection of the Environment: shall we succeed in producing and consuming this energy without creating irreversible damages to the environment?
Affordability and Competitiveness: shall we make this energy available to all at affordable prices and on economically competitive terms?
IGU has come to the conclusion that, in spite of profound differences in the energy situation of each country, it is much easier to reach these targets simultaneously if they are addressed in a consistent manner at least at a regional level, or even better, at a global level. To allow an evolution of the energy mix that takes into account, and attempts to respond as best possible, to each of the three above-mentioned questions, will require an elaborate balancing act. Indeed we believe that the best response will come from aiming, at all times, for the greatest possible overlap between the demands of security of supply, protection of the environment and affordability, rather than from the assignment of rigid and independent targets to each.
The energy policy followed in the European Union since the beginning of this century is a good example of how stand-alone targets can fail to consistently address (i) climate and public health concerns; and (ii) industrial competitiveness and provides a clear illustration of the inadequacy of setting stand-alone targets that fail to deliver consistency between protection of the climate and of people’s health on the one hand, competitiveness of the industry and affordability needs on the other.
The first Climate and Energy Package, adopted in late 2008, had set three European Union-wide 2020 targets, of (i) 20 percent greenhouse gas emission reduction, (ii) 20 percent share of energy from renewables and (iii) 20 percent decrease in primary energy use. In practice, the lack of prioritisation among these three targets had seriously detrimental effects on the competitiveness of the European energy system, particularly the electricity sector, as stressed in a January 2014 report from the French Commissariat Général à la Stratégie et à la Prospective. The fast track applied to the electricity sector in reaching the 20 percent renewables target has proven to be economically and environmentally questionable:
The cost of decarbonisation of the electricity production with renewables is extremely high, resulting either in a considerable price increase to the end customer or in a series of governmental subsidies, although insufficient to avoid the entry of a much larger share of people in the status of energy poverty;
To mitigate the high cost of renewables, most countries, in particular Germany, Spain, the Netherlands and Italy have turned to cheaper imported coal as a source of electricity production, thus closing or mothballing some50 GW of efficient and environmentally friendly gas fired power units (CCGTand cogeneration);
The ETS (Emissions Trading system) proved inefficient in controlling the switch to coal, as most exporting industries could not afford high carbon prices on a worldwide competitive market.
All in all, it seems fair to say that the same level of greenhouse gas reduction could have been achieved with much better economic results, had the European Union opted for the “natural gas plus renewables” mix rather than resting on the “coal and renewables” one.
The Second Energy Package issued by the European Union Commission on January 22, 2014, deals with the period 2020 to 2030 and opens new avenues for a more cost effective way to a low carbon economy:
The CO2 emission reduction is set as the main –even if not explicitly qualified as single – target: the ETS sector (11,000 fixed installations involved in power generation and manufacturing industries) would have to deliver a reduction of 43 percent in 2030 and the non- ETS of 30 percent both compared to 2005;
The new target of 27 percent renewable energies in 2030 is set at the European Union level, each member state having the possibility to adjust its own evolution over the next 16 years.
This new European Union framework should give more flexibility to European Union member states in developing their own national energy policy. This may, in turn, permit a redefinition of the energy mix with a larger share for natural gas. The result, we believe, would be a more effective and competitive energy mix, that would take into account potential synergies between the electricity and gas grids, existing large gas storage capacities in Europe, and the natural complementarity between renewable sources (by nature intermittent) and decentralised natural gas power units.
On a worldwide basis, the 2013 International Energy Outlook to 2035 identifies a few key risks and opportunities for our industry:
With world GDP rising by 3.6 percent per year, world energy use will grow by 56 percent between 2010 and 2040. Half of the increase is attributable to China and India. The engine of energy demand growth is clearly moving to South Asia;
Coal grows faster than petroleum consumption until after 2030, mostly due to increases in China’s consumption, and slow growth in oil demand in OECD member countries;
Natural gas is the fastest growing fossil fuel, supported by new conventional reserves and increasing supplies of shale gas, particularly in the United States. However, coal still remains the dominant fossil fuel on the global scene. Natural gas is abundant and second to no other fossil fuel in terms of environmental qualities. Estimates point to more than 250 years of recoverable natural gas reserves at current consumption levels. New pipelines, new interconnections and expanding LNG infrastructures, along with a revolution in the exploitation of unconventional resources, have transformed supply realities.
At the global level, coal remains the largest source of power through 2035. Replacing old coal plants with new natural gas-fired plants could curb the GHG emissions by more than 60 percent per kilowatt hour generated. Even the most modern coal power plants emit twice as much GHG per kilowatt hour as natural gas combined-cycle units.
Global CO2 emissions from energy use are expected to grow by 29 percent to 2035. Although emissions grow more slowly than energy consumption, as the energy mix gradually decarbonises, coal appears to be the main driver for the trends in CO2 emissions in per capita terms, either in the right way, as we observe in the United States, with a switch from coal to gas for power generation, or negatively, as in China and India, still relying upon coal. If we follow the IEA’s 2013 projections, it is difficult to see how the UN global climate mitigation targets could be reached by 2050. IGU suggests that a sensible target for our industry should be to curb by one-third the expected share of coal in electricity generation by 2040. This should result in an increase of the global natural gas demand by 25 percent, which implies an additional production of about 1,100 bcm in 2040, a realistic target given the estimated natural gas conventional and unconventional resources. Under this new scenario, the global gas demand for power generation would reach 3 tcm in 2035/2040, with the share of gas in power generation climbing from 24 percent to 36 percent.
The substitution of an additional 1,100 bcm of gas to coal for power generation would significantly reduce the growth of GHG emissions, making it possible to stabilise the emission level at a maximum of 40 billion tonnes from 2030 onwards. The necessary resources to achieve this target would mainly come from unconventional reserves such as shale gas and coal bed methane. In addition, our industry should not be shy in addressing the health issues deriving from the massive use of coal. Studies lend evidence that the use of coal for power has very serious health consequences, the cost of which is estimated, in the European Union alone, at $15 billion to $42 billion per year and, while figures may be more difficult to estimate, the situation is more critical still in China and India. In large urban areas, like in Beijing or New Delhi, peaks of air pollution have become a major political issue and a real concern for people. Since the electricity sector represents 75 percent of the coal demand in the OECD countries and 60 percent in the rest of the world, it is possible to reduce massively the carbon emissions by regulating the use of coal in this sector, without affecting the competitiveness of the industry through heavy carbon taxes that would have detrimental effects on global trade.
Both the United States and United Kingdom have followed this route since 2013. President Obama’s Climate Action Plan has set a limit of 500g of CO2 emissions per kilowatt hour for new fossil fuel fired power plants, which means that no new coal-fired power plant can be built without a large portion of emissions being captured and sequestered. Compliance actions are required as soon as 2018, and the United States power industry has turned massively to using natural gas. This move is clearly also linked to the currently low price of gas in the United States. However, it is interesting to note that similar measures were introduced in the United Kingdom, where gas prices are on average almost three times higher than in the United States. The United Kingdom Emission Performance Standards (EPS) have set a limit of 450g of CO2 emissions for new power plants until 2045.
Natural gas and renewables, which complement each other almost perfectly, both for electricity generation and storage, as well as for the injection of biogas in pipelines, should be the two main pillars of an environmentally friendly and sustainable long term global energy policy. Natural gas matches the challenges posed by renewables on many grounds, ensuring a suitable complementarity that offsets most of them, such as:
Their variability and uncertainty: natural gas provides a back-up for the solar and wind resources that are by essence intermittent;
Their location: natural gas CCGT can increase the electricity production capacity in remote locations, so as to mitigate the cost of extending the electricity grid, for instance when such extensions are needed by the installation of new offshore and onshore wind turbines. In the case of biogas, the natural gas transmission and distribution grids can accommodate and balance local productions facilities that would not be economic on a stand-alone basis;
The uncertainty of electricity production forecasts from renewables: natural gas can be used to ensure the hourly balancing of the electricity grid, by a recourse to gas turbines. In IGU’s view, natural gas should not be regarded as a transition fuel but actually as a destination fuel for ensuring a sustainable and climate friendly future at a global level. We can make this future happen… and it is anything but science fiction!
OAPEC’s Significance in the International Oil and Natural Gas Markets
H.E. Abbas Al Naqi, Secretary General, OAPEC
May 2014
The Organization of Arab Petroleum Exporting Countries (OAPEC) is a regional inter-governmental organisation established by an agreement signed on January 9, 1968, by Saudi Arabia, Kuwait and Libya. Thethree founding members chose the state of Kuwait for the organisation’sdomicile and headquarters. OAPEC is concerned with the developmentof the petroleum industry through fostering co-operation among its members.It ... [ More ]
OAPEC’s Significance in the International Oil and Natural Gas Markets
H.E. Abbas Al Naqi, Secretary General, OAPEC
The Organization of Arab Petroleum Exporting Countries (OAPEC) is a regional inter-governmental organisation established by an agreement signed on January 9, 1968, by Saudi Arabia, Kuwait and Libya. Thethree founding members chose the state of Kuwait for the organisation’sdomicile and headquarters. OAPEC is concerned with the developmentof the petroleum industry through fostering co-operation among its members.It contributes to the effective use of the resources of member countriesthrough sponsoring joint ventures.
The organisation’s membership is restricted to Arab countries to whom petroleum forms an important source of national income. Currently, the organisation has a total of 11 member countries, namely Saudi Arabia, Kuwait, Libya, Algeria, Bahrain, the United Arab Emirates, Qatar, Syria, Egypt, Iraq and Tunisia. The total population of OAPEC is about 239 million, representing 66 percent of the Arab population. OAPEC’s total GDP amounted to $2,334 million, accounting for 86.7 percent of total Arab Gross Domestic Product measured in current price.
OAPEC member countries occupy a significant position in the international oil and natural gas markets. The most prominent parameters that illustrate their significance – present and future – are: oil and gas reserves, oil and gas production, oil and gas consumption and oil and gas exports.
Oil and Gas Reserves
The world’s total oil proven reserves witnessed a sharp rise in the last decade, increasing from 1,138.6 billion barrels in 2003 to 1,277.7 billion barrels in 2013. OAPEC member countries were the origin of about 40 percent of the increase in the world’s proven reserves. OAPEC proved reserves amounted to 703.3 billion barrels (55 percent of the world’s total) in 2013. That puts OAPEC at the top versus other international groups. Five OAPEC members (Saudi Arabia, Iraq, Kuwait, United Arab Emirates and Libya) hold 51.6 percent of the world’s proven reserves. As for natural gas, the world’s proven reserves reached a level of 198.9 tcm in 2013. Natural gas reserves are more dispersed than those of oil, with OAPEC accounting for 26.6 percent of the world’s total. By the end of 2013, OAPEC natural gas reserves had reached 52.9 tcm, and they are concentrated in Qatar, which holds about 46.2 percent of OAPEC total and 12.3 percent of the world’s total.
Oil and Gas Production
The world’s production of crude oil (excluding condensates and natural gas liquids) amounted to 75.5 million barrels per day (b/d) in 2013. OAPEC crude oil production reached 21.8 million b/d, or 28.9 percent of the world’s total.
Saudi Arabia holds about 20.8 percent of the world’s proven reserves. In 2013, Saudi Arabia produced 9.7 million b/d or 13 percent of the world’s total followed by Kuwait with 2.9 million b/d or 3.8 percent and the United Arab Emirates with 2.7 million b/d or 3.6 percent of the world’s total.
OAPEC members play a central role in balancing and stabilising the world oil market, not only because of the size of their production, but also because of their spare production capacity. Saudi Arabia, the world’s leading exporter, with total capacity of more than 12 million b/d, holds the bulk of the world’s spare capacity.
It is worth mentioning that OAPEC oil production share from the world’s total (28.9 percent) is much less than its share from the world’s proven reserves (55 percent). The opposite is true for other regions. This fact strengthens OAPEC capability in meeting the expected increase in world oil demand. Among the world’s top 16 countries, whose production exceeded 1.5 million b/d in 2013, there were four OAPEC countries, headed by Saudi Arabia followed by the UAE, Kuwait and Iraq. Turning to marketed natural gas, OAPEC production of marketed natural gas amounted to 566.2 bcm or 16.4 percent of the world’s total.
Oil and Gas Consumption
In general, OAPEC countries witnessed a steady increase in consumption of both oil and natural gas. Oil consumption reached 5.6 million barrels of oil equivalent per day (boe/d) (6 percent of the world’s total) in 2013, representing an annual growth rate of 4.9 percent during the last decade, while production was close to 22 million b/d. The difference between OAPEC member countries production and consumption of oil, illustrates their significance to oil markets stability.
Domestic consumption of natural gas, on the other hand, reached 7 million boe/d (11 percent of the world’s total) in 2013, with an average annual growth rate of 8.9 percent during the last decade. Consumption varied from one country to another due to the differences in availability of oil and gas, energy-intensive local industries and standard of living in each country. Saudi Arabia consumed 25 percent of OAPEC’s total, followed by Qatar (19 percent) and the United Arab Emirates (17 percent).
Oil and Gas Exports
During 2012, OAPEC crude oil exports estimated at 17.9 million b/d and oil products exports estimated at 3.8 million b/d. Total OAPEC oil exports represented 33.9 percent of the world’s total. Of the world largest seventeen oil exporters, (i.e. countries that export more than 1.0 million b/d), there were seven OAPEC countries in 2012 headed by Saudi Arabia with an export level of more than 8 million b/d. On other hand, OAPEC exports of natural gas more than doubled in the last decade, to 194.4 bcm in 2012, accounting for about 19 percent of the world’s total. Approximately 66.8 percent of OAPEC’s natural gas exports were in the form of LNG, while the rest was pipeline gas from Algeria, Qatar, Libya and Egypt. Qatar is OAPEC’s largest exporter of natural gas (62.5 percent of OAPEC), followed by Algeria (26.9 percent). In 2012, OAPEC’s surplus exceeded 161 bcm, versus deficits of 197.4 bcm in Western Europe, 148.2 bcm in Asia Pacific and a surplus of 12.1 bcm in North America.
Future Outlook
OAPEC member countries are projected to remain the main providers of hydrocarbons for decades to come. Irrespective of their high consumption rates of both oil and gas, they have the potential for a further increase of their export capacity. In fact, they are the source for the major part of any additional conventional oil supply capacity in the future. Middle East and North Africa (MENA) oil production is expected to reach 38.2 million b/d in 2035, a rise of 6.7 million b/d from 2012. Natural gas output is expected to be 985 bcm in 2035, a rise of 381 bcm from 2011. OAPEC member countries are likely to continue to play a major role in meeting future world demand for oil and natural gas, contributing effectively towards market stability. OAPEC major producing member countries (Saudi Arabia, Iraq, Kuwait and the United Arab Emirates), accounting for around 47.8 percent of the world’s proven reserves, will be the main oil suppliers in the medium to long term. For this to be realised, additional production capacity will be needed which require large investment outlays. This will take place only if there is confidence in the materialisation of anticipated demand (demand security) and access to sufficient funds.
Renewables
With their huge hydrocarbon reserves, OAPEC countries appear to be an unlikely advocate for renewable energy. However, with excellent solar and wind conditions across the Arab region and rising energy demand, renewable energy is attracting an unprecedented attention in the region. Many Arab countries are planning a substantial hike in renewable energy capacity over the coming decade.
Some Arab countries, including OAPEC member countries, have the potential to become important producers and exporters of solar-generated electricity in the future. In such a case, geographical proximity suggests that Europe will be the natural market for such exports. However, renewables can only complement rather than supplant the hydrocarbon fuels, which will remain OAPEC’s main business and the world’s dominant source of energy for the foreseeable future, since the energy market is expected to witness an increasing demand for all kinds of energy sources.
Energy Security
The security of supply and security of demand are two faces of the same coin. Security resides in the stability of the entire market, to the benefit of consuming and producing nations alike. The need for enhanced energy security has to be seen from both supply and demand perspectives, which should be mutually supportive. Uncertainty over future demand translates into uncertainties over the amount of oil that our oil producing countries will eventually need to supply, signifying a heavy burden of risk as investment requirements are very large. By promoting transparency between the major players in the oil market, producers and consumers, the world will definitely take a major step towards Energy Security.
Climate Change Issue
We believe any agreement related to a post-Kyoto protocol should take into consideration the interests of all parties, including oil producing and exporting countries, whose economies and revenues are highly dependent on a single and very limited resource for their development while taking into consideration the current framework convention (UNFCCC) and the Kyoto Protocol on the other.
H.E. Rene G. Ortiz, Former Minister of Energy and Mines, Ecuador
May 2014
The grand future challenge of the oil industry is indisputably to move from the state of well-known good practices towards best practices in order to step up into the next world of quality and hyper-connectivity era.Unquestionably, civil society – genuinely immersed nowadays in environmental issues of the sort – is ready to agree to take ... [ More ]
Oil Industry Best Practices
H.E. Rene G. Ortiz, Former Minister of Energy and Mines, Ecuador
The grand future challenge of the oil industry is indisputably to move from the state of well-known good practices towards best practices in order to step up into the next world of quality and hyper-connectivity era.
Unquestionably, civil society – genuinely immersed nowadays in environmental issues of the sort – is ready to agree to take in and accept the prolonging of a world energy consumption situation dominated by fossil fuels. It seems – given the success of new extracting technologies for both conventional and non-conventional oil and gas deposits – the inevitable energy path for at least another hundred years. The latter is based upon the world oil scenarios under which the oil industry is working and its participation in the demand energy-mix for the near future. In fact, the coincidence of OPEC ’s oil scenarios in the 2013 World Oil Outlook to 2035 and the BP Energy Outlook 2030. In the OPEC World Oil Outlook, projections to 2035 are set optimistically with “no shortages of oil and resources are plentiful.”
Thus, oil remains a key energy source satisfying world’s energy, material and transport needs to help generate better living standards. The assumptions are based on UN demographics in non-OECD countries with 63 percent of the 8.6 billion people becoming urban and India surpassing China as having the largest population. Unequivocally, both match the future with the same type of shifting trend for energy consumption, from OECD countries towards non-OECD countries. The BP Energy Outlook indicates 95 percent of the inevitable energy shift is captured by emerging economies, with India and China playing a key role.
In this context, the notion of a ”quality call” – expected by civil society as briefly described above – can actually be seen also as part of the new geography of energy and certainly as part of human beings’ lives in the future. Nonetheless, the statistic that fossil fuels’ domination will unquestionably grow in near-future energy consumption does not mean the oil and gas industry can keep on managing and operating based upon a business-as-usual practice. For civil society, the quality call it is certainly addressing to oil operating and service companies around the world, is a “do it right” future challenge, along with a dozens of other industry challenges, in order to have a socially responsible oil barrel in the market place.
Oilmen are fully aware that, for an industry which is socially and environmentally blamed for being number-one responsible for world pollution, the remaining oil in the ground is to be found, discovered and developed under extremely sensitive conditions.
Work out there, along with powerful non-stop on-the-job training, can produce responsible clean oil, with the application of the latest state of the art social and environmental standard, EO 100™. That can lead the change from good practices to best practices, along with an independent certification and auditing and to a quality of work in the neighbourhood of zero tolerance. Actually, there are examples, in upper Amazon Basin operations in Colombia, Ecuador, Peru and Bolivia, where the industry is gradually moving into this unique social and environmental standard, the EO 100™. To paraphrase the lyrics of John Lennon’s famous song, “You may say I am a dreamer, but I am not the only one.”
In fact, navigating around the Internet can lead to the website of Ecopetrol, the national oil company of Colombia. The company statement, in Spanish, goes as follows: “Barriles limpios, respetar la vida, el medio ambiente y estar en armonía con las comunidades, es la mejor manera de alcanzar nuestras metas. Por eso queremos que los barriles que producimos en Ecopetrol sean limpios.” (Clean barrels: to respect life, the environment and to be in harmony with the communities is the best way to meet our goals. Thus, we want Ecopetrol’s produced barrels to be clean.)
Similarly, in Ecuador, Agip Oil, an Eni subsidiary, is recording a very best example of land rehabilitation practice at an abandoned platform site, in block 10, and an operation with zero oil spills for the last 15 years.
The world oil industry has examples of dozens of similar operations which are reported at specialised publications only. The standard world media takes and reports the dark side of the oil industry with contamination headlines. Thus, the quality call for the industry is the most challenging journey to best practices.
At this point, it is worth mentioning that the oil industry might be considered one of those businesses where tonnes of money is invested and dedicated to scientific research and applied technology to do it better and proudly and positively assesses the high degree of expertise reached by the industry. But I think that we all know that human error is a stress-free cherished measurement often used to justify a task laxity by any worker at an operating site. That is negligence and cannot be accepted in the current hyper-connectivity era. It sounds as if that would be trivial or irrelevant. No. But the fact of the matter is that technologies, techniques and expertise involving a policy, a plan, a programme and an operating manual can fail if, in my view, on-the-job training is overlooked and not resolutely embraced in minute after minute of work. Thus, best practices ought to be considered part of the new geography of energy.
Powering The Third Industrial Revolution
Kandeh K. Yumkella, UN Under-Secretary-General, Secretary-General’s Special Representative and CEO, Sustainable Energy for All Initiative
May 2014
The greatest sustainability challenge, or perhaps most exciting transformative opportunity, the world faces today is how to power the third industrial revolution while simultaneously avoiding the catastrophic impacts of global warming.In the next two decades almost 3 billion more people will move into the middle class. As a result, they will want better housing, more ... [ More ]
Powering The Third Industrial Revolution
Kandeh K. Yumkella, UN Under-Secretary-General, Secretary-General’s Special Representative and CEO, Sustainable Energy for All Initiative
The greatest sustainability challenge, or perhaps most exciting transformative opportunity, the world faces today is how to power the third industrial revolution while simultaneously avoiding the catastrophic impacts of global warming.
In the next two decades almost 3 billion more people will move into the middle class. As a result, they will want better housing, more televisions, more cars, more food, more water, more energy and more of everything. At the same time, many studies show that we are approaching planetary boundaries, and resources (including food, water and energy) will be scarce to meet this growing demand for goods and services. The Third Industrial Revolution (TIR) is now emerging based on the integration of new renewable energy sources with Internet technology in post-carbon energy economies. This is taking place simultaneously with revolutionary digital manufacturing technology and a focus on green industry. In other words, the third new industrial revolution is about achieving sustainable production and consumption. As United Nations Secretary-General Ban Ki-moon notes, the challenge is how to grow economies and spread prosperity, while keeping the earth’s thermostat below a two degrees temperature rise.
Jeremy Rifkin, President of the Foundation on Economic Trends and Professor at the Wharton School of Business, has demonstrated that industrial revolutions have been driven by a convergence between changes in the availability (and type) of energy and the changes in how society gathers and disseminates information. The first industrial revolution was driven by coal and steam power combined with the printing press, and the second industrial revolution was, “organised around centralised electricity, oil-powered internal combustion engine, combined with the telephone, radio and television.” In Rifkin’s view, the current third industrial revolution is an opportunity to combine innovations in distributive energy and the digital/data revolution. The integration of massive investments in decentralised renewable energy combined with information and communications technologies will create the “energy Internet,” and that impulse will lead to millions of jobs in both rich and poor countries. This energy transition is also expected to help end energy poverty.
However, the World Energy Council (WEC) Trilemma report of October 2013 indicates that at the current pace of actions by governments and the private sector, ending energy poverty could take another 60-70 years (when my grandchildren are my current age). At the same time, global carbon emissions were at an all-time high in 2012, and the International Energy Agency (IEA) reported in June 2013 that the world was on a path towards 5.3 degrees centigrade by the end of the century. So we need a more rapid energy transition as part of the third industrial revolution.
Though revolutions are mostly not planned, they can be catalysed. So how do we accelerate the pace of innovations in the energy sectors around the world to meet both the demands of higher populations, higher rates of urbanisation and the desire of developing countries and emerging economies to industrialise and create wealth for their own citizens?
I propose the establishment of “Creative Coalitions” in three main action areas, namely: accelerating continued cost reductions for renewable energy technologies, forging a deal on energy efficiency among the 23 highest greenhouse-gas emitters, and supporting a group of progressive developing countries to deepen energy sector reforms to attract investments in distributive energy systems and sustainable infrastructure.
In October 2013, the Oxford Martin Commission for Future Generation, which is led by Pascal Lamy, Michele Bachelet, Nicholas Stern, Amartya Sen, Jean-Claude Trichet and others, coined the phrase Creative Coalitions to describe multi-stakeholder partnerships of governments, private firms and civil society groups that have a common interest to drive longer-term societal transformations. Such partnerships, in the energy sphere, could be forged around the three pillars I mentioned, which I will now describe in more detail.
The Solar Coalition for Increased Cost Reduction
First, we need a coalition to accelerate massive cost reductions in renewable energy technologies. We need a group of countries to come together and agree to radically drive down the cost of renewable energy within a decade. Though there are already some locations where wind and solar power have reached grid parity with fossil generated electricity, the key is to make renewable energy universally as cheap as, or cheaper than, current centralised fossil-based power generation.
Thanks to innovations in the United States, Germany, Japan and China, we have already seen a 70-80 percent decline in the cost of solar photovoltaic power generation in the past six years. Still more can be done to make sure these reductions continue and that they are available in all countries. Two eminent global leaders, Sir David King, the new Climate Envoy of the United Kingdom government, and Lord Richard Layard, call for new spending on solar energy technology improvement, “to match the spending on the Apollo project would require only 0.05 percent of each year’s gross domestic product for 10 years from each G20 country” (Financial Times, August 2, 2013). The German government has to be recognised for already making efforts to create a renewable energy coalition along the same lines.
The Energy Efficiency Coalition
Second, we need a group of countries, in particular the 23 members of the Clean Energy Ministerial (CEM), to agree to act collectively to achieve the doubling of the rate of energy efficiency in their economies. Small actions on energy efficiency by a group of large countries can have major impacts. For example, energy-saving bulbs can reduce a household’s total electricity consumption by up to 15 percent and could save Europe 40 billion kWh a year – a figure that is roughly equal to the current annual consumption of Romania.
The CEM countries account for about 80 percent of global energy demand, 80 percent of greenhouse-gas emissions, and also about 90 percent of clean energy investments. Greater technological co-operation, an agreement on a set of policy principles which can be concurrently translated into practical actions in their respective countries, cities, or industrial sectors, can expand markets for new energy-efficient technologies (and renewables) and drive costs down further.
This elite group will meet again in Seoul in May 2014. They have already started on some energy efficiency efforts – so this proposal would build on those. In my view, their agenda should include consideration of the Oxford Martin Commission recommendation for a “C20-C30-C40” coalition for transformations in energy efficiency and climate mitigation.
A concrete road map for this group of countries would include to “develop targets for areas including increased LED street lighting; decreased commercial energy usage; promotion of more energy-efficient buildings, transport systems, and housing improvements; ensure accelerated penetration of highly efficient vehicles and biofuels as recommended by the International Climate Taskforce in 2005.” To facilitate trust and tracking of progress, membership in the coalition would be “contingent on performance and an annual disclosure process, with an accreditation system put in place to reward the strongest performers.”
Coalition of Progressive Transformers
The WEC Trilemma calls for each country (rich and poor) to pursue the simultaneous achievement of energy security, energy equity, and sustainability. In my view, some developing countries must seize this framework to help them leapfrog into new energy pathways in the same way they took advantage of mobile telephony. It is noteworthy that African countries embraced mobile telephony more rapidly than other regions (from about 4 million mobile phones in 2000 to 720 million in 2012).
Some countries are already on this path. China is doing this already with over $60 billion in investments in renewable energy in 2012 alone. Saudi Arabia has launched a new target to achieve 30 percent renewables in their energy mix by 2032. In Brazil, about 60 percent of energy supply is from renewables, and its “Light for All” programme has reached the milestone of 15 million beneficiaries, resulting in over 99 percent of the population now having access to electricity. Ghana, South Africa and Vietnam made tremendous strides in these areas as well. Other countries in Africa and South Asia (where most of the energy poor live) should learn from these examples to drive their own energy trilemma.
This coalition can be led by the BASIC countries (Brazil, South Africa, India and China) and Germany, Denmark and Norway in a triangular co-operation model. The Renewable Energy Policy Network for the 21st Century’s (REN21) Renewables 2013 Global Status Report shows that of the $244 billion in renewables investment in 2012, BASIC countries accounted for 40- 50 percent, shifting the market from United States and Western Europe. They have not only effectively domesticated the relevant technologies, they have also deployed them in ways relevant to a developing country context (by balancing energy access for the poor, and energy for industrial growth and wealth creation). Their experience through south-south co-operation, combined with German, Norwegian and Danish technological prowess (triangular co-operation) can help many of the least developed countries leap -frog into the energy Internet. The developing countries can ride the green energy wave into the energy Internet by beginning to unbundle the power sector, reforming the governance of their power utilities to make them more transparent and profitable, and by establishing robust institutions, and longer-term predictable policies to crowd-in investment into the sector.
Finally, these coalitions must inspire the broader global community of nations to take similar actions for the energy transition. This is the reason why in 2012 the UN Secretary General and the President of the World Bank launched the initiative on Sustainable Energy for All (SE4ALL). The SE4ALL objectives are designed to achieve by 2030 universal access to energy, double the annual rate of improvement of energy efficiency, and double the share of renewables.
Thus they are aligned with my proposals here for new Coalitions. The initiative also calls for a dedicated goal of “securing sustainable energy for all” in the post-2015 international development agenda. Already, we are beginning to see some results from SE4ALL. For example, Norway has committed to support renewable energy and energy efficiency activities with about NOK2 billion in 2014; Bank of America announced that its Green Bond, the world’s first of its kind, has raised $500 million for three years, as part of Bank of America’s 10-year $50-billion environmental business commitment; and the OPEC Fund for International Development has announced a $1-billion fund for energy access in poor countries.
The Sustainable Energy Fund for Africa (SEFA), which is one of the African Development Bank’s vehicles to assist SE4ALL, is a multi-donor facility with an initial $5-million commitment from Obama’s Power Africa Initiative (through USAID) as part of a multi-year engagement complementing an initial contribution of the government of Denmark of $56 million. SE4ALL will mobilise more public-private partnerships like these to catalyse the future we want.
H.E. Alexander Novak, Minister of Energy, Russian Federation
May 2014
It has been almost a year since the passage of Law 213. Have investment procedures in the development of mature fields and hard-to-recover reserves changed? Has the law had a beneficial effect?Certainly, the enactment of the law has been an important step for the development of new fields with hard-to-recover reserves. Most experts in this ... [ More ]
Russian Steps
H.E. Alexander Novak, Minister of Energy, Russian Federation
It has been almost a year since the passage of Law 213. Have investment procedures in the development of mature fields and hard-to-recover reserves changed? Has the law had a beneficial effect?
Certainly, the enactment of the law has been an important step for the development of new fields with hard-to-recover reserves. Most experts in this field also agree on the significance of the law for the oil industry, especially in that the document provides measures to support production in already-developed fields. Previously, the development of hard-to-recover reservoirs located within existing fields was economically unprofitable.
Data on the hard-to-recover oil production index, which is being collected from the companies, will help to evaluate the efficiency of the new law.
How much oil and gas has been produced due to the enactment of this law?
According to experts’ calculations, about 2 billion tonnes of oil will be included in development, and due to this law additional exploration and estimation of hard-to-recover oil reserves to the extent of 22 billion tonnes (in the Tyumen and Bazhenov formations and also oil with a permeability of less than 2 millidarcies) can be carried out.
Positive budgetary and multiplier effects are also expected. During the period of development of hard-to-recover oil until year 2032, state income is going to constitute about 2 trillion roubles with additional production of 326 million tonnes of oil.
Since investment into production of hard-to -recover oil has become profitable, companies are adjusting their investment policies and directing funds towards new projects aimed at the production of hard-to-recover oil reserves.
During the past few years, the European Union has been looking for alternative sources of hydrocarbons. With decreasing demand from European consumers, what other countries apart from South Asian countries is Russia looking at in terms of sales and what other markets is it planning to enter in the next five years?
We are not looking for an alternative to the European market. We are developing the new resource base located in the east of the country. The leaders of energy demand growth are Asian and Oceania countries. Correspondingly, our prospective export strategy is aimed at entering those markets. The biggest countries in this area are China, Japan, South Korea and India. Hydrocarbons producers from the Middle East, as well as from Russia, Canada, Australia and East Africa, are planning to reorient their production to the markets of Asia and Oceania. But the list of these consumers is much bigger. The first LNG project in Russia – Sakhalin II – has shown that the market in this area is very big and any quantities of gas will be in demand.
As the tanker fleet and facilities for LNG re-gasification grow, the gas market will gradually transform into a unified global market. Respectively, in the oil market as well as in the natural gas market, we are expecting significant growth of competition, the appearance of new suppliers and bigger diversification of supplies.
The use of new technologies for shale gas and oil production can become widespread in the world, even though it is not a fast process. Everyone is aware of the various technological, legal, infrastructural, ecological and even political complications. However, in prospect it can also influence international energy flow, since the production process can get as close as possible to the places of consumption.
Therefore, in our policy we rely upon the principle of feasibility. We attentively monitor all the changes happening in the international energy market, including changes in the energy balance, infrastructure, routes of delivery and technological development in the industry. That is why decisions on the development strategy are taken with the consideration of key prospective markets and technological achievements.
Creating the incentives for work in an eastern direction will be our strategic priority in the following decades. We will be investing at a growing rate into the development of the resource base and realisation of infrastructural projects that will allow us to meet the requirements of those markets in hydrocarbons.
Eventually, all of this will contribute to the consolidation of global energy security, which both producers and consumers are interested in.
Energy demand from China is growing and co-operation between Russia and China continues. How is Russia planning to satisfy Chinese requirements for energy?
As was already mentioned, infrastructure projects in the Far East are aimed not only at China but also at the rest of Asia and Oceania. China is only one sales market, even though it is a very big and important one. Oil and coal supplies to China are provided competitively. Electricity supplies from the Far East for now are very insignificant, but they allow us to fill our capacities and reduce the rate load for Far Eastern consumers. Pipeline gas is not being supplied yet because there is no infrastructure for this now. But negotiations between China and Gazprom over gas supplies are still ongoing. Potential quantities have been fixed and the only thing that is left is to regulate the issue of pricing where we are guided by market price markers.
What new projects are being created for the realisation of this objective?
In accordance with the agreement between the governments of the Russian Federation and the People’s Republic of China on co-operation in the area of oil from April 21, 2009, there was an oil pipeline constructed and commissioned from Skovorodino to the Russia-China border with transfer capacity of 15 million tonnes per year. The total cost of the construction is about 720 billion roubles.
An intergovernmental agreement with the People’s Republic of China, signed in March 2013 on the extension of co-operation in the area of crude oil trade, provides increased supplies through the Skovorodino-Mohe oil pipeline starting from 2018. It is planned to extend the oil pipeline’s transfer capacities in the sector up to Skovorodino up to 80 mil-lion tonnes per year and in the sector from Skovorodino to Kozmino up to 50 million tonnes a year. Currently, its capacity is 50 million and 30 million tonnes respectively. If required, a further ex-tension of the projects is possible.
Increased oil supplies will allow Russia to both expand trading activities with China and its presence in the markets of Asia and Oceania.
How successful has the development of offshore fields and energy reserves of the Arctic been?
Regardless of the fact that this region has been under development for a long time, the production of an estimated 600 billion barrels of oil is still not up and running. #
Hydrocarbons production on the Russian shelf will be crucial for Russia’s energy balance from the point of view of substituting production decline in existing oilfields, as well as from the retention of positions of Russia in conditions of growth of internal and external demand for oil and gas.
Over the past 10 years, more than two-thirds of hydrocarbons reserves have been discovered. The vast majority of new assets created for the exploration and development of oil and gas are going to the shelf. Oil, gas and condensate resources in the Arctic continental shelf are estimated at 83 billion tonnes of standard fuel.
According to the requirements of the Subsoil Law, an extraction license for the Russian Federation continental shelf can be granted to companies that have not less than five years of experience of the Russian Federation continental shelf exploration; companies that have more than a 50-percent share of the Russian Federation in their authorised capital; and/or companies where the Russian Federation has the right to control directly or indirectly more than 50 percent of the total number of votes of the share capital. Currently, only Rosneft and Gazprom and their subsidiaries meet these requirements.
What current exploration efforts are being made in the Russian Arctic?
The base region for the exploration oil and gas potential in the Siberian Arctic zone is Yamal. It is the most explored region with developed infrastructure and unique reserves of oil and condensate.
The next Arctic gas province after Yamal’s stage of production is the Gydanskiy Peninsula. The resource base will provide annual production of more than 60 bcm (2.12 tcf) and up to 4 million tonnes of gas condensate. At present, geological exploration of the Arc-tic shelf is the main activity in the development of mineral resources in the Arctic shelf. In accordance with the licence obligations, the development of offshore fields is scheduled to begin in 2019-2020. 3D-seismic exploration was the main type of geophysical surveys in 2013. The use of 2D-seismic profiles was planned most-ly in the west Arctic and far eastern seas of the Russian Federation. Starting oil production in the Pechora Sea at oilfields the Varandey Sea and Medynskoye Sea is planned by oil and gas companies working in the Russian Arctic shelf.
At the end of 2013, plans to drill six prospect and exploration wells for oil and gas with total length of more than 16,000 metres were announced. As of September 30, 2013, two exploration wells were drilled in the shelf of the Sea of Okhotsk at the Kirin-sky subsoil area. In 2015, it is planned to commission the Dolginsky oilfield.
Gas production in the Severo-Kamenno-mysskoye, Kamennomysskoye-More and Se-makovskoye fields in the Gulf of Ob and Tar Bay of the Kara Sea is planned to start in 2017-2020.
What challenges are faced in Russia’s continental shelf?
Poor geological research is one of the factors that restrains more active continental shelf reserves exploration. The degree of exploration of initial re-coverable resources of the Russian continental shelf is the following: oil 6.8 percent, gas 11.1 percent. Some seas have zero degree of exploration (Laptev Sea, East-Siberian Sea, the Sea of Chukotsk, Bering Sea, Black Sea and Pacific Ocean aquatory in Kam-chatka and Kurily areas).
However, there has been a growth of the licensing area recently. The total area of the Russian sector of the continental shelf is about 6.6 million square kilometres the licensing area is 19 percent, last year saw just 5 percent.
As of October 2013, 131 licences for the geological survey, exploration and production of hydrocarbons in offshore zones of the Russian Federation were issued. Licence holders conduct work at their own expense in 110 zones.
In order to boost investment in offshore development, Federal Law of 30 September, 2013, No. 268-FZ on Amendments to Parts One and Two of the Tax Code of the Russian Federation and Certain Legislative Acts of the Russian Federation in Connection with the Provision of Tax and Customs Duty Incentives for Hydrocarbons Production on the Continental Shelf of the Russian Federation, which provides implementation of a package of measures to stimulate the development of offshore fields, was adopted.
Also, with the purpose of stimulation of the greenfield development, Federal Law of July 23, 2013, No.213-FZ, On Amending Chapters 25 and 26 of Part two of the RF Tax Code and Article Three of the Law, On the Customs Tariff, providing an application of reduced rates of the tax on natural resource production was adopted.
Russia plays a special role in maintaining the Earth’s Arctic ecosystems and its unique diversity of species. As was already mentioned, a third of the entire area of the Arctic is Russian. These territories are the vivid embodiment of the typical features of the Arctic ecosystems.
In order to preserve the environment from possible oil spills during production in the territorial sea, in the exclusive economic zone and in the continental shelf of Russia Federal Law No. 287-FZ of December 30, 2012, on the Amendments to the Federal Law on the Continental Shelf of the Russian Federation and the Federal Law on Internal Seawaters, Territorial Seas and the Adjacent Zone of the Russian Federation, Prevention and Elimination of Oil spills in the Sea, was adopted on July 13, 2013.
Russia was also actively involved in the preparation of the second in the history legal binding pan-Arctic document – Agreement on Co-operation in the field of preparedness for marine oil spills in the Arctic and combating them, signed during the seventh ministerial session of the Arctic Council in Kirun on May 15, 2013.
Signing the agreement is further evidence of the high responsibility of the Arctic states for the situation in the region.
In your opinion, when will Russia reach peak resource production in the Arctic?
According to the updated quantitative assessment of oil, gas and gas condensate resources, the Barents, Pechora and Kara (including Ob and Taz Bay) seas have the most significant hydrocarbons reserves in the Arctic shelf of the Russian Federation, which comprises 80 percent of total hydrocarbons reserves in the entire Russian Arctic shelf, as well as the en-tire volume of parametric and exploratory drilling. At the present moment, all the discovered hydrocarbons deposits are located in the area of those seas.
In accordance with the commitments of licence holders, reaching project capacities for hydro-carbons fields in the most prospective areas of the Russian shelf is planned 2027-2035 for oil and 2035-2055 for gas.
So, large-scale oil and gas production is planned to start only after 2030, and before this time mainly geological surveys will be performed.
Can Iran become Russia’s main competitor in the natural gas market if negotiations on the “nuclear problem” remove it from international isolation? What are the estimated nat-ural gas reserves in Iran and Russia? Where is it more profitable to produce gas – Russia or Iran?
All producer and exporters can be called potential competitors. At the same time, there are organisa-tions such as the Forum of Gas Exporting Countries where Iran is a member. In these areas we are co-operating with our partners but competition should not cross out one of the participants. We have a mutual understanding with Iran. I think we will be able to co-operate properly with this country.
In comparison, Russia has the largest gas re-serves in the world, which are of 69 tcm. Gas reserves in Iran are estimated at 34 tcm. At present, Iran al-most does not export gas. That is, Iran exports about 9 bcm per year while Russia exports 235 bcm.
If Iran’s isolation is removed, the country will need to make decisions about the sales market in the first turn. Iran can enter European markets as well as mar-kets in Asia and Oceania. But both options will require large-scale investments in infrastructure. Moreover, the contract conditions offered by Russia are rather attractive to foreign investors.
Reference 1: Construction of the ESPO (East Siberia-pacific ocean) pipeline was fulfilled in two stages: ESPO-1, including construction of the Tayshet-Skovorodino sector and the Kozmino oil port, and ESPO-2, including construction of pipeline Skovorodi-no-Khabarovsk- Kozmino port and development of the Kozmino oil port.
Reference 2: In terms of oil and gas resources, the Russian Federation has the most extensive and promising marine periphery. The state balance of mineral resources on the continental shelf of the Russian Federation as of January 1, 2013, includes hydrocarbons reserves in 62 fields, including 15 underwater extensions of coastal fields.
The total amount of recoverable hydrocarbons reserves in categories ABC1 + C2 is 13.4 billion tonnes of coal equivalent, while reserves of the higher category A on the continental shelf of the Russian Federation are not registered, and total reserves of categories B + C1 reserves of 8.9 billion tonnes of coal equivalent or 67 percent.
The New Geography of Energy: Business as Usual or a New Era for Energy Supply and Demand?
H.E. Abdalla Salem El Badri, Secretary General, OPEC
May 2014
Several indicators point at a shift in energy supply and demand. From the so called “shale revolution” to a series of producing countries about to increase or resume production levels once again. How does this impact the OPEC members?At present, we are seeing growth in non-OPEC supply, particularly North American tight oil production, as well as expectations for increases from ... [ More ]
The New Geography of Energy: Business as Usual or a New Era for Energy Supply and Demand?
H.E. Abdalla Salem El Badri, Secretary General, OPEC
Several indicators point at a shift in energy supply and demand. From the so called “shale revolution” to a series of producing countries about to increase or resume production levels once again. How does this impact the OPEC members?
At present, we are seeing growth in non-OPEC supply, particularly North American tight oil production, as well as expectations for increases from elsewhere. This includes non- OPEC countries such as Brazil and Kazakhstan, as well as OPEC countries, such as Iraq, Iran, if sanctions are lifted, and Libya, if the country can overcome its current upheaval. In terms of the impact on OPEC production as a whole, we do not see it as a major challenge. In the near term, OPEC production will remain steady around the 29-30 million barrels of oil per day (b/d) level. Spare capacity will increase, but we expect it to remain at comfortable levels.
In the long term, however, we expect to see the call on OPEC liquids to increase by more than 10 million b/d by 2035. This is greater than the expected increase in non-OPEC supply over the same period, at just under 9 million b/d. For the foreseeable future, OPEC member countries will continue to meet much of the world’s expanding liquids requirements. OPEC members are committed to invest to ensure that consumers receive oil when they need it. In terms of demand, we can expect to see a continuing trend in the expansion of the needs of developing countries. They will be the ones that drive demand in the years ahead.
I should also add that supply and demand levels are always shifting. It is something we have to monitor closely on a daily, monthly and yearly basis.
How concerned are you about instability in Libya and the continual decline of its production? What is OPEC’s role in forestalling oil getting onto the black market?
During Libya’s uprising of 2011, the country’s oil production almost came to a standstill. However, once hostilities ended it was able to return to more than 1.5 million b/d in a fairly short space of time. This was a great achievement and was due to the efforts of an efficient and highly skilled workforce.
It has been sad to see these efforts fall by the wayside. Supply disruptions in recent months have impacted output significantly. We remain hopeful that the Libyan government can resolve the current situation and return full Libyan production to the market. How long this takes, however, is difficult to say. But it is important that the country returns its production capacity as quickly as possible. It is vital that wells are not shut for too long.
In terms of your question about oil getting onto the black market – this is not something the OPEC Secretariat can do anything about. It is member countries that must act to counter any illegal trade of their own oil and products.
Do you foresee Iraq emerging as a factor in compensating for Libya’s lost oil output? With Iraq’s production rising rapidly, how quickly do you foresee the country being subject to the quota system?
In February 2014, Iraqi production expanded from around 3 million b/d to close to 3.4 million b/d. Moreover, increased export capacity and the start-up of new production in a number of joint ventures with international oil companies holds the promise of higher output this year, although a number of above-ground challenges remain in terms of security and the development of new infrastructure facilities. Looking longer term too, Iraq still has huge untapped petroleum resources. There is great potential.
With regards to Iraq and production allocations, this subject is not expected to be discussed in 2014. As for Iraq helping compensate for Libya’s lost output, I think it is important to stress that OPEC member countries have on many occasions made up for any supply shortfall that suddenly impacts the market. This has also been the case with Libya. Our members have made sure there has been enough supply to meet demand. This also underscores the importance of spare capacity, which can be used in an emergency to keep the market balanced. I should stress, however, that Libya will be accommodated once it starts bringing its capacity back online.
Over the past few years, unconventional oil and gas have become more important. Do you think this is a long-term trend?
In the last few years the world has seen an increase in production from unconventional oil and gas. The main focus has been on shale gas and tight oil, particularly in North America. In response to your question, however, I will focus specifically on tight oil.
OPEC welcomes the increase in North American tight oil production. We see it as part of diverse energy mix – something we have always welcomed. With oil demand continuing to expand, the world will need all sources of oil. It also helps underscore what OPEC has said for many years: the fact that oil will remain central to our energy future. It adds depth to global supply and contributes to market stability.
In the United States, evidently great strides have recently been made in developing tight oil, but questions remain about how sustainable this is in the longer term.
There are some environmental concerns. And many wells are already experiencing sharp decline rates – in some cases 60 percent after one year. Moreover, current production is focused on what many are terming “the sweet spots.” This is the low hanging fruit. We need to see what happens once these have been tapped.
In our latest World Oil Outlook, which was published in November 2013, we see North American tight oil supply, including from natural gas liquids, reaching just below 5 million b/d in 2018, before declining thereafter.
Have OPEC members been slow to act on opportunities created by fracking and unconventional oil and gas resources?
I think we need to appreciate that most OPEC member countries still have huge amounts of conventional resources in the ground. It is these that remain the primary focus for petroleum investments in member countries. In terms of oil, OPEC holds over 80 percent of the world’s proven crude oil reserves, and in terms of gas, the share is just under 50 percent.
To date it is only the United States that has really taken advantage of the opportunities created by the evolution of fracking technology. It is easy to understand why. Of course, the technology was developed there. The principle of the private ownership of mineral rights, meaning the landowner benefits, has spurred drilling. And before it tapped into its shale gas and tight oil resources, the United States was gradually importing more oil and gas year-on-year. So I do not think we can say that OPEC member countries have been slow to act on the opportunities around unconventional resources. In fact, we are already seeing some, such as Algeria and Saudi Arabia, talk about developing their unconventional gas resources.
Moreover, they certainly have the resources. In a 2013 United States Energy Information Administration report, Libya and Venezuela were in the top 10 for technically recoverable tight oil resources, and Algeria was in the top ten for technically recoverable shale gas resources. It is also clear that many countries are still in the early assessment phase for these types of resources. I am sure OPEC member countries will find, develop and produce more unconventional resources in the coming years and decades. But, of course, that is a decision to be taken by each of them.
What is your position on the recent jump in OPEC crude output, which is matched by the steady growth of non-OPEC supplies? Are you concerned about the impact on the barrel price?
Yes, we have seen a slight increase in OPEC crude output in recent months and there is an expectation for a steady growth in non-OPEC supplies this year. However, as I mentioned in my response to your first question we are comfortable with this. We believe the market will remain fairly balanced in 2014.
In terms of the price, I am not unduly worried about current developments, but let me stress that OPEC does not have a target price. Our priority is a stable price; a level that does not affect global economic growth, and at the same time, a level that allows producers to receive a decent income and to invest to meet future demand. It is in no one’s interest to have an industry where investments are “on, off, on, off.” When talking about supply and the price we need to remind ourselves about the cost of the marginal barrel. It is obvious that this has increased significantly over the past decade, and the question that needs to be asked is: at what price levels might some projects being developed become unworkable? It is clear that for some projects it may not be far below current price levels of $100-110. It is essential we try and maintain a stable price. This benefits both producers and consumers.
Who Has the Energy to Compete?
Fatih Birol, Chief Economist, International Energy Agency
May 2014
Large, persistent differences in natural gas and electricity prices across regions, coupled with a sustained period of high oil prices that is without parallel in market history, have made energy a hot political issue. Lower natural gas prices in the United States, supported by the shale-gas revolution, have boosted that country’s industrial and economic competitiveness, ... [ More ]
Who Has the Energy to Compete?
Fatih Birol, Chief Economist, International Energy Agency
Large, persistent differences in natural gas and electricity prices across regions, coupled with a sustained period of high oil prices that is without parallel in market history, have made energy a hot political issue. Lower natural gas prices in the United States, supported by the shale-gas revolution, have boosted that country’s industrial and economic competitiveness, raising hopes of a sustained economic recovery on the back of the manufacturing sector. Conversely, higher energy prices in Europe and parts of Asia, particularly Japan, are setting alarm bells ringing, with politicians calling for urgent action to prevent the demise of their industrial heartlands. Are these hopes and fears justified?
The results of new IEA analysis just published in the 2013 edition of the World Energy Outlook (WEO) suggest that shifts in energy competitiveness could indeed have far-reaching effects on investment, production, employment and trade patterns. In most sectors, in most countries, energy is a relatively minor part of the calculation of competitiveness. But its cost can be crucial to energy-intensive industries, such as chemicals, oil refining, iron and steel, paper, cement, glass and aluminium. For those sectors, differences in prices across regions can lead to significant differences in operating margins and potential returns on investment, especially where the output is easily traded internationally. So these industries do tend to migrate to where energy costs are lowest, though other factors – such as labour, capital and raw material costs – matter, too.
In recent years, regional natural gas-price differences have ballooned as a result of falling prices in North America, thanks to booming production of shale gas, and rising prices in Europe and Asia, where gas prices remain largely indexed to expensive oil. By mid-2012, the price of gas imported into Europe reached a level more than five times higher than in the United States, while Japanese prices were an astonishing eight times higher. United States prices have since rebounded, but are still three times lower than in Europe and almost five times lower than in Japan.
These price differences are contributing to significant differences in electricity prices across regions, too, as gas is often an important fuel-input to power generation. Industrial electricity prices in Japan, Europe and China remain roughly twice as high as in the United States. In the WEO central scenario, we project that gas-price differentials will narrow somewhat in the coming years, though nonetheless remain substantial through to 2035, while electricity-price differentials will persist in many cases (figure 1). So what we see today reflects a structural issue, not a one-off.
There are signs that these price divergences are already starting to affect investment in new capacity, especially in the petrochemicals sector, and our analysis indicates that this is set to continue over the coming two decades. In many emerging economies across Asia, we project that strong growth in domestic demand for energy-intensive goods supports a swift rise in their production, accompanied by growth in exports. But relative energy costs play a more decisive role in shaping developments elsewhere. We project the United States to see an increase in its share of global exports of energy-intensive goods, providing the clearest indication of the link between relative low energy prices and the industrial outlook. By contrast, the European Union and Japan both see a strong decline in their export shares – a combined loss of around one-third of their current share (figure 2). Such shifts in industrial competitiveness have important knock-on effects for the rest of an economy: lower industrial costs mean lower input prices into other economic activities, an improvement in the terms of trade and higher income.
Searching for an Energy Boost to the Economy
Fortunately, there is considerable scope for action to enhance energy competitiveness, both by putting downward pressure on energy prices and by mitigating the impact of price increases. The challenge is to identify solutions that improve energy competitiveness, or at least mitigate part of the impact of energy price disparities, while at the same time addressing energy security and environmental concerns. Improving energy efficiency is at the top of the list. As well as bringing down costs for industry, efficiency measures mitigate the impact of energy prices on household budgets (the share of energy in household spending has reached very high levels in the European Union) and on import bills (the share of energy imports in Japan’s GDP has risen sharply). But for the full economic potential of efficiency to be realised, action is needed to break down the various barriers to investment in energy efficiency. This includes phasing out fossil-fuel consumption subsidies, which the IEA estimates rose to $544 billion worldwide in 2012.
Another avenue to boosting energy competitiveness is encouraging the development of indigenous sources of energy with the potential to meet domestic demand at lower cost. In several regions – including parts of Europe, China and Latin America – there is the potential to replicate, at least in part, the United States’ success in developing its unconventional gas and oil resources, but considerable uncertainty remains over the quality of the resources and the cost of producing them. Moreover, a number of technical and regulatory hurdles will need to be overcome for large-scale production. What can be done to achieve this, while allaying legitimate public concerns about the potential environmental impact, is encapsulated in the recent WEO Special Report Golden Rules for a Golden Age of Gas.
Other low-carbon sources of energy, such as nuclear power and renewables, can also contribute both to enhancing energy competitiveness and achieving climate change goals (the 2014 edition of the IEA’s WEO, to be released on 12 November 2014, will include an in-depth focus on prospects for nuclear power). Governments need, though, to be attentive to the design of their subsidies to renewables, which surpassed $100 billion in 2012. As renewables become increasingly competitive on their own merits, it is important that subsidy schemes allow for their multiple benefits to be realised without placing excessive burdens on those that cover the additional costs.
And finally, efficient, competitive markets are crucial to minimising the cost of energy to an economy. In many countries, market reforms aimed at liberalising energy supply and increasing competition in wholesale and retail markets for gas and electricity are far from complete, and therefore result in an inefficient allocation of resources and higher prices to end-users than would otherwise be the case.
Related to this – particularly in Asia – renegotiation of pricing terms in both existing and future import contracts for natural gas can be another possible avenue towards improving energy competitiveness. This all highlights that energy policy choices will continue to be just as important in unleashing or frustrating economic growth in the developed countries as they are in the emerging economies.
By making the right choices, governments can see to it that relatively high energy prices do not have to mean high energy costs to consumers or their national economy. They can help their firms compete internationally and their households to obtain affordable energy services by pushing firms and households to invest in energy efficiency, promoting diversification away from expensive sources of energy and developing transparent, free and open energy markets.
Energy poverty: A higher profile – but challenges remain
Suleiman J. Al-Herbish, Director General of OFID
March 2013
After years of neglect, 2012 has seen the issue of energy poverty advance up the agenda of the international community. Recognition has grown that "business as usual" policies will condemn billions of the poorest to life without modern energy services and that such services are essential to enable all aspects of development progress. To improve ... [ More ]
Energy poverty: A higher profile – but challenges remain
Suleiman J. Al-Herbish, Director General of OFID
After years of neglect, 2012 has seen the issue of energy poverty advance up the agenda of the international community. Recognition has grown that "business as usual" policies will condemn billions of the poorest to life without modern energy services and that such services are essential to enable all aspects of development progress.
To improve food security in the face of growing populations, food production in developing countries will have to nearly double by 2050. Higher yields will require more efficient use of water, fertilizers and seeds. Electricity can control and power irrigation equipment and allow rural communities to add value to crops by drying, processing and packaging. Mechanization makes a vital contribution to boosting industry by lowering unit costs and improving competitiveness. It is no coincidence that the expanding manufacturing economies of East and South East Asia made increasing electricity supply a priority in their development plans from the 1960s onwards. Electric lighting at the household and community levels can extend work and study hours and reduce security risks. Clinics need energy for lighting, diagnostic equipment and vaccine preservation. Power can make possible potable water supply and sewerage systems. All such progress can reduce child mortality, improve maternal health and facilitate the treatment of HIV/AIDS, malaria and other diseases.
Lack of access to electricity is not the only problem facing the energy poor. Clean fuels for cooking, heating and transport are often in short supply. A reliable and affordable supply of vehicle fuels is essential to transport goods to market. Diesel generators or hybrid diesel/renewable systems can provide mechanical power in the village to drive workshop equipment or irrigation pumps.
Two main protagonists can play key roles in making energy accessible and affordable. The international community should set achievable goals, define realistic policies and provide high-level leadership: the governments of partner countries should respond to such leadership with determination and the political will to adapt policies to their circumstances and implement workable solutions.
In the international arena, it was five years ago that the Solemn Declaration of the Third OPEC Summit emphasized the global priority of eradicating energy poverty. Following this “Riyadh Declaration”, the “Energy for the Poor Initiative” was launched in Jeddah in June 2008. This Initiative was supported by G8 Energy Ministers in May 2009 and G20 leaders at the Pittsburgh Summit in September 2009: also Energy Ministers meeting for the 12th International Energy Forum in Cancun in March 2010 stated that reducing energy poverty should be added as the Ninth Millennium Development Goal.
This groundswell of support culminated in the designation of 2012 by the United Nations General Assembly as the “International Year of Sustainable Energy for All”. In response, the UN Secretary-General launched a global initiative, “Sustainable Energy for All” which has the provision of universal access to modern energy services as the first of its objectives. Moreover, in November 2011 the UN Secretary-General designated a High Level Group to create an Action Agenda. OFID was nominated to this High Level Group in recognition of our commitment to the eradication of energy poverty since inception and in particular since 2007. The Action Agenda prepared by the High Level Group was formally presented to the Rio+20 Conference in June earlier this year.
High level support for action against energy poverty is vital to mobilise political will – not least within those countries suffering from energy poverty. Energy investment is very capital intensive. The projects carry substantial technical and commercial risks. Economic pricing may require levels of tariffs which create political difficulties. For these reasons improved energy access has not been a top priority for governments, especially in the poorest countries. Authorities need encouragement and assistance to improve governance of contracts and procurement, reform the finances of existing utilities and work towards macroeconomic, regulatory and political stability in order to attract international partners.
There are developing countries which have made dramatic progress. Thanks to appropriate reforms and targeted electrification programmes China, India, Vietnam and Brazil do have success stories to tell. These countries have improved the access for their citizens substantially in the last two decades – largely as a result of long term plans implemented at the cost of the public sector. Poorer countries can learn from these pioneers but external help will be needed to devise energy plans, to translate plans into specific projects for generation, transmission and distribution and to negotiate long term investment funding. Most important will be to create the ‘soft infrastructure’ of management and governance and develop the human resources sufficient to undertake a task of this complexity.
Political will must be combined with resources to achieve results on the ground. According to the IEA, investment of USD 49 billion per year is needed to provide the most basic level of energy access to all by 2030. This represents more than five times the current level of spending directed towards improving energy access. The amounts are substantial but the ongoing crisis in global finance has taught us a lesson: whenever an important issue is given high priority and the international community can devise a consensual and resolute solution – the money can be found. Energy poverty alleviation also needs and deserves collective international solutions.
Sustained progress to eradicate energy poverty will require action on many fronts. This is well illustrated by the activities of OFID which include longstanding efforts to raise the profile of energy poverty in parallel with substantial and growing financial support for partner countries. For many years OFID has urged the international community to attach a higher priority to the struggle against energy poverty whilst simultaneously raising the proportion of energy projects in total OFID operations. Indeed, since the Riyadh Declaration of 2007, OFID has approved more than USD 1.37 billion in loans for 58 energy projects and operations in 34 countries. In 2011 and 2012, the share of energy projects in total operations has reached 28%.
In all our work OFID emphasizes ownership of operations by the development partner. Conditionality is limited to ensuring good project and corporate stewardship. As part of this commitment to partner ownership of development projects, OFID is technology neutral and has financed many renewable solutions where endowments and geography permit. To leverage its financial assistance, OFID cooperates with the Coordination Group of Arab National and Regional institutions and also with international institutions including the World Bank, the African Development Bank, BADEA and IFAD. This cooperation permits the building of synergies and reduces the risk that partner countries have to deal with a large number of donors giving relatively small amounts of money – so-called ‘aid fragmentation’.
As the year draws to a close it is clear that 2012 has seen some progress. The Rio+20 Conference in June 2012 committed attending Heads of State and Governments to ‘promoting sustainable modern energy services for all through national and subnational efforts, inter alia, on electrification and dissemination of sustainable cooking and heating solutions’. But such commitments will not, of themselves, bring power to a single additional village. On the ground it is vital that financial institutions continue to work with partner countries to design, finance and implement bankable energy projects despite the worsening economic environment and the increasing caution of commercial lenders.
In these uncertain times the value of a reliable development partner such as OFID is evident. In June 2012 the OFID Ministerial Council issued a “Ministerial Declaration on Energy Poverty” which committed a minimum of USD 1 billion to finance the “Energy for the Poor Initiative” and stands ready to scale up the commitment if demand warrants. This Ministerial Declaration was announced at the Rio+20 Conference on the instruction of Ministers. Going forward, OFID is ready to work with other bilateral and multilateral development institutions, also the UN and regional organizations, to best take advantage of our diverse capabilities. Those hundreds of millions of people still suffering from energy poverty deserve nothing less.
Kuwait: An 'Active And Responsible' Producer And Partner
Hani Hussein, Oil Minister, Kuwait And Host, IEF13
March 2012
Countries are becoming increasingly inter-dependent in energy matters; producers and consumers share many things in common. The main energy challenges facing the industry remain the same; the need for sustained levels of investment throughout the energy chain, the challenge of addressing persistent volatility in energy markets, reducing energy poverty in the developing world, and the ... [ More ]
Kuwait: An 'Active And Responsible' Producer And Partner
Hani Hussein, Oil Minister, Kuwait And Host, IEF13
Countries are becoming increasingly inter-dependent in energy matters; producers and consumers share many things in common. The main energy challenges facing the industry remain the same; the need for sustained levels of investment throughout the energy chain, the challenge of addressing persistent volatility in energy markets, reducing energy poverty in the developing world, and the challenge of mitigating climate change.
Since the IEF Charter was signed, the political upheaval in some parts of the Middle East and North Africa region, the Fukushima tragedy in Japan and more recently the geopolitical tensions in the Gulf and the eurozone debt crisis have added to energy market and price volatility.
Energy prices, and more specifically oil prices, are key inputs of public and private investment decisions and the lack of predictability may adversely affect economic growth. IEF efforts to enhance understanding regarding the root cause of high volatility and to improve market functioning are commendable.
Though prices may need to moderate from recent levels, one must recognise that future prices will have to be sufficiently strong to attract large capital investments into high-cost producing areas such as Canadian oil sands and shale. Hence, prices need to be set at a level sufficiently high to support ongoing development of conventional and unconventional energy sources as well as encouraging continued improvement in energy efficiency.
Energy security is a complex and broad-based issue which is fundamentally linked to the world’s prosperity and welfare. The global energy dialogue – under the umbrella of the IEF – is the optimal manner to foster mutual trust among producers and consumers and to bring transparency to the oil markets, thereby ensuring global energy security.
The IEF Charter marks a new era of international energy cooperation, signaling reinforced political commitment to an informal, open and ongoing dialogue within the neutral framework of the IEF. We do value the IEF, as a global forum to tackle issues of common interest to all parties involved in energy.
Throughout the recent economic crisis, international co-ordination and collaborative dialogue between energy producers and consumers contributed to the early recovery of the world economy. The emphasis should be on ensuring reliable and secure supplies of energy at reasonable prices.
Effective and continuous engagement between producers and consumers can assist in facilitating transparent frameworks of investment, promoting diversity, efficiency and flexibility within the energy sector, as well as reducing market volatility, improving emergency preparedness and oil data sharing for better understanding of market price behaviour and undertaking appropriate regulatory responses.
Kuwait is an active and responsible producer in the world and is fully committed towards the development of its crude oil production capacity. Kuwait’s total oil production has reached 3 million barrels per day (mb/d), in the second half of 2011.
Hence, Kuwait is pursuing its plans to achieve sustainable crude oil capacity of 3.5 mb/d by 2015, and then 4 mb/d by 2020 onwards. Furthermore, KPC has initiated an expansion plan encompassing both the upstream and the downstream, which include plans to upgrade Kuwait’s production, export infrastructure and its tanker fleet, as well as expanding exploration and building downstream facilities, both domestically and abroad.
Moreover, Kuwait needs to acquire leading know-how and technology to ensure that production targets are achieved to promote better Kuwaiti competencies. In implementing these plans, the technical assistance of international oil companies will be needed in the field of enhanced oil recovery, and to develop heavy crude oil in Kuwait.
Kuwait is also seeking to cultivate downstream interests in markets with high potential demand growth, the Asian market in particular, specifically China and Vietnam. Despite being a major oil exporter, Kuwait has recently become a net importer of natural gas, leading the country to focus more on natural gas exploration and development for domestic consumption.
Kuwait increasingly requires supplies of natural gas for the generation of electricity, water desalination, and petrochemicals, as well as for enhanced oil recovery (EOR) to boost oil production.
We believe that producer-consumer energy dialogue is needed to enhance the understanding of the energy markets, the linkages with financial markets and the uncertainties of global energy policy.
In this regard, the IEF efforts and activities have been fruitful. The joint projects and the various workshops on market outlooks as well as the regulatory tasks have provided more insight and closer understanding of the various factors affecting the energy industry and markets.
The Secretariat, in co-operation with the IEA and OPEC, has acted as a platform to help improve understanding of the linkages between physical and financial markets, working with the IEA and OPEC within the context of the trilateral cooperation initiative announced in the Cancun Declaration and with other parties as appropriate. The first joint IEA/IEF/OPEC Workshop on physical and financial markets linkage was held on 22 November 2010 in London, with participation from governments, industry, banks, regulators, multilateral institutions and academia.
However, the producer-consumer dialogue should set a precise, comprehensive and action-oriented agenda for the IEF. Enhancing the energy cooperation between producing and consuming countries will result in securing greater diversity, competitiveness and transparency in all aspects of the supply chain. This partnership is the key element for keeping the supply-demand balance on a clear and sustainable path.
Accurate energy data is essential for making appropriate investment and policy decisions. Reflecting the strong interest expressed by ministers, continuous measures to extend JODI to other sources of energy are important for understanding the world energy mix. We support the Secretariat’s implementation in co-operation with JODI partners for the extension of JODI to natural gas.
We are proud of the achievements that have been reached so far under the umbrella of the IEF. Recognising the increasing importance of the role of natural gas in the world energy mix and the need for a global and sustained dialogue between the natural gas stakeholders, the IEF has established in cooperation with the International Gas Union (IGU), an IEF-IGU Ministerial Gas Forum for selected Ministers and leaders from the gas industry.
The 1st IEF NOC-IOC Forum, in Kuwait in March 2009, was recognised by industry leaders as an important step forward in promoting global energy dialogue and enhancing global energy security. Highlighting successful examples of long-term cooperation between NOCs and IOCs, participants underlined that regular contacts between NOC and IOC leaders provide a useful platform for industry to discuss the changing business environment and its impact on stakeholder relationships.
Recognising the importance of innovation and technology in addressing future energy and climate needs, as an oil producer, we support international cooperation in energy technologies. IEF and the Global CCS Institute jointly organised a series of symposia on carbon capture and storage in response to a call-for-action from member nation ministers. Furthermore, we believe that producers and consumers must dedicate more resources to investigate the most effective means to alleviate energy poverty and review the role of different stakeholders and support IEF efforts in this respect.
As globalisation continues, trade will expand, and technological advancements will drive productivity gains even as the world’s population grows. Fossil fuels will continue to play a dominant role in the world’s energy mix, and will remain the principal energy source in the next 50 years or more.
Underinvestment or delays in investment could lead to shortfalls in the incremental capacity required to meet demand. The IEF conference in Kuwait is a further step in producers’ and consumers’ cooperation to create the right environment for continued investments in energy and in paving the way towards market stability and energy security.
IEF countries must dedicate much of their efforts, in such important forums as the 13th IEF ministerial meeting, to align interests for the achievement of more efficient and clean consumption of fossil fuels, developing other sources of energy efficiently as well as making the markets more transparent without undermining the goals of economic growth and prosperity.
IEF13 will certainly be a crucial step to move forward towards becoming a more result-oriented forum – through collaboration with relevant multilateral organisations and research institutions, hiring highly-qualified staff, conducting credible analysis and providing reliable and timely data to achieve greater energy market transparency and stability.
In addition, the Joint Organisations Data Initiative should be expanded to other fuels in the energy mix, as well as capacity expansion plans (upstream and downstream), and should be promoted in different media outlets.
We hope that IEF13 in the State of Kuwait will bring together different viewpoints and decision makers among producers and consumers towards better understanding of the functioning of oil markets and the relationships between the physical and financial energy markets. In addition, enhancing visibility on future energy outlooks should assist in the maintenance of investment as well as the stability of energy markets.
Furthermore, mitigating energy market volatility and uncertainty remains of crucial importance to energy market stability and energy investment, which will contribute to the smooth recovery of the world economy.
Focus On The Overarching Themes Of Investment And Price Volatility
Ben Knapen, Minister For European Affairs And International Cooperation, The Netherlands And Co-Host, IEF13
March 2012
From the very beginning the Dutch government has strongly supported producer-consumer dialogue in the International Energy Forum. The Netherlands has actively participated in various IEF organs and by hosting the IEF Ministerial in 2004. The main reason for this support for the dialogue has not changed over the years. Since our country is a large ... [ More ]
Focus On The Overarching Themes Of Investment And Price Volatility
Ben Knapen, Minister For European Affairs And International Cooperation, The Netherlands And Co-Host, IEF13
From the very beginning the Dutch government has strongly supported producer-consumer dialogue in the International Energy Forum. The Netherlands has actively participated in various IEF organs and by hosting the IEF Ministerial in 2004. The main reason for this support for the dialogue has not changed over the years. Since our country is a large gas producer within Europe and has a major petrochemical industry as well, energy is an important factor in the Dutch economy. Consequently, energy policy has played an important role in government policy. Cooperation in the producer-consumer dialogue helps stabilise energy markets which is in the interest of producers and consumers alike and vital for the global economy and people’s welfare.
Over the years we have seen a number of recurring themes. To my mind investments and volatility are the most important and most frequently recurring issues, and I would like to focus on them here. Let me start with investments.
In 2003 the International Energy Agency’s annual World Energy Outlook focused on investments. The reason was that in its projections the pace of new investments was lagging behind what was deemed necessary for supply to meet the growing demand. In response to similar concerns we subsequently chose investments as the overarching theme of the IEF Ministerial in Amsterdam in 2004. Oil and investments in the natural gas value chain were addressed, as was the need to invest in renewable energy. When we look at today’s situation, investment in energy is still is a very topical issue. It is predicted that energy demand will increase substantially, particularly in the Middle East, Asia and Latin America. Economic growth is only possible when energy supply is secured. Moreover, millions and millions of people still need to gain access to energy and, for example, be connected to electricity grids.
The recent period of rapid demand growth, in emerging economies in particular, has further challenged the pace of investment in energy production. While new and often more complex resources need to be explored and developed, they tend to be situated further away from markets. Energy companies and governments alike are tested, technologically and economically, in bringing these investments about. New technologies have to be developed in order to be able to produce more oil and gas, while at the same time reducing the environmental footprint. According to IEA’s World Energy Outlook, the total investment in energy amounts to US$38 trillion, of which about US$20 trillion should be investment in exploration and production. This is a tremendous challenge. However, while increased demand for oil and gas is challenging the pace of investment that companies and governments are able to generate, future demand uncertainties as a result of energy efficiency gains and expected fuel switching to renewables requires a critical view of various demand projections. I am therefore strongly in favour of the initiative to compare IEA and OPEC projections in order to get a clearer picture of global energy supply and demand and regional differences.
I would now like to turn to the second issue: volatility. Although every market experiences some instability, oil price volatility in particular has been very marked over the last few years. Of course, 2008 was the most remarkable year in which the oil price increased to US$147 per barrel and then collapsed to a price of less than US$40 at the end of the year. Since 2008 volatility has not been that strong, but nevertheless persists. Since volatility does not strengthen the confidence of investors, it is of the utmost importance that we try to moderate it. We greatly value the efforts of IEA, IEF and OPEC to create greater transparency and understanding of the factors that influence the price of oil. One topical issue is the connection between physical and financial markets. For many industries, financial instruments are an indispensable way of mitigating price risks. Airlines and other companies, for example, are relatively vulnerable to oil price volatility, and can use these instruments to control risks. So it is good that these types of financial hedging instruments can be used to benefit the companies mentioned and limit price movements. However, these instruments can also be used for speculation, which may distort the market balance. A good way of improving energy market performance could be to boost market transparency and ensure that producers and consumers are open about their supply and demand projections. And improving market performance is exactly what the global economy needs.
In recent years the International Energy Forum has grown in its role as neutral facilitator of the dialogue between producer and consumer countries. By stimulating discussions and cooperation with international organisations like IEA and OPEC, and relevant experts on the above mentioned issues, the IEF has contributed to a better understanding of the functioning of oil and other energy markets. Furthermore, the IEF secretariat has facilitated discussions on IOC-NOC cooperation, which is vital if we are to meet future challenges in energy.
These are important steps toward better understanding of, and greater stability within, the market. This will lay the groundwork for investment and further technological development. And, ultimately, access to energy for all.
Australia Welcomes Foreign Investors To Help Meet Future Energy Demand
Martin Ferguson, Minister For Resources And Energy, Australia
March 2012
As a major energy user and supplier in the Asia-Pacific region, Australia is acutely aware that our economic prosperity, and the prosperity of all energy consumers and producers, will be greatly affected by the ability to bring on necessary investment in a timely manner. This will consequently affect our ability to overcome future global energy ... [ More ]
Australia Welcomes Foreign Investors To Help Meet Future Energy Demand
By Martin Ferguson, Minister For Resources And Energy, Australia
As a major energy user and supplier in the Asia-Pacific region, Australia is acutely aware that our economic prosperity, and the prosperity of all energy consumers and producers, will be greatly affected by the ability to bring on necessary investment in a timely manner. This will consequently affect our ability to overcome future global energy security challenges. In the decades ahead, the continued development of open and transparent energy trade and investment frameworks will be critical in delivering investment to achieve cleaner, reliable, adequate and competitively priced energy.
A key requirement to ensure global energy security is the delivery of appropriately sized and timed investments in energy infrastructure to meet rising future global energy demand. The 13th IEF Ministerial Meeting in Kuwait brings together the world’s largest energy producers and consumers, and provides the opportunity to discuss the continued importance of energy security.
The last decade has seen strong economic growth in non-OECD economies and a rapid increase in demand for energy – particularly oil and coal. This demand is set to continue. Growth in natural gas consumption is also expected to remain strong in both advanced and emerging economies, underpinned by improving economic conditions, a desire to diversify supply and an aspiration to reduce greenhouse gas emissions.
Investment in energy infrastructure is critical to meet rising demand, replace ageing assets and support the development and deployment of new technologies to reduce emissions and increase energy efficiency and productivity.
In its 2011 World Energy Outlook, the International Energy Agency estimates that global investment in energy supply infrastructure of US$38 trillion (2010 dollars) is required over the period 2011 to 2035. To meet our domestic energy demand, Australia will need investment of around AU$240 billion over the next two decades in our generation, distribution and transmission infrastructure. Such energy investment will be strongly influenced by the global investment environment and by the appetite of foreign investors to commit to energy projects.
Australia is currently experiencing record investment in our energy sector, including AU$175 billion in capital expenditure committed to LNG projects alone since 2007. In this context, Australia is a major beneficiary of foreign investment – especially in the energy and resources sectors – and we very much welcome foreign companies who want to invest in Australia. We are committed to open and transparent trade and investment frameworks to underpin global resources and energy markets, and Australia will continue to work with our trade and investment partners to facilitate cross-border trade and investment on a transparent basis.
All governments have an important role to play in supporting energy investment by providing an appropriate policy environment to attract the capital required to deliver necessary energy infrastructure investment. This requires confidence from the private sector with regard to policy settings that will attract necessary investment in long lived capital intensive energy projects. This also includes the need for global certainty over carbon policy.
Australia is taking action to reduce greenhouse gas emissions. From 1 July 2012 we will have a carbon price in operation that will provide an important investment signal and encourage investment in lower-emissions energy technologies.
Investment in technology is critical to reduce emissions. While the use of fossil fuels will remain central to the global energy mix for the foreseeable future, cleaner energy alternatives will increasingly assist in meeting energy demand as they become more competitive and cost effective. The Australian government is establishing the AU$10 billion Clean Energy Finance Corporation and the AU$3.2 billion Australian Renewable Energy Agency to support the commercialisation and deployment of renewable energy, energy efficiency and low-emission technologies.
Our global future energy security must also look to energy diversification and investment to increase energy efficiency and productivity. There is a wide range of policies we can explore that support and encourage investment across a spectrum of energy technologies in order to promote energy efficiency, integrate more sources of renewable energy, reduce emissions and diversify supply according to individual national circumstances.
The Australian government also recognises the importance of investment to assist industry overcome capacity constraints in the energy supply chain, and Australia is proceeding with large investments in transport infrastructure to ensure supply capacity can increase to meet demand in coming years, which will help maintain Australia’s position as a reliable supplier to our trading partners.
The coming years will offer many opportunities and pose some challenges for the energy sector. Forums such as the 13th IEF Ministerial Meeting provide an opportunity to share lessons to help overcome the challenges and allow us to grab the opportunities that exist to help maintain and increase prosperity.
Applying The Lessons Of The Global Crisis To The Energy Sector
Natig Aliyev, Minister Of Industry And Energy, Azerbaijan
March 2012
The world we live in constantly faces the necessity for solution of energy problems since energy is the main factor for stability and development of the world economy. These problems may be divided into two groups. The first group may include current problems that arise as the result of geopolitical and economic situations, which in ... [ More ]
Applying The Lessons Of The Global Crisis To The Energy Sector
Natig Aliyev, Minister Of Industry And Energy, Azerbaijan
The world we live in constantly faces the necessity for solution of energy problems since energy is the main factor for stability and development of the world economy. These problems may be divided into two groups. The first group may include current problems that arise as the result of geopolitical and economic situations, which in turn leads to:
Rapid change of global oil production and demand for energy resources;
Change of volumes of energy resources in the total consumption balance;
Volatility of global prices for energy resources;
Complication of relations between producers and consumers.
On the basis of the following considerations I would assess the situation which arises prior to the Ministerial meeting to be held within the framework of the 13th International Energy Forum as complicated enough.
First, attempts to eliminate global economic and financial crises have turned out to be unsuccessful so far. Economic conditions in certain countries of the European Union negatively impact on the global economy. This causes instability in the financial markets and volatility in the rate of major currencies.
Second, developments in political events in various regions of the world, especially in North Africa and the Middle East which influence volumes of global oil production and market prices, also creates serious concern.
Third, the tragic events at the Fukushima nuclear power plant have negatively influenced public opinion about the use of nuclear energy.
The second group of energy problems is more global, critical and important for mankind. It is inevitable that there will have to be a reduction in hydrocarbon use in the foreseeable future, especially oil; growth of energy efficiency and the necessity to save on hydrocarbons; development of effective alternative energy sources; reduction of emissions of CO2 and other hazardous products into atmosphere.
Given the development of the global economy, there will be steady growth of demand for energy resources, especially hydrocarbons. This will certainly require implementation of big investment energy projects as well as establishment of a rational balance between oil production volumes and prices at the global market. Therefore, it is necessary to reach consensus between producers and consumers of energy resources on the basis of fair and transparent relations.
The policy of unreasonably high prices for oil will only restrain development of global economy and lead developed countries to increase prices for industrial products, the latest technologies, high efficiency equipment, and to implement programmes to save energy, to develop alternative energy and to reduce dependence on import of oil and oil products. This will bring a reduction of oil demand, investments and decline of oil production. Therefore, it is very important for producers and consumers of energy resources to ensure predictability and reliability in supply and consumption.
In this respect, I would stress that lessons we learned from the global crisis should be thoroughly analysed, since there are certain questions that remained without unambiguous answer. Thus, the main task of the ministerial meeting and the whole International Energy Forum is to discuss and share opinions about the current condition and problems of development of the fuel-energy complex and minimisation of possible risks in future.
Over US$45 billion was invested into the oil industry in our country during 1994-2010. The size of investments will double in coming years. Azerbaijan increased annual oil and gas production up to 50 million tons and 26 billion cubic metres (bcm), respectively, owing to successful implementation of upstream megaprojects such as the development of the Azeri-Chirag-Gunashli oil block, where recoverable reserves reach over 925 million tons of oil, and the Shah Deniz gas condensate field where recoverable reserves reach 1.2 trillion cubic metres of natural gas. Azerbaijan plans to stabilise oil supply at the rate of 1 million barrels per day (mb/d). Gas export is to be increased gradually up to 30-40 bcm per year.
I also would like to note the growing role of natural gas and LNG. Azerbaijan is involved in a number of mega-projects relating to the production of natural gas and its delivery to the European market. There are plans to considerably enlarge the Baku-Tbilisi-Erzurum gas pipeline, increasing its carrying capacity up to 50 bcm, as well as to lay a new Trans-Anadolu gas pipeline towards Europe through Turkey. We are also considering a project for supply of natural gas to the coast of Georgia, construction of a terminal for gas liquefaction and its sale of the liquefied gas to the Black Sea basin countries.
In my opinion, all of these measures will promote strengthening of energy security and stable economic development of countries. It is an ultimate goal of those involved in international energy policy.
A Balanced Approach To Meeting Future Energy Demand
Phil Heatley, Minister Of Energy And Resources, New Zealand
March 2012
New Zealand is a small, dynamic country located at some distance from international markets, but we are confronted by the same challenges of energy security and climate change as the rest of the world. The best means of meeting these challenges is to ensure energy markets are effective and efficient and that the cost of ... [ More ]
A Balanced Approach To Meeting Future Energy Demand
Phil Heatley, Minister Of Energy And Resources, New Zealand
New Zealand is a small, dynamic country located at some distance from international markets, but we are confronted by the same challenges of energy security and climate change as the rest of the world.
The best means of meeting these challenges is to ensure energy markets are effective and efficient and that the cost of greenhouse gas emissions is factored in. This approach will encourage efficient energy use, the development of resources where it is economic to do so and the minimisation of environmental impacts of energy supply and use.
New Zealand has sought to apply these principles both domestically and, via its participation in various international organisations, on the world stage.
Domestic Efforts
Our domestic energy policy is articulated in the New Zealand Energy Strategy 2011-2021. The goal is for New Zealand to make the most of its energy potential through the environmentally responsible development and efficient use of the country’s diverse energy resources. The strategy focuses on four priorities to achieve this goal – diverse resource development, environmental responsibility, efficient use of energy, and secure and affordable energy.
Diverse resource development includes the development of both renewable and non-renewable energy sources. The government has a target for 90 per cent of electricity generation to be from renewable sources by 2025, providing this does not affect security of supply. In 2010, renewables contributed to 74 per cent of electricity generation.
Commercial enterprises will ultimately be best placed to identify the lowest-cost generation mix, with the government’s role limited to ensuring that there are no undue barriers to invest in generation of any type and that the environmental effects are priced in wherever possible. New Zealand’s emissions trading scheme is the primary economic motivator for generators to move to a lower-emissions future.
The government is also keen to make New Zealand a highly attractive global destination for petroleum exploration and production investment. Most of New Zealand’s territory is yet to be explored, and the potential for further development of petroleum resources is significant.
New Zealand is already seen as a stable and pro-investment environment. An important step to further attract investors is to ensure regulatory settings are world-class. We are in the process of reviewing our regulatory settings to ensure our upstream regulatory settings meet this objective.
A new approach to the allocation of petroleum exploration permits has now been implemented. The new approach is based on the regular (annual), predictable, managed tenders of exploration blocks (“block offers”), which have previously been carried out on a more ad hoc basis. This approach draws more closely on publicly available seismic information and is better suited to foster competitive work programme bids from suitable investors.
We have had some success in attracting new capable and experienced operators such as US-based Anadarko to the Canterbury and Taranaki basins, Petrobras of Brazil to the Raukumara Basin, and US-based Apache to the east coast of the North Island. In addition, operators with an existing presence in New Zealand have been expanding into new basins such as Austrian-based OMV and Shell in the Great South Basin.
The New Zealand emissions trading scheme is the primary means to reduce emissions in the energy sector, and all other sectors of the economy. The government has set a target for a 50 per cent reduction in New Zealand’s greenhouse gas emissions from 1990 levels by 2050. New Zealand is willing to commit to reducing greenhouse gas emissions by between 10 per cent and 20 per cent below 1990 levels by 2020, if there is a comprehensive global agreement and certain conditions are met.
Energy efficiency measures help reduce costs, make houses more comfortable and reduce greenhouse gas emissions. The government has invested over NZ$180 million since July 2009 in an energy efficiency programme to retrofit homes with new insulation and/or clean heating. More than 150,000 homes have benefited from the scheme so far.
Secure and affordable energy is best achieved through competitive markets. Competition in energy supply provides choice to consumers, places downward pressure on prices and incentivises efficient investment.
Where competition in energy supply is not possible due to natural monopolies, particularly electricity networks and gas pipelines, targeted regulation is applied. Elsewhere, competition between market players is encouraged and fostered, with Government retaining a general oversight role. This includes an understanding of the overall resilience of New Zealand’s networks and other infrastructure. Recent under-investment in the national electricity grid is now being addressed and Transpower, the national transmission line owner and operator, is planning and undertaking significant investment, including projects such as the upgrade of the inter-island link and a major new line into Auckland.
New Zealand is a founding member of the International Energy Agency. One of the obligations of membership is that New Zealand must hold 90 days of oil reserve supply.
International Efforts
Reducing fossil fuel subsidies is one area which offers immediate benefits in terms of mitigating energy demand, reducing carbon dioxide emissions and providing some relief for stretched public budgets.
At the Copenhagen climate summit in 2009, developed countries agreed to US$30 billion in funding during 2010-2012 to combat climate change. That same year, more than US$400 bn was spent globally on subsidies for fossil fuels, a key source of emissions contributing to global warming.
In other words, at the same time as countries were mobilising resources to address climate change, they were spending more than 10 times that amount on subsidising production and consumption of carbon. Even now, as countries are beginning to put in place mechanisms to price carbon, many are still subsidising carbon. Isn’t the polluter supposed to pay, rather than be paid?
Production subsidies, such as subsidies for coal production, inhibit innovation and the development of cleaner technologies, and they reduce incentives to produce and use fossil fuels more efficiently. This occurs amid growing global concern about energy security.
Consumption subsidies which intend to lower the price of fossil fuels are no better. For example, subsidies for transport fuels are seldom effective in assisting the people they are designed to help. The essential energy needs of vulnerable groups must be met. But there are better ways to do this than through universal fossil fuel consumption subsidies which most often benefit richer people more, because they use more fossil fuels.
Fortunately, the world is beginning to grasp the incoherence of fossil fuel subsidies. In 2009 and again in 2010, G20 and APEC leaders signalled their political commitment to reform and elimination of inefficient fossil fuel subsidies. This is important and welcome leadership from the world’s largest economies.
To support these reform initiatives, a group of non-G20 countries has emerged including Costa Rica, Denmark, Ethiopia, Finland, New Zealand, Norway, Sweden and Switzerland. Known as the Friends of Fossil Fuel Subsidy Reform, this group is encouraging G20 and APEC countries to implement their political commitments as soon as possible, and for others to follow their example. The global climate will be a clear winner. IEA research indicates that removing subsidies could reduce global carbon dioxide emissions by up to 5.8 per cent by 2035.
In addition, reducing fossil fuel subsidies would free up funding for other purposes, for example to help mitigate and adapt to the effects of climate change. According to the 2010 Report of the UN Secretary-General’s High-level Advisory Group on Climate Change Financing, redirection of the money spent on fossil fuel subsidies could potentially finance up to US$8 bn dollars a year of mitigation and adaptation activities.
There would also be good news on the energy security front. Universal phase-out of fossil fuel subsidies by 2020 would cut global primary energy demand in 2035 by 5 per cent. A cut in demand of this magnitude would help reduce the risk of future oil shocks and smooth out energy price volatility.
The reform of fossil fuel subsidies deserves to be much higher up the agendas of both climate change policy and general economic reform processes. Successful phasing-out of subsidies should start immediately, with the elimination of subsidies that are obviously inefficient and cause the most damage to state budgets and the climate. Transition measures to support subsidies phase-out may need to be implemented in parallel.
We welcome the OECD’s establishment of an inventory of support to fossil fuels in OECD countries. The OECD inventory increases transparency of the scope and range of support to fossil fuels and its publication on a regular basis will benefit international efforts to reform fossil fuel subsidies and support green growth.
As a small island nation unconnected to international energy infrastructure, New Zealand’s strategy for meeting future energy demand focuses on the balanced development of all of our resources, and ensuring that domestic energy markets operate efficiently to incentivise investment. This market-based approach extends to New Zealand’s efforts in the global context to encourage the reduction of inefficient fossil fuel subsidies that encourage greenhouse gas emissions and discourage the development of new energy resources and technologies.
Ensuring that global energy markets operate efficiently while taking account of environmental effects is, in our view, the most effective way to ensure global energy security of supply and the reduction of environmental harm.
Working On Supply And Demand To Improve Energy Security
Daniel B. Poneman, Deputy Secretary Of Energy, United States Of America
March 2012
The United States is delighted to participate in the 13th IEF Ministerial. We thank our Kuwaiti hosts for their hospitality and the IEF Secretariat, under the very able leadership of Aldo Flores Quiroga, for all the hard preparatory work that enables us to gather together. As both a significant energy consumer and a leading energy ... [ More ]
Working On Supply And Demand To Improve Energy Security
Daniel B. Poneman , Deputy Secretary Of Energy, United States Of America
The United States is delighted to participate in the 13th IEF Ministerial . We thank our Kuwaiti hosts for their hospitality and the IEF Secretariat, under the very able leadership of Aldo Flores Quiroga , for all the hard preparatory work that enables us to gather together.
As both a significant energy consumer and a leading energy producer, the United States values the dialogue that is the International Energy Forum ’s core reason for being. The IEF provides the venue through which nations of diverse interests and points of view talk about some of the most critical energy issues of our day. The United States appreciates the commitment of the IEF’s participants to enhancing transparency and dialogue for the benefit of all nations.
Oil and gas resources are, and will continue to be, important to America and to the world. The United States is committed to promoting open and stable rules of the road and to ensuring that energy markets operate efficiently. Stable and transparent energy markets are important to the health of the world economy, the security of energy supply and demand, and the expansion of global trade and investment in energy resources and technology.
The IEF, which now involves nearly 90 countries, provides an excellent venue – not only for structured, formal discussion of top priority issues, but also for informal dialogue among producers and consumers. These conversations allow us to identify and advance shared interests and to gain greater understanding of our differences. Common interests include enhancing oil market transparency, reducing oil market volatility (including through improved reporting under the Joint Organisations Data Initiative), and encouraging investment across the energy value chain.
We believe that, by strengthening the informal energy producer-consumer dialogue and hearing from international and national oil companies, the Forum can fill an important niche in our global energy arena.
The discussion fostered by the IEF, and the data that it publishes in coordination with its JODI partners , can increase transparency and the flow of vital information in the oil market. Given today’s global economic and geopolitical risks, this is more important than ever. Markets are best able to balance past trends with future needs through transparent dialogue. Reduced uncertainty means reduced risk for everyone in the value chain -- which helps the market avoid volatile trading patterns. Investors and upstream developers can project demand most effectively and make informed judgments about the profitability of future exploration and production. Infrastructure and transportation systems can be sized and located properly to link production and consumption requirements. And end-users can make sound judgments about which fuels to use, from whom to procure them, and how much those fuels will cost in the period ahead.
The United States recognises the continuing importance of safe, responsible oil production to America and to the world. The United States is producing more oil today than at any time in the last eight years, thanks to the application of new technology that allows the development of tight oil deposits. In 2010, the United States imported less than 50 per cent of its oil requirements for the first time in more than a decade.
At the same time, our citizens are grappling with high fuel prices, which bite particularly hard in this time of fragile economic recovery. Every family and every business bears this burden. That is one reason why the United States has proposed landmark vehicle fuel efficiency standards so that our cars will average nearly 55 miles per gallon by the middle of the next decade. While there are no short-term "silver bullets" to bring down excessive gasoline prices, the United States will continue to take every possible step to enhance energy security and to protect consumers against rising gas prices in the long term.
To that end, President Obama is committed to an all-of-the-above strategy that expands production of American energy resources, including oil and natural gas; increases energy efficiency to save families and businesses money at the pump and in buildings nationwide; and develops cleaner, alternative fuels to reduce our dependence on oil. Additionally, the United States is working in areas such as permitting, easing delivery bottlenecks, and assuring transparency so all consumers and traders can better understand what’s going on in the oil markets. We know that many of our fellow members of the IEF share the same concerns for their energy consumers.
The United States supports the IEF’s ability to enhance available data on oil production and consumption. The United States is pleased to be a part of the Joint Organisations Data Initiative (JODI), which involves reporting of major oil production and consumption data by more than 90 countries through six international agencies. JODI-Oil is intended to provide an accurate, timely and comprehensive database on oil market data and can promote greater transparency in international oil markets. We support recent JODI initiatives to create similar natural gas and energy investment databases.
The latest assessment of JODI-Oil shows continued improvement. Transparency can be improved further as JODI expands its oil and natural gas coverage and increases training to assure optimal data collection and sharing.
The United States supports the IEF’s work to convene market analysts from different organisations to compare respective energy market outlooks, and we are grateful for the inclusion of the US Energy Information Administration . As we learned from consumer and producer dialogue and actions following the Libya disruption last spring, market outlooks help inform producer-consumer discussions and help improve the formation of energy policies. In the United States, the Energy Information Administration produces monthly and annual outlooks for energy markets precisely because we think outlooks help make energy markets more transparent, improve the dialogue, and provide a framework for understanding actual market data as it is gathered.
The IEF plays a critical role at a critical time. Markets are tight and prices are high. While increases in oil price volatility have caused concern over investment returns and capital expenditure deferrals, significant investment is still needed to compensate for declines in oil and gas production in existing fields and to meet growing demand. Improved cooperation between national and international oil companies could assure technology advances optimise resource development – particularly in the current, volatile market environment.
The United States supports the efforts of IEF’s Business Forum to enhance these important partnerships and to inform governments on actions they can take to foster constructive alliances between national oil companies (NOCs) and international oil companies (IOCs).
From our own engagement with oil company leaders, including through the National Petroleum Council (NPC), we know that key challenges include reducing costs, improving efficiency and increasing output. To address these issues, joint technological development among NOCs, IOCs, service companies, universities and research institutes and maintaining R&D funding are needed. As appropriate, the Forum can encourage greater cooperation between international and national oil companies on advanced technology and techniques.
In conclusion, the United States supports an IEF that provides a neutral arena for producers and consumers to discuss areas of mutual concern. The IEF is most useful when promoting a common understanding of energy market transparency, stability, and sustainability. We are grateful for the leadership of the Kingdom of Saudi Arabia, which not only catalysed the formation of the IEF, but also serves as the IEF Secretariat’s home.
Together we can build confidence and trust through improved information sharing among Members. The Forum can help reconcile competing views and positions on the global oil market, and promote responsiveness to members’ concerns. The United States supports that vision and looks forward to working with all members committed to realising the vision of a stable, secure, and transparent oil market.
The IEF - Serving All, Dominated By None
Ali Al-Naimi, Minister Of Petroleum And Mineral Resources, Saudi Arabia
March 2012
The world's precious natural resources are key to human progress. They contribute towards alleviating poverty, stimulating economic growth and creating opportunities for people around the world to improve their lives.Energy issues will, therefore, always form a fundamental aspect of geopolitical relations. This is why the aims and objectives of the International Energy Forum remain as ... [ More ]
The IEF - Serving All, Dominated By None
Ali Al-Naimi, Minister Of Petroleum And Mineral Resources, Saudi Arabia
The world's precious natural resources are key to human progress. They contribute towards alleviating poverty, stimulating economic growth and creating opportunities for people around the world to improve their lives.
Energy issues will, therefore, always form a fundamental aspect of geopolitical relations. This is why the aims and objectives of the International Energy Forum remain as important today as they did when the organisation was first conceived more than 20 years ago.
The 88 country members, accounting for around 90 per cent of global oil and gas supply and demand, is testament to this – but let us be under no illusions. It is easy to meet and to speak; it is much more challenging to meet the fundamental aims and objectives of the IEF, without continuous collaboration. It may be worth reminding ourselves as we meet here in Kuwait, about some of these goals.
A central IEF ambition is to foster greater mutual understanding and awareness of common energy interests among members, through the sharing of information, the exchange of views and the acceptance and promotion of clear principles.
It is clear that hydrocarbons will continue to be the major source fuelling the world’s economy for many decades, with petroleum accounting for much of that energy. Stability and predictability in oil markets helps.
It is indisputable that energy interests are shared interests, and that in our interconnected world, all countries can be impacted by events in other parts of the world.
The 24-hour news media has a role to play, but it is incumbent on leaders, and on nations, to understand situations for themselves and to act in an appropriate, and measured, fashion. The IEF has an important role to play when it comes to engendering better understanding.
Another stated aim of the IEF is to promote a better grasp of the benefits of stable and transparent energy markets for the health of the world economy, the security of energy supply and demand, and the expansion of global trade and investment in energy resources and technology.
For its part, Saudi Arabia’s position in the world oil market is based on its commitment to maintaining spare capacity for the sake of market stability. The Kingdom’s policy in this regard is clear and has been consistent: moderation in all decisions that concern the global petroleum market.
Improving the lives of citizens should be a fundamental priority for all nations and it is clear that increased trade and investment, and stable energy markets, contribute towards that goal. The IEF can, and does, play an important role, but it is just as clear that more effort and work is required.
The IEF also aims to identify and promote principles and guidelines that enhance energy market transparency, stability and sustainability. Reliable and transparent information is vital in reducing volatility in oil markets. It is the IEF’s mission to encourage all members to provide such information in order to improve understanding and reduce instability.
The Joint Organisations Data Initiative (JODI) aims to help achieve a degree of market stability by providing timely, accurate and transparent oil market data. That the initiative has started is a positive, but it clearly has some way to go before we can be satisfied that the collection and dissemination of sound data is being done in a timely manner. Some countries struggle to meet the demands of JODI, but it is important that they work towards doing so to ensure the future success of the initiative.
Of course, no system will ever be perfect; it is a vast and dynamic industry, and there are so many competing interests, but more can be done. The IEF, and JODI, presents an opportunity for increasing the dialogue and enhancing the transparency.
One ultimate purpose of the JODI initiative is to reduce instability in markets. Price volatility is in no- one’s interest, apart, perhaps, from the speculators, who make their money whether markets rise or fall. But as the recent financial crisis reminds us yet again, it was the lack of openness and transparency which helped create, and indeed exacerbate the problems, and this is something we are striving to avoid in the energy sector.
The organisation seeks to narrow the differences among energy producing, consuming and transit member states on global energy issues and promote a fuller understanding of their interdependency. It is an honourable, if sometimes challenging, target and one closely linked to another IEF goal, that of building confidence and trust. This meeting in Kuwait is another opportunity to build confidence and trust.
The International Energy Forum is precisely what it says: international. It is the sum of its parts, not steered or controlled by one country or group of interests. In that sense, the IEF is unique in the world of energy and energy policy. The IEF’s mission is in the interest of all governments, countries and people. Openness, trust, stability and understanding - these are the ultimate aims to which Saudi Arabia is committed.
Putting The Stress On Investment, Efficiency And Dialogue
Charles Hendry, Energy Minister, United Kingdom
March 2012
The UK is a very strong supporter of the International Energy Forum. We believe it has a crucial role to play in delivering the stable energy markets necessary for the future wellbeing of both producer and consumer countries. I welcome the work done over recent years to ensure the continuing critical relevance of the IEF ... [ More ]
Putting The Stress On Investment, Efficiency And Dialogue
Charles Hendry, Energy Minister, United Kingdom
The UK is a very strong supporter of the International Energy Forum. We believe it has a crucial role to play in delivering the stable energy markets necessary for the future wellbeing of both producer and consumer countries. I welcome the work done over recent years to ensure the continuing critical relevance of the IEF and I am grateful for this opportunity to set out my views on the challenges facing us, what the IEF has already achieved, and where we might look to achieve more in the future.
Challenges
Secure and affordable oil and gas supplies are vital for the world economy and, even as we act to reduce greenhouse gas emissions, will continue to be so for decades to come. Maintaining these supplies requires well functioning global energy markets that provide the signals about future supply and demand necessary to support long term investment decisions in production infrastructure. To create such markets we need strong producer-consumer dialogue and accurate market data.
The last year has been an eventful one, with events in Libya and the consequences of the tragic Japanese earthquake having significant implications for energy markets, helping drive the price of oil above US$100 a barrel early in 2011 and maintaining it at that level since. This is despite the subdued state of the global economy and good cooperation between consumers and producers to ensure that energy markets have remained properly supplied.
Although the impact of recent events has been mitigated to some extent, with, for example, rapidly-returning Libyan production, a great deal of uncertainty remains over both supply and demand.
The IEF will therefore have an ever more important role to play in improving transparency in the market, and facilitating the effective producer consumer dialogue necessary to deliver the stable markets required by both producer and consumer countries.
Achievements Of The IEF
I very much welcome the progress that has been made in the Forum’s various work streams since the last Ministerial, and look forward to the reports that are to be made when we meet in Kuwait.
While JODI is already playing a valued role, the work being done by members and partner organisations to improve the quality and range of the data is particularly constructive. The actions set out in the report made to the G20 last year and the steps taken since then to develop and publicise the website, deliver timely national contributions and provide training for national officials, as well as to promote the use of the database, are all very welcome. The planned extension of JODI to the gas and oil and gas investment plans this year will also provide invaluable information to the market.
The initiatives the Forum is undertaking in coordination with OPEC, the IEA and others, in particular the analysis of the links between physical and financial markets and the work being done to improve energy forecasting have been highly successful. I also welcome the work being done to promote the use of Carbon Capture and Storage, help tackle global energy poverty and publicise best practice in NOC-IOC cooperation. We will need to build on all this work to ensure that we capture the benefits that have been identified.
Finally I would commend the work the IEF has carried out for the G20. That the G20, Construction As Well As Extraction Continues In The North Sea and other multilateral bodies are increasingly looking to the IEF to deliver important objectives is testament to the excellent work of the Forum and Secretariat. I hope that we will be able to build on this in the future, continuing to advance IEF objectives through cooperation with international organisations.
Future For The IEF
While it will of course be important to deliver against existing workstreams, I believe the IEF should also look to other areas that will become increasingly important in years to come. I would like to highlight three areas in particular:
Firstly, investment. Changing patterns of demand and production, especially the growth in demand in Asia, the need to reduce carbon emissions and the development of new and unconventional energy sources will require huge investment in the hydrocarbons industry and energy infrastructure. Indeed the IEA estimates we need US$38 trillion of new investment in energy infrastructure by 2035. That is over twice the GDP of the EU, and an increase of over US$5 trillion on the IEA’s previous estimate of only a year ago.
The IEF needs to be prepared to be at the centre of international efforts – alongside governments, industry and financial organisations – to ensure that conditions are in place to allow this essential investment to be delivered. Transparency over expected trends in production, demand, investment and regulation will be a key factor. This underlines the importance of JODI and its continuing development.
Secondly, in addition to oil and gas, we must also consider how we can drive forward energy efficiency and low carbon technologies as part of the global future energy mix. I welcome in particular the renewable energy ambitions of many producer countries. There is enormous potential for expansion of renewable energy sources in many countries, especially those lavishly supplied with renewable energy resources such as solar or wind. As well as reducing carbon emissions, the development of renewable energy sources will release to the global market hydrocarbons that would otherwise potentially have been consumed in the domestic market.
Finally, I would like to endorse the suggestions Noé van Hulst made on the future development of the Forum in his “Last Waltz” speech to the IEF in December. I was particularly struck by his suggestion that open and frank discussion of energy issues between members could be encouraged by holding some sessions under Chatham House rules. I believe that the IEF already facilitates an exceptionally open and honest dialogue between producer and consumer countries, but we should continue to seek ways to improve and advance this.
Conclusion
Meeting the global energy demand poses many difficult questions, and it is impossible for any single country to answer them alone. International cooperation of the sort facilitated by the IEF is in all our interests, and I hope we will be able to develop our dialogue still further in the future.
I would like to thank Kuwait for their excellent work as Chair of the Executive Board over the past two years, and for hosting the 2012 Ministerial along with co-hosts Algeria and the Netherlands. As a co-host for the 2014 Ministerial the UK is greatly looking forward to working with the hosts Russia, and fellow co-host Iraq, to delivering an equally successful agenda.
Meeting Future Demand: Algeria's Contribution
Youcef Yousfi, Minister Of Energy And Mines, Algeria And Co-Host, IEF13
March 2012
The 13th Ministerial meeting of the International Energy Forum is taking place in "The International Year of Sustainable Energy for All". This International Year, decided by the United Nations General Assembly, reflects a universal aspiration for access to modern, affordable and sustainable energy services for all, as well as the desire of all countries, including ... [ More ]
Meeting Future Demand: Algeria's Contribution
Youcef Yousfi, Minister Of Energy And Mines, Algeria And Co-Host, IEF13
The 13th Ministerial meeting of the International Energy Forum is taking place in "The International Year of Sustainable Energy for All". This International Year, decided by the United Nations General Assembly, reflects a universal aspiration for access to modern, affordable and sustainable energy services for all, as well as the desire of all countries, including mine, to achieve the Millennium Development Goals.
The various forecasts for world energy demand by the year 2035, based on a “business as usual” scenario, show consensus on a considerable increase of more than 50 per cent, due to the dynamism of the non-industrialised countries and their needs in terms of development, mobility, urbanisation and the general improvement in the living standards of an increasing population.
It is also acknowledged that fossil energies will remain predominant in the total energy balance with an overall share of more than 80 per cent. Gas, as a fossil energy with low carbon content, will probably witness the highest growth rate. The global demand for liquids, which include oil, biofuels and other products, is likely to reach about 103 million barrels a day (mb/d) by the year 2030, compared to 87 mb/d in 2010.
Power generation, the main sector through which the energy mix can be widely diversified, accounts for more than 57 per cent of the growth in future demand for primary energy.
“Energy for all” should imply additional demand from the more than one billion people who live mainly in the countries of the South, and are today deprived from modern energy services. It should also mean developing all forms of energies, including renewable energies, which are available and economically viable.
Worldwide energy resources are abundant. Apart from the important resources of OPEC countries, estimates of economically viable energy reserves, notably oil and gas, are all the time revised upward, thanks to the intensification of exploration efforts and to technological progress. The North Sea, which was considered as a mature zone, has surprised us with a re-evaluation to more than 3 billion barrels of oil reserves for a single field in Norway. Similar findings should not be ruled out in other regions.
By the year 2030, supply increase will come mainly from OPEC. Additional supply from non- OPEC countries will certainly come from biofuels, tar sands, the deep offshore and shale oils.
Overall, offshore potential is important. Moreover, stimulation technology has succeeded in turning non-conventional hydrocarbons resources into a substantial share in supply, and this is expected to increase further.
However, resource availability and consequently supply should in no case curb the efforts undertaken by several countries to rein in demand through energy efficiency. This remains, according to experts who met at the recent IEF Symposium on this topic and whose opinion I share, “the quickest, the cheapest and the cleanest solution,” to contribute to meeting the challenge of future increases in demand. It is also imperative to exploit and use energy resources in a way that would ensure the preservation of the environment.
The development of the energy resources identified above requires the mobilisation of considerable investments, which can be achieved only in a favourable climate characterised by an effective and predictable long-term demand.
Algeria, one the most important African countries in terms of hydrocarbon reserves, produces the equivalent of 4 mb/d, 60 per cent of which contribute to the supply of the international market.
As a pioneer in the natural gas liquefaction industry, Algeria ranks fifth among natural gas exporters. The country has an important domestic pipeline transport network estimated at more than 18,000 km, which links production fields to processing and liquefaction units and/or loading ports. Export capacities via gas pipeline represent a total of 52 billion cubic metres a year (bcm/yr), with the first deliveries of Medgas that took place last year, and other projects such as the Galsi project which will enhance these capacities.
Another important project, the Trans-Sahara Gas Pipeline (TSGP), which would link Nigeria to the Algerian coast via Niger, would allow the supply of gas to Europe. This role will be enhanced by two liquefaction units under construction with a combined capacity of 12.5 bcm/yr, bringing the total LNG capacity to nearly 37 bcm/yr in the medium term.
The country’s economic development creates strong demand for energy, in view of the quasi-total electrification of the country and the gas penetration rate which has reached nearly 50 per cent, in addition to the increasing needs of the industrial and transport sectors. The domestic economic and social imperatives, the preservation of the role conferred on the hydrocarbon sector in ensuring a stable income to the country and its contribution to the overall effort to preserve the environment, require an adjustment of our energy policy. This implies in the first place an adaptation of our energy production policy. Indeed Algeria has 1.6 million square kilometres of largely under-explored sedimentary basins, including 100,000 square kilometres of unexplored offshore subsurface.
The Algerian subsoil bears non-conventional gas resources associated with clays and source rocks of the Silurian and the Frasnian periods that contain good organic wealth. Algeria has realised the importance of its national non-conventional gas resources and has launched several initiatives aimed at evaluating its potential, described by experts as being important. Indeed preliminary evaluation of the non-conventional gas potential show that it is at least comparable to the most important deposits of the US.
This evaluation work continues in association with companies which possess the necessary expertise and are willing to participate in this new exploration experience. The adaptation of the legal and fiscal framework to economic and technological conditions for the development of this type of reserves is ongoing.
Likewise, exploration efforts will be enhanced as part of an investment plan of about US$70 bn over the next five years which will be allocated to hydrocarbons, of which two thirds will be devoted to oil and gas upstream.
But beyond hydrocarbons, the country enjoys one the highest sunshine irradiation rates in the world, estimated at about 2,700 kWh/m2/year. It has therefore decided to exploit this potential and an ambitious programme was adopted in this direction by the government for the introduction of renewable energies and particularly solar. The aim is to install power production capacity based on renewable energies of 22,000 MW between 2011 and 2030, including 12,000 MW for the supply of the domestic market and 10,000 MW for export.
Once this programme is completed, 40 per cent of electricity will be generated from renewable energies. The first hybrid solar/gas power station, with a capacity of 150 MW, was commissioned in 2011 in Hassi R’mel.
Concurrently with this programme, energy efficiency is also to contribute to reining in consumption growth of exhaustible hydrocarbon resources with the reduction of the harmful effects on the environment. A series of measures and actions, which have been already initiated or under implementation, will translate into significant energy savings.
I would like to point out that all the ongoing actions, planned or under study, which are designed in the first place to enhance the national energy base to meet the country’s needs, constitute also a contribution by Algeria to securing the supply of the world economy.
However, it seems important to me here to underline that energy security implies also securing future demand with an adequate return on investments. The need for a favourable environment for the realisation of the necessary huge investments requires also market stability with rewarding price levels in the interest of all.
Today, dialogue between producers and consumers is therefore more necessary than ever to increase energy market transparency and stability. The various players must coordinate their efforts to reduce price volatility, particularly by enhancing energy data transparency and reliability and providing the necessary conditions likely to encourage investments.
Algeria, which is celebrating the 50th anniversary of its independence this year, has embarked on a new phase of adaptation of its energy policy based on clear objectives, while taking into account the development of the international energy environment. It will pursue its economic and social development programme, while maintaining its historic role as a reliable energy supplier.
Mitigating Climate Change: The Role Of Producing Countries
Mohamed Bin Dhaen Al Hamli, Minister Of Energy, United Arab Emirates
March 2012
As energy producers and consumers meet for the 13th IEF, it is incumbent upon us all to dwell on our joint responsibility to protect the future of our planet for coming generations. We need to lay the foundations for the economic and social development of our respective countries, without destroying our planet in the process. ... [ More ]
Mitigating Climate Change: The Role Of Producing Countries
Mohamed Bin Dhaen Al Hamli, Minister Of Energy, United Arab Emirates
As energy producers and consumers meet for the 13th IEF, it is incumbent upon us all to dwell on our joint responsibility to protect the future of our planet for coming generations. We need to lay the foundations for the economic and social development of our respective countries, without destroying our planet in the process. Our children need employment and security, but in an enjoyable world in a safe environment.
However, it is clear that sustainability and environmentally friendly development have to go hand in hand. Climate change is an undeniable fact and we all have a role to play in mitigating its effects. For its part, the UAE has not shirked this responsibility; in recent years it has announced a wide range of climate-friendly initiatives.
The exceptionally fast pace of our economic development over the last few years has given the UAE a unique perspective as we have become both major energy producers and growing energy consumers. Our national annual peak demand for electricity is set to more than double by 2020 and we have an increasing demand for other forms of energy.
Our growing population and fast-moving industrial development have forced us to choose between whether we want to continue burning fossil fuels, or find complementary energy solutions for use at home. We realised that by widening our domestic fuel mix, we could release more hydrocarbons for export, while reducing our carbon footprint at the same time.
Two years ago, we took a major step in complementing our traditional energy portfolio when the Emirates Nuclear Energy Corporation awarded a major contract for the construction of four new 1,400 megawatt nuclear power stations. The UAE firmly believes that nuclear power represents an important clean energy source that should be developed, along with other clean fuels. We have been able to embark on an important civilian nuclear energy programme in close collaboration with the International Atomic Energy Agency in Vienna. The nuclear plants have been designed in accordance with the latest cutting-edge technology and safety was given paramount importance in the design as well in all other operational issues, including the safe storage of radioactive waste. The first plant will be commissioned in 2017 and the objective is for nuclear energy to eventually account for 25 per cent of the UAE’s power requirements.
We believe that the best way of securing a sustainable economic future in a carbon-constrained world is to develop a balanced portfolio of clean energy sources in which nuclear, renewable energy, oil and natural gas all have a role to play. The UAE’s geographic location enables us to utilise renewable energies, particularly solar energy, to the maximum, and the emirate of Abu Dhabi has recently set a target of generating 7 per cent of its energy needs from renewable sources.
Already, Masdar Power is developing the 100MW Shams One Concentrated Solar Power plant in the Western Region of Abu Dhabi, which when complete, will be the largest such unit in the world. Masdar is also developing a 30MW wind farm and a Photovoltaic array on Sir Bani Yas Island.
In addition to measures to improve its energy mix at home, the UAE is seeking to promote a sustainable future in the world as a whole.
Masdar is at the heart of a multi-billion dollar initiative to create a global cooperative platform for open engagement in the search for solutions to some of mankind’s most pressing energy and development problems. Masdar’s research arm, the Masdar Institute, has teamed up with the Massachusetts Institute of Technology to launch a range of research programmes focused on the development of advanced alternative energy, environmental technologies and sustainability.
Masdar is building in Abu Dhabi the world’s first low-carbon city built on sustainable principles. Among the first tenants will be the Masdar Institute, which will eventually host 600-800 Master and PhD students and 200 faculty members.
The other important tenant at Masdar City will be the International Renewable Energy Agency (IRENA), now headquartered in Abu Dhabi. By promoting renewable energy and helping develop new technologies, IRENA has the potential for making a tangible contribution to the mitigation of climate change. To date, 156 nations are either members or signatories to the IRENA convention and I would strongly encourage those countries that are not members to sign up for this important initiative.
The objective of the UAE’s energy policy is not just to reduce carbon emissions at home, but also to play a leading role in the development of innovative new technologies that can effectively contribute to substantial reduction of global warming.
The UAE seeks partners in the implementation of this vision. I invite attendees at the International Energy Forum and the International Energy Business Forum to contact my office for ways of partnering with UAE institutions. Together, we can work for a better future.
The IEF Charter: A New Era For The Producer – Consumer Dialogue
Daniel Cameron, Secretary of Energy, Argentina
July 2011
In my view, the signing of the Charter in the Extraordinary Ministerial Meeting of the International Energy Forum has firmly established the importance of a better mutual understanding and acknowledgment of the common energy interests between producing and consuming countries.It is of the greatest importance for our countries to support such a meeting place for ... [ More ]
The IEF Charter: A New Era For The Producer – Consumer Dialogue
Daniel Cameron, Secretary of Energy, Argentina
In my view, the signing of the Charter in the Extraordinary Ministerial Meeting of the International Energy Forum has firmly established the importance of a better mutual understanding and acknowledgment of the common energy interests between producing and consuming countries.
It is of the greatest importance for our countries to support such a meeting place for producers and importers of hydrocarbons, because it enables the exchange of views, including with transit countries.
Since fossil fuels will remain the principal energy source in the next 40 years or more, we must dedicate ourselves to achieving a more efficient consumption of these fossil fuels and to make the markets more transparent.
We must a achieve this objective, as well as a diversification of our energy sources, including hydropower, nuclear energy and renewables, in support of our earnest efforts to contribute to the mitigation of climate change and to reduce greenhouse gas emissions.
Therefore, it follows that it is of vital importance that the member countries of the International Energy Forum will identify and promote principles and guidelines that improve the transparency, stability and sustainability of the energy market.
Argentina notes with satisfaction that the International Energy Forum is a useful and productive vehicle, stimulating the energy dialogue between the major producing and consuming countries and diminishing the tensions currently affecting the oil and gas markets. The tensions that have recently arisen in some countries in the Middle East, North Africa and Central Asia are to a large extent not the result of physical problems or costs, but rather of financial speculation or geopolitical circumstance.
In addition, we underline the importance that the International Energy Forum will have as a consultative body for the Energy Experts Group of the G20.
We want the G20 to be the Multilateral Forum for tackling the principal problems of the world in the coming years. Energy questions will not be an exception, hence the Energy Experts Group of the G20 has 4 working groups:
Volatility of fossil fuel prices
Fossil fuel subsidies
Initiative for Global Maritime Protection
Clean energy
The International Energy Forum will provide a consultative mechanism for the G20 in relation to the topics of volatility of the price of fossil fuels and fossil fuel subsidies.
Therefore Argentina highly values the initiative of the International Energy Forum for its neutral positioning as a forum where numerous countries come together from different continents and with distinctive views on the political, economic and energy reality.
A Collective Responsibility To Deliver Tangible Results On Oil Price Volatility
Eric Besson, Minister of Industry, Energy & the Digital Economy, France
July 2011
On 22 February, the new IEF Charter was adopted by 86 countries. I was glad to participate in this historical moment, and I am proud that France has contributed to the elaboration of this new Charter as a member of the high-level steering group.France strongly supports the Forum's work and as one of the initiators ... [ More ]
A Collective Responsibility To Deliver Tangible Results On Oil Price Volatility
Eric Besson, Minister of Industry, Energy & the Digital Economy, France
On 22 February, the new IEF Charter was adopted by 86 countries. I was glad to participate in this historical moment, and I am proud that France has contributed to the elaboration of this new Charter as a member of the high-level steering group.
France strongly supports the Forum's work and as one of the initiators of producer consumer dialogue, we are delighted to see that the enthusiasm behind the dialogue remains intact, 20 years after its creation.
Indeed, producers and consumers have a lot of things in common. Protecting the environment, preventing climate change, reducing energy poverty, as well as ensuring global energy security are key examples. We also have a shared interest in limiting erratic price movements in the energy sector, and enhancing predictability.
Energy prices, and more specifically oil prices, are key inputs of public and private investment decisions all across the economy. Therefore the lack of predictability can result in a lower economic growth. On the consumer side, oil price volatility severely impacts households, for whom diesel, gasoline or fuel oil are most of the time non-substitutable fuels, but it also undermines the competitiveness of our companies. On the producer side, public authorities and businesses need adequate visibility to base their medium- and longterm investment decisions.
France has made commodity price volatility a priority of its presidency of the G20, focusing our work on 3 priority areas, on which we hope to achieve significant progress by the Cannes summit in November: the enhancement of physical markets transparency, the reinforcement of the regulation of financial markets, and the strengthening of producer / consumer dialogue.
The IEF has been very active in the past months in investigating the current volatility of energy prices, and exploring ways to mitigate it, in line with the roadmap agreed at the Cancun ministerial meeting in March 2010. I would like to take the opportunity of this article to thank the IEF secretariat for its sustained and valuable contribution to this work.
Building on its expertise in bringing together different viewpoints, and being identified as a neutral facilitator, I am convinced that the IEF can play an essential role in the fight against excessive energy price volatility by:
1. Developing a better understanding of the functioning of oil markets, together with other international organisations like IEA or OPEC, as it did in November 2010, by organising a symposium on the link between physical and financial markets, and a workshop on regulation;
2. Improving the transparency of energy data, notably through the improvement of the timeliness, completeness and reliability of the JODI database, its extension to gas and the collection of annual data on investment programs;
3. Enhancing visibility on future energy outlooks (both short-, medium- and longterm), through the comparison of existing scenarios and forecasts, building on the work initiated at the Riyadh symposium in January 2011.
With the adoption of the IEF Charter, we now have a collective responsibility to deliver tangible results on these core issues for the stability of energy markets.
S. Jaipal Reddy, Minister, Petroleum & Natural Gas, Government of India
July 2011
The recent earthquakes in Japan and the resultant decision of several countries to reduce their dependence on nuclear power in the coming years and decades, means that hydrocarbon fossil fuels will continue to play a dominant role in the world's energy basket well into the fourth or fifth decade of the 21st century.This means that ... [ More ]
Building Trust Valuing Interdependence
S. Jaipal Reddy, Minister, Petroleum & Natural Gas, Government of India
The recent earthquakes in Japan and the resultant decision of several countries to reduce their dependence on nuclear power in the coming years and decades, means that hydrocarbon fossil fuels will continue to play a dominant role in the world's energy basket well into the fourth or fifth decade of the 21st century.
This means that the world will have to find ways and means of bringing more and more oil to the markets, for which huge investments will be required. For the required investments to materialise, we will need a conducive investment climate. Most of all, we will need to assure the producing/investing countries of the 'certainty of demand'.
The human population on the planet is inching towards the 9 billion mark by the middle of the century. With a rapid increase in the consumption of energy world-wide, particularly in the emerging economies, issues related to global energy security will acquire a renewed urgency. In this perspective, the ongoing global energy dialogue will have to be strengthened so that the burning issues before us get addressed effectively.
With the adoption of a new Charter in the Extraordinary Ministerial meeting at Riyadh on 22 February 2011, the International Energy Forum (IEF) has emerged as a more robust and dynamic vehicle for carrying on the global energy dialogue, encompassing not just the views of all the stakeholders including the producing, consuming and transit countries, but also highlighting the need to tackle issues such as energy poverty on an urgent and global basis.
It is our belief that energy security for the world can only come from inter-dependence among the producing, consuming and transit countries. In today's highly globalised world, no country can be an island unto itself. We must strive to move towards a global energy system that underlines the mutual dependency between consumers and producers, and facilitates international trade on wellaccepted market principles.
For emerging economies like India which are also net importers of oil, the stability of the international oil markets and transparency in price formation of oil are very important. Since rising fuel prices adversely affect the world economy as a whole but more so developing countries, international oil markets must not be allowed to get divorced from the fundamentals of demand and supply. With the emergence of oil as both a physical commodity and financial asset, there is an urgent need to bring in some kind of regulatory oversight of the commodity and futures markets. Oil is too important a natural resource to be left entirely unregulated in the international marketplace. Very high oil prices do not, in the long run, benefit either the producer or the consumer. In fact, they lead to 'demand destruction' and thereby reduce further investments in the oil sector.
We look to the IEF in its new avatar to focus on these and other related issues, and conduct the global energy dialogue in a manner that enhances the mutual trust among producers and consumers, brings transparency to the oil markets, and through the mantra of inter-dependence, leads to greater energy security for the world.
Collective Action Required To Meet Energy Challenges
Lord David Howell, UK Minister of State
July 2011
On 30 May 2011 UK Minister of State, Lord Howell, who holds the international energy portfolio at the UK's Foreign Office, visited the IEF headquarters and delivered a speech on "Global Energy Challenges: Now and in the Future". Lord Howell was accompanied by Lord Marland, Minister at the Department for Energy and Climate Change.Lord Howell's ... [ More ]
Collective Action Required To Meet Energy Challenges
Lord David Howell, UK Minister of State
On 30 May 2011 UK Minister of State, Lord Howell, who holds the international energy portfolio at the UK's Foreign Office, visited the IEF headquarters and delivered a speech on "Global Energy Challenges: Now and in the Future". Lord Howell was accompanied by Lord Marland, Minister at the Department for Energy and Climate Change.
Lord Howell's speech touched on the many technical, economic and geopolitical challenges that affect us all on a daily basis, but placed particular emphasis on the UK's commitment to tackling oil price volatility through international co-operation. He noted the importance of providing consistent evidence-based messages to global oil markets and in this context he highlighted the key role played by the IEF and its partners in the Joint Organisations Data Initiative. "I have no doubt that consumers, both in developed and developing countries and producers will benefit from the IEA, OPEC and IEF initiatives to share their analysis, and from the continuing improvements and refinements to data sharing mechanisms, such as the Joint Organisations Data Initiative."
Lord Howell concluded his presentation by saying that "The IEF can provide the transparency and facilitate dialogue between consumer and producer states to address the challenge of oil price volatility. The Challenge of higher energy prices can be moderated by responsible investment in supply. Global energy demand can become sustainable through energy efficiency and new technology, which will also enhance economic resilience and thereby diffuse the threat posed by price rises."
In his own closing remarks, IEF Secretary General, Noé van Hulst was pleased to note Lord Howell's statement that "The IEF has demonstrated in recent years that there is a genuine value in the producer-consumer dialogue" and thanked him for the UK's unwavering support for the IEF. Highlighting the UK's commitment to strengthening the institutional framework of the producer-consumer dialogue, van Hulst commended their role as co-chair of the Forum's High Level Steering Group. The work of the group resulted in the Cancun Declaration in 2010 and culminated in the signature of the IEF Charter by 86 countries on 22 February 2011.
Diversity, Competitiveness And Transparency Through Enhanced Cooperation
Traicho Traikov, Minister of Economy, Energy & Tourism, Republic of Bulgaria
July 2011
Today we are facing the challenge to make the transition to a safer, more efficient and low-carbon economy based on a more sustainable way of life. Europe has agreed a forward-looking political agenda to achieve its core energy objectives of sustainability, competitiveness and security of supply. The situation requires placing the emphasis on reducing external ... [ More ]
Diversity, Competitiveness And Transparency Through Enhanced Cooperation
Traicho Traikov, Minister of Economy, Energy & Tourism, Republic of Bulgaria
Today we are facing the challenge to make the transition to a safer, more efficient and low-carbon economy based on a more sustainable way of life. Europe has agreed a forward-looking political agenda to achieve its core energy objectives of sustainability, competitiveness and security of supply. The situation requires placing the emphasis on reducing external dependence on energy imports through increased diversification of energy sources, including domestic ones, and energy routes, as well as energy efficiency and savings and promotion of the use of renewable energy.
The Republic of Bulgaria is an important transit route between Europe, Asia and the Middle East as well as a key energy player, a reliable partner and participant in a number of very important energy projects.
Bulgaria has already acknowledged and will continue to support the message of the World Energy Council 'to keep all options open' and the right of every country to develop production based on various energy sources such as coal, nuclear power, oil and gas, hydro resources, bio-resources and other renewable energy sources, while strictly observing the requirements set by the environmental standards in force. In our view, diversification of energy routes and sources is an important factor amongst others to improve energy security in our country and in the region.
Bulgaria is a small country with limited energy sources. For all that we are strongly committed to guarantee the national and regional energy security by improvement of the energy efficiency, promotion of renewables, best use of indigenous energy resources, building a reliable energy infrastructure.
It is now an acknowledged fact that energy security cannot be achieved without the presence of a real energy market. Only transparent energy markets and predictable regulatory framework can ensure affordable and reliable energy to consumers and favourable investment environments.
I would also like to emphasise that Bulgaria intends to develop its capacity as an active participant in the implementation of strategic oil and natural gas transit projects from the South East European region, the Black Sea, the Mediterranean, the Caspian region and the Middle East. It is necessary to identify alternative sources of energy in order to prevent high prices that would be an unacceptable burden to our national economies.
These measures will result in improved welfare of our citizens, increasing the competitiveness of the economy, increasing jobs and at the same time - reducing consumption of energy and natural resources with minimal negative impact on the environment and climate change.
I do believe that only the shared responsibility can help us to find the response to the challenges we are facing today. Countries are becoming increasingly interdependent in energy matters. The increasing demand for energy resources will necessitate new projects offering diverse energy suppliers, sources and supply routes for delivery of energy resources. Energy interdependence is influencing development, trade and competitiveness, international relations and global cooperation on climate. Enhancing the energy cooperation between producing, consuming and transit countries will result in securing greater diversity, competitiveness and transparency in all aspects of the supply chain, boost system integrity, economic development and energy security. This partnership is the key element for securing a supply - demand balance under clear and sustainable transit rules.
In conclusion, I would like to point out that being an EU member-state Bulgaria will actively contribute to the implementation of the European energy development, energy security and climate change strategy. We will seek and rely as much as possible on understanding and cooperation in the global context.
Maxime Verhagen, Minister for Economic Affairs, Agriculture and Innovation, The Netherlands
December 2010
As former minister of Foreign Affairs I already had the pleasure to meet the Secretary General in Riyadh. He informed me about the IEF and the role of the secretariat in facilitating the global dialogue with producers and consumers, of which the Netherlands has always been a strong promoter.As present minister of Economic Affairs, Agriculture ... [ More ]
The Dialogue Reaches Maturity
Maxime Verhagen, Minister for Economic Affairs, Agriculture and Innovation, The Netherlands
As former minister of Foreign Affairs I already had the pleasure to meet the Secretary General in Riyadh. He informed me about the IEF and the role of the secretariat in facilitating the global dialogue with producers and consumers, of which the Netherlands has always been a strong promoter.
As present minister of Economic Affairs, Agriculture and Innovation, I intend to keep on promoting the energy dialogue. Energy is of vital importance to any country in the world and to the Netherlands in particular. Energy is important in the Dutch economy, being a consumer but also a producer and a Gas Hub in North-west Europe. This explains the importance we attach to the dialogue and why the Netherlands is co-host for the IEF in 2012.
The unique selling point of the IEF is that it gathers ministers and companies to discuss and find workable solutions to problems. It has developed into a platform which brings together ministers that would otherwise not meet and discuss so easily. The informal character stimulates that they are at ease as well. Where confidence building plays a pivotal role, the process of building relations is as important as the political outcome.
Next year the producer-consumer dialogue will celebrate its 20th birthday. Quite an accomplishment for an informal forum. For me this reflects the real need for a platform on major issues regarding energy.
In my vision, those major issues are the following:
First of all of course the global market place. The issue of functioning and volatility of markets. A lot of work has been done and will be done by IEA, IEF and OPEC, separately and jointly. A key question is not only how volatility can be reduced. The question is basically how we can enhance flexibility in commodity markets that are characterised by large-scale investments as well as long lead times?
Second issue: transparency. It goes without saying that data transparency through JODI will stay a priority in the coming years. The expansion of JODI to gas is an important element. Transparent policies are important as well. Maybe we could try to discuss how we as governments are coping with issues as energy prices, environment, energy security, energy poverty, etc. And it would be helpful not to talk in general, but to refer to specific policies and best practices. It helps us all to learn from each other and to gain insight in policy developments in other countries. This will contribute to confidence.
Third issue: energy efficiency. Before mid-2009 energy markets were tight. We expect them to be tight again when the present crisis is over, unless…… unless we will be able to improve energy efficiency substantially. It will prevent the oil and gas markets will be overstretched again in a couple of years. Besides, we have to use our energy resources much more responsibly. Discussing this issue will touch upon every aspect of the energy market, including prices. So it won't be easy. But increasing efficiency has benefits in many areas. It is worthwhile discussing it in the forum, preferably in a very practical way.
To conclude: the dialogue is maturing. With the drafting of a new Charter for the IEF we are entering a new phase; a consolidation phase. Maybe the next Ministerial does not even need a 4th session on the future of the dialogue. The dialogue will continue anyway. I say after Descartes: Cogito ergo sum!
The Forum's Work is More Important Than Ever
Charles Hendry, Minister for Energy, UK
December 2010
As the new UK Energy Minister, I am very grateful to the IEF for giving me this opportunity to introduce my Government's priorities and direction of thinking on international energy issues.The UK firmly supports the Forum's work. The security of oil and gas supplies is of key importance to the whole world and will remain ... [ More ]
The Forum's Work is More Important Than Ever
Charles Hendry, Minister for Energy, UK
As the new UK Energy Minister, I am very grateful to the IEF for giving me this opportunity to introduce my Government's priorities and direction of thinking on international energy issues.
The UK firmly supports the Forum's work. The security of oil and gas supplies is of key importance to the whole world and will remain so for the foreseeable future. Growing energy consumption will see demand for these fuels rise significantly even as we increase our use of low carbon energy sources. This makes open dialogue between oil consumers and producers essential if we are to avoid the price volatility so damaging to economic growth and to the investment needed for future oil production. We in the UK are not exempt from these concerns: access to oil and gas on the world market is a key priority for us too as declining domestic production makes us increasingly dependent on imports of these fuels.
Current global economic uncertainties make the Forum's work more important than ever and I welcome the renewed focus given to the Forum's work at Cancun earlier this year. The emphasis given to the development of the Charter and on analysing both regulation and the operation of the international oil market will allow the Forum to make a significant contribution in these areas.
More generally the new Charter will, by increasing certainty over objectives and funding, allow the Forum and its Secretariat to work and plan ahead more effectively. The proposals the Secretariat has already brought forward for the Charter provide the building blocks for a document which respects the interests of all members and which I hope we will be able to agree at the IEF Ministerial meeting in February.
JODI is already making an important contribution to the oil market, with publication of much of the detailed and timely data on production and consumption, stocks and investment needed to inform trading. I hope the initiative can soon be extended to include investment data - it is particularly important that decisions on developing production facilities can be taken in the knowledge of the likely future balance of global production capacity and demand, especially as the world comes out of recession.
Closer cooperation with other international organisations, in particular OPEC and the IEA, is important to the future development of the IEF's work. There is a wealth of information and analysis produced by each organisation, and significant potential to develop this work further by collaborating. The two joint workshops held in November, on regulation and the linkages between the physical and financial oil markets, are therefore a very welcome development. I hope the workshop on international oil markets can inform the work the G20 is also doing in this area.
Progress in all of these areas will provide Ministers with plenty of material for substantive discussions when we next meet.
I was very pleased to meet many of you when the IEF High Level Steering Group met in London in July and look forward to working with you all in the future.
H. E. Georgina Kessel Martínez, Minister of Energy, Mexico
March 2010
Mexico is honored to host the 12th International Energy Forum and 4th International Energy Business Forum. We especially thank our co-hosts Germany and Kuwait, as well as the IEF Secretariat, whose help has been invaluable in organizing these events. We hope that the work conducted in Cancun will bear fruit and that it helps in ... [ More ]
Light In The Darkness
H. E. Georgina Kessel Martínez, Minister of Energy, Mexico
Mexico is honored to host the 12th International Energy Forum and 4th International Energy Business Forum. We especially thank our co-hosts Germany and Kuwait, as well as the IEF Secretariat, whose help has been invaluable in organizing these events. We hope that the work conducted in Cancun will bear fruit and that it helps in setting a comprehensive platform to strengthen the global energy dialogue, in order to further our understanding of the myriad challenges confronting the energy sector.
The global financial crisis and the ensuing economic slowdown, coupled with the roller-coaster ride in oil prices that, at their height, were five times those of 2004, have created a unique set of risks for the energy sector. As a result of reduced cash flow, leading companies in the global oil and gas sector have announced cutbacks in capital spending, as well as over a hundred project delays and cancellations. According to estimates by the International Energy Agency, these decisions cut 2009 global upstream oil and gas investment budgets by 19% compared with 2008 - a reduction of $ 90 billion dollars. If prolonged, such downturn in investment threatens to constrain capacity growth in the medium term, particularly for long lead-time projects. This will eventually pose a risk of supply shortfalls. The Organisation of the Petroleum Exporting Countries has already projected that this downturn will mean that crude runs will not recover to 2007 levels until 2015. As a consequence, low refinery utilization and poor refining economics will besiege the sector for an extended period of time.
Complicating this scenario, for a large segment of the world population access to energy remains a promise yet unfulfilled, while the relationship between energy and climate change has become increasingly intricate. Currently 2.5 billion people lack access to modern fuels for cooking and heating, and given concurring estimates by leading aid agencies, under current policies that number will increase to 2.6 billion by 2020… more than one third of the world's population. Furthermore, according to the Organisation for Economic Cooperation and Development, the climate change picture remains bleak: the atmosphere contains long-lived greenhouse gases at a concentration 455 per million of carbon dioxide equivalent, which is 60% above preindustrial era levels. This number far exceeds the natural range over the last 650,000 years. Average global temperatures are currently 0.76°C higher than pre-industrial levels and continue rising.
Considering this situation, it is not surprising that the international dialogue between producing and consuming countries has been very intense in the past few years; and that it has expanded to address energy security, the dilemmas of energy poverty, and the global concern for sustainability and environmental protection. All of these subjects will be open for discussion when we meet in Cancun.
I think it is fair to say that no Minister participating in this coming Meeting can ignore the crossroads we now face, nor can any of us shirk the responsibilities we share. In order to promote coordinated confidence-building measures, we must discuss how to build a more focused producer-consumer dialogue, based on a greater degree of trust and openness. Our list of priorities is extensive: identifying the causes and consequences of price spikes, assessing the uncertainties affecting future supply and demand outlooks, unlocking the barriers holding back investment, encouraging increased cooperation and partnership among national and international companies, broadening energy access, and advancing clean technologies.
This International Energy Forum provides the occasion and structure to substantially strengthen the architecture of the global energy dialogue. Enhancing awareness of the links that need to be established between governments, international financing bodies, corporations, and assistance agencies is equally crucial. In an important sense, most people involved in the energy sector agree that we are running against the clock in terms of energy poverty and climate change, as well as with regards to the remaining avenues available to us if we are to successfully turn the tide.
Given our sector's makeup, it may be more than a little ironic to cast the challenge before in these words, but symbolically speaking we are in a struggle pitting light against darkness. The sheer scale of this mandate is monumental, and it can only be met through a broad-minded, collaborative effort across the globe. This effort must encompass each level of government, and all possible partners in the industry, financial, and aid communities, all striving together to uncover, fund, and deploy new measures to lead the way into a prosperous future.
We look forward to welcoming you in Cancun!
IEF Newsletter, Issue 14, November 2009
H.E. Taner Yildiz, Energy Minister of Turkey
November 2009
For decades, oil has taken first place in world primary energy consumption. It still maintains its importance in being the number one input for countries' economic development. It is widely accepted that oil cannot be easily replaced by any other alternative energy resource. This is especially the case in the transportation sector in the short ... [ More ]
IEF Newsletter, Issue 14, November 2009
H.E. Taner Yildiz, Energy Minister of Turkey
For decades, oil has taken first place in world primary energy consumption. It still maintains its importance in being the number one input for countries' economic development. It is widely accepted that oil cannot be easily replaced by any other alternative energy resource. This is especially the case in the transportation sector in the short and medium term. On the other hand, natural gas and nuclear power can not compete fully with oil. Furthermore, transportation of oil is much more convenient than its alternatives, ie natural gas. Needless to say, renewable energy resources are far from replacing this crucial energy commodity, at least in the near future.
Global oil consumption has taken the biggest share in primary energy consumption for a long time (in 1998, for example, it was 38%). However, oil in the energy mix has shown a slightly declining trend and accounted for 34% in 2008 while in some industrialized countries, the share of energy resources, such as nuclear power or natural gas, have significantly expanded.
In recent years, lots of oil disruptions occurred due to various reasons, eventually leading to an increase in commodity prices. Ultimately, this had a negative impact on the energy consuming countries, especially on emerging economies, which are highly dependent on oil imports. Similarly, energy-producing countries will be negatively affected in the long run. In this sense, producers have a bigger responsibility in maintaining sustainability in the global oil market. It needs to be also noted that producers should not use oil as a means of weapon. Such an approach will not only have a damaging effect on the consumer countries, but it will be detrimental for the interests of the producers as well.
According to some projections, oil will keep its dominant position at least for another 20-30 years. Moreover, most of current oil reserves will be depleted and they will be limited to some countries. This foresight increases the significance of a constructive dialogue between oil producers and consumers.
It is important that the major oil producing countries need to take the lead in devising more effective and useful dialogue among themselves, with oil consuming countries as well as the international institutions, starting with International Energy Forum. Such a dialogue should also include minor oil consumers and producers, as well as international oil companies, which play a major role in the global oil industry.
On the other hand, transparent policies are vital for a sustainable oil market. These policies can provide important contributions to improve dialogue amongst the companies, the international institutions, and above all, the producing and the consuming countries. The main motive behind the establishment of the International Energy Forum (IEF) was to develop dialogue and provide solidarity between producers and consumers.
Today, oil data of more than 90 countries, representing more than 90% of global oil supply and demand, are collected with the efforts of the IEF, which includes both producer and consumer countries. This cooperation significantly contributes to the global oil market in making accurate projections and in pursuing policies for the interest of those countries. Obviously, we should have a closer focus on exploring and designing new mechanisms for furthering and strengthening this dialogue.
Energy security is a major geopolitical issue of our time
H.E. Martin Ferguson, Minister for Resources and Energy of Australia
November 2009
As a key energy supplier in the Asia-Pacific region and net oil importer, Australia is acutely aware that our economic prosperity, and the prosperity of all consumers and producers, will be greatly affected by the way these energy security challenges are addressed. The global economic slowdown has seen some moderation in demand, but we can't ... [ More ]
Energy security is a major geopolitical issue of our time
H.E. Martin Ferguson, Minister for Resources and Energy of Australia
As a key energy supplier in the Asia-Pacific region and net oil importer, Australia is acutely aware that our economic prosperity, and the prosperity of all consumers and producers, will be greatly affected by the way these energy security challenges are addressed. The global economic slowdown has seen some moderation in demand, but we can't afford to relax. We must, as a matter of priority, take appropriate steps to deal with these challenges. We need to do this together. An effective consumer-producer dialogue founded on a clear understanding of our mutual inter-dependence can become a driving force for cooperation to help mobilise timely and effective global action.
Efficient, transparent and competitive regional and global energy markets are central to meeting these challenges in a way that delivers cleaner, more reliable, adequate and affordable energy. Transparent markets offer the best means of attracting necessary investment at least cost, particularly in the wake of the global economic slowdown. They also create strong incentives for energy efficiency and support the timely and effective roll-out of innovative, low-carbon energy technologies.
The International Energy Forum (IEF) is already making an important contribution to promoting transparent and efficient global oil markets through the Joint Oil Data Initiative. This work is important and I encourage the IEF to continue strengthening the quality and coverage of its oil data.
Improved transparency is a good start, but more is needed. The global financial crisis must not be allowed to give rise to a retreat to protectionism. Consumer and producer governments need to work together to create the stable, predictable and effective policy, legal and regulatory frameworks needed to build resilient global energy markets that can deliver timely investment. Undue barriers to energy trade and investment need to be identified and removed where possible. Related challenges, including improving cooperation between international oil companies and national oil companies, and addressing looming skill shortages, will also need to be addressed. We look forward to reviewing the proposals being developed by the Expert Group in this context.
Continued large-scale use of fossil fuels by developing economies is an inescapable reality for the foreseeable future. New technologies that reduce associated carbon emissions, such as carbon capture and storage (CCS), need to be developed and deployed, along with the full suite of renewable technologies. Energy efficiency also has an important role to play in reducing global greenhouse gas emissions.
IEF Newsletter, Issue 13, May 2009
H.E. Natig Aliyev, Minister of Industry and Energy of Azerbaijan
May 2009
The modern world is living through a period of serious economic turmoil, causing successive crises in the financial and social-economic sphere, the main areas of industry, and also in the fuel-energy complex, which is a particularly good barometer of the current situation and indicator of how the world economy will develop in the foreseeable future.Given ... [ More ]
IEF Newsletter, Issue 13, May 2009
H.E. Natig Aliyev, Minister of Industry and Energy of Azerbaijan
The modern world is living through a period of serious economic turmoil, causing successive crises in the financial and social-economic sphere, the main areas of industry, and also in the fuel-energy complex, which is a particularly good barometer of the current situation and indicator of how the world economy will develop in the foreseeable future.
Given the important role of the energy sector in economic development across countries, regions and continents, it is necessary to take special measures to co-ordinate the energy policies of producer countries -- to establish diverse sources of hydrocarbons supply and stabilize world oil prices, enhancing global energy security. For this reason, regular and extraordinary meetings are held by of OPEC, heads of state, ministries, major oil and gas companies, and representatives of international energy agencies and financial organizations.
The European Union has tried to create mechanisms that promote mutually beneficial co-operation between energy producers and consumers -- on the basis of a market economy, characterized by transparency of transactions and freedom of competition.
Azerbaijan completely encourages these principles. Our country, which has developed upstream projects amounting to many billions of dollars in value, is prepared for its hydrocarbon resources to help guarantee and strengthen the energy security of European countries.
Most European countries are dependent on oil and gas imports. Imports of natural gas, in particular, are growing in importance - to serve the continent's need for electricity, light and heat. In this context, it is obvious and beyond any doubt that the Caspian region, as a major producer of energy resources, will be one of the principal guarantors of energy security in western and eastern Europe.
We are convinced that greater co-operation with foreign investors in upstream projects, especially in the identification of new geological prospects in the Caspian region, will result in an increase in the region's hydrocarbons potential and enhance its role as a supplier of energy resources to Europe.
We are interested in and understand the European Commission's idea of establishing the Caspian Development Corporation, with the participation of all relevant energy and transportation companies, financial and business circles. Its objective is to concentrate all efforts on creating a reliable, efficient, transparent, market-based energy-transport system, supplying energy resources from Central Asia and the Caspian region to EU countries.
In our opinion, it is necessary to create favourable and attractive regimes with optimal prices and tariffs that suit not only investors, but also link up the various parts of the business chain - harmonizing relations between producers, transit parties and consumers.
I consider that it is necessary to decide points concerning relations with producer countries of natural gas and to determine the mutual obligations and responsibility of all parties on the supply and transportation of natural gas.
H.E. Helmi Güler, Minister Of Energy And Natural Resources Of Turkey
April 2009
Energy, being the fundamental ingredient of economic and social development, continues to top the political agenda of every country in the world in the sense that, energy resources are limited and distributed unevenly in the world, while demand is continuously rising as populations grow and economic growth sustains.Given this global situation, hydrocarbons will continue to ... [ More ]
Energy Security And Producer-Consumer
H.E. Helmi Güler, Minister Of Energy And Natural Resources Of Turkey
Energy, being the fundamental ingredient of economic and social development, continues to top the political agenda of every country in the world in the sense that, energy resources are limited and distributed unevenly in the world, while demand is continuously rising as populations grow and economic growth sustains.
Given this global situation, hydrocarbons will continue to be the fuel of choice for decades to come, but their development and production have entered a new phase. Reserves are large but finite, operations in new areas are becoming even more technically complex, and non-conventional hydrocarbons will form a larger part of the production base in the future.
It is obvious that the Middle East, North Africa and CIS regions with their vast oil and gas reserves, comprising the two thirds of the remaining oil and gas reserves of the World, will be the centre of gravity for future balancing of the supply-demand pendulum and will play the leading role in global oil and gas supply security.
Geopolitics steered by globalization and long term interests, will yield long-term strategic partnerships and co-operations. Both producers and consumers will have an impact on shaping the future and regional stability should strongly be supported. Limited energy sources of countries and increase in consumption have led the 'self-sufficient energy' strategy of the countries to become 'the development of international trade and regional integrations' strategy. Therefore energy trade is expanding rapidly, increasing mutual interdependence among countries and regions. Hence regional and inter-regional co-operation strengthens the global energy policy interrelationship in the energy world.
While energy markets around the world are more open now to trade, competition, and foreign investment than at any time in history, questions regarding market liberalization, transparency, and security of supply are pulling markets in the other direction. Competing forces seem to pit producers against consumers, development against sustainability, competition against regulation, and national issues against transparency. The solution is, to establish the economic linkages that connect producing countries to consumers increasing co-operation and creating a more stable, sustainable international environment.
For accessing and securing energy a well established and consistent co-operation among countries is needed. Governments must act decisively to accelerate the actions for this co-operation. Co-operative international research and development can promote effective energy policy and lay the groundwork for technology breakthroughs in clean, distributed energy sources that can benefit populations in the developing world.
In this context, the International Energy Forum (IEF) can encourage international dialogue and co-operation between energy consuming and energy producing countries by deepening dialogue among those involved in energy affairs, as well as enhancing transparency among governments by creating common energy databases. The Forum can also contribute to global energy security by converging producers' and consumers' policies to establish a win-win situation for both parties. Facilitating discussions on global energy security and encouraging producers and consumers to recognise the commonality of their interests is the only way of sustaining global economic growth, and the IEF is and will be expected to work towards achieving this goal.
Excerpts from the 9th IEF Lecture on 13 October 2008
H.E. Maria van der Hoeven , The Netherlands Minister of Economic Affairs
November 2008
The decision to establish an IEF Secretariat dates back to the 8th IEF Ministerial in Osaka, Japan. Following this, the Netherlands acted as host to the 9th IEF Ministerial and has chaired the Executive Board. The Dutch government highly values the IEF and its Secretariat and would like to thank the government of Saudi Arabia ... [ More ]
Excerpts from the 9th IEF Lecture on 13 October 2008
H.E. Maria van der Hoeven , The Netherlands Minister of Economic Affairs
The decision to establish an IEF Secretariat dates back to the 8th IEF Ministerial in Osaka, Japan. Following this, the Netherlands acted as host to the 9th IEF Ministerial and has chaired the Executive Board. The Dutch government highly values the IEF and its Secretariat and would like to thank the government of Saudi Arabia for hosting it in such a magnificent location.
Energy is vital to all of us. We can only safeguard security of supply and demand by working together. Cooperation and joint action is key. We have to find ways and means to avoid conflicts and solve disputes in a constructive way.
Countries have to create the right conditions, but companies are the real agents of energy security. NOCs and IOCs are open to cooperation. So let us create the possibilities for them to cooperate and enable them to realise synergies.
In recent years the wish to improve the quality of data resulted in the Joint Oil Data Initiative, which is now coordinated by the IEF Secretariat and its partners APEC, Eurostat, IEA, OLADE, OPEC and UNSD. A lot of work has already been done, though more remains.
Transparency will increase by further improving JODI and extending it to include the gas market also. And finally, we should inform each other about investments that will affect future capacity. This will provide more confidence for capacity growth in future, thus promoting stability. I think the IEF Secretariat has a lot to contribute in this area.
The Kingdom of Saudi Arabia has shown responsible leadership in taking up the initiative to organise last June"s Jeddah Energy Meeting.
The Jeddah process strengthened the dialogue between producers and consumers. More importantly it was a step towards concrete action on investments, shared oil market analysis and transparency. And action on these issues we need.
I am happy to see that the IEF Secretariat has played an increasingly prominent role in the recent debate. Its role was downright pivotal in preparing for the Jeddah Energy Meeting. We are all looking forward to the follow-up meeting in London this coming December.
Climate change is one of the major global issues of our time. Environmental problems have already given incentives to improve energy efficiency and have led to the present boom in investment in renewables.
But to be clear: fossil fuels will remain the backbone of the energy system for decades to come. So we have to prepare ourselves for a cleaner production and use of fossil fuels.
I would certainly welcome the establishment of a CCS-group within the framework of the IEF as suggested by the Ministers of UK and Norway. For my part, focus should be on the way in which CCS is part of an overall energy agenda and sustainable energy policy. Again, good international cooperation is essential given other work done. Saudi Arabia and the Netherlands organised a conference last June, a further plan of action is already being elaborated and both countries and the UK and Norway see themselves as frontrunners in the implementation of this action plan.
In summary - we need to extend present cooperation as we already see between our countries, between
NOCs and IOCs and for example on the issue of CCS. New alliances already are opening new horizons, create business opportunities and bring us closer to our goal: a cleaner, smarter and more varied energy system.
I consider it worthwhile to continue the close cooperation between OPEC, IEA and the IEF Secretariat as well. This combines the best available expertise on oil.
I am sure that the IEF Secretariat has an important role to play in all of these fields of endeavour. It already has played a major role in the discussions in Jeddah and its follow-up.
The full speech is available on the IEF Secretariat's website.
High Oil Prices and the Financial Bubble
H.E. Miguel Sebastián Gascón, Minister of Industry, Tourism and Trade of Spain
November 2008
"Readers should note that the following article was written in July and based on the intervention of H.E. Minister Miguel Sebastián Gascón at the Jeddah Energy Meeting in June 2008. In the light of the events since then, it stands the test of time remarkably well".The price of oil is above $140 a barrel, the ... [ More ]
High Oil Prices and the Financial Bubble
H.E. Miguel Sebastián Gascón, Minister of Industry, Tourism and Trade of Spain
"Readers should note that the following article was written in July and based on the intervention of H.E. Minister Miguel Sebastián Gascón at the Jeddah Energy Meeting in June 2008. In the light of the events since then, it stands the test of time remarkably well".
The price of oil is above $140 a barrel, the highest price ever. In real terms, the current price is almost 50% more than the highest price reached during the oil crisis of the late 70's. Moreover, the rise in prices has been sharp, 100% in the last year and 500% over the past five years. Only during the first oil crisis was there a similar surge in prices.
There are two reasons inherent to the oil market that explains this increase. The first one refers to the strong growth of the emerging economies. Since 2004 demand from these countries has grown by over 15%. Nevertheless, this increase needs to be put into perspective since world demand for petrol has only increased by 5.7% over the past four years, compensated by a fall in consumption by OECD countries.
The second reason is the inadequate growth of supply. By way of example, Opec production between 2005 and 2007 was reduced by 100,000 barrels a day, as compared to an increased demand for 2.2 million barrels during this period. Surplus capacity in the industry has consequently fallen in order to increase short term production. Until 2003 surplus capacity ranged from between 3 to 6 million barrels, while between 2003 and 2007 this has dropped to a mere 1 to 2 million barrels, barely 2% of production. This means that supply is very tight, thus pushing prices up. By 2009 and 2010, however, the International Energy Agency expects a significant increase in surplus capacity owing to new projects and oil fields coming into production.
Notwithstanding the above, these two basic factors - supply and demand - do not fully explain the price increase of the past year. There is a third factor: a possible financial bubble. Certain aspects of the financial markets substantiate the possible emergence of this bubble. Since 2005 significant changes have taken place in the futures markets for raw materials. The beginning of the so-called institutional funds, as well as unduly lax regulations allowing too much leverage, have both fed this bubble. For raw materials as a whole and in monetary terms, investment in these futures markets has gone from 13,000 million dollars to over 250,000 million dollars, which means that it has multiplied by nearly 20 in scarcely four years.
In short, it is difficult to quantify what portion of the current price of oil corresponds to the speculative financial bubble and what portion to basic factors of the oil market. Besides, while these basic factors have been thoroughly identified, it is difficult to predict the emergence of factors that might "burst" this bubble. Until this happens, oil prices will continue to rise and the global economy will continue to suffer the ill effects.
London Energy Meeting 19 December 2008
H.E. Edward Miliband, MP Secretary of State for Energy and Climate Change of UK
November 2008
I'm delighted to be leading the new Department of Energy and Climate Change, which has been created to give an even greater focus to solving the twin challenges of tackling climate change and securing an affordable energy supply.Over the last couple of years, and in particular over the last few months we have seen dramatic ... [ More ]
London Energy Meeting 19 December 2008
H.E. Edward Miliband, MP Secretary of State for Energy and Climate Change of UK
I'm delighted to be leading the new Department of Energy and Climate Change, which has been created to give an even greater focus to solving the twin challenges of tackling climate change and securing an affordable energy supply.
Over the last couple of years, and in particular over the last few months we have seen dramatic changes in oil prices. Oil price volatility has an impact across all levels of society, often hitting the most vulnerable hardest. Clearly, a stable oil market is in our common interest and the current economic climate only reinforces this.
This is why the phase of the producer-consumer dialogue that was started at the Jeddah Summit in June is so important. The medium to longer-term challenges facing energy markets that were identified at Jeddah still need to be addressed. If we can improve the way that the oil market functions, with supply and demand responding more efficiently to prices and investments based on shared understanding of future demand and supply conditions, we can reduce the likelihood of price volatility. That will be good for everyone, especially the poor and least developed countries, who are the hardest hit by high energy prices.
Even in a de-carbonising economy, the world will still need oil. So we will continue to need investment in production: both to meet rising demand and offset declines from existing fields.
At the same time we will need to continue to take urgent action to tackle climate change which, if not mitigated, will undermine global growth and security. This will include measures to diversify the energy supply through increased energy efficiency and accelerating the use of low emission technologies. It is therefore vital that producers and consumers work more closely together to understand clearly the outlook for consumption to ensure supply and demand match in a timely manner and at sustainable prices.
At the December meeting we will, working with the IEF, provide a progress report on all the long-term commitments agreed at Jeddah. Broadly these were:
Removing barriers to upstream and downstream investment
A shared understanding of future supply and demand trends
Improving the quality, completeness and timeliness of oil data
International progress on increased energy efficiency
International support to help developing countries alleviate the consequences of high oil prices.
As well as this, under the wider theme of 'Oil, Energy and the World Economy' we will present some analysis of the impact of the financial crisis on energy markets, looking particularly at the effect of the credit crunch on energy demand and investment and what this might mean for energy markets in the future. This will help us all to better understand the effects of the current economic climate and what further work is necessary to achieve our longer-term shared ambitions for the oil market.
I am grateful for the contribution the IEF has made to the preparation for the London meeting and am sure that together we can achieve real progress on 19 December.
The Outlook to Synchronized Energy Responsibility
H.E. Sameh Fahmy, Minister of Petrolum of Egypt
November 2008
I would like to contribute some thoughts on the outlook to synchronized energy responsibility from the Ministers' Rostrum of the IEF Newsletter.It is very crucial to develop a pragmatic global vision on the relation between energy providers and consumers in the sense of their mutual responsibility especially with the ongoing severe challenges both are encountering.It ... [ More ]
The Outlook to Synchronized Energy Responsibility
H.E. Sameh Fahmy, Minister of Petrolum of Egypt
I would like to contribute some thoughts on the outlook to synchronized energy responsibility from the Ministers' Rostrum of the IEF Newsletter.
It is very crucial to develop a pragmatic global vision on the relation between energy providers and consumers in the sense of their mutual responsibility especially with the ongoing severe challenges both are encountering.
It is crystal clear that energy affects many lives either through the hydrocarbons supplied or the development of new technologies in augmenting depleting resources to reach a substantial number of people around the world in illuminating their homes, keeping their cars running and strengthening their business, as well as assisting in boosting and sustaining their economies.
Having said that it is of utmost importance to inform our respectable consumers with some facts of our commitment towards them in revamping quality of life throughout the world and in order to achieve this mission we incorporate concerted efforts, risk, financial means, environmental concerns and social obligations.
Some communities are aware of the fact that conventional resources are depleting and they have already started considering certain measures to prolong the enjoyment of such luxury. Others may not have the right approach to energy preservation due to the variation in the cultural backgrounds of one client to another.
Since ages it has been and will remain our sole paramount responsibility as energy suppliers to sustain a reliable energy influx reflected by greater economic prosperity, improved standards of living, and production of a kaleidoscope of hydrocarbon products.
The challenge we face, as did our predecessors, in maintaining such success in the forthcoming period, will require a wide portfolio of energy options and scenarios especially under the current skyrocketing energy demand.
To guarantee enough energy in the future, it is not anymore required to set action plans and policies with a wishful approach. On the contrary a pragmatic invasion of global, regional and indigenous problems will produce a dandy outcome.
It is time for suppliers and consumers to foresee the repercussions of our present actions and habits, and the failure to have the same affordable and reliable energy later.
The hydrocarbon industry is a long-term business. The new supply of hydrocarbons the world utilizes currently is available due to action plans and policies set by our industry over the last decade or more. Similarly, the decisions we set today regarding the whole value chain of our industry will likely reflect on the outcome for many years to come.
We devote remarkable resources and concerted efforts to recognizing, analyzing and assimilating these long-term dynamics. Though we never claim an ability to predict the future, we are always working to identity and analyze the trends and issues most likely to affect the long-term world energy business. Through this effort, we develop a planning framework based on what we see as the outlook for energy.
In some societies it is time to move from self-awareness to public-awareness to help extricate some of their habits and perceptions to energy consumption.
In better words such communities are not sure that one day they will be subject to severe energy phase-out due to their present attitude in draining their resources and this phenomenon might be a cause of a long enjoyment of social schemes i.e. subsidies etc. — or overwhelmed by cheap natural resources coupled with the lack in cultural energy preservation for the future.
It is time to blow trumpets, out of our responsibility towards global future generations and this will emphasise the outlook to multilateralism in coaching and changing the old methodology of having strategic commodities suppliers in one end and on the other end clients just consuming it.
Telecommunication has managed to shrink the world and I believe it is time for this tool to be utilized in an augmenting manner to address critical issues for the sake of sustaining a quality future. One of the most vital issues that has to be addressed is developing the scenario of a win-win responsibility between suppliers and customers in some communities where the drain of their resources is substantial and won't just reflect on their indigenous resources but on the global strategic scene.
It is our ultimate commitment to drive hard all means of securing our future prosperity and retaining the theme of prosperity as long as possible.
Iran-Pakistan-India Gas Pipeline For Regional Prosperity
H.E. Amanullah Khan Jadoon, Federal Minister For Petroleum And Natural Resources Of Pakistan
May 2008
H.E. Amanullah Khan Jadoon, Federal Minister for Petroleum and Natural Resources of Pakistan, outlines in this special article for the IEFS Newsletter his country's two-pronged strategy for enhancing gas supplies in support of economic development: accelerated domestic exploration and imports through pipelines and in the form of LNG. He underscores that not only Pakistan, but ... [ More ]
Iran-Pakistan-India Gas Pipeline For Regional Prosperity
H.E. Amanullah Khan Jadoon, Federal Minister For Petroleum And Natural Resources Of Pakistan
H.E. Amanullah Khan Jadoon, Federal Minister for Petroleum and Natural Resources of Pakistan, outlines in this special article for the IEFS Newsletter his country's two-pronged strategy for enhancing gas supplies in support of economic development: accelerated domestic exploration and imports through pipelines and in the form of LNG. He underscores that not only Pakistan, but the whole South Asia region will benefit from the Iran-Pakistan-India pipeline project as it will provide a foundation for future economic growth, peace and co-operation as well as contribute to more gas-driven and environment friendly energy economies of two major energy consuming countries.
Federal Minister for Petroleum and Natural Resources since September 2004, Mr Jadoon is an elected Member of the National Assembly representing the Pakistan Muslim League. He has earlier served as Federal Minister for Kashmir Affairs.
Pakistan's energy mix is dominated by oil and gas. Together they contribute 80% of 56 million tonnes of oil equivalent (MTOE) of primary energy supplies. The other sources include 8% coal, 11% hydro electricity and 1% nuclear electricity.
According to Government's projections in the Medium Term Development Framework (MTDF) plan, Pakistan's energy requirement will increase to over 360 MTOE in the next 25 years, more than half of which will have to be imported. Although according to this plan, contribution of oil and gas is projected to drop from the present 80% to about 64%, natural gas is still expected to meet 45% of the primary energy needs at the end of the twenty-five year period.
Pakistan is exploring various options to enhance its gas supplies which are assured, affordable and sustainable on long-term basis so as to maintain the current pace of economic development. To meet this challenge, Pakistan has adopted a two-pronged strategy focusing on: (a) accelerating domestic exploration efforts with more attractive package of incentives for producers; and (b) import of natural gas through transnational pipelines and in the form of liquefied natural gas.
One of the viable gas import options being pursued by Pakistan is import of gas from Iran to Pakistan and its extension to India. Iran as the owner of the world's second-largest proven natural gas reserves is keen to exploit this resource as a source for its revenues. The biggest potential customers of Iranian gas so far are Pakistan and India.
The Iran-Pakistan-India gas pipeline project envisages laying of 2,200 km on-land pipeline to transport gas for both the countries. The total cost of the project was estimated to be over USD seven billion in 2006.
Pakistan's Ministry of Petroleum and Natural Resources has constituted separate working groups with Iran and India to deliberate upon technical, legal, financial and commercial issues of the project. The working groups have held several one-to-one as well as joint meetings so far. Despite the complexities that naturally involve negotiating and executing such a project, progress has been achieved on key components of the project like signing of the term sheet, consensus on major items of the gas sale purchase agreement, broad understanding on project structure, and appointment of international advisors. A Pakistani advisory consortium led by PricewaterhouseCoopers has almost finalized pre-feasibility reports for the Pakistan segment of the project.
Further negotiations of the three parties are in hand to finalize this venture. The degree of earnestness displayed by all the parties, since all will benefit from it, allows us to assume an optimistic conclusion of the project.
Benefits to Pakistan
For Pakistan, the replacement of imported oil with imported gas will increase energy security both in terms of security of supply as well as security of price in view of the long term contract with dedicated source of supply and guaranteed consumption. It will give relief to the hard-pressed infrastructure of ports, roads and railways which are used in movement of imported oil upcountry. In addition, Pakistan will have a strategic advantage as a transit country.
Regional Prosperity
The South Asia region will benefit from the Iran-Pakistan-India pipeline project as it will provide a foundation for future economic growth, peace and cooperation throughout the region.
It will result in a shift towards more gas-driven and environment friendly energy economies of two major energy consuming countries. Significant direct and indirect economic benefits during the construction and over the life of the project will be generated through employment, transit fees, availability of clean fuel, economic and industrial growth. The project will create major investment opportunities for the entire region including downstream business.
Libyan Gas Exports: Broadening The Mediterranean Dimension Of Global Energy Security
H.E. Dr. Shokri Ghanem, The Chairman Of The National Oil Company Of Libya
April 2008
H.E. Shokri Ghanem, the Chairman of the National Oil Company of Libya, highlights in this special article for the Newsletter the potential of Libyan gas exports in the context of regional energy security along side Libya's increasing importance as exporter of oil to global markets. His perspectives have special relevance for the opening plenary session ... [ More ]
Libyan Gas Exports: Broadening The Mediterranean Dimension Of Global Energy Security
H.E. Dr. Shokri Ghanem, The Chairman Of The National Oil Company Of Libya
H.E. Shokri Ghanem, the Chairman of the National Oil Company of Libya, highlights in this special article for the Newsletter the potential of Libyan gas exports in the context of regional energy security along side Libya's increasing importance as exporter of oil to global markets. His perspectives have special relevance for the opening plenary session of the forthcoming 8th Offshore Mediterranean Conference organized jointly by the OMC and IEF Secretariat on the 'Mediterranean Dimension of Global Energy Security' in Ravenna, Italy on 28 March 2007. Dr. Ghanem will share his perspectives as a speaker at the session, which will be inaugurated by H.E. Pierluigi Bersani, Minister of Economic Development of Italy.
Prior to assuming his present position last year, a position with functions corresponding to those of Ministers of other countries, Dr. Ghanem served for three years as Secretary (Prime Minister) of the General People's Committee of Libya after serving as Secretary (Minister) of the General People's Committee from 2001-3. Following a distinguished academic career, he was Director of OPEC's Research Division from 1999-2003, the last two years also in charge of OPEC's Secretariat. Dr. Ghannem was selected 'Petroleum Executive of the Year for 2006' by the Energy Intelligence Group.
It gives me great pleasure to contribute to this edition of the International Energy Forum Secretariat Newsletter which will be published in time for presentation at the 8th Offshore Mediterranean Conference to be held in Ravenna in March 2007. I must also say that I was extremely delighted to participate in the 10th International Energy Forum Ministerial and the 2nd International Business Forum, which were held in Doha in April 2006. I certainly found the discussions with the Energy Ministers quite stimulating and definitely share their view that the International Energy Forum can play a pivoting role in bridging the gap between energy consuming and producing countries through deeper dialogue that activates cooperation and inhibits confrontation. I would also like to take this opportunity to stress the importance of enhancing the energy dialogue between the various energy players at all levels. Only through such a process can successful and lasting relations be achieved and global energy security addressed. As a case in point, the Libyan-Italian dialogue and cooperation experience, which has resulted in bringing the vast Libyan gas resources to the European market through what became known as the Western Libya Gas Project (WLGP), is worthy of special mention. This project, which was launched in 1999 and completed on schedule in 2004, and which involved the development of two large Libyan fields: the onshore Al-Wafa and the offshore Bahr Essalam fields, and the construction of the longest sub-sea pipeline in the Mediterranean (The Green Stream Pipeline) which currently supplies Europe with 8 BCM of gas per year, could not have been possible without the outstanding cooperation between NOC-Libya and ENI-Italy. Undoubtedly, the project has contributed both to the growth of Libyan economy and to the diversification of Europe's energy supplies.
Important Supplier
With the inauguration of the WLGP and the stepping up of exploration programs for both oil and gas, I believe that Libya, in addition to being a major supplier of oil, will become an important supplier of gas to Europe during the coming decades. Of course, Libya's role as a major oil producer will continue as well in view of the substantial proven oil reserves amounting to 39 billion barrels and the fact that there is great potential of discovering more oil since only 25% of the country is actually explored and even this area is not yet fully developed. Our policy aimed at opening more areas for exploration and attracting foreign investment through a highly competitive and a transparent process will see to it that, by 2015, Libya's oil production will once again reach 3 million bpd. However, Libya's potential of becoming an important gas producing country as well is just as great. To put this in perspective, with proved gas reserves of around 47 TCF, Libya is no stranger to the international gas market since it became in 1970 the second country in the world (after Algeria) to export LNG to Italy and Spain. Furthermore, with about 50% of these reserves being undeveloped, and the high possibility that the country's proved and probable gas reserves could be as high as 100 TCF, exports to Europe of pipeline gas and even LNG will ultimately increase in the years to come. More specifically, plans are already underway for doubling the capacity of the gas pipeline to Italy, revamping and expanding the capacity of the existing LNG plant, and even the possible construction of a new LNG plant. Certainly, the remarkable success of the previous three open bid rounds conducted during 2005 and 2006 stands as a testimony of Libya's great potential as an oil and gas producing country, and gas would definitely be the focus of the next exploration round to be launched in the first quarter of this year. Keeping all this in mind, I believe that Libya will play in the coming decades a major role in enhancing and broadening the Mediterranean dimension of global energy security.
Energy Interdependence - Harmony For Progress
H.E. Shri Murli Deora, Minister Of Petroleum & Natural Gas Of India
April 2008
An enormous challenge facing us today is ensuring reliable and affordable energy to the billions of people across the world. Inter-regional trading in crude oil and products accounts for over 50% of the global oil production. The global hydrocarbon supply chain is complex, covering large distances, different modes of transport spanning diverse geographical regions, a ... [ More ]
Energy Interdependence - Harmony For Progress
H.E. Shri Murli Deora, Minister Of Petroleum & Natural Gas Of India
An enormous challenge facing us today is ensuring reliable and affordable energy to the billions of people across the world. Inter-regional trading in crude oil and products accounts for over 50% of the global oil production. The global hydrocarbon supply chain is complex, covering large distances, different modes of transport spanning diverse geographical regions, a huge variety of products, etc. The supply chain is an important link between producer and consumer nations which drives the wheels of the modern global economy. Developing countries in Asia and Africa have to meet the growing energy needs of their people. Also, the geographical endowment of global hydrocarbon resources points towards an increasing interdependence in the future, with economies of both producing and consuming countries closely intertwined.
The turbulence in the international oil market over the past 5 years and record high oil prices are hard facts. The Speculators vs Fundamentals theory has generated a lot of debate but shed little light on the reasons for high oil prices. There is no denying the fact that structural shortcomings across the hydrocarbon supply chain are responsible for this situation and addressing them urgently should be a key focus for all of us.
Dialogue is the only method for addressing matters of such urgent concern in today's globalised world. India is committed to this principle of dialogue among oil producing and consuming nations, based on trust and mutual respect for one another. India has taken the initiative to strengthen the process of dialogue by hosting Ministerial Round Tables involving major Asian consumers and producers. The first Ministerial Round Table was held in January 2005 and saw the participation of Middle East producers and major Asian consumers. This was followed by another Ministerial Round Table in November 2005 for sharing of perspectives by North & Central Asian producers and Asian consumers.
India has made significant contributions to the supply chain, particularly in the refining sector. During the last 10 years, India's refining capacity has more than doubled from 62.2 million tons to 149 million tons. From a net product-importing nation, India has emerged as a major product export hub, with current exports of over 30 million tons. We have plans to add about 98 million tons of refining capacity in the medium term. In the area of exploration and production also, India has taken several initiatives. 6 rounds of the New Exploration and Licensing Policy (NELP), with attractive terms, have been held, inviting international bids and the seventh round is in progress currently. While we are relentlessly working on the domestic E&P sector, we are also encouraging Indian companies to take up E&P activities abroad. We believe in an investment climate that promotes free trade with lower barriers to investment. India will continue to strive to positively contribute to the world oil supply chain both in the Upstream and Downstream sectors.
India, an Executive Board member of the International Energy Forum Secretariat and co-host of the upcoming 11th IEF at Rome is committed to playing an active role in the emerging global energy scenario. The theme of the IEF 'Energy Dialogue to Respond to the Global Challenges' reflects the most pressing global concern today. Beginning with the first step of bringing the producers and consumers together to share their perspectives, the upcoming IEF ministerial round attempts to embark on a path of collective action to respond to the energy challenges facing us. This is indeed a giant step forward. I am optimistic that our collective efforts in this sphere will take us forward and enable us to confront issues in a cohesive and concerted manner.
Common Challenges Facing Energy Producers And Consumers
H.E. Chakib Khelil, Minister Of Energy And Mines Of Algeria, OPEC President
April 2008
The year 2008 could mark a milestone in the long history of petroleum, as the oil price crossed the highly symbolic threshold of $100 /barrel. This new development stirred debate all over the world, in oil exporting and importing countries, regarding its causes, sustainability and implications for both parties.Indeed, whereas some perceive it as cause ... [ More ]
Common Challenges Facing Energy Producers And Consumers
H.E. Chakib Khelil, Minister Of Energy And Mines Of Algeria, OPEC President
The year 2008 could mark a milestone in the long history of petroleum, as the oil price crossed the highly symbolic threshold of $100 /barrel. This new development stirred debate all over the world, in oil exporting and importing countries, regarding its causes, sustainability and implications for both parties.
Indeed, whereas some perceive it as cause for alarm, others look at it as though it was a mere short-lived spike, in the current cycle of the petroleum industry. Yet a serene analysis of the current price environment, allows some interesting observations.
· There is a consensus that the current price include a significant share (up to one third according to several analyses) due to non market fundamentals;
· The yearly average price for 2007 was still lower than the highs reached in the early 1980's, when put in real terms;
· The global economy has shown, over the last few years, a genuine resilience to this upward oil price path;
· The positive implications in terms of a more efficient use of a finite energy resource, less carbon emissions and a highly stimulating booster for the promotion of renewable energy sources, on the long transition road to a new economy.
From these observations, we can draw some conclusions regarding the challenges that the ongoing global energy trends raise for producers and consumers, but more importantly the multiple opportunities they offers for all stakeholders.
Indeed, if one third of the current price level is due to factors other than supply and demand, there is clearly room for producers and consumers to join force to reduce volatility, through better regulation of the speculative activities, increasing predictability, etc… OPEC has been calling for such joint effort through dialogues with various parties within the oil importing world but also with other oil and gas producers.
There is evidence today that the relatively slow expansion of the petroleum industry over recent years was to a great extent a result of the divestment in human capital over the previous two decades that followed the price collapse of the mid eighties. Industry should meet the challenge of balancing short term benefits of cost cutting, with the long term reward of a strong comparative advantage of investment in human resources, when opportunities are offered by the ever expanding global energy needs.
Algeria, like other petroleum exporting countries, has been actively looking for a shared solution to the common challenges facing oil producing and consuming countries. Hence, as an OPEC member it is an active proponent of dialogue with consumers, and as within the IEF it has been a committed member since its inception.
On the domestic front, Algeria has been for decades promoting the use of environmentally friendly energy carriers such as natural gas and LPG, to replace more polluting fuels. One positive side effect was to free more petroleum for export. For the same long period, Algerian oil industry has invested heavily to reduce flared gas to marginal levels. On the same track, Algeria has developed a major Carbon Capture and Storage (CCS) project in the gas prone region of In Salah, which is one the few such projects worldwide.
More recently, Algeria has launched an ambitious programme to develop the vast potential of its renewable energy sources, particularly solar. A first hybrid gas solar power plant, using the solar thermal technology is under construction and should be followed by others, with the objective of meeting 10% of the electricity need of the country by 2030 through renewable energy.
Apart from contributing to the dialogue and co-operation to meet the current challenge of stabilising oil market, Algeria is committed to implement an energy policy which includes environmental protection and to promote renewable energy sources. Thus, it is looking for co-operation with all stakeholders, including the industry and the research community to achieve its stated targets.
On the eve of our 11th International Energy Forum, we are looking forward to join force with interested parties to explore all avenues for co-operation to secure a sustainable energy path.
Consumers Facing Major Energy Challenges
H.E. Ali I. Al-Naimi, Minister Of Petroleum And Mineral Resources Of Saudi Arabia
April 2008
The first ministerial meeting between oil producers and consumers took place in the summer of 1991, seventeen years ago. Since then, the global petroleum and energy markets have confronted five major challenges.The first major challenge, which I call the development of a globalized oil market, started in the eighties and took on defined shape in ... [ More ]
Consumers Facing Major Energy Challenges
H.E. Ali I. Al-Naimi, Minister Of Petroleum And Mineral Resources Of Saudi Arabia
The first ministerial meeting between oil producers and consumers took place in the summer of 1991, seventeen years ago. Since then, the global petroleum and energy markets have confronted five major challenges.
The first major challenge, which I call the development of a globalized oil market, started in the eighties and took on defined shape in the nineties. The globalization of the oil market means that prices are decided freely within an open market, petroleum is directed to where the demand is, and buyers and sellers are fully integrated at the global level.
With the help of this globalized market, producers and consumers have been able to deal successfully with many problems with minimum impact on energy markets and wider economies. Crises such as the production cuts from Nigeria and Venezuela in early 2003, the halt of Iraqi oil exports in March 2003, the reduction of oil production from the Gulf of Mexico and damage to oil refineries in 2005 as a result of Hurricanes Katrina and Rita, and the loss of Alaskan production the following year were all met successfully within the context of this global market system. In other words, I believe this is a challenge we as producers and consumers have successfully met.
The second major challenge we are facing today is the recent flood of money into the oil futures markets from various directions, including hedge funds, institutional and individual investors, traders, and speculators. As an indicator of the scale of this development, I would note that paper markets have grown 45 times faster than physical markets over the last four years. Of course, there is a lot of debate about the impact of this new money and these new players in the oil market. Many experts believe that the influx of investments into the future oil market—which is also related to other financial developments such fluctuations in the value of major currencies, the sub-prime mortgage crisis, and interest rate movements—are behind the increase of oil prices during the last eight months.
The third challenge is reducing harmful emissions from fossil fuels while at the same time making sure these sources of energy are available to contribute to higher economic growth and human prosperity, especially within developing countries. In this regard, I believe that we should avoid political or individual economic self interest and focus instead on scientific and technological solutions such as carbon capture and storage, as well as efficiency in energy uses, cleaner burning fuel formulations, and more efficient engine designs.
The fourth challenge is dealing with the artificial fear about the availability of oil supplies, resources and production capacity. Frankly, I believe that this fear has neither a scientific nor an economic basis. Nevertheless, it is creating a perception of scarcity and is therefore helping to push oil prices higher and higher. Take for example the issue of petroleum resources: all respected petroleum engineers, geologists and upstream professional organizations believe that the world has enough petroleum resources to easily meet demand for at least the next 30 years. Yet, a handful of non-specialists are able to scare the world with theories about peaking oil reserves.
The second area related to fear and scarcity is the issue of production capacity. For example, we in Saudi Arabia have a current production capacity of 11.3 MB/D and 12.5 MB/D by year end 2009. Yet some people who have never actually visited Saudi Arabia and who have a limited scientific knowledge about production capacity and the oil industry in general (let alone the specifics of the
Kingdom"s oil industry) lower their estimates of Saudi production capacity to the range of 10 to 10.3 MB/D. Regardless of their motivation in low-balling their numbers, they create a fear of availability of oil in case of supply shortage which bolster oil prices.
The fifth challenge we face is the increasing level of engagement between food markets and production and energy markets and uses. For the last one hundred and fifty years, petroleum has been used to produce more and more and cheaper and cheaper food; at the moment, however, some food crops are being increasingly used as sources of energy for cars, planes and other transportation vehicles.
Let us leave aside the wisdom of such policies and practices, and for the moment simply note that the energy and food markets are increasingly interlocked, not only at a national level but also at the international level. This is a major issue for all of us, and it requires a logical, scientific and economic approach if we are to optimize both energy use and food production.
In sum, the last four challenges indicate that we as producers and consumers still have collaborative work to do if we are to resolve the concerns and problems which affect the wellbeing of our citizens. One method, among others, to deal with these challenges is to strengthen the existing framework we have for multilateral co-operation and collaboration which includes both the International Energy Forum and its Secretariat.
Dialogue And Co-operation: The Only Way Forward
H.E. Gholamhossein Nozari, Minister Of Oil Of Iran
April 2008
As Ministers and officials of the energy producing and consuming countries are gathering to meet in historical city of Rome for 11th International Energy forum, they can look back with some sense of satisfaction to achievements of the dialogue among themselves to tackle the numerous challenges in the international energy arena in the relatively short ... [ More ]
Dialogue And Co-operation: The Only Way Forward
H.E. Gholamhossein Nozari, Minister Of Oil Of Iran
As Ministers and officials of the energy producing and consuming countries are gathering to meet in historical city of Rome for 11th International Energy forum, they can look back with some sense of satisfaction to achievements of the dialogue among themselves to tackle the numerous challenges in the international energy arena in the relatively short history of this process.
As a founding member of OPEC and one of the pioneers in oil production which will mark its 100th year as an oil producer this June, Iran has always promoted dialogue with other producers and consumers, since we believe that the challenges in this area are so complex, no single group can claim to have solutions for them on its own. In this connection, we took practical steps in the early 1990s to invite major consumers and producers for a meeting in the historical city of Isfahan. The success of this initiative prompted participants to institutionalize the dialogue in following years.
The challenges our industry has had to face in recent years has become even more complex, making co-operation among all parties involved vital for the smooth functioning of energy markets. I hope this forum will be successful in bringing closer the viewpoints of producers and consumers of energy to ensure the long term stability of international energy markets.
· It is our strong belief that the energy industry is an industry of peace and requires political stability for unhindered flow of investment which is a pre-condition for security of energy supply.
· Some consumers attempt at channeling funds for alternative energy sources without due consideration to their economic viability. The resulting inventory stockpiling will heighten the concerns of producers about surplus capacity expansion.
· Investments in cleaner fossil fuels by developed consuming countries which possess financial resources and technological capabilities will not only address environmental concerns but also help the issue of security of supply and demand.
· The fact that current oil price levels have little to do with market fundamentals and are more responsive to issues such as US dollar weakness as well as political and geopolitical concerns, for the sake of market stability, the function of speculators in the paper markets needs to be addressed.
· The gas sector which is much more capital intensive, and natural gas which is the fuel of choice for its environmentalfriendliness, require greater support and encouragement from producers, consumers and the industry. All attempts must be directed to develop the required technology and financial resources.
· Co-operation in energy conservation and utilization in producing countries together with gradual elimination of subsidies will be a major step towards ensuring access to energy supplies. Both producers and consumers should implement policies supportive to this end.
The transfer of alternative energy technologies, especially nuclear energy and clean fossil fuels, which are being pursued by major consumers, is the legitimate right of all consumers. Although Iran is a major and reliable energy exporter, because of its young population, it has no choice but to utilize all accessible forms of energy including nuclear energy. Our approach to this issue is also non-political.
As Long As There Are Energy Producers And Consumers, We Will Need Dialogue
Mr. Nobuo Tanaka, IEA Executive Director
April 2008
Representatives from the International Energy Agency (IEA) were among the small group of participants in the first meeting of what was initially called the 'Producer-Consumer Dialogue,' which took place in Paris in 1991. This gathering, which sought to overcome the tensions between oil-producing and oil-consuming countries and focus instead on shared interests and concerns, was ... [ More ]
As Long As There Are Energy Producers And Consumers, We Will Need Dialogue
Mr. Nobuo Tanaka, IEA Executive Director
Representatives from the International Energy Agency (IEA) were among the small group of participants in the first meeting of what was initially called the 'Producer-Consumer Dialogue,' which took place in Paris in 1991. This gathering, which sought to overcome the tensions between oil-producing and oil-consuming countries and focus instead on shared interests and concerns, was unprecedented at the time. Seventeen years later, the 'dialogue' can only be called a great success, as Ministers and senior policy makers from over 90 countries have been invited to come to Rome for the 11th International Energy Forum (IEF) Ministerial meeting.
I would like to start by welcoming the new IEF Secretary General, Noé van Hulst. Mr. van Hulst brings a wide breadth of experience to this challenging position. A skilled policy maker with many years working on energy issues, he also spent over four years as one of the senior officials at the IEA. The IEF Secretariat will certainly flourish under his leadership.
Since its establishment in Riyadh in 2003, the IEF Secretariat has been given the mandate to further develop the 'dialogue' between oil- and gas- producing and consuming countries. In addition to supporting the organisation of the biennial Ministerial meetings, the IEF broadened its scope to include the energy industry. The International Energy Business Forum integrates top-level executives from the major energy companies into discussion with policymakers. This new dimension underscores the important role of industry in energy issues ranging from investment to technology. One potential area for future IEF activity could be ensuring the development of human resources in the energy sector given the current shortages of skilled personnel.
The role of the IEF in improving data collection and dissemination has also been instrumental. In particular, the IEF should be congratulated for its outstanding contribution in building and running the Joint Oil Data Initiative (JODI). More work needs to be done, however, and the IEA looks forward to continued close co-operation with the IEF to further improve the quality and timeliness of oil and, perhaps eventually, gas data. In addition to collaborating on data, statistics and other energy-related subjects, the IEA is pleased to serve on the IEFS Executive Board. These multiple and productive linkages between the secretariats ensure coordination and maximise the potential for synergies.
With oil prices surging past $100 per barrel and uncertainty characterising global energy markets, the ongoing dialogue between producers and consumers is more important than ever. The IEF is the appropriate facilitator, but member governments must provide both support and input. As Ministers convene in Rome, it is my hope that they will provide clear guidance for the future activities in which the IEF can add value.
In a relatively short time, the IEF secretariat has established a presence in the energy arena. The IEA is committed to continue its efforts to work and collaborate with the IEF. As long as there are energy producers and consumers, we will need dialogue.
The Role Of The IEF In Balancing The Interest Between Producers And Consumers
H.E. A. H. M. Fowzie, Minister Of Petroleum & Petroleum Resources Development Of Sri Lanka
April 2008
I recently had a very fruitful dialogue with my counterpart, His Excellency Ali Al- Naimi, Minister of Petroleum and Mineral Resources of the Kingdom of Saudi Arabia. We had a very cordial exchange of views particularly on the effect of the spiraling cost of fuel in the global market. While agreeing on the circumstances which ... [ More ]
The Role Of The IEF In Balancing The Interest Between Producers And Consumers
H.E. A. H. M. Fowzie, Minister Of Petroleum & Petroleum Resources Development Of Sri Lanka
I recently had a very fruitful dialogue with my counterpart, His Excellency Ali Al- Naimi, Minister of Petroleum and Mineral Resources of the Kingdom of Saudi Arabia. We had a very cordial exchange of views particularly on the effect of the spiraling cost of fuel in the global market. While agreeing on the circumstances which compel oil producing countries to increase prices, I am particularly concerned about the hardships faced by developing countries as consumers due to oil price increases.
The phenomenal rise in the price of oil has affected almost every country in the world except the producing countries; the most affected being the third world countries or the developing countries.
The recent astronomical rise in the price has caused the virtual collapse of the economies of several developing countries and this in turn has affected the living standards of the ordinary people, even the matter of procuring basic essentials has become a serious issue. Therefore, it is very important to focus on the economic situation of the consumer.
I am now representing a consumer country. But very soon I will also represent a producer country. Even when my country becomes a producer, my focus will be to protect the consumer.
The oil price hike has affected the economic growth and indeed created a high rate of inflation resulting in the prices sky-rocketing to an intolerable height.
Needless to state, that oil is the major energy source on which agricultural and industrial activities are based, and in the absence of any alternative sources of energy at the moment, even the activities in these two areas have slowed down. Developing countries now find it extremely difficult to achieve their development targets.
The negative effect of this price hike, apart from lowering the living standards of the people, has made democratically elected governments of the developing countries targets of terrorist activities and destabilizes elected governments.
These are issues of such vital importance that it is hardly necessary to emphasize the need to address them by the International Energy Forum (lEF) in its forthcoming Ministerial meeting to be held in Rome in the month of April 2008. The agenda would be a multilateral dialogue amongst the member countries to find remedies such as alternative sources of energy, not excluding an appropriate mechanism to prevent further increase in the prices.
I would like to put forward a couple of important suggestions to be considered at the forthcoming International Energy Forum. I suggest that it is appropriate to monitor the comparative price increases and take remedial measures to minimize the negative effects.
I would further suggest that the attention of leaders of oil producing countries be drawn to the establishment of a Fund through which a certain percentage of price increase can be used exclusively to compensate developing countries.
Ultimate Goal Is Full Transparency Of Agendas
H.E. Abdulla Bin Hamad Al-Attiyah, Deputy Premier, Minister Of Energy & Industry Of Qatar
April 2008
The first meeting of the energy producers and consumers that took place in Paris in 1991 was the start of the dialogue Marathon. Since 2000 the dialogue is continuing as the International Energy Forum (IEF).Since then, a permanent Secretariat has been established and, as of the Amsterdam Forum in 2004, the International Energy Business Forum ... [ More ]
Ultimate Goal Is Full Transparency Of Agendas
H.E. Abdulla Bin Hamad Al-Attiyah, Deputy Premier, Minister Of Energy & Industry Of Qatar
The first meeting of the energy producers and consumers that took place in Paris in 1991 was the start of the dialogue Marathon. Since 2000 the dialogue is continuing as the International Energy Forum (IEF).
Since then, a permanent Secretariat has been established and, as of the Amsterdam Forum in 2004, the International Energy Business Forum (IEBF), bringing together politicians and energy industry leaders, has preceded the Ministerial Forum. The IEBF has been a welcomed addition to the dialogue process as it gives the operators of the Energy Industry a unique platform to air their concerns and needs for a more efficient and timely response to the challenges they have to address.
JODI, the Joint Oil Data Initiative, managed by the IEF Secretariat is developing well and increased political support will greatly enhance its effectiveness and benefits. Presently, JODI is limited to oil and will in time cover natural gas and other important sources of energy so as to include more elements and factors that influence the global energy balance.
Irrespective of what topics are chosen for the different sessions of both, the Ministerial and those with the industry leaders, the objectives of the dialogue remain unchanged from those of the Paris meeting in 1991.
In setting the agenda for the Doha Forum, held in 2006, we revised the format to encourage discussions beyond the listed topics and allow participants to raise issues they considered important and relevant. The unprecedented number of bilateral discussions that took place throughout the Doha Forum was a good indicator of the level of willingness and desire for better understanding of issues and readiness for co-operation in attempting to bridge gaps and jointly move along the road that leads to agreed objectives of mutual benefits.
The ultimate goal of the dialogue will remain to be full transparency of agendas leading eventually to joint planning of the global energy balance. There are numerous keywords that can be used in the search for energy security, however, transparency and co-operation will remain the most important.
We hope and expect that the Rome 11th International Energy Forum and the 3rd International Energy Business Forum will achieve more for all involved. We strongly believe that we are on the right path and all will eventually harvest the fruits of our sincere efforts in making the dialogue successful.
The Need For An All-Embracing Dialogue
H.E. Michael Glos, Federal Minister Of Economics And Technology Of Germany
April 2008
The 11th International Energy Forum is taking place at a decisive juncture. More than ever before, the political agenda is dominated by the question of a secure, affordable and climate-friendly supply of energy. More than ever before, dialogue and co-operation are important.One issue in particular is predominant: the rising oil price. This issue was also ... [ More ]
The Need For An All-Embracing Dialogue
H.E. Michael Glos, Federal Minister Of Economics And Technology Of Germany
The 11th International Energy Forum is taking place at a decisive juncture. More than ever before, the political agenda is dominated by the question of a secure, affordable and climate-friendly supply of energy. More than ever before, dialogue and co-operation are important.
One issue in particular is predominant: the rising oil price. This issue was also at the heart of the last International Energy Forum in Doha. Anyone who hoped that the continuation of the dialogue outside the ministerial conference would steady the markets and bring about a lasting reduction in the price of oil has been disappointed. The oil price today is significantly higher.
For this reason, the International Energy Forum has taken on the task of co-ordinating a database for an exchange of information on the oil market. JODI, this first joint project, remains a vital task. We need a further improvement in transparency, and co-operation between the stakeholders needs to be expanded and consolidated. Timely, precise and reliable reports of all relevant data, and the participation of additional countries, are especially important.
Similarly, the concern about sufficient and timely investment to maintain a stable oil supply has become more pressing since Doha. Progress needs to be made on this.
There is no lack of explanations of the major fluctuations in price we have seen in recent years. Many stakeholders benefit from a high oil price - as long as demand does not collapse. On the other hand, a high oil price hits the poorest countries hardest. And it is also having an increasing impact on broad low-income sections of the population in less-poor countries. Energy bills are accounting for a rising proportion of consumer spending.
One key response to these challenges is energy efficiency. Energy saving is still the best energy source. Ensuring that energy is consumed economically, and giving top priority to energy efficiency, are not measures targeted against the producer countries.
On the contrary: efficient use of oil and energy conserves resources and thus extends their lifetime, not least in the interest of the producers.
This means that producers and consumers gain time in which to prepare for a future energy mix with a higher proportion of new energy sources. They should start using the time now - and they should do so together. An enormous market is going to develop here. That already seems clear today.
The International Energy Forum emerged in the light of two oil crises. So far, the emphasis has chiefly been on a secure supply of what is currently our most important and most versatile fuel. Oil will remain the dominant theme of our dialogue for a long time to come.
But this much is already clear: as the dialogue becomes deeper and more established, it fosters an understanding of the interests, perspectives and constraints on both sides - consumers and producers. In this way, trust is built up. Both sides are becoming more and more focused on the interrelationships of a future global energy policy. Alongside security of supply, other increasingly important topics include the energy mix, efficiency, technology and climate protection.
The International Energy Forum can make a major contribution to a global dialogue reaching beyond the traditional issues relating to the oil market. It is the only organisation of its type which is open to any country which has questions to ask about a secure and sustainable energy future.
I am glad that Germany can continue to support the work of the IEF, both as co-host at the 12th International Energy Forum in Mexico in 2010, and as a member of the Executive Board.
Producer-Consumer Dialogue From OPEC's Perspective
Mr. Abdalla Salem El-Badri, OPEC Secretary General
April 2008
One word: interdependence. In an era of globalisation, expanding international trade, instant mass communications, rapidly advancing technology and greater mobility; it is perhaps the word that most aptly fits the world in which we live.And at the heart of all this is the global energy system, something on which the whole world depends. It is ... [ More ]
Producer-Consumer Dialogue From OPEC's Perspective
Mr. Abdalla Salem El-Badri, OPEC Secretary General
One word: interdependence. In an era of globalisation, expanding international trade, instant mass communications, rapidly advancing technology and greater mobility; it is perhaps the word that most aptly fits the world in which we live.
And at the heart of all this is the global energy system, something on which the whole world depends. It is a system that is finely balanced and one where stability must be the mantra. The right decisions need to be made, as the interrelationships between economic growth, social progress, energy security and the protection of the environment become ever more fundamental. OPEC attaches great importance to this, which can be viewed in the Riyadh Declaration that concluded the Third OPEC Summit of Heads of State and Government in Saudi Arabia last November.
The Organization has long recognised the importance of adopting a multilateral approach to the producer-consumer dialogue. This includes being actively involved with the International Energy Forum Secretariat and the development of the Joint Oil Data Initiative (JODI), as well as conducting energy dialogues with the European Union, China, Russia, a number of other non-OPEC producers and the International Energy Agency.
As an industry inclusivity is paramount. We must continue to push existing and new avenues of co-operation with innovative thinking, collaboration, timely adaptation and swift action on key issues. It begs the question: what areas should we be looking at?
Whilst JODI has made much welcome headway in advancing the provision of accurate, reliable and timely data, improvements can still be made to ensure a better understanding of the market. We all know that certainty is vital. None of us want the volatility that has characterized the recent past, since it is damaging to all responsible parties.
What is important is to recognize that we are not just talking about historical data. For example, recent energy and environmental policy initiatives, involving subsidies for competing fuels and higher tax rates, tend to push towards a reduction in oil demand. We need to know exactly how these will play out given the long-lead times and major investments required. Over- or underinvestment is not conducive to a well-balanced market.
Technology is an important area too, particularly in the promotion of cleaner fossil fuel technologies. This was highlighted at the recent OPEC Summit, with four Member Countries - Saudi Arabia, Kuwait, Qatar and the UAE - announcing that they would contribute a total of $750 million towards funding research into energy, the environment and climate change.
One such technology is carbon dioxide capture and storage, which is a proven technology and has a large economic mitigation potential. What needs to be recognized, however, is that developed countries, bearing the historical responsibility, and having the technological and financial capabilities, should take the lead in the development and deployment of this technology, as well as in its transfer to developing countries.
The human resource is a further area of concern and the difficulties in finding and hiring skilled labour need to be addressed at a global level. This means concerted efforts to restore this essential capacity, by facilitating education and training in energy disciplines, and making the industry an attractive career choice.
What is clear is that we need to co-operate with each other to promote synergies and drive real change in our industry that benefits all parties. Not just as producers and consumers, National Oil Companies and International Oil Companies, but as partners working together towards the shared objective of a stable and sustainable energy future in an increasingly interdependent world.
H.E. Georgina Kessel, Minister Of Energy Of Mexico
April 2008
The world is concerned about energy security, and justifiably so. Headlines trumpet the news of ever higher oil prices and warn of the dangers of global warming. Finding alternative sources of energy to complement existing resources and address these concerns is crucial. Various key actors in the world's energy markets are already making decisions that ... [ More ]
Perspectives For International Energy
H.E. Georgina Kessel, Minister Of Energy Of Mexico
The world is concerned about energy security, and justifiably so. Headlines trumpet the news of ever higher oil prices and warn of the dangers of global warming. Finding alternative sources of energy to complement existing resources and address these concerns is crucial. Various key actors in the world's energy markets are already making decisions that will have a major impact on the fortunes of virtually every nation on earth. Our collective economic well-being is at stake.
Mexico shares these concerns. As one of the world´s main oil exporters---and also as a growing importer of oil products and energy technologies---Mexico has a considerable interest in stable energy markets.
It is crucial that energy prices reflect the true cost of bringing new resources to market for the consumers that need them. As a producer, we need to receive fair compensation for our oil reserves; as a consumer, we need to supply our domestic needs at prices that are consistent with economic growth. And like most countries, Mexico is vulnerable to the increasing effects of global warming. At the forefront of our energy strategy, we stress responsible policies that are compatible with sustainable development.
Mexico shares these concerns with many countries, and we know that they cannot be addressed unilaterally.
International energy markets are far more integrated today than in the past century, when the first serious initiatives for energy co-operation appeared. One result of this has been to make it abundantly clear that, at least in energy matters, we are all in the same boat. If we hope to overcome the world´s current energy challenges, we desperately need greater dialogue, consultation, and effective co-operation between producers and consumers.
In an effort to promote closer energy relations and co-operation, Mexico has joined its neighbours to the North and South, as well as its partners in other regions. Mexico has worked to improve energy access and technical capacity in Central America. At the same time, we have participated in the drafting of conventions that allow for the peaceful use of nuclear energy.
Along the way, Mexico has worked to establish efficiency standards, improve the collection of statistical information regarding supply and demand, and develop new energy links for all of North America. Looking forward, we have appealed to our friends and partners throughout the world for greater scientific co-operation. Through bilateral and multilateral dialogue, we seek new and visionary ways to address our own challenges, as well as to help solve those of the international community.
Make no mistake, the struggle we face will be a battle. If we are to win, we must work more closely with international financial institutions, agencies for international co-operation, and other organizations to facilitate the construction of infrastructure in less-developed countries. In many developing nations, the lack of terminals, ports, roads, and other necessary facilities make it virtually impossible to realize the potential for energy co-operation. In short, there is insufficient funding for energy projects throughout the world, and the situation is worst in the regions that need it the most.
Mexico is delighted to participate in the 11th IEF, and we are honored to have been selected as host of the next IEF in 2010. We realize that this is a great responsibility. We accept the challenge, and we undertake it both solemnly and enthusiastically. Mexico is an emerging market with a strategic---if not pivotal---position, placed by fate between the developed and developing economic regions of the world. Our experience helps us to understand the needs of all regions; we believe that Mexico is ideally suited to help build bridges of co-operation between all countries…bridges that the world desperately needs.
H.E. Sameh Fahmy, Minister Of Petroleum Of Egypt
July 2007
H.E. Sameh Fahmy, the Minister of Petroleum of Egypt, underscores from the Ministers' Rostrum the need for more international co-operation, "true multilateralism", in dealing with global energy challenges. As we approach the next IEF Ministerial, he identifies some key forces that will shape the future of energy. He underscores Egypt's focus on producer-consumer dialogue as ... [ More ]
The Outlook To Multilateralism
H.E. Sameh Fahmy, Minister Of Petroleum Of Egypt
H.E. Sameh Fahmy, the Minister of Petroleum of Egypt, underscores from the Ministers' Rostrum the need for more international co-operation, "true multilateralism", in dealing with global energy challenges. As we approach the next IEF Ministerial, he identifies some key forces that will shape the future of energy. He underscores Egypt's focus on producer-consumer dialogue as a multilateral relationship and that Egyptian energy interests in the Mediterranean basin and elsewhere remain multilateral.
Minister Fahmy convened the "First Global Energy Roundtable" of regional energy ministers in Cairo in November 2006. He delivered a keynote address to the IEFS-OMC joint plenary session on "the Mediterranean Dimension of Global Energy Security" at the 8th Offshore Mediterranean Conference in Ravenna, Italy in March 2007.
Minister Fahmy is also a Member of the Shoura Council of Egypt. Before being appointed Minister in 1999, he served as Chairman and Chief Operating Officer of Middle East Oil Refinery and Middle East Tankage and Pipelines and earlier held various positions in the Egyptian General Petroleum Corporation.
As we approach the 11th IEF Ministerial in Rome next year, I would like to contribute some thoughts on the outlook to multi-lateralism from the Ministers' Rostrum of the Newsletter.
As we know, the energy world is facing uncertain times and there is much discussion as to how the world will look in the future. A vital part of the world order has always been the importance and reliance on partnerships, alliances and global institutions in dealing with the world's challenges.
However, given the size of the current challenges, neither individual nation states nor even regional groups of states are large and powerful enough to face these issues. We all need more, not less, international cooperation. We need true multilateralism.
In attempting to set that scene, I will try to take a general view of the current state of our industry and will seek to identify what I believe are some of the key forces that will shape the future of energy over the next two or three decades and possibly beyond.
We live in a number of different worlds, the traditional world of upstream has had to move searching for and developing more difficult reservoirs. Additionally, we must make the most of existing fields using innovative technology. Although important new discoveries will continue to be made both in established producing basins and some frontier areas, they are unlikely to change the distribution of hydrocarbons on our planet significantly.
If we accept this, then most of the oil demand growth in the coming decades will have to be met from the Middle East and Latin America and having Egypt in the hub of the energy world in addition to its unique location being on one of the most busy marine routes worldwide so our energy interests will be and remain multi-lateral within the Mediterranean basin and others regions.
It is also worth mentioning that gas demand is substantially escalating due to the world currently demanding cleaner energy. Developing countries can, by using more gas, avoid much of the environmental pollution of the early stages of industrialization. In addition, also the rise of new gas technologies will have a major impact on demand in both developed and developing countries over the next decades.
If we foresee great changes in the world of gas, what do we have to say about prospects for the oil products businesses of manufacturing, marine and marketing? Here we find ourselves in yet another world. A world of contrasts with the lack of capacity in refining in the slow-growing markets of Europe and North America and too many tankers chasing too few cargoes and yet rapidly growing economies in the Asia-Pacific region, India and Latin America, which require massive investments in infrastructure if their needs are to be satisfied.
In today's media, we are presented with dramatic images demonstrating the effects of environmental degradation. Many questions remain unanswered e.g.
What are the facts about urban air pollution?
The Global Warming phenomena?
A New Paradigm Of Energy Security
H.E. Samuel W. Bodman, Secretary Of Energy Of The United States Of America
July 2007
Prior to assuming the position of Secretary of Energy in February 2005, H.E. Samuel W. Bodman served as Deputy Secretary of the Commerce Department from 2001 and Deputy Secretary of the Treasury Department from 2003. Before joining the Administration of President George W. Bush, Secretary Bodman, a Sc.D. in chemical engineering from the M.I.T., was ... [ More ]
A New Paradigm Of Energy Security
H.E. Samuel W. Bodman, Secretary Of Energy Of The United States Of America
Prior to assuming the position of Secretary of Energy in February 2005, H.E. Samuel W. Bodman served as Deputy Secretary of the Commerce Department from 2001 and Deputy Secretary of the Treasury Department from 2003. Before joining the Administration of President George W. Bush, Secretary Bodman, a Sc.D. in chemical engineering from the M.I.T., was Chairman and Chief Executive Officer of Cabot Corp., a multinational chemicals and specialty materials company.
It is well known that global demand for energy is rising rapidly and will continue to do so. By 2030 global energy consumption is projected to grow by over 50 percent, with 70 percent of that growth coming from the world's emerging economies. And as all nations prepare to meet this growing demand, we also must confront some realities about our current situation: that most economies around the world are fundamentally hydrocarbon-based; that fossil fuels are often in places that are geographically hard to reach and geologically difficult to develop; that disruptions in global supply can harm developed and developing nations alike; and, of course, that we must address the realities of global climate change.
For all nations of the world, it is clear that we need a secure, clean and affordable supply of energy. Our collective ability to attain such an energy future is directly related to: whether or not our economies will grow and our people will prosper; whether or not our industries will operate efficiently; whether or not our earth's climate will worsen or improve; and perhaps most importantly, whether or not our people will be safe and secure. And the scale and scope of the challenges we face will only grow more pressing over time, as traditional sources of energy become more stretched and demand continues to grow.
Given this reality, President Bush has committed the United States to a path to a more secure energy future. And further, we believe it is time for the world community to embrace a new paradigm of energy security and acknowledge that the international nature of this problem requires coordinated action on a global scale. To that end, the United States has proposed five co-operative global goals for all nations who join us in choosing the path of responsible action.
Five Goals
First, we must diversify the available supply of conventional fuels and expand production.
We need not only expanded supply from existing sources, but as importantly, we need more producers supplying global and regional markets. Diversification of supply will help to defuse the risks of supply disruptions from any one source. But in order to achieve this, we need stable regulatory frameworks, open investment climates, adherence to the rule of law, and market-based pricing of energy resources.
The second goal is related to the first: we must diversify our energy portfolios by expanding the use of alternative and renewable sources.
Diversification toward alternatives could greatly relieve pressure on markets for conventional sources over time, while also addressing environmental concerns. Among other measures, we must enhance the use of nuclear and renewable electricity generation in the power sector and develop alternative fuels such as hydrogen, biodiesel and cellulosic ethanol for our transportation sectors.
The third goal: we must promote increased energy efficiency and conservation measures.
On a global scale, we must continue to encourage consumers to choose energy-efficient vehicles and products. All nations also must reduce the energy intensity of our industries. And, we can all do more to strengthen our cooperation with developing countries to encourage policies that will ensure economic growth and responsible energy use.
Progress on expanding our use of alternatives and increasing global energy efficiency will move us toward a fourth goal: we must take steps to improve our earth's environment to reduce pollution and the emissions intensity of the global economy.
Human activity is contributing to changes in our earth's climate. There is no question that this is a serious challenge. And so, the focus must continue to be on developing and deploying solutions that are technically and economically sound.
The final goal: we must maintain the global energy supply system and protect critical energy infrastructure to ensure a more resilient, secure and less volatile market.
Delivering energy resources is as important as gaining access to them - and the governments of the world are uniquely positioned to achieve this goal in a coordinated way. All nations should take steps to protect and modernize critical energy infrastructure, safeguard sea lanes, and facilitate multiple delivery routes. At the same time, we must be prepared to address any severe supply disruption by maintaining adequate strategic reserves and using them in a coordinated fashion.
A New Paradigm
Agreement on these five goals will define a new coalition of countries committed to a peaceful, secure and environmentally responsible energy future. And the International Energy Forum will continue to play an important role in achieving this new paradigm. Through its efforts to bring together energy producers and consumers, to enhance market transparency, and to recognize the crucial role of industry, the IEF will help us all meet our energy challenges.
The world has certainly united around issues of common cause before, and I would argue that there are few more compelling global concerns today than the need for a safe, affordable and clean energy supply.
External Energy Security
H.E. Benita Ferrero-Waldner, Member Of The European Commission And Commissioner For External Relations And European Neighbourhood Policy
July 2007
H.E. Benita Ferrero-Waldner, Member of the European Commission and Commissioner for External Relations and European Neighbourhood Policy, outlines from the Ministers' Rostrum efforts to develop a focused external energy security policy as an integral part of the EU's foreign policy in a new global energy landscape. Cautioning that the world no longer can take secure ... [ More ]
External Energy Security
H.E. Benita Ferrero-Waldner, Member Of The European Commission And Commissioner For External Relations And European Neighbourhood Policy
H.E. Benita Ferrero-Waldner, Member of the European Commission and Commissioner for External Relations and European Neighbourhood Policy, outlines from the Ministers' Rostrum efforts to develop a focused external energy security policy as an integral part of the EU's foreign policy in a new global energy landscape. Cautioning that the world no longer can take secure and affordable energy for granted, Commissioner Ferrero-Waldner notes internal and external measures to be taken and recognizes the important role that the International Energy Forum has to play in reminding producer, consumer and transit countries of their common interest in a non-discriminatory and competitive world energy market. Commissioner Ferrero-Waldner and Energy Commissioner A. Piebalgs convened a Conference on the EU's External Energy Policy in Brussels in November 2006, which the Secretariat was honoured to attend.
Before assuming her present position in 2004, Commissioner Ferrero-Waldner, served as Federal Minister of Foreign Affairs of Austria from 2000. Prior to being appointed Minister, she served as State Secretary for Foreign Affairs from 1995. Her earlier positions include that of Chief of Protocol of the United Nations Secretariat in New York and posts in the foreign service of Austria.
The world has recently entered a new energy landscape. After a long period of relative stability we can no longer take secure and affordable energy supplies for granted.
We see the rising demand for energy imports from an increasing number of countries, declining production from the mature hydrocarbon reserves in Europe and America, the pressing challenge of tackling climate change, and the high and volatile energy prices that are a combination of more than a decade of underinvestment in many producing areas as well as increasing geopolitical complexities and risks surrounding energy supply and transportation. Security of energy supply is at the top of the political and business agenda.
Within the EU, there is a growing consensus on the importance and advantages of our 27 Member States' working together. The energy package proposed by the Commission in January and endorsed at the European Council in March has established a clear action plan to start tackling these challenges - both internally and externally.
Internally, this includes the achievement of a genuine EU-wide internal energy market; plans to link up Member States' energy infrastructure; increasing the solidarity over national oil stocks and examining options for increasing gas security, improvement of energy efficiency by 20% by 2020, a binding overall EU target of 20% of renewable energy by 2020, a binding minimum target of 10% of biofuels in the transport sector by 2020 and the development of a European Strategic Energy Technology Plan.
These are internal measures that the EU itself can take by itself. Nevertheless, our demand for fossil fuels is likely to continue to grow, and these resources will increasingly have to be supplied by countries outside the EU.
However, we have to recognise that this carries certain additional technical and political risks - risks such as disruptions in supplies caused by technical problems with pipelines resulting from a lack of sufficient maintenance or investment, specific adverse climatic conditions or the increasing threat of terrorism. There are also concerns in many major consumer countries that, in the current market conditions, supplier countries may try to use their market power in an uncompetitive or even political manner.
These concerns need to be addressed in a pragmatic way. Our relationships in the energy sector are and must remain mutually beneficial. The energy that the EU for example buys from producer countries contributes very significantly to their economic growth and the improved living conditions of their populations. In turn, the stable flow of reasonably priced energy remains an important motor for Europe's economic growth.
At the EU level, there has been a clear focus over the past year on developing a focused external energy security policy as an integral part of the EU's foreign policy. This was confirmed at the March European Council, which defined an action plan to 2009 that prioritises consumer-to-producer as well as consumer-to-consumer and consumer-to-transit countries dialogues and partnerships. This is where the International Energy Forum has an important role to play: to remind producer, consumer and transit countries that they all have a common interest in a non-discriminatory and competitive world energy market.
Facilitating objective discussions on issues of concern and encouraging all participants to recognise the commonality of their interests is the most effective way of ensuring global energy security and of underpinning global economic growth. This, combined with a proactive approach to the post-20l2 negotiations on climate change, is the cornerstone to ensuring global energy sustainability.
A Key To Global Energy Security
H.E. Akira Amari, Minister Of Economy, Trade And Industry Of Japan
April 2007
H.E. Akira Amari was appointed Minister of Economy, Trade and Industry in September 2006. He has held many senior government positions, including those of Parliamentary Vice-Minister of International Trade and Industry, Minister of Labour, and more recently as the Acting Chairman of the Policy Research Council.Addressing crucial energy challenges through a dialogue between producers and ... [ More ]
A Key To Global Energy Security
H.E. Akira Amari, Minister Of Economy, Trade And Industry Of Japan
H.E. Akira Amari was appointed Minister of Economy, Trade and Industry in September 2006. He has held many senior government positions, including those of Parliamentary Vice-Minister of International Trade and Industry, Minister of Labour, and more recently as the Acting Chairman of the Policy Research Council.
Addressing crucial energy challenges through a dialogue between producers and consumers is an essential task and a key to global energy security. In particular, the International Energy Forum, which brings together some 60 energy producers and consumers from around the world, together with major international organs, serves as the most important arena for producer-consumer dialogue. The Joint Oil Data Initiative, operated by the IEF Secretariat, plays a significant role in the efforts for information sharing among energy producers and consumers, thus enhancing market transparency and stabilizing the international oil market.
The current situation brought on by high crude oil prices, which currently hover at around US$60 a barrel, may be likened to a 'quasi-Oil Crisis,' although the price volatility has diminished recently. While high crude oil prices are attributable to increasing demand primarily in newly emerging nations, it is difficult to deny that insufficient upstream investment on the supply side has also played a significant part. The slow-paced growth of the present supply capacity may be ascribed to a slowdown in upstream investment during a period from the late 1980's to the 1990's in which crude oil prices remained rather stable at low levels below $20 a barrel.
In the future, global energy demand is projected to further expand by 50% by 2030. Massive investment, estimated at around $20 trillion, including $8 trillion in the oil/gas sector, will be required to respond to such huge growth in demand. To secure stable supplies in line with the surging global energy demand, it is essential that both oil producing and consuming countries ensure necessary investment in all stages from upstream to downstream, and launch efforts to ensure market stabilization.
It is worth noting, however, that oil producing countries and/or regions where the entry of foreign capital has been restricted are said to control about half the world's total oil reserves. Also, nationalistic moves to monopolize resources that have surfaced in some resource-rich countries are a cause of concern. This calls for the need for producers and consumers to share a common understanding that foreign investment accompanied by the introduction of new technology would serve the benefit of both parties. Moreover, stable, long-term returns commensurate with high investment risks are crucial to energy sector investment, which points to the importance of a transparent, stable and highly reliable legal and regulatory framework in the producing countries.
In response to the burgeoning global energy demand, we in the energy consuming countries will need to secure necessary investment in energy-related infrastructure including oil refineries and related facilities through the promotion of national understanding on the importance of energy infrastructure, rationalization of the approval and licensing processes, and other means. Also, it is important to direct the necessary investment into the technological development of exploration, drilling and other operations to mitigate the technological and financial risks involved in upstream development as well as related areas.
As a member of the Executive Board of the IEF Secretariat, Japan is dedicated to making a positive contribution to the 11th IEF to be held in Rome in spring 2008. In May this year, Saudi Arabia and Japan will co-host in Riyadh the Asian Regional Petroleum Cooperation Second Roundtable Meeting, which will provide a stage for discussions among major producers and consumers in Asia. Japan hopes to build on the achievement of the Roundtable for the greater success of the 11th IEF.
The Japanese government believes in the importance of collaboration between the IEF and related international organizations including the IEA. Mr. Nobuo Tanaka, formerly of Japan's METI, has been appointed as the next IEA Executive Director. Japan is committed to give more support for the enhanced collaboration between the IEF and the IEA.
H.E. Erik Solheim, Minister For International Development Of Norway
April 2007
H.E. Erik Solheim, Minister for International Development of Norway since September 2005, underscores in this special article from the Ministers' Rostrum the importance of the petroleum sector for developing countries. He presents Norway's "Oil for Development" programme that focuses on good governance, transparency and anti-corruption with regard to resource and revenue management as well as ... [ More ]
Oil For Development
H.E. Erik Solheim, Minister For International Development Of Norway
H.E. Erik Solheim, Minister for International Development of Norway since September 2005, underscores in this special article from the Ministers' Rostrum the importance of the petroleum sector for developing countries. He presents Norway's "Oil for Development" programme that focuses on good governance, transparency and anti-corruption with regard to resource and revenue management as well as environmental protection. He reconfirms Norway's strong support to the Joint Oil Data Initiative managed by the IEF Secretariat.
Norway has, within the "Oil for Development" programme provided the Secretariat with a special financial grant to promote JODI among developing countries, additional to Norway's generous annual financial contributions to Secretariat activities. Norway co-sponsored the Regional JODI Training Workshop organized by the IEF Secretariat and the Ministry of Minerals and Energy of South Africa in Johannesburg 30 January to 2 February this year.
Mr. Solheim has long played a prominent role in Norwegian politics and was the leader of the Socialist Left Party from 1987-1997. He is internationally known for his role as peace facilitator in Sri Lanka.
Energy security, climate change, government transparency, corruption and prosperity are words all closely linked with oil - for good and for bad. As a Minister for International Development, I am concerned, but also optimistic, about the increasing shift of investments that we see in the petroleum sector, from developed countries to some of the world's poorest countries. Facing the challenges of good governance, corruption and wealth creation becomes more important than ever. Environmental degradation is yet another consequence of corrupt systems, contrary to environmental protection being a result of good governance. In the 1960s, international oil companies came to Norway with many "good offers" for extracting Norway's oil resources, one was to take on exclusive rights to our entire continental shelf. Jens Evensen, a key government official, wisely responded: "We understand you are interested in exploring for oil in the North Sea. We hold the rights to this and we do not intend to grant any license before we know what we are doing. We quite simply give you a challenge: Educate us!" I am deeply honoured by the many governments now seeking our advice. Norway has a responsibility to share its experience.
Norway's "Oil for Development" programme was launched focusing on good governance, transparency and anti-corruption. The initiative builds on three main thematic pillars: resource management, revenue management and environmental protection. Cooperation under the initiative include several countries, one is Timor Leste, the world's youngest, and one of the poorest countries in the world. Lacking basic competence and government structure, the securing of the petroleum revenues was at stake for Timor Leste, as it was for Norway 40 years ago. Support includes institution building, legal framework, petroleum fund, transparent licensing system and education. Added revenues to the East Timor nation of more than USD 10 billion over the next 20 years have been secured through tough negotiations with neighbouring countries. The Oil for Development team provided support to this, as it did in securing the legal framework to pass Parliament in 2005. The "sustainable" income from the established Petroleum Fund (reached USD 1 billion) will from this year be available to the benefit of the young nation. The 1st offshore license round has been successfully completed in a transparent process. The first Timor Leste students supported by the initiative will graduate from universities next year. Oil for Development has become a pillar of Norway's development work. I am convinced that this initiative - together with others - will give sufficient impact to make the petroleum industry more transparent and environmentally sustainable. I will mention three such initiatives supported by Norway and also highlighted at the G8 summits at Gleneagles and St. Petersburg.
Three Initiatives
The Joint Oil Data Initiative (JODI) has proved an important tool for establishing more transparent and reliable oil statistics. My compliments to the Secretariat of the International Energy Forum, co-ordinating the initiative, today with more than 90 countries providing data, and with the recent successful training workshop for officials from sub-Saharan African developing countries in Johannesburg, which Norway was happy to co-sponsor.
The Extractive Industries Transparency Initiative - EITI launched by British Prime Minister Tony Blair at the 2002 Johannesburg Summit, supports improved governance in resource-rich countries through the full publication and verification of company payments and government revenues from oil, gas and mining. I am proud to accept to host the EITI Secretariat for the next period, following the UK.
The Global Gas Flaring Reduction Initiative (GGFR) was launched by the World Bank and Norway, also at the Johannesburg Summit. Most of the gas flared today - 85% - is flared in developing countries. This equals 25% of the US gas consumption!
Norway will take active part when Ministers meet at the 15th Session of the United Nations Commission on Sustainable Development in New York in May to further discuss some of these most important challenges that the world is facing.
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A photovoltaic module is more commonly known as what?
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Energy Ministers | International Energy Forum
International Energy Forum
Global Energy Security Through Dialogue
Knowledge Generation Through Dialogue
20 Years of Success for the IEF
H.E. Ali Al-Naimi, Minister of Petroleum and Mineral Resources, Kingdom of Saudi Arabia
May 2014
It is more than 20 years since the first tentative steps were taken towards the creation of the International Energy Forum (IEF). Today, the membership of the IEF covers all six continents and accounts for around 90 percent of global supply and demand for oil and gas. The Forum is unique in that it comprises ... [ More ]
20 Years of Success for the IEF
H.E. Ali Al-Naimi, Minister of Petroleum and Mineral Resources, Kingdom of Saudi Arabia
It is more than 20 years since the first tentative steps were taken towards the creation of the International Energy Forum (IEF) . Today, the membership of the IEF covers all six continents and accounts for around 90 percent of global supply and demand for oil and gas. The Forum is unique in that it comprises not only consuming and producing countries of the IEA and OPEC , but also transit states and major players outside of their memberships, including Argentina, China, India,Mexico, Oman, South Africa and – this year’s host – Russia.
The relationship between consumers and producers has come a long way since that first producer/consumer meeting in Paris, July 1991,as mistrust and suspicion have gradually been replaced by transparency and dialogue. The IEF has grown in strength and scope over the past 20 years, and has played an essential role in the face of numerous energy,economic and geopolitical challenges.
The theme of this 2014 event is “The New Geography of Energy and the Future of Global Energy Security.” Certainly, the geography of energy is ever-changing – with new sources of energy coming on stream, technological innovation increasing and global energy markets becoming ever more complex.
For its part, the IEF is becoming a key source of information and insights for governments around the world, providing an open forum for governments, officials, energy industry executives and other experts to engage in a dialogue.
Unique Role: The IEF is currently the only organisation with such global representation addressing oil and gas issues. Other organisations discuss the same issues, but only the IEF is bringing together members from diverse countries. As such, it is more likely to deliver the type of intelligence and engagement that add value for member countries. The IEF’s neutrality is certainly a valuable currency. IEF events are never interpreted as promoting the agenda of a particular country, group of countries or interests. This neutrality can be leveraged to obtain much better understanding of current energy issues.
As the energy market’s focus shifts to the Pacific Basin, the IEF is also uniquely positioned to facilitate an energy dialogue among the countries of the region as well as an inter-regional dialogue. Neither the IEA nor OPEC has the membership – nor the mandate – to accomplish this in a neutral way. The IEF’s position should advance the objective of obtaining a better understanding of the region’s energy dynamics and, in turn, help promote energy security. The IEF has already started to deliver new value by generating useful insights from roundtables, seminars, workshops, symposia and ministerial meetings, which help to map the international energy conversation and identify key issues affecting oil and gas market developments. The IEF is an ideal ground for testing new ideas and exploring the possible impacts of new energy developments in a fast, cost effective way, with feedback from a broad stakeholder base.
The development of the Joint Oil Data Initiative has been a particularly important step. JODI relies on the combined efforts of producing and consuming countries and other partner organisations to build timely, comprehensive and sustainable energy data. By helping to mitigate some of the uncertainties of global energy markets, JODI aims to help moderate undue price volatility, thereby increasing investor confidence and contributing to greater stability in energy markets worldwide. I firmly believe that all nations should redouble their efforts to ensure regular and timely contributions to this important initiative.
The second theme of this IEF meeting in Moscow is energy security – a topic of fundamental importance to producers and consumers, governments and people around the world. Maintaining supplies and meeting energy demand is in all our best interests. But energy security is not only about meeting the needs of developed nations. While the world quite rightly talks about ways to reduce energy usage, we must not forget that, globally, more than 1.3 billion people are without access to electricity and 2.6 billion people are without clean cooking facilities. This aspect of energy security must also remain foremost in our minds. In the 21st century, it must be addressed.
Again, I believe the IEF, as an independent and apolitical energy forum, can and does play a key role in addressing many of the challenges facing us today and tomorrow. I fundamentally believe that it is only through dialogue and working together that difficult issues can be addressed and solved. I am looking forward to a lively and informed debate at IEF14 in Moscow and hope that our efforts at transparency and dialogue result in a productive and positive outcome.
H.E. Daniel Cameron, Secretary of Energy, Argentina
May 2014
The IEF Ministerial is one of the most significant events in the world energy sector. It is the only event where decision makers from the energy sector, from a consumer, producer or transit state, gather to discuss matters related to the present and future reality of the international energy sector. One of the most relevant ... [ More ]
Argentina’s Vision
H.E. Daniel Cameron, Secretary of Energy, Argentina
The IEF Ministerial is one of the most significant events in the world energy sector. It is the only event where decision makers from the energy sector, from a consumer, producer or transit state, gather to discuss matters related to the present and future reality of the international energy sector. One of the most relevant issues, in our view, is energy security. In the 1970s, times of oil crisis because of the Yom Kippur War and the Islamic revolution, the subject became relevant in developed countries which witnessed how the price of the world economy’s basic input rocketed.
Now in the 21st Century, energy security is not only present in developed countries’ agendas. The emerging world is today the one that has the majority of energy needs; thus, energy security has become a world issue. Nowadays, the whole planet demands more and more energy resources, which mainly continue to be non-renewable, fossil fuels like oil, natural gas and mineral coal. These sources represent an important element in the world economy, and will continue to be, according to the IEA and OPEC.
Diversification is necessary, and the increase of clean energy participation (in our view renewable and nuclear energy) will be able to complement yet not substitute conventional energy supply. Thus, even when a drastic reduction of fossil fuels and a considerable increase in the proportion of alternative energy could be achieved, due to climate protection or energy security, this security could not be reached unless fossil fuels supply is secured, which will accompany world development for years.
But we cannot sit still. The world economy has to rapidly adjust to the changes hydrocarbons depletion might bring. Due to technological advances, the world has a new chance. The emergence of non-conventional hydrocarbons development, which has caused a revolution in North America, is the last chance the world has before facing a radical change in the ways of capital production, which will allow the world economy to sustain economic growth with the inclusion of all those human beings who do not have access yet to modern energy.
Non-conventional hydrocarbons exploitation is key to world energy security. These resources are less concentrated than conventional ones that can be found in the Middle East, Central Asia and the Siberian steppe, among other locations. Thus, more states can benefit from their exploitation, which as with conventional resources must be sustainable, responsible and environmentally friendly. A geography of energy production broadened to new regions presents new challenges. As more energy producers, which must satisfy the needs of more consumers, are involved in bigger interdependence, a strengthening of the producer-consumer dialogue is necessary. In this sense, the role of the IEF is essential.
In an international system where nationalistic views on the energy sector coexist with co-operative ones that foster integration, the IEF’s articulating function and its goals of strengthening energy dialogue and fostering hydrocarbons market transparency are key to global energy security.
My country, Argentina, is part of the Union of South American Nations, which comprises twelve countries of South America. If the energy reality of each one is analysed, countries with energy surplus, import countries and countries like Argentina, a transit country and a potential export one, can be found. That said, seen as a whole, this region is self-sufficient in terms of energy, which makes South American economies competitive. The sustainable use of these energy resources will allow the region as a whole to reach security in the energy supply and even export part of those resources to other regions in the world with high energy demands. We believe being self-sufficient in terms of energy in a sustainable manner in a way to avoid compromising the energy future of coming generations is a challenge and a commitment that all countries should have. Thus, energy matrix diversification, renewable energy penetration and the efficient use of energy will contribute to this goal.
In Argentina we are developing non-conventional hydrocarbons exploration and exploitation. Nevertheless, conventional hydrocarbons will continue to be the leading actors of energy supply for a long time here. At the same time we seek progress as fast as possible in the determination of what percentage of non-conventional hydrocarbons can be converted to reserves. These resources are being explored at Cuenca Neuquina and Cuenca del Golfo San Jorge but are also found in other places in my country, which have been recognised by different international agencies as the country with possession of the second largest technically recoverable resources of shale gas (802 tcf) and shale oil (27 billion barrels). Under this framework, non-conventional hydrocarbons not only represent a step forwards towards energy security but also a significant change. Argentina’s abundant gas resources and nonconventional production allows the development of national technology and industry which will in turn allow us in coming years to reach self-sufficiency and the possibility of obtaining a source of foreign currency from oil and gas exports, the arrival of the most important companies from the oil sector and the lowest energy prices of the region.
Argentina is determined to diversify its energy matrix and implement the sustainable development concept. These actions face multiple and important challenges, because they imply breaking old paradigms and reconciling society’s interests which have different objectives. This is why a consensus is necessary to be able to implement proposals which have long-term validity and functionality. Energy development processes are long termed and should not be altered by short-term considerations. An energy development that accomplishes sufficiency, efficiency, equity and sustainability requisites needs sustained public and private actions, subjected to clear orientations from a long-term perspective.
For this, a stable energy policy is required, in line with the global policy of national development, with a long-term prospective view, also equipped with the necessary flexibility to face the effective evolution of circumstances, without attaching to rigid assumptions, denied by a changing reality. To foretell that unforeseen events will also appear must be part of the policy. Charles Darwin used to say, “It is not the strongest of the species that survives, nor the most intelligent that survives. It is the one that it is most adaptable to change.” Under this framework our country has elaborated different strategies and lines of action tending to promote and guarantee a sustainable energy matrix in the long term. The direction we should take points to energy efficiency and security, the use of cleaner and more environmentally friendly fuels, energy sources diversification and equitable and universal access to energy. Market forces are not enough to secure this goal. This is why it is necessary to generate public policies that guarantee our country’s energy sustainability for the welfare of society and the security of national development.
The conditions of social sustainability, related to the equity within society and among regions, are of vital importance in our energy policy. This means the access of isolated rural and regional communities to energy services, as well as the access of low income, socioeconomic sectors to these services in the amount and quality necessary for their welfare. Undoubtedly, energy efficiency constitutes a transversal guideline which involves the security and sustainability criteria, but it is necessary to break the paradigm that energy saving means privation. We understand energy efficiency as using a clean, renewable source, whose application will contribute to diversifying the energy matrix and provide security and quality to the supply.
Another central concept of the Argentinean energy policy is its energy matrix diversification and the reduction of its hydrocarbons dependence. In this sense we have implemented a process which has as its goal the sustained incorporation of clean energy to the matrix. This means trying to take advantage of the huge and diverse renewable energy potential our country has, both in developing large-scale generation and fostering distributed generation of this type of source. In line with the latter, projects are underway for the development and implementation of smart grids, a key element not only in the promotion of distributed, micro-generation, but also as a tool for demand management. In the same way, a plan of large hydroelectric works is underway at the national level and progress is being made with those works, which are the result of a long tradition of energy integration in our country. Also, different basins are being studied to take advantage of their vast hydroelectric potential in a sustainable and environmentally and community-friendly way.
Another central concept of the energy matrix diversification in general and electricity in particular is the launching of the Argentinean Nuclear Plan. We consider nuclear energy as a clean energy; thus, we hope that, together with renewables, nuclear makes a strong contribution to the energy matrix diversification. Nuclear energy not only implies greater nuclear energy generation but also reactivation of a sector of high impact in technical and economic development, with applications ranging from healthcare to a great amount of industrial and agro-industrial uses.
Challenges and Opportunities in the Petroleum Industry and the Role of the WPC
Pierce Riemer, Director General, World Petroleum Council
May 2014
The World Petroleum Council (WPC) is a non-political, not for profit, registered charity with the mission of promoting the sustainable exploration, production and consumption of oil and natural gas and other sources of energy for the benefit of mankind. Currently with 70 member countries, representing over 97 percent of the world’s production of oil and ... [ More ]
Challenges and Opportunities in the Petroleum Industry and the Role of the WPC
Pierce Riemer, Director General, World Petroleum Council
The World Petroleum Council (WPC) is a non-political, not for profit, registered charity with the mission of promoting the sustainable exploration, production and consumption of oil and natural gas and other sources of energy for the benefit of mankind. Currently with 70 member countries, representing over 97 percent of the world’s production of oil and natural gas, the WPC is uniquely positioned to promote a forum for the debate of the key issues that the industry is facing and the dialogue with all its stakeholders. The petroleum industry has never failed society on what respects delivering affordable and reliably supplies of oil and natural gas, except for relatively minor disruptions caused by natural disasters or manmade conflicts. However, the challenges that the industry is now facing require that new paradigms be established with respect to the level of cooperation with the industry’s stakeholders, development and deployment of breakthrough technologies and social responsibility in doing business.
The Challenge – Sustainable Supply of Ever-Growing Energy Demand
Several studies prepared and regularly updated by companies, government and non-governmental agencies, even if based on somewhat different economic growth assumptions, agree on two main projections for the next 20 years: growth of energy consumption by about 35 percent to 40 percent and the predominance of fossil fuels in the world’s energy matrix, with coal, natural gas and oil accounting for approximately 80 percent of the energy supply.
Global oil reserves and production, currently respectively at 1.4 trillion barrels and 87 million b/d, have been growing steadily over the last decades. The main challenge going forward will be not only to meet the increasing demand, which according to most estimates will reach about 110 million b/d by 2030, but, most importantly, to offset the natural decline of the current reservoir productivity. Even if a moderate decline rate of 3.5 percent per year is assumed, by 2030 the production of the reservoirs currently on stream will decrease to about half of today’s rate. In summary, the production gap to be met with new field and reservoir developments is of around 65 million b/d, a daunting task.
Natural gas demand will also steadily increase, particularly in the developing countries, with the current global consumption of approximately 112 tcf per year expected to reach 160 tcf per year by 2030. While the world’s natural gas resources are plentiful, at about 6,600 tcf total reserves plus at least the same amount of resources from unconventional sources in the United States only, delivering these to the consuming markets will require innovative solutions in production, processing and transportation, and stable geopolitical relations between producing and consuming countries.
To continue meeting the world’s demand of oil and natural gas, the industry will have to invest massive amounts of capital and venture into ever more challenging and costlier production provinces, such as the ultra-deep waters, ultra-deep reservoirs, unconventional resources, and inhospitable environments like the Arctic, remote deserts, jungles, mountain ranges and conflicted areas. It is estimated that the exploration and production activity alone will require a total capital deployment of more than $20 trillion in the next 30 years.
One of the main challenges that the industry is already facing is to continue attracting skilled human resources, both in the technical and managerial areas, to successfully implement such massive projects. In order to attract these talented professionals, the industry will need to improve its overall image, tarnished by the lingering memory of past poor records, some recent highly visible accidents, and reach out to all pools of professionals, particularly the youth and women.
And all of the above will have to be accomplished in a sustainable way, which implies ensuring attractive returns to investors, operating with increasingly higher standards of safety and care with the environment, returning a fair share of the wealth to society and local communities, and doing business in an ethical and regulatory compliant manner.
The Opportunity – Long-Term Returns To All Stakeholders
Oil and natural gas have been utilised by humankind for thousands of years. Industrial-scale exploitation of these resources is considered to have started in Pennsylvania about 150 years ago. It is impossible to predict how long the petroleum age will last, but the projections above clearly indicate that for next several decades fossil fuels will continue as the main source of energy for the world development.
If the challenges are huge, so are the opportunities that lie ahead. Very few industrial activities have the breadth of opportunities that the petroleum sector offers to develop and deploy new technologies, promote development and wellbeing, and remunerate huge sums of capital, all of these at the same time and sustainably in the short and long term. The list of ingredients for the continuing success of the petroleum industry is not long and is fairly obvious.
People, innovation and technology: The combination of skilled human resources, innovative thinking and new technologies has been and will continue to be the key factor in finding and developing new sources of hydrocarbons in the most challenging environments. It is for this reason that time and again ingenuity unlocks enormous new pools of resources that were unknown or not viable even in well-explored provinces. Recent examples are the huge shale gas resources being developed in North America and now being target around the world, and the vast amounts of oil discovered only in the last 10 years, in spite of over 50 years of exploration activity, in the Lower Tertiary of the United States’ Gulf of Mexico and the pre-salt layers of the Santos and Campos basins offshore Brazil.
Dialogue, co-operation and level ground competition: One peculiarity of the petroleum industry is that very often bitter competitors in one area establish partnerships and co-operate in other ventures. A clear trend of increasing dialogue has been established between consumers and producers (OPEC and IEA, for example), business areas (producers, refiners and automobile industry), and corporate organisations (international oil companies and national oil companies, majors and independent oil companies). It is important that this dialogue be kept at all levels, so that regulators establish fair and balanced terms under which companies may compete in level ground conditions, earn the right to exploit natural resources, generate profits for their shareholders and return a fair share of the wealth to local societies.
Highest standards of health, safety and environmental (HSE) protection: More than ever HSE considerations must be an intrinsic component of any upstream or downstream project that companies decide to carry out. Even though these may, in the beginning, imply higher implementation costs, in the medium and long term the companies with the highest HSE standards are the ones that will benefit more from productivity gains and that will earn from society the right to continue doing business; conversely, as we see more stringent scrutiny and regulations being implemented around the world, non compliance and low HSE standards will be extremely costly to companies with poor performance;
Social responsibility and business ethics as part of the business model: There is already ample evidence that companies that are socially responsible, transparent and adhere to high ethical business conduct have more access to capital and tend to be more successful in the medium and long term, as is the case with those listed in the Dow Jones Sustainability Index. Also, already almost 200 companies, including most majors, national oil companies and services companies, committed to the 10 principles of the UN Global Compact. Going forward, the most successful companies in the oil sector will be those that will strike the right balance between profitability and sharing the wealth with the local society in the form of taxes, royalties, jobs and promotion of local businesses, that operate in full compliance with the law and the culture of the community, and that adopt strict ethical business conduct, transparency and anti-corruption practices.
The WPC is committed to promoting the sustainable growth of the industry, serving as a forum for discussion of the key issues, promoting the dialogue of all stakeholders involved and disseminating the best technical, managerial and business practices of the petroleum sector.
Under the theme “Responsibly Energising a Growing World,” the premier conference of our industry will bring together world leaders, executives, experts and representatives of all stakeholders to address the key issues of the petroleum sector. For over 150 years, our industry has never failed to deliver affordable and reliable energy resources to promote the development of humankind. However, as the world population increases and economic development brings a large number of new consumers to the market, our challenge is growing ever more daunting. Oil and natural gas will continue to be the world’s leading energy resource for the foreseeable future. Meeting future demand, in a safe, socially and environmentally responsible manner will require massive investments, leading-edge technology, the highest skilled human resources, and superior ethical business practices.
The world has changed beyond recognition since the 8th World Petroleum Congress was held in Moscow in 1971, and since then the influence of energy on global affairs has grown exponentially. In June 2014 Moscow will host the 21st World Petroleum Congress, an appropriate venue reflecting Russia’s position as one of the world’s leading oil and natural gas producers. High-level executives and government officers, experts in all areas of the industry, researchers, academia, NGOs, students and society representatives will come together to collectively analyse and determine the course of the petroleum sector. Through the open debate and the exchange of fresh ideas and technologies we expect, as the main result of the event, to formulate responses to contemporary challenges of the petroleum sector and to direct and oversee social and ecological programmes.
Preparations for the 21st World Congress are already underway. An Organising Committee – established with the full support and patronage of the government of the Russian Federation – is actively working on the programme and logistics of the conference and in a global promotion campaign. I am confident that the 21st World Petroleum Congress will represent an important landmark in the history of our industry and will create a platform for truly beneficial multilateral dialogue and co-operation, which will be constructive for the future of the world economy. And, and top of it, this will be an opportunity to enjoy the rich heritage and warm hospitality of the Russian people. You cannot miss it.
A Trillion Dollars’ Worth of Transparency
Jonas Moberg, Head of Secretariat, Extractive Industries Transparency Initiative
May 2014
The EITI is the global standard for governance transparency and accountability in the extractive industries. It is now implemented by 44 countries, including major oil and gas producers like Iraq, Nigeria, Norway and the United States. Several others are preparing to become members, including Colombia, Myanmar and the United Kingdom. The EITI has brought transparency ... [ More ]
A Trillion Dollars’ Worth of Transparency
Jonas Moberg, Head of Secretariat, Extractive Industries Transparency Initiative
The EITI is the global standard for governance transparency and accountability in the extractive industries. It is now implemented by 44 countries, including major oil and gas producers like Iraq, Nigeria, Norway and the United States. Several others are preparing to become members, including Colombia, Myanmar and the United Kingdom. The EITI has brought transparency to tax and royalty payments well in excess of $1 trillion. Over 400 professionals work full time around the world on the EITI and over 800 people serve on the 44 EITI national commissions.
Is the EITI leading to reforms and better energy production? Yes. Is the EITI helping fight corruption, improve accountability and build trust? Yes. Is the EITI creating a level playing field for oil and gas operators? Yes. Is the EITI revealing commercially sensitive information, including about reserves? No. EITI and the Joint Organisations Data Initiative (JODI); do we need it all and more? EITI is about transparency of the fiscal environment and of payments made; JODI is about aggregated production volumes. A number of different complementary efforts are required before sound governance of the oil and gas sector is achieved.
Over the following pages, the above statements are considered, drawing on experience from EITI-implementing countries and the EITI’s development from a set of principles into an extensive standard. The reasons countries in very different situations implement the EITI are explored, as well as the EITI’s role in informing public debate and encouraging wider reform. Finally, a look is taken at remaining challenges and opportunities in making transparency lead to less corruption, more efficient markets and competition and improved accountability.
Reconciliation of Revenue and More
EITI-implementing countries publish annually a report that includes the reconciliation of all payments by producers with government receipts. These reconciliations are almost always done by an independent auditing firm, with Deloitte and EY amongst those that have produced EITI reports for several countries. In brief summary, these reports will often have a single table listing the producing companies, the taxes and royalties they pay, the receiving government entities and how much they report that they have received. Once a country decides to implement the EITI, all producing companies have to report, thereby creating a level playing field in terms of the transparency demanded. Drawing on early EITI experience and reflecting growing demands for further transparency, the EITI took a big leap forwards in May 2013 when the EITI Standard was approved.
The standard amends the mandate of the EITI from revenue transparency to coverage of a wider range of issues along the extractive industries value chain. From now on, EITI reports must include information about the sector beyond revenue transparency that will make the reports easier to read, analyse and use. Drawing on the experience of many producing countries already publishing their contracts, the new EITI standard encourages all implementing countries to disclose contracts and licence information. Also new is that the EITI requires that mandated social payments are disclosed and all voluntary payments are encouraged to be included in the EITI reports. For more detail on what is required, see the EITI standard here: eiti.org/document/standard.
So far, almost 200 national EITI reports have been published. They have identified missing revenues and weaknesses in legal and fiscal frameworks in, for example, Nigeria. These have in many countries led to reforms and improvements in tax collection and management systems as well as legal reforms. In its 2011 EITI report, Iraq reconciled its full export sales. Given that almost all of these companies are extra-territorial and not subject to Iraqi law, this is an impressive process and shows the way for other countries in which state oil sales make up a considerable amount of total income, for example Nigeria and Indonesia. In Norway, EITI reports make information on the oil and gas sector easily available.
Norway’s Minister of Petroleum and Energy Tord Lien said at the publication of the 2012 report: “Transparency and oversight of financial flows from oil and gas are important in order for these resources to be a source of national prosperity. Our oil revenues in 2012 correspond to around 75,000 Norwegian kroner [$13,000] per citizen.” This year, the first reports including more data in line with the 2013 EITI Standard will be published.
Why Countries Implement with the EITI
Producing countries implement the EITI for a wide variety of reasons. It is a way of minimising the risks for corruption, of attracting quality foreign direct investment and of building trust with citizens and other stakeholders.
A better understanding of how the sector is managed and governed creates a sense of trust and stability that is necessary to reduce investment risk. The reliable and timely data published in EITI reports informs public debate on the real contributions of the extractive industry, and multi-stakeholder dialogue builds trust among groups. Making reliable information available to the public and bringing stakeholders together to discuss and clarify concerns, helps to manage the expectations created by oil and gas discoveries.
Countries face different challenges and in order to be meaningful, EITI implementation needs to link with other reforms and national priorities. A common goal across countries is more informed debate and better management of the extractive industries. Even in countries where information is widely available and governance structures are strong, gathering data in one report and presenting it in an accessible way provides added value to citizens, companies and governments alike. The fact that the United States is now implementing the EITI shows that revenue transparency is relevant for resource-rich countries of all sizes and income levels.
When committing to implementation, President Barack Obama said, “The United States will join the global initiative in which these industries, governments and civil society, all work together for greater transparency so that taxpayers receive every dollar they’re due from the extraction of natural resources.”
There is a growing recognition that good governance leads to improved recovery rates. In badly governed producing countries, the government and its regulatory bodies and the producing companies may be more interested in relatively short-term maximising of production and profits, rather than taking a longer-term view, requiring more investment but ultimately leading to improved recovery rates. Transparency of contracts and revenue payments contribute towards long-term planning.
Moving Forwards Together
Ten years ago, the industry, governments and civil society agreed on 12 EITI principles. The principles recognise that the “prudent use of wealth should be an important engine to sustainable economic growth,” and that well-informed public debate can help choose appropriate options for sustainable development. Since agreeing on these principles, the EITI has evolved into a global standard. Eighty-five of the world’s largest companies support the EITI. Among them are also a growing number of national oil companies including Statoil, Pemex and Petrobras.
Helge Lund, the president and CEO of Statoil, recently said, “[EITI’s] work is important to us – and indeed for our industry. Your work is an essential part of an increasingly broad understanding that greater transparency around our business enhances stability and trust. This in turn encourages better governance and improved conditions for long-term investment, leading to more secure and reliable energy supply.” The EITI has gained support because all stakeholders have seen benefits from being part of the process. This has helped to create an expectation of transparency in the extractive industry, which was previously too often opaque and murky. There remain, however, challenges in translating expectations into practice. In some countries, EITI reporting suffers from significant delays, with several years between the reporting period and the publication of the EITI report bringing transparency to the various payments from the companies to the government. Thus, one challenge is to ensure that reporting becomes timelier. The 44 implementing countries, and a growing number of officials, company and civil society representatives working on the EITI, represent an immense pool of innovation and creativity that is constantly reshaping the EITI to make it more meaningful in different contexts.
Nigeria, for example, is planning real-time data collection to improve the timeliness and the usability of the data. Twelve countries are undertaking a pilot programme to map the beneficial owners of extractive companies. The EITI has also begun to reveal information on oil sales, namely who buys oil and gas and at what price. But whilst the EITI can scrape the surface of the oil trading business, it needs to work with others to deepen the coverage of secondary and tertiary sales to bring transparency to this business.
Transparency is Reality
Stakeholders have during the last couple of decades campaigned for more transparency. Whilst a lot of information is still hard to access and understand and in some countries, only most limited information is available, practices are changing. Contracts and licence information are becoming public, payments are reported by company and increasingly by project, and transparency is becoming a reality. The geography of energy is in constant flux, and challenges – social, environmental, technological and economic – have reached a new scale. Energy resources have enormous potential to improve the lives of billions of people, if governed well. This requires that those billions have the chance to understand and monitor their development.
H.E. Maria van der Hoeven, Executive Director, International Energy Agency
May 2014
What options exist for Europe to reduce its demand for fossil fuels, and why is encouraging this decline important? In order to reduce its consumption of fossil fuels, Europe will need to focus on fostering investment in renewables and facilitating their integration into the power system. The European Union has been a pioneer in renewables development, most recently because of the Renewable ... [ More ]
Co-Operation is Key
H.E. Maria van der Hoeven, Executive Director, International Energy Agency
What options exist for Europe to reduce its demand for fossil fuels, and why is encouraging this decline important?
In order to reduce its consumption of fossil fuels, Europe will need to focus on fostering investment in renewables and facilitating their integration into the power system. The European Union has been a pioneer in renewables development, most recently because of the Renewable Energy Directive. This has catalysed deployment and stimulated significant cost reductions. Wind and solar technologies are now being widely exploited in emerging markets as cost-competitive contributors to meeting growing power demand.
That leadership has come at a cost to Europe – with the heavy lifting concentrated in a few countries. But it is also seeing the benefits of this investment, for example reduced gas imports, improved energy security, and a developing green economy. Progress is in danger of stalling because of policy cost concerns. But with so much of the hard investment work behind us, it would not make sense to cut and run as the costs of future deployment shrink.
Key to adapting to higher energy prices, as well as the principal contributor to sustainability and reducing the use of fossil fuels, will be energy efficiency. While Europe is a leader in this field, uncertainty remains around energy efficiency regulation and deployment, and the extent to which it will be integrated with the other main parts of the climate and energy package, to ensure policy coherence.
The European Union will now need to decide how to frame energy and climate policy to 2030, particularly given the increasingly visible and potentially catastrophic impacts of climate change and long-term energy security concerns. Long-term policies are key to secure investment and green growth, and so 2030 is important as a bridge to 2050. I will refrain from commenting on the details in the Commission’s proposals, particularly as we prepare our own review of European Union policies. But in a world where clean energy technology development and deployment will be a much less European story, and where higher costs of transition risk eroding European competitiveness, the answer lies in close co-ordination, interconnection and market integration.
Given lower costs of refining in the United States, what is the outlook for refining in Europe and the Middle East?
Rarely has the contrast between “winners” and “losers” in the refining world been more pronounced than in 2013 and 2014, when new global players disrupted the traditional order. Refiners in mature economies in Europe and the Pacific continue to confront challenging market environments, while those in the United States are profiting
from the region’s supply-side revolution. In less than a decade, the United States has gone from being one of the world’s largest product importers to its largest product exporter. Investment plans are being drawn up to further take advantage of regional supply growth.
By contrast, in the non-OECD, tides are turning against the refining industry. A marked slowdown in Chinese apparent demand growth has prompted a largescale reassessment of refinery expansion plans in the very region where most of the growth had been coming from in the last 10 years, and which until recently had been expected to contribute most of it in the medium term.
While the fortunes of Asian refiners are waning, the start-up of Saudi Arabia’s Jubail refinery last year is a signal of coming changes in the Middle East oil profile, as crude producers move up the value chain and increase their focus on domestic markets.
How will South America’s oil production affect global oil markets in the short to medium term?
South America’s oil production (all liquids) was about 7.25 million barrels per day (b/d) in 2013, approximately 8 percent of global supply. Most of this supply comes from five countries: OPEC members Ecuador and Venezuela, and large non-OPEC producers Argentina, Brazil and Colombia.
In the short term (2014), we are not expecting the production outlook overall for the continent to change, assuming flat production in Venezuela and Ecuador (the IEA does not forecast OPEC production levels). Hence, given the growth in global supply and demand, the role of the continent in global oil markets would diminish slightly. South American oil demand was about 6 million b/d in 2013, so the continent is a net exporter, but given expectations of some demand growth in the continent, net exports could also be expected to decline slightly in 2014.
In the medium term (2014-2019), Argentina and Brazil are expected to see production growth and, in the case of Venezuela, production capacity growth, particularly towards the end of that period. Although South American demand will also have grown by then, the continent does have the potential to become more important to world oil markets if the Brazilian oil sector is able to successfully implement its planned massive offshore projects.
How could Mexico’s recent regulation on foreign exploration change the global oil supply and demand equation?
In the IEA’s latest (2013) Medium-Term Oil Market Report, there was no assumption of regulatory change in Mexico, and hence, continued gradual output decline was forecast for the medium term. While the recent regulatory changes will not affect the outlook for 2014, it is possible that further out into the medium term, 2014- 2019, participation of new companies in the upstream sector would bring increased investment as well as additional capabilities for deepwater or unconventional plays, which could change our forecast.
The Mexican government, in its plans from this past autumn 2013, had issued a goal of 3 million b/d of crude oil production by 2018. This is some 600,000 b/d higher than our expectation for Mexican crude oil output for that year prior to these changes. While the tail-end of our upcoming medium-term forecast for Mexican production will likely be higher, it is unlikely to be as high as the Mexican government’s initial 2018 target. This additional output will be welcome in a world market of ever-growing demand into the medium term, but will not decisively affect the global supply and demand balance.
What may happen – or what should happen – in the medium term that could bring LNG prices down for buyers?
Oil-indexed long-term contracts have traditionally played a major role in both Europe and Asia. In North America, the dynamics of supply and demand play a greater role in price setting. Yet, efficient markets do not necessarily mean low prices.
In the decade before the shale revolution, depleting United States conventional gas led to a tight supply/demand balance and very high prices. But in such an environment this counts as a market success – those price signals were key to incentivising shale development. Without the means to export, that shale revolution turned North America into a veritable gas island with lower prices.
But Asian price differences with Europe require more explanation. In this case the reason is not physical, but contractual and institutional: destination clauses and take or pay contracts lock in suppliers, and a lack of a trading hub in Asia makes it difficult to execute trades.
The effects are not trivial. Even without making any assumptions on North American LNG, the Japanese yearly import bill is over $10 billion higher than what we could see in a properly integrated LNG market. As a result of the flexible nature of LNG, economic developments and policy decisions introduce significant uncertainty into the LNG demand outlook of any given country, raising investment risk. A well-functioning market can reduce those risks and aid investment. Over the long term, this could help to mitigate the relatively high prices we see in Asia.
In the shorter term, while Asia can certainly not rely on American gas to lower prices by providing sufficient physical supplies, even after exports commence, the prospect of even relatively small amounts of spotpriced American LNG exports and greater regional competition can impact negotiations for long-term gas contracts, providing downward price pressure.
Can a natural gas price hub be developed in Asia?
Natural gas has the potential to improve energy security and economic and environmental performance in the Asian-Pacific economies. But its regional market conditions must be such that supply and demand fundamentals play a stronger role in price setting.
Thanks to relatively weak international pipeline options, developing an Asian LNG trading hub is a key step towards developing the wider regional market. This gas market would need to meet institutional and structural requirements which inspire confidence among market players to use such a hub for balancing of their portfolios, and which attract new participants such as financial institutions. That means separating transport from commercial activities; price deregulation at the wholesale level; sufficient network capacity and non-discriminatory access; and a competitive number of market participants.
The prospects are there, but even the prime candidates will need to do more. China’s fast-growing domestic gas network is still underdeveloped, and the entire production chain remains heavily regulated. Japan has a great potential to act as a hub, but it will have to take some important steps, such as improving infrastructure access and further developing its domestic power market. Externally, it also means engaging with exporters to affect the terms of gas contracting to improve efficiency while maintaining energy security. Singapore’s small domestic market means that to grow as a hub it must rely on re-exports, which are hindered by regulation. However, it is already a globally important oil-trading hub, and some of its broader strengths such as location and a supportive legal environment will be applicable for LNG. Singapore has pipeline interconnections with the traditional suppliers of Malaysia and Indonesia, and Asia’s first genuine open access LNG terminal is under construction there. Singapore already has ample LNG storage facility and arrangements that make it possible to re-export LNG from the storage tanks, and its financial institutions are already experimenting with LNG swaps.
Globally we are starting to see the long-term prospect for a world natural gas market. But integrating and deepening regional markets is a first step to addressing major global price mismatch. That would benefit Asian consumers, Asian economies, and the millions of Asian citizens choked by industrial smog.
In September 2011, you took charge of the IEA. How would you describe your tenure as Executive Director so far?
The global energy map has been changing at a rapid pace over the past several years, and this has created unique challenges in terms of our modelling and projections, but also in terms of energy governance, our co-operation with emerging economies, and our approach to energy security and sustainability. When the IEA was founded, our member countries accounted for more than three quarters of global oil demand. That share is now less than half, and such a shift has highlighted the importance of deepening our relationships with key non-member partners.
Also, our conceptions of energy security have widened to include the entire range of fuels, as well as to account for the increasing interdependencies between fuel markets. We are meeting that challenge by developing a multilateral framework of association with key partner countries, as well as with other international organisations.
Those partnerships also allow us to better tackle the global challenges of energy sustainability and climate change mitigation, both of which are becoming only more critical with each passing year, as evidenced most recently by the latest Intergovernmental Panel on Climate Change report. During my tenure I am pleased to report that this has been one of our most important missions, and we continue to stress its importance in consultations with industry, policy makers and the wider civil society.
What challenges have the agency and the global energy economy encountered that you did not foresee?
The distinction was once famously drawn between “known-unknowns” and “unknown-unknowns.” We are aware that some issue areas are bound to dramatically affect the international energy landscape, but we cannot predict precisely how. Geopolitical developments are a prime example.
The IEA is regularly exercising its ability to rapidly react to energy security threats and developments, and to stay flexible given the broad range of scenarios that might arise. The past few years have seen unique tensions in the international energy market deriving from the Middle East, Africa, Eurasia, and elsewhere. Such issues and incidents cannot necessarily be foreseen, but I am proud of our ability to respond with rapid analysis and a well-maintained international network for political and economic consultation.
“Unknown-unknowns” are by nature more difficult to prepare for. I would describe these as “gamechangers” that may arise from technological breakthroughs, economic tipping points, unexpected policy shifts, and more. Often they are the result of a combination of those, and the unconventional gas revolution in the United States is one example.
While that shift was well underway by the time I arrived, it has continued to have sometimes unforeseen implications far beyond the United States and the gas market. For example, the large variations we see in international gas and electricity prices have long-term impacts on relative competitiveness, and contribute to new energy trading relationships in gas but also in coal and power. IEA analysis recognised very early the coming “golden age of gas,” and we were one of the first to highlight its impacts globally. Still, game changers can have great impacts on our scenarios and across our analysis, so we have to remain constantly vigilant to them.
What is your most important goal to accomplish at the IEA before the end of your tenure, whenever that may be?
I mentioned how dramatically the energy economy has changed since the IEA's founding in 1974, and how they are accelerating. The dichotomy between energy consumers and producers is blurring, with major consumers like the United States seeing rising production and the prospect of exports, and traditional producers in the Middle East and elsewhere experiencing rapidly rising domestic demand.
Meanwhile, the impact of major emerging economies on global supply-demand patterns cannot be underestimated. It is in the interest of the IEA to continue to develop its co-operation with key partner countries, particularly in the association framework I mentioned earlier. Instituting that kind of deep co-operation within the framework of a global discussion on energy governance is not a task that can be completed overnight, but I hope and expect to see meaningful outcomes in the near future.
Energy Access as a Major Challenge for Small Island States
H.E. Abdou Nassur Madi, Minister of Production, Environment, Energy, Industry and Handicrafts, Union of the Comoros
May 2014
Energy access is indispensable to economic transformation in most developing countries, mainly the small developing island states such as Comoros. However, this approach to development is threatened by a chronic energy crisis in some countries and is compromising all efforts in other sectors: agriculture and fisheries, industry and crafts, tourism and also services (banks and ... [ More ]
Energy Access as a Major Challenge for Small Island States
H.E. Abdou Nassur Madi, Minister of Production, Environment, Energy, Industry and Handicrafts, Union of the Comoros
Energy access is indispensable to economic transformation in most developing countries, mainly the small developing island states such as Comoros. However, this approach to development is threatened by a chronic energy crisis in some countries and is compromising all efforts in other sectors: agriculture and fisheries, industry and crafts, tourism and also services (banks and commerce, among others). In fact, due to a small market, small island states do not enjoy affordable prices in the energy market.
Constraints to Energy Access
Small island states are isolated to energy markets, have limited resources and are facing environmental vulnerability and dependence on imported sources of energy. In addition, the very limited scale of an island is a handicap when importing a low quantity of oil and gas and then to produce electricity using diesel and small power plants at reasonable costs. This handicap is compounded by the volatility of the price of oil, which small island states are heavily dependent on for energy needs. The economy of such states cannot stand under such pressure.
Limited Natural Resources
In large countries, in the Eastern Africa subregion, more than 90 percent of the population are reliant on biomass, while in Asian countries 54 percent, Latin American countries 19 percent and the Middle East 0 percent (according to an Economic Commission for Africa repor in 2014, Energy Access and Security in Eastern Africa). In most small island states, biomass is limited and cannot be available as an alternative to oil and gas. Biomass represents more than 60 percent of energy consumption in Comoros. However, due to the pressure this situation exerted on natural resources in term of deforestation, the use of biomass is detrimental to the environment and ecosystems preservation.
Opportunities with Renewable Energy
Fortunately, the foundations and principles that the green economy offers to small island states are specific mechanisms to deal with energy challenges and sustainable development. The development of renewable energy represents not a choice but the only choice left to small island states when addressing energy challenges.
Geothermal Development in the Comoros
In the case of the Comoros islands and other islands such as Dominica and Iceland, among others, the volcano on which the archipelago is based offers opportunities in terms of energy through the heat it contains. Development of geothermal energy in Comoros is aiming for economic, social and ecological (sustainable) development. And more specifically, it aims to increase the share of clean energy in the energy mix, by replacing fossil fuels – the share of clean energy in the Comorian energy system is at a very low level, less than 3 percent. It also aims to ensure energy security and the mastery of energy dependence. This initiative is not an easy business, but the government of the Union of the Comoros has made a strong commitment to energy-sector development. The support of our partners, the government of New Zealand and UN Development Programme, urges us in this way. An approach of the African Union is committed under the Geothermal Risk Mitigation Fund to achieve a first study of the surface phase. We invite all partners to support renewable energy projects, which remain the most credible perspective to overcome difficulties in energy for most small island states.
Eelco Hoekstra, Chairman of the Executive Board and CEO, Royal Vopak
May 2014
What does Vopak plan to do to overcome the lower demand for crude oil, gasoil and biofuel storage in the Netherlands?Let me first briefly introduce Vopak. Tapping into a history of almost 400 years, we are the world’s leading independent tank storage company. Our marine terminals are strategically located on all continents along the major ... [ More ]
European Energy Security
Eelco Hoekstra, Chairman of the Executive Board and CEO, Royal Vopak
What does Vopak plan to do to overcome the lower demand for crude oil, gasoil and biofuel storage in the Netherlands?
Let me first briefly introduce Vopak . Tapping into a history of almost 400 years, we are the world’s leading independent tank storage company. Our marine terminals are strategically located on all continents along the major shipping routes for oil, chemicals, LNG and biofuels. We are specialised in the storage and handling of these liquid bulk products and as such we do not own nor trade products. We focus on providing excellent service and building long-term relationships with a wide variety of clients, who include national and international companies and governments. We operate both in mature and growth markets, alone and in joint ventures, with one-third of our activities in Asia.
Last year, Vopak did indeed experience lower occupancy rates of our Rotterdam storage tanks for crude, gasoil and biodiesel, for different reasons. For crude oil and gasoil, backwardation took away incentives to store product. For gasoil, competition increased; we also concentrated the strategic reserves that we store for several governments in the northern part of the Netherlands. This meant relocating product from one Rotterdam terminal, which now needs to be adapted to accommodate a higher throughput. For biodiesel, import duties levied on product from outside the European Union resulted in lower imports. As a result, we reached average occupancy rates of 83 percent in the Netherlands in 2013, compared to global occupancy rates of 88 percent. That was one of the main reasons for our slightly lower earnings in 2013 – a novelty after a decade of double-digit growth.
Our answer to these and other challenges in the energy markets is, first, to continue aligning our terminal network to meet our customers’ needs and capitalise on future business prospects. That requires relentlessly analysing global trends to pinpoint current and future product flows. These analyses enable us to determine how our terminal network should develop. We divest at locations with insufficient prospects, strengthen existing key locations and constantly look out for new locations. Our global storage capacity will grow from 31 mcm today to 37 mcm by the end of 2016. Secondly, our strategy focuses on improving service at our terminals while increasing cost efficiency. We aim to match the best among our clients in terms of safety and environmental performance.
What is your perspective on the uncertainty in the global energy markets?
There is no uncertainty about global demand, which is expected to grow by some 60 percent in the next 25 years – as it has in the last 25 years. But there is uncertainty about future energy choices, prices and flows. What will be the winning choices? Coal? Gas? Oil? Renewables? Other sources? Those choices will depend on the future price of each kind of energy and they will determine the future geography of global energy flows. How those factors – sources, price and flows – will play out, will determine the readiness to invest in energy infrastructure, including storage. That infrastructure is badly needed to face the growing worldwide imbalance between energy supply and demand. Because of that imbalance, companies are ready to transport energy over ever-longer distances, increasing the integration of energy markets. This applies to crude oil as well as to gasoline or liquefied gas. This trend stimulates investments in energy infrastructure. To give you an example: the financial risks of building an expensive LNG export terminal are mitigated by the possibility to ship LNG all over the world. That, in turn, increases the availability of energy and thus enhances the security of supply. In other words, the uncertainty in the energy markets is being mitigated by globalisation. Yet this is not a given. For instance, major countries can still stimulate infrastructural investments and lower logistical costs by allowing cabotage and establishing an effective legal framework to enable bonded storage, including the blending of products. So governments and regulators have a crucial role to play. They can help ensure the availability of global energy flows by liberalising the energy marketsand agreeing on regulations that enable trade.
Considering China’s growing energy demand, does Vopak have plans for expansion into China?
Absolutely! We are more than doubling our storage capacity in China, increasing it from 1.4 mcm today to 3.9 mcm in 2016. Vopak is already the largest independent liquid chemical storage provider in China. Together with our partners in several joint ventures, we currently own and operate six terminals in China, mainly storing chemicals and oil. Last March, Vopak acquired shares in a new industrial terminal in Gulei Industrial Park, in Fujian. We now have a presence in three of the seven parks that the Chinese government earmarked for the development of the petrochemical industry. We are also developing several new terminals at key locations in China. In the Yangpu Economic Development Zone in Hainan, we will have the region’s first independent oil storage terminal that can receive very large crude carriers. The crude oil flows to that part of China are expected to grow considerably and the Hainan terminal will serve as a hub at the crossroads of major shipping lanes connecting the Middle East and Africa to the Far East.
LNG is important to Europe as it tries to diversify its energy mix for economic and political reasons. Will Vopak be able to capitalise on future United States LNG shipments with its facilities in the Netherlands?
It is a fact that most countries strive to enhance their security of supply by diversifying both their energy mix and sources. The crisis in Ukraine seems to be strengthening that thinking. LNG is one option to diversify the energy mix. It can be shipped from various sources in all directions all over the world.
Our Gate terminal in Rotterdam, a joint venture with gas infrastructure company Gasunie, is a state of-the-art terminal where the largest LNG ships can dock. It was inaugurated in 2011 and stands ready to receive American LNG. But there are three “ifs.” Gate will only see new LNG flows come in from the United States if American companies are allowed to export more LNG, if they decide to export to Europe and if our customers decide to buy American LNG.
Gate has long-term contracts with major utility companies like E.ON Ruhrgas and Dong for a throughput of 12 bcm per year – the equivalent of one quarter of the Netherlands’ annual gas consumption. How will that capacity be used? That is up to our customers, the utility providers. They will decide whether or not to buy American LNG.
If they do, will there be a need to construct new LNG terminals along Europe’s coasts?
In the past year, Gate has evolved from an import terminal to a hub terminal, from where LNG is also re-exported. Technically, we can expand the storage capacity at Gate with a fourth tank, which would increase Rotterdam’s potential throughput of LNG to 16 bcm per year.
We are also looking into opportunities for starting LNG bunkering and expanding truck loading in Rotterdam. Eastward, we are looking into the feasibility of building small-scale terminals in Tallinn, Estonia, and in Gothenburg, Sweden. These locations could serve markets that are too small to receive the largest LNG carriers, but interesting enough for smaller LNG ships. In Fos-sur-Mer, near Marseille, we are conducting a feasibility study for an LNG terminal to bring more gas to the South of France and to develop small-scale activities.
Will LNG be the answer to Europe’s energy needs?
We are positive about the future of LNG, for Europe as well as for Asia, but it is not the answer to all our needs. When talking about LNG in Europe, we should distinguish between the short and the long term. For now, LNG can hardly compete with other sources. In Northern Europe, the price of LNG is higher than pipeline gas due to the high demand in Asia. And pipeline gas cannot compete with coal, as demonstrated by the recent closure of gas-fired power plants. For the long term, the share of LNG in Europe’s energy mix will continue to grow. Gas is the cleanest fossil fuel and LNG allows for impressive emission reductions for trucks and ships.
Globally, our LNG results increased in 2013. We expect these results to keep growing, as liquidity in the global LNG market increases, with more liquefaction capacity, more players, more trade and more short-term contracts. As global LNG trade increases, so does the need for flexible and independent storage. Vopak entered the LNG business three years ago with terminals in Rotterdam and in Altamira, Mexico. Our ambition is to build a global LNG network with a few major hub terminals and several small-scale terminals to serve smaller markets and remote areas. We believe in the growing role of LNG.
H.E. Uzakbay Karabalin, Minister of Oil and Gas, Republic of Kazakhstan
May 2014
Energy resources define the current and future state of the world economy. Now is a very important period for civilization as the world's population is approaching 8 billion. The volume of global GDP at purchasing power parity is about $85 trillion. Against this backdrop, conventional technologies are facing challenges associated with the exhaustibility of resources. ... [ More ]
Global Pragmatism
H.E. Uzakbay Karabalin, Minister of Oil and Gas, Republic of Kazakhstan
Energy resources define the current and future state of the world economy. Now is a very important period for civilization as the world's population is approaching 8 billion. The volume of global GDP at purchasing power parity is about $85 trillion. Against this backdrop, conventional technologies are facing challenges associated with the exhaustibility of resources. Fundamentally new approaches to energy are becoming more and more relevant, but it takes time to solve the problems of capital intensity, efficiency growth and environmental sustainability in large-scale applications. The key economic and financial attraction poles involve actively developing China, India and other countries. The global economic landscape is undergoing significant changes and requires joint efforts to definitely reach a positive dynamics of development.
In this context, it is important to consider the following aspects. First, the role of oil, gas and coal will remain the weightiest part in the world energy mix until 2030. However, the share of other sources will gradually increase. Second, the stability of the energy sector should be ensured through constructive co-operation. It is very important not to oppose oil and gas to other energy sources, but to seek common ground and effective models for co-operation. Third, the technological progress is facing new challenges. In the oil sector, this is due to the end of the period of easily recoverable oil. In the gas sector it is production cost and the need to increase efficiency. In the nuclear sector it environmental safety; and in the biofuel sector there are problems of food supply.
There should not be any confrontation in this matter. Moreover, the sectors can actively exchange their innovations, knowledge and approaches. Kazakhstan, as a country recognized among the fastest growing countries in the world and included in the world’s Top 15 by oil reserves, is aware of its increasing responsibility in addressing these and other issues. Our strategic line implies active co-operation with the global business and scientific community.
Along with conventional sources of energy, Kazakhstan takes measures to create a pool of “green economy.” However, the development options for alternative energy are considered in terms of the features of other sectors of the economy. Among other things, this implies the improvement of energy efficiency measures, the development of conventional energy sources to the "green" level, and the use of effective approaches in terms of renewable energy sources.
The results of such activity may be presented at EXPO 2017, which will be held in our capital, the city of Astana, under the motto "Future Energy" and where Kazakhstan intends to demonstrate the potential of its own and joint developments across the entire complex of the energy sector. The global "dialogue of friendship" between green and conventional energy proves to be organic in the context of development of the whole energy space of the world. Such transnational pragmatism appears to be a necessary attribute of the future energy. I am confident that our joint work and the power of partnership will allow us to achieve all desired goals.
Introduction to Iraq's Energy Policies
H.E Abdul-Kareem Luaibi Bahedh, Minister of Oil, Iraq
May 2014
Iraq's energy sector holds the key to the country's future prosperity and can make a major contribution to the stability of global energy markets. Iraq is already the world's third-largest oil exporter and has the resources and plans to increase rapidly its oil and natural gas production as it recovers from three decades punctuated by conflict and instability.Iraq has ... [ More ]
Introduction to Iraq's Energy Policies
H.E Abdul-Kareem Luaibi Bahedh, Minister of Oil, Iraq
Iraq's energy sector holds the key to the country's future prosperity and can make a major contribution to the stability of global energy markets. Iraq is already the world's third-largest oil exporter and has the resources and plans to increase rapidly its oil and natural gas production as it recovers from three decades punctuated by conflict and instability.
Iraq has put its own programmes to increase its oil production to 8 million barrels per day and gas production to 4,000 mcf per day by the year 2020. Service contracts have already been signed with more than 20 international oil companies to develop more than 16 oil- and gasfields in Iraq to ensure this increase in oil and gas production.
Iraq is actively participating in most international energy conferences and workshops and co-operating closely with the International Energy Agency, thereby showing its willingness to share its energy programmes with others. Iraq is becoming a key supplier to Asian markets, mainly China, and by 2030 Iraq will be the second-largest global oil exporter.
Natural gas can play a much more important role in Iraq's future, reducing the dominance of oil in the domestic energy mix. Iraq's gas balance and its opportunity to have a surplus for export depend on creating incentives to develop its non-associated gas resources.
Catching up and keeping pace with rising demand for electricity is critical to Iraq's natural development. Power stations in Iraq produce more electricity than ever before. Iraq needs 70 percent more net power generation capacity to meet full demand.
Energy resources provide Iraq with means to revitalise its economy and take on a new global role and responsibilities that match its potential and the richness of its resources base. There is a strong alignment between the needs of the global market for growth in Iraq's production and the needs of Iraq for revenue to build the foundation of
a modern and prosperous economy.
Energy is inevitable for human life and a secure and accessible supply of energy is crucial for the sustainability of modern societies. The future of human prosperity depends on how successfully we tackle two central energy challenges facing us today: Securing the supply of reliable and affordable energy and transitioning to a low-carbon economy. The current energy system is based primarily on hydrocarbons, fossil fuels and coal. These are finite non-renewable resources that are only found in particular parts of the world. Thus, it is geology that determines the energy resources base that is the total amount of coal, oil and gas reserve that are in existence on the planet.
There has been a global shift in the geography of oil and gas production away from the industrially developed countries towards the developing world. Equally there has been a shift away from the international oil companies as the holders of oil reserves and the main producers of oil, towards national oil companies. Not only has there been a global shift in production, there are also new centres of demand in the developing world – such as China and India – that are changing the geography of demand. All of this means that there is a limited amount of energy production. Thus, it is far from certain whether it will be possible to deliver energy services in a way that is reliable and affordable
and that will not damage the environment.
It is clear that no single country or group of countries can ensure energy security. It can only be achieved efficiently through international co-operation and that can coexist with international competition, but they need to be better balanced.
Finally, our focus here today, and the ongoing focus of the IEF is to increase co operation to achieve energy security at an affordable price linked to timely investment to supply energy in line with economic development and environmental needs.
Market Pressure: The Energy Winners And Losers
Luay Al-Khatteeb, Visiting Fellow, Brookings Doha Center
May 2014
One of the underlying themes of the recent developments in Ukraine is the current and future impact on energy markets. With Russia already enjoying a large share of the world hydrocarbons markets – with some 13 percent of global oil production and 20 percent of global natural gas production – a presence on the Crimean ... [ More ]
Market Pressure: The Energy Winners And Losers
Luay Al-Khatteeb, Visiting Fellow, Brookings Doha Centre]
One of the underlying themes of the recent developments in Ukraine is the current and future impact on energy markets. With Russia already enjoying a large share of the world hydrocarbons markets – with some 13 percent of global oil production and 20 percent of global natural gas production – a presence on the Crimean Peninsula will add further gas reserves to the country’s already unparalleled portfolio. Russia has also gained access to the Mediterranean, via the Black Sea, which is a pivotal export corridor for its hydrocarbons to both Europe and the rest of the world.
Russia supplies more than one-third of Europe’s gas demand. And current market pressure on prices may encourage Europe’s consumers to seek alternative supplies. But where will this supply come from?
European producers such as Norway and the Netherlands can attempt to increase output but are unlikely to carry out significant expansions in production. Though the Middle East has huge gas reserves, most of these remain undeveloped outside of Qatar. Regional producers will need further development in pipelines to Europe to be an effective supply source, while political instability and rising demand at home raises questions about their long-term viability. Nevertheless, mounting domestic demand in the region as well as the potential for exports to Europe and Asia means that the further development of these resources is increasingly likely.
Gas markets are regional, with widely diverging prices. At the moment, the LNG price in Europe is around $9.5 per million British thermal units (Btu), rising to more than $16.5 per million Btu in the Far East, but much lower in the US, where a vibrant spot market has helped keep prices below $5 per million Btu. Still, supply shortages in the Middle East and skyrocketing demand in Asia have put upward pressure on prices in all the regional markets. This will stimulate new developments in pipelines and transportation infrastructure to take advantage of these wide price differentials.
One new entrant to the export market is the US, which is now turning LNG import facilities into export terminals as its unconventional supplies of shale gas continue to grow, expanding over 20 percent in the past five years. The corporations responsible for this growth are keen to seek higher profit margins through export abroad. The US export programme is likely to accelerate in the forthcoming months. As a result of the crisis, US oil and gas multinationals, shareholders and US trade accounts stand to benefit from higher prices stemming from the uncertainty and turmoil in gas markets.
With a large, relatively captive market in Europe, Russia can look to the long term as it develops new markets via improved transport routes – a necessity given that oil and gas account for some 70 percent of Russia’s exports and more than 50 percent of all state revenue. Qatar, the world’s largest producer, will reap rewards from rising prices, especially if it steps up production beyond current limits. Importing nations will face higher prices, especially as the world economy recovers and demand rises.
Meanwhile, the two countries with the potential to supply the world market with more affordable gas and oil – Iran and Iraq – have been hamstrung by political barriers, be they international economic sanctions or the need to combat domestic political instability and terrorism. These two countries have the potential to increase their oil and gas production significantly: Iran has the second-largest oil reserves in the world while Iraq’s under-developed gas reserves could double with proper exploration.
Slow progress in developing these countries’ resources has benefited neighbouring producers multinational oil companies at the expense of the world’s consumers who have endured high and rising prices as a result.
Higher LNG prices will encourage importing nations to accelerate investment in their own unconventional sources while seeking investment partnerships with potential suppliers such as Iran, Iraq and various North African states. China, India and the other large Asian consumers will look to the Middle East and North Africa region, East Africa, Australia and Russia to secure supplies, while Japan may be keener to restart its nuclear plants to reduce dependency on expensive oil and LNG. Meanwhile, the EU will have to start hydraulic fracturing in its own backyard if it is wants to avoid paying higher gas prices in the future.
In short, current global market developments benefit gas exporters. It will encourage investment in the development of gas resources in the Middle East and North Africa region as it benefits those involved in shipping and piping gas around the world. The losers are European and Asian consumers who will pay higher prices for some time to come.
H.E. Charles Kitwanga, Deputy Minister for Energy and Minerals, Tanzania
May 2014
Regarding the production and use of the country’s natural gas reserves, what steps are being taken to gasify the country and decrease the reliance on burning wood for fuel? Several steps have been taken to use natural gas as a source of energy and ultimately reduce heavy dependence on fresh wood and charcoal as main ... [ More ]
Move To Gas
H.E. Charles Kitwanga, Deputy Minister for Energy and Minerals, Tanzania
Regarding the production and use of the country’s natural gas reserves, what steps are being taken to gasify the country and decrease the reliance on burning wood for fuel?
Several steps have been taken to use natural gas as a source of energy and ultimately reduce heavy dependence on fresh wood and charcoal as main fuel for cooking. The government of Tanzania, through the Tanzania Petroleum Development Corporation, is implementing a natural gas distribution project for households, institutions and vehicles. The project intended to construct infrastructure for distribution and marketing of gas to cover more than 30,000 households and institutions and 8,000 vehicles in the Dar es Salaam city. Currently, the status is: some vehicles have been converted to use CNG; some households have been connected to use natural gas, as pilot project; some institutions have been connected such as Keko Prisons, Serena Hotel and the Mgulani settlement. It is expected that upon successful operation of the pilot project, the scope will be expanded, as more gas is made available. It is expected most users of wood fuel will definitely switch to gas.
What is the anticipated future outlook for the country in terms of production, meeting local demand, and exporting gas to other countries?
Tanzania is in the final stages of adopting the Natural Gas Master Plan, which will recommend a pattern for gas production, potential domestic demand, and natural gas for export, over a defined period.
What are the target export destinations?
Emanating from the policy, the domestic market is our first priority, still the government has not ruled out exporting gas through pipeline to neighbouring countries and LNG as a means to distant markets. The export market for natural gas is yet to be determined.
Are new pipelines being considered?
Tanzania has been operating a pipeline from the Songo Songo field to Dar es Salaam, which, however, is adequate for the current and future needs. The government is constructing a new pipeline with a larger capacity from Mtwara and Songo Songo to enhance gas supply in the city.
The government has initiated preliminary discussions with gas developers (Statoil/ExxonMobil and BG/Ophir Energy) towards implementing an LNG project. This project will enable extraction of deepsea gas for export market through LNG and availability of gas for the domestic market.
How will gasification improve the country and the economy?
Tanzania is expecting to benefit a lot from gas including reliable power supply for the economy, gas-related industries and revenues from gas sales domestically or internationally. Expectations based on past experience whereby the economy of Tanzania is saving more than $1 billion per year by using natural gas instead of imported oil in existing power plants; the power sector foreign exchange market savings amounted to more than $5,109 million from July 2004 to September 2013; the industrial sector savings amounted to more than $458 million from July 2004 to September 2013.
What are the government’s aspirations on how to use the wealth brought in by the exploitation of this natural resource?
The major aspirations by the government are reflected in the natural gas policy. The natural gas policy adopted on October, 2013 clearly focuses on managing revenue arising from natural gas with a view to benefit the present and future generations of Tanzanians.
The policy explicitly stated that the government shall: establish a natural gas revenue fund for the development and growth of natural gas industry as well as for national strategic projects to unlock economy and investment for future generation; ensure that natural gas revenue is used appropriately for the benefits of the present and future generations; ensure that the local communities benefit from the natural gas activities in their respective localities and ensure that an institutional arrangement, a legal framework and guidelines to manage the fund are in place.
Natural Gas: The Destination Fuel for a Sustainable Low-Carbon Global Economy
Jérôme Ferrier, President, International Gas Union
May 2014
The International Gas Union (IGU) is representing the worldwide gas industry, gathering 83 countries, and covers 95 percent of the natural gas and LNG global activities, from the wellhead to the final consumers.There is a large worldwide consensus, among international institutions (UNO and its agencies or the OECD), governments, opinion leaders, NGOs and public opinions ... [ More ]
Natural Gas: The Destination Fuel for a Sustainable Low-Carbon Global Economy
Jérôme Ferrier, President, International Gas Union
The International Gas Union (IGU) is representing the worldwide gas industry, gathering 83 countries, and covers 95 percent of the natural gas and LNG global activities, from the wellhead to the final consumers.
There is a large worldwide consensus, among international institutions (UNO and its agencies or the OECD), governments, opinion leaders, NGOs and public opinions that finding a path to a low-carbon and sustainable energy future is a major challenge of our time.
In fact, this goal is addressing three questions that should govern any sensible energy policy:
Security of Supply: shall we have enough energy resources to cover the needs of people, the industry and transportation, in the future?
Protection of the Environment: shall we succeed in producing and consuming this energy without creating irreversible damages to the environment?
Affordability and Competitiveness: shall we make this energy available to all at affordable prices and on economically competitive terms?
IGU has come to the conclusion that, in spite of profound differences in the energy situation of each country, it is much easier to reach these targets simultaneously if they are addressed in a consistent manner at least at a regional level, or even better, at a global level. To allow an evolution of the energy mix that takes into account, and attempts to respond as best possible, to each of the three above-mentioned questions, will require an elaborate balancing act. Indeed we believe that the best response will come from aiming, at all times, for the greatest possible overlap between the demands of security of supply, protection of the environment and affordability, rather than from the assignment of rigid and independent targets to each.
The energy policy followed in the European Union since the beginning of this century is a good example of how stand-alone targets can fail to consistently address (i) climate and public health concerns; and (ii) industrial competitiveness and provides a clear illustration of the inadequacy of setting stand-alone targets that fail to deliver consistency between protection of the climate and of people’s health on the one hand, competitiveness of the industry and affordability needs on the other.
The first Climate and Energy Package, adopted in late 2008, had set three European Union-wide 2020 targets, of (i) 20 percent greenhouse gas emission reduction, (ii) 20 percent share of energy from renewables and (iii) 20 percent decrease in primary energy use. In practice, the lack of prioritisation among these three targets had seriously detrimental effects on the competitiveness of the European energy system, particularly the electricity sector, as stressed in a January 2014 report from the French Commissariat Général à la Stratégie et à la Prospective. The fast track applied to the electricity sector in reaching the 20 percent renewables target has proven to be economically and environmentally questionable:
The cost of decarbonisation of the electricity production with renewables is extremely high, resulting either in a considerable price increase to the end customer or in a series of governmental subsidies, although insufficient to avoid the entry of a much larger share of people in the status of energy poverty;
To mitigate the high cost of renewables, most countries, in particular Germany, Spain, the Netherlands and Italy have turned to cheaper imported coal as a source of electricity production, thus closing or mothballing some50 GW of efficient and environmentally friendly gas fired power units (CCGTand cogeneration);
The ETS (Emissions Trading system) proved inefficient in controlling the switch to coal, as most exporting industries could not afford high carbon prices on a worldwide competitive market.
All in all, it seems fair to say that the same level of greenhouse gas reduction could have been achieved with much better economic results, had the European Union opted for the “natural gas plus renewables” mix rather than resting on the “coal and renewables” one.
The Second Energy Package issued by the European Union Commission on January 22, 2014, deals with the period 2020 to 2030 and opens new avenues for a more cost effective way to a low carbon economy:
The CO2 emission reduction is set as the main –even if not explicitly qualified as single – target: the ETS sector (11,000 fixed installations involved in power generation and manufacturing industries) would have to deliver a reduction of 43 percent in 2030 and the non- ETS of 30 percent both compared to 2005;
The new target of 27 percent renewable energies in 2030 is set at the European Union level, each member state having the possibility to adjust its own evolution over the next 16 years.
This new European Union framework should give more flexibility to European Union member states in developing their own national energy policy. This may, in turn, permit a redefinition of the energy mix with a larger share for natural gas. The result, we believe, would be a more effective and competitive energy mix, that would take into account potential synergies between the electricity and gas grids, existing large gas storage capacities in Europe, and the natural complementarity between renewable sources (by nature intermittent) and decentralised natural gas power units.
On a worldwide basis, the 2013 International Energy Outlook to 2035 identifies a few key risks and opportunities for our industry:
With world GDP rising by 3.6 percent per year, world energy use will grow by 56 percent between 2010 and 2040. Half of the increase is attributable to China and India. The engine of energy demand growth is clearly moving to South Asia;
Coal grows faster than petroleum consumption until after 2030, mostly due to increases in China’s consumption, and slow growth in oil demand in OECD member countries;
Natural gas is the fastest growing fossil fuel, supported by new conventional reserves and increasing supplies of shale gas, particularly in the United States. However, coal still remains the dominant fossil fuel on the global scene. Natural gas is abundant and second to no other fossil fuel in terms of environmental qualities. Estimates point to more than 250 years of recoverable natural gas reserves at current consumption levels. New pipelines, new interconnections and expanding LNG infrastructures, along with a revolution in the exploitation of unconventional resources, have transformed supply realities.
At the global level, coal remains the largest source of power through 2035. Replacing old coal plants with new natural gas-fired plants could curb the GHG emissions by more than 60 percent per kilowatt hour generated. Even the most modern coal power plants emit twice as much GHG per kilowatt hour as natural gas combined-cycle units.
Global CO2 emissions from energy use are expected to grow by 29 percent to 2035. Although emissions grow more slowly than energy consumption, as the energy mix gradually decarbonises, coal appears to be the main driver for the trends in CO2 emissions in per capita terms, either in the right way, as we observe in the United States, with a switch from coal to gas for power generation, or negatively, as in China and India, still relying upon coal. If we follow the IEA’s 2013 projections, it is difficult to see how the UN global climate mitigation targets could be reached by 2050. IGU suggests that a sensible target for our industry should be to curb by one-third the expected share of coal in electricity generation by 2040. This should result in an increase of the global natural gas demand by 25 percent, which implies an additional production of about 1,100 bcm in 2040, a realistic target given the estimated natural gas conventional and unconventional resources. Under this new scenario, the global gas demand for power generation would reach 3 tcm in 2035/2040, with the share of gas in power generation climbing from 24 percent to 36 percent.
The substitution of an additional 1,100 bcm of gas to coal for power generation would significantly reduce the growth of GHG emissions, making it possible to stabilise the emission level at a maximum of 40 billion tonnes from 2030 onwards. The necessary resources to achieve this target would mainly come from unconventional reserves such as shale gas and coal bed methane. In addition, our industry should not be shy in addressing the health issues deriving from the massive use of coal. Studies lend evidence that the use of coal for power has very serious health consequences, the cost of which is estimated, in the European Union alone, at $15 billion to $42 billion per year and, while figures may be more difficult to estimate, the situation is more critical still in China and India. In large urban areas, like in Beijing or New Delhi, peaks of air pollution have become a major political issue and a real concern for people. Since the electricity sector represents 75 percent of the coal demand in the OECD countries and 60 percent in the rest of the world, it is possible to reduce massively the carbon emissions by regulating the use of coal in this sector, without affecting the competitiveness of the industry through heavy carbon taxes that would have detrimental effects on global trade.
Both the United States and United Kingdom have followed this route since 2013. President Obama’s Climate Action Plan has set a limit of 500g of CO2 emissions per kilowatt hour for new fossil fuel fired power plants, which means that no new coal-fired power plant can be built without a large portion of emissions being captured and sequestered. Compliance actions are required as soon as 2018, and the United States power industry has turned massively to using natural gas. This move is clearly also linked to the currently low price of gas in the United States. However, it is interesting to note that similar measures were introduced in the United Kingdom, where gas prices are on average almost three times higher than in the United States. The United Kingdom Emission Performance Standards (EPS) have set a limit of 450g of CO2 emissions for new power plants until 2045.
Natural gas and renewables, which complement each other almost perfectly, both for electricity generation and storage, as well as for the injection of biogas in pipelines, should be the two main pillars of an environmentally friendly and sustainable long term global energy policy. Natural gas matches the challenges posed by renewables on many grounds, ensuring a suitable complementarity that offsets most of them, such as:
Their variability and uncertainty: natural gas provides a back-up for the solar and wind resources that are by essence intermittent;
Their location: natural gas CCGT can increase the electricity production capacity in remote locations, so as to mitigate the cost of extending the electricity grid, for instance when such extensions are needed by the installation of new offshore and onshore wind turbines. In the case of biogas, the natural gas transmission and distribution grids can accommodate and balance local productions facilities that would not be economic on a stand-alone basis;
The uncertainty of electricity production forecasts from renewables: natural gas can be used to ensure the hourly balancing of the electricity grid, by a recourse to gas turbines. In IGU’s view, natural gas should not be regarded as a transition fuel but actually as a destination fuel for ensuring a sustainable and climate friendly future at a global level. We can make this future happen… and it is anything but science fiction!
OAPEC’s Significance in the International Oil and Natural Gas Markets
H.E. Abbas Al Naqi, Secretary General, OAPEC
May 2014
The Organization of Arab Petroleum Exporting Countries (OAPEC) is a regional inter-governmental organisation established by an agreement signed on January 9, 1968, by Saudi Arabia, Kuwait and Libya. Thethree founding members chose the state of Kuwait for the organisation’sdomicile and headquarters. OAPEC is concerned with the developmentof the petroleum industry through fostering co-operation among its members.It ... [ More ]
OAPEC’s Significance in the International Oil and Natural Gas Markets
H.E. Abbas Al Naqi, Secretary General, OAPEC
The Organization of Arab Petroleum Exporting Countries (OAPEC) is a regional inter-governmental organisation established by an agreement signed on January 9, 1968, by Saudi Arabia, Kuwait and Libya. Thethree founding members chose the state of Kuwait for the organisation’sdomicile and headquarters. OAPEC is concerned with the developmentof the petroleum industry through fostering co-operation among its members.It contributes to the effective use of the resources of member countriesthrough sponsoring joint ventures.
The organisation’s membership is restricted to Arab countries to whom petroleum forms an important source of national income. Currently, the organisation has a total of 11 member countries, namely Saudi Arabia, Kuwait, Libya, Algeria, Bahrain, the United Arab Emirates, Qatar, Syria, Egypt, Iraq and Tunisia. The total population of OAPEC is about 239 million, representing 66 percent of the Arab population. OAPEC’s total GDP amounted to $2,334 million, accounting for 86.7 percent of total Arab Gross Domestic Product measured in current price.
OAPEC member countries occupy a significant position in the international oil and natural gas markets. The most prominent parameters that illustrate their significance – present and future – are: oil and gas reserves, oil and gas production, oil and gas consumption and oil and gas exports.
Oil and Gas Reserves
The world’s total oil proven reserves witnessed a sharp rise in the last decade, increasing from 1,138.6 billion barrels in 2003 to 1,277.7 billion barrels in 2013. OAPEC member countries were the origin of about 40 percent of the increase in the world’s proven reserves. OAPEC proved reserves amounted to 703.3 billion barrels (55 percent of the world’s total) in 2013. That puts OAPEC at the top versus other international groups. Five OAPEC members (Saudi Arabia, Iraq, Kuwait, United Arab Emirates and Libya) hold 51.6 percent of the world’s proven reserves. As for natural gas, the world’s proven reserves reached a level of 198.9 tcm in 2013. Natural gas reserves are more dispersed than those of oil, with OAPEC accounting for 26.6 percent of the world’s total. By the end of 2013, OAPEC natural gas reserves had reached 52.9 tcm, and they are concentrated in Qatar, which holds about 46.2 percent of OAPEC total and 12.3 percent of the world’s total.
Oil and Gas Production
The world’s production of crude oil (excluding condensates and natural gas liquids) amounted to 75.5 million barrels per day (b/d) in 2013. OAPEC crude oil production reached 21.8 million b/d, or 28.9 percent of the world’s total.
Saudi Arabia holds about 20.8 percent of the world’s proven reserves. In 2013, Saudi Arabia produced 9.7 million b/d or 13 percent of the world’s total followed by Kuwait with 2.9 million b/d or 3.8 percent and the United Arab Emirates with 2.7 million b/d or 3.6 percent of the world’s total.
OAPEC members play a central role in balancing and stabilising the world oil market, not only because of the size of their production, but also because of their spare production capacity. Saudi Arabia, the world’s leading exporter, with total capacity of more than 12 million b/d, holds the bulk of the world’s spare capacity.
It is worth mentioning that OAPEC oil production share from the world’s total (28.9 percent) is much less than its share from the world’s proven reserves (55 percent). The opposite is true for other regions. This fact strengthens OAPEC capability in meeting the expected increase in world oil demand. Among the world’s top 16 countries, whose production exceeded 1.5 million b/d in 2013, there were four OAPEC countries, headed by Saudi Arabia followed by the UAE, Kuwait and Iraq. Turning to marketed natural gas, OAPEC production of marketed natural gas amounted to 566.2 bcm or 16.4 percent of the world’s total.
Oil and Gas Consumption
In general, OAPEC countries witnessed a steady increase in consumption of both oil and natural gas. Oil consumption reached 5.6 million barrels of oil equivalent per day (boe/d) (6 percent of the world’s total) in 2013, representing an annual growth rate of 4.9 percent during the last decade, while production was close to 22 million b/d. The difference between OAPEC member countries production and consumption of oil, illustrates their significance to oil markets stability.
Domestic consumption of natural gas, on the other hand, reached 7 million boe/d (11 percent of the world’s total) in 2013, with an average annual growth rate of 8.9 percent during the last decade. Consumption varied from one country to another due to the differences in availability of oil and gas, energy-intensive local industries and standard of living in each country. Saudi Arabia consumed 25 percent of OAPEC’s total, followed by Qatar (19 percent) and the United Arab Emirates (17 percent).
Oil and Gas Exports
During 2012, OAPEC crude oil exports estimated at 17.9 million b/d and oil products exports estimated at 3.8 million b/d. Total OAPEC oil exports represented 33.9 percent of the world’s total. Of the world largest seventeen oil exporters, (i.e. countries that export more than 1.0 million b/d), there were seven OAPEC countries in 2012 headed by Saudi Arabia with an export level of more than 8 million b/d. On other hand, OAPEC exports of natural gas more than doubled in the last decade, to 194.4 bcm in 2012, accounting for about 19 percent of the world’s total. Approximately 66.8 percent of OAPEC’s natural gas exports were in the form of LNG, while the rest was pipeline gas from Algeria, Qatar, Libya and Egypt. Qatar is OAPEC’s largest exporter of natural gas (62.5 percent of OAPEC), followed by Algeria (26.9 percent). In 2012, OAPEC’s surplus exceeded 161 bcm, versus deficits of 197.4 bcm in Western Europe, 148.2 bcm in Asia Pacific and a surplus of 12.1 bcm in North America.
Future Outlook
OAPEC member countries are projected to remain the main providers of hydrocarbons for decades to come. Irrespective of their high consumption rates of both oil and gas, they have the potential for a further increase of their export capacity. In fact, they are the source for the major part of any additional conventional oil supply capacity in the future. Middle East and North Africa (MENA) oil production is expected to reach 38.2 million b/d in 2035, a rise of 6.7 million b/d from 2012. Natural gas output is expected to be 985 bcm in 2035, a rise of 381 bcm from 2011. OAPEC member countries are likely to continue to play a major role in meeting future world demand for oil and natural gas, contributing effectively towards market stability. OAPEC major producing member countries (Saudi Arabia, Iraq, Kuwait and the United Arab Emirates), accounting for around 47.8 percent of the world’s proven reserves, will be the main oil suppliers in the medium to long term. For this to be realised, additional production capacity will be needed which require large investment outlays. This will take place only if there is confidence in the materialisation of anticipated demand (demand security) and access to sufficient funds.
Renewables
With their huge hydrocarbon reserves, OAPEC countries appear to be an unlikely advocate for renewable energy. However, with excellent solar and wind conditions across the Arab region and rising energy demand, renewable energy is attracting an unprecedented attention in the region. Many Arab countries are planning a substantial hike in renewable energy capacity over the coming decade.
Some Arab countries, including OAPEC member countries, have the potential to become important producers and exporters of solar-generated electricity in the future. In such a case, geographical proximity suggests that Europe will be the natural market for such exports. However, renewables can only complement rather than supplant the hydrocarbon fuels, which will remain OAPEC’s main business and the world’s dominant source of energy for the foreseeable future, since the energy market is expected to witness an increasing demand for all kinds of energy sources.
Energy Security
The security of supply and security of demand are two faces of the same coin. Security resides in the stability of the entire market, to the benefit of consuming and producing nations alike. The need for enhanced energy security has to be seen from both supply and demand perspectives, which should be mutually supportive. Uncertainty over future demand translates into uncertainties over the amount of oil that our oil producing countries will eventually need to supply, signifying a heavy burden of risk as investment requirements are very large. By promoting transparency between the major players in the oil market, producers and consumers, the world will definitely take a major step towards Energy Security.
Climate Change Issue
We believe any agreement related to a post-Kyoto protocol should take into consideration the interests of all parties, including oil producing and exporting countries, whose economies and revenues are highly dependent on a single and very limited resource for their development while taking into consideration the current framework convention (UNFCCC) and the Kyoto Protocol on the other.
H.E. Rene G. Ortiz, Former Minister of Energy and Mines, Ecuador
May 2014
The grand future challenge of the oil industry is indisputably to move from the state of well-known good practices towards best practices in order to step up into the next world of quality and hyper-connectivity era.Unquestionably, civil society – genuinely immersed nowadays in environmental issues of the sort – is ready to agree to take ... [ More ]
Oil Industry Best Practices
H.E. Rene G. Ortiz, Former Minister of Energy and Mines, Ecuador
The grand future challenge of the oil industry is indisputably to move from the state of well-known good practices towards best practices in order to step up into the next world of quality and hyper-connectivity era.
Unquestionably, civil society – genuinely immersed nowadays in environmental issues of the sort – is ready to agree to take in and accept the prolonging of a world energy consumption situation dominated by fossil fuels. It seems – given the success of new extracting technologies for both conventional and non-conventional oil and gas deposits – the inevitable energy path for at least another hundred years. The latter is based upon the world oil scenarios under which the oil industry is working and its participation in the demand energy-mix for the near future. In fact, the coincidence of OPEC ’s oil scenarios in the 2013 World Oil Outlook to 2035 and the BP Energy Outlook 2030. In the OPEC World Oil Outlook, projections to 2035 are set optimistically with “no shortages of oil and resources are plentiful.”
Thus, oil remains a key energy source satisfying world’s energy, material and transport needs to help generate better living standards. The assumptions are based on UN demographics in non-OECD countries with 63 percent of the 8.6 billion people becoming urban and India surpassing China as having the largest population. Unequivocally, both match the future with the same type of shifting trend for energy consumption, from OECD countries towards non-OECD countries. The BP Energy Outlook indicates 95 percent of the inevitable energy shift is captured by emerging economies, with India and China playing a key role.
In this context, the notion of a ”quality call” – expected by civil society as briefly described above – can actually be seen also as part of the new geography of energy and certainly as part of human beings’ lives in the future. Nonetheless, the statistic that fossil fuels’ domination will unquestionably grow in near-future energy consumption does not mean the oil and gas industry can keep on managing and operating based upon a business-as-usual practice. For civil society, the quality call it is certainly addressing to oil operating and service companies around the world, is a “do it right” future challenge, along with a dozens of other industry challenges, in order to have a socially responsible oil barrel in the market place.
Oilmen are fully aware that, for an industry which is socially and environmentally blamed for being number-one responsible for world pollution, the remaining oil in the ground is to be found, discovered and developed under extremely sensitive conditions.
Work out there, along with powerful non-stop on-the-job training, can produce responsible clean oil, with the application of the latest state of the art social and environmental standard, EO 100™. That can lead the change from good practices to best practices, along with an independent certification and auditing and to a quality of work in the neighbourhood of zero tolerance. Actually, there are examples, in upper Amazon Basin operations in Colombia, Ecuador, Peru and Bolivia, where the industry is gradually moving into this unique social and environmental standard, the EO 100™. To paraphrase the lyrics of John Lennon’s famous song, “You may say I am a dreamer, but I am not the only one.”
In fact, navigating around the Internet can lead to the website of Ecopetrol, the national oil company of Colombia. The company statement, in Spanish, goes as follows: “Barriles limpios, respetar la vida, el medio ambiente y estar en armonía con las comunidades, es la mejor manera de alcanzar nuestras metas. Por eso queremos que los barriles que producimos en Ecopetrol sean limpios.” (Clean barrels: to respect life, the environment and to be in harmony with the communities is the best way to meet our goals. Thus, we want Ecopetrol’s produced barrels to be clean.)
Similarly, in Ecuador, Agip Oil, an Eni subsidiary, is recording a very best example of land rehabilitation practice at an abandoned platform site, in block 10, and an operation with zero oil spills for the last 15 years.
The world oil industry has examples of dozens of similar operations which are reported at specialised publications only. The standard world media takes and reports the dark side of the oil industry with contamination headlines. Thus, the quality call for the industry is the most challenging journey to best practices.
At this point, it is worth mentioning that the oil industry might be considered one of those businesses where tonnes of money is invested and dedicated to scientific research and applied technology to do it better and proudly and positively assesses the high degree of expertise reached by the industry. But I think that we all know that human error is a stress-free cherished measurement often used to justify a task laxity by any worker at an operating site. That is negligence and cannot be accepted in the current hyper-connectivity era. It sounds as if that would be trivial or irrelevant. No. But the fact of the matter is that technologies, techniques and expertise involving a policy, a plan, a programme and an operating manual can fail if, in my view, on-the-job training is overlooked and not resolutely embraced in minute after minute of work. Thus, best practices ought to be considered part of the new geography of energy.
Powering The Third Industrial Revolution
Kandeh K. Yumkella, UN Under-Secretary-General, Secretary-General’s Special Representative and CEO, Sustainable Energy for All Initiative
May 2014
The greatest sustainability challenge, or perhaps most exciting transformative opportunity, the world faces today is how to power the third industrial revolution while simultaneously avoiding the catastrophic impacts of global warming.In the next two decades almost 3 billion more people will move into the middle class. As a result, they will want better housing, more ... [ More ]
Powering The Third Industrial Revolution
Kandeh K. Yumkella, UN Under-Secretary-General, Secretary-General’s Special Representative and CEO, Sustainable Energy for All Initiative
The greatest sustainability challenge, or perhaps most exciting transformative opportunity, the world faces today is how to power the third industrial revolution while simultaneously avoiding the catastrophic impacts of global warming.
In the next two decades almost 3 billion more people will move into the middle class. As a result, they will want better housing, more televisions, more cars, more food, more water, more energy and more of everything. At the same time, many studies show that we are approaching planetary boundaries, and resources (including food, water and energy) will be scarce to meet this growing demand for goods and services. The Third Industrial Revolution (TIR) is now emerging based on the integration of new renewable energy sources with Internet technology in post-carbon energy economies. This is taking place simultaneously with revolutionary digital manufacturing technology and a focus on green industry. In other words, the third new industrial revolution is about achieving sustainable production and consumption. As United Nations Secretary-General Ban Ki-moon notes, the challenge is how to grow economies and spread prosperity, while keeping the earth’s thermostat below a two degrees temperature rise.
Jeremy Rifkin, President of the Foundation on Economic Trends and Professor at the Wharton School of Business, has demonstrated that industrial revolutions have been driven by a convergence between changes in the availability (and type) of energy and the changes in how society gathers and disseminates information. The first industrial revolution was driven by coal and steam power combined with the printing press, and the second industrial revolution was, “organised around centralised electricity, oil-powered internal combustion engine, combined with the telephone, radio and television.” In Rifkin’s view, the current third industrial revolution is an opportunity to combine innovations in distributive energy and the digital/data revolution. The integration of massive investments in decentralised renewable energy combined with information and communications technologies will create the “energy Internet,” and that impulse will lead to millions of jobs in both rich and poor countries. This energy transition is also expected to help end energy poverty.
However, the World Energy Council (WEC) Trilemma report of October 2013 indicates that at the current pace of actions by governments and the private sector, ending energy poverty could take another 60-70 years (when my grandchildren are my current age). At the same time, global carbon emissions were at an all-time high in 2012, and the International Energy Agency (IEA) reported in June 2013 that the world was on a path towards 5.3 degrees centigrade by the end of the century. So we need a more rapid energy transition as part of the third industrial revolution.
Though revolutions are mostly not planned, they can be catalysed. So how do we accelerate the pace of innovations in the energy sectors around the world to meet both the demands of higher populations, higher rates of urbanisation and the desire of developing countries and emerging economies to industrialise and create wealth for their own citizens?
I propose the establishment of “Creative Coalitions” in three main action areas, namely: accelerating continued cost reductions for renewable energy technologies, forging a deal on energy efficiency among the 23 highest greenhouse-gas emitters, and supporting a group of progressive developing countries to deepen energy sector reforms to attract investments in distributive energy systems and sustainable infrastructure.
In October 2013, the Oxford Martin Commission for Future Generation, which is led by Pascal Lamy, Michele Bachelet, Nicholas Stern, Amartya Sen, Jean-Claude Trichet and others, coined the phrase Creative Coalitions to describe multi-stakeholder partnerships of governments, private firms and civil society groups that have a common interest to drive longer-term societal transformations. Such partnerships, in the energy sphere, could be forged around the three pillars I mentioned, which I will now describe in more detail.
The Solar Coalition for Increased Cost Reduction
First, we need a coalition to accelerate massive cost reductions in renewable energy technologies. We need a group of countries to come together and agree to radically drive down the cost of renewable energy within a decade. Though there are already some locations where wind and solar power have reached grid parity with fossil generated electricity, the key is to make renewable energy universally as cheap as, or cheaper than, current centralised fossil-based power generation.
Thanks to innovations in the United States, Germany, Japan and China, we have already seen a 70-80 percent decline in the cost of solar photovoltaic power generation in the past six years. Still more can be done to make sure these reductions continue and that they are available in all countries. Two eminent global leaders, Sir David King, the new Climate Envoy of the United Kingdom government, and Lord Richard Layard, call for new spending on solar energy technology improvement, “to match the spending on the Apollo project would require only 0.05 percent of each year’s gross domestic product for 10 years from each G20 country” (Financial Times, August 2, 2013). The German government has to be recognised for already making efforts to create a renewable energy coalition along the same lines.
The Energy Efficiency Coalition
Second, we need a group of countries, in particular the 23 members of the Clean Energy Ministerial (CEM), to agree to act collectively to achieve the doubling of the rate of energy efficiency in their economies. Small actions on energy efficiency by a group of large countries can have major impacts. For example, energy-saving bulbs can reduce a household’s total electricity consumption by up to 15 percent and could save Europe 40 billion kWh a year – a figure that is roughly equal to the current annual consumption of Romania.
The CEM countries account for about 80 percent of global energy demand, 80 percent of greenhouse-gas emissions, and also about 90 percent of clean energy investments. Greater technological co-operation, an agreement on a set of policy principles which can be concurrently translated into practical actions in their respective countries, cities, or industrial sectors, can expand markets for new energy-efficient technologies (and renewables) and drive costs down further.
This elite group will meet again in Seoul in May 2014. They have already started on some energy efficiency efforts – so this proposal would build on those. In my view, their agenda should include consideration of the Oxford Martin Commission recommendation for a “C20-C30-C40” coalition for transformations in energy efficiency and climate mitigation.
A concrete road map for this group of countries would include to “develop targets for areas including increased LED street lighting; decreased commercial energy usage; promotion of more energy-efficient buildings, transport systems, and housing improvements; ensure accelerated penetration of highly efficient vehicles and biofuels as recommended by the International Climate Taskforce in 2005.” To facilitate trust and tracking of progress, membership in the coalition would be “contingent on performance and an annual disclosure process, with an accreditation system put in place to reward the strongest performers.”
Coalition of Progressive Transformers
The WEC Trilemma calls for each country (rich and poor) to pursue the simultaneous achievement of energy security, energy equity, and sustainability. In my view, some developing countries must seize this framework to help them leapfrog into new energy pathways in the same way they took advantage of mobile telephony. It is noteworthy that African countries embraced mobile telephony more rapidly than other regions (from about 4 million mobile phones in 2000 to 720 million in 2012).
Some countries are already on this path. China is doing this already with over $60 billion in investments in renewable energy in 2012 alone. Saudi Arabia has launched a new target to achieve 30 percent renewables in their energy mix by 2032. In Brazil, about 60 percent of energy supply is from renewables, and its “Light for All” programme has reached the milestone of 15 million beneficiaries, resulting in over 99 percent of the population now having access to electricity. Ghana, South Africa and Vietnam made tremendous strides in these areas as well. Other countries in Africa and South Asia (where most of the energy poor live) should learn from these examples to drive their own energy trilemma.
This coalition can be led by the BASIC countries (Brazil, South Africa, India and China) and Germany, Denmark and Norway in a triangular co-operation model. The Renewable Energy Policy Network for the 21st Century’s (REN21) Renewables 2013 Global Status Report shows that of the $244 billion in renewables investment in 2012, BASIC countries accounted for 40- 50 percent, shifting the market from United States and Western Europe. They have not only effectively domesticated the relevant technologies, they have also deployed them in ways relevant to a developing country context (by balancing energy access for the poor, and energy for industrial growth and wealth creation). Their experience through south-south co-operation, combined with German, Norwegian and Danish technological prowess (triangular co-operation) can help many of the least developed countries leap -frog into the energy Internet. The developing countries can ride the green energy wave into the energy Internet by beginning to unbundle the power sector, reforming the governance of their power utilities to make them more transparent and profitable, and by establishing robust institutions, and longer-term predictable policies to crowd-in investment into the sector.
Finally, these coalitions must inspire the broader global community of nations to take similar actions for the energy transition. This is the reason why in 2012 the UN Secretary General and the President of the World Bank launched the initiative on Sustainable Energy for All (SE4ALL). The SE4ALL objectives are designed to achieve by 2030 universal access to energy, double the annual rate of improvement of energy efficiency, and double the share of renewables.
Thus they are aligned with my proposals here for new Coalitions. The initiative also calls for a dedicated goal of “securing sustainable energy for all” in the post-2015 international development agenda. Already, we are beginning to see some results from SE4ALL. For example, Norway has committed to support renewable energy and energy efficiency activities with about NOK2 billion in 2014; Bank of America announced that its Green Bond, the world’s first of its kind, has raised $500 million for three years, as part of Bank of America’s 10-year $50-billion environmental business commitment; and the OPEC Fund for International Development has announced a $1-billion fund for energy access in poor countries.
The Sustainable Energy Fund for Africa (SEFA), which is one of the African Development Bank’s vehicles to assist SE4ALL, is a multi-donor facility with an initial $5-million commitment from Obama’s Power Africa Initiative (through USAID) as part of a multi-year engagement complementing an initial contribution of the government of Denmark of $56 million. SE4ALL will mobilise more public-private partnerships like these to catalyse the future we want.
H.E. Alexander Novak, Minister of Energy, Russian Federation
May 2014
It has been almost a year since the passage of Law 213. Have investment procedures in the development of mature fields and hard-to-recover reserves changed? Has the law had a beneficial effect?Certainly, the enactment of the law has been an important step for the development of new fields with hard-to-recover reserves. Most experts in this ... [ More ]
Russian Steps
H.E. Alexander Novak, Minister of Energy, Russian Federation
It has been almost a year since the passage of Law 213. Have investment procedures in the development of mature fields and hard-to-recover reserves changed? Has the law had a beneficial effect?
Certainly, the enactment of the law has been an important step for the development of new fields with hard-to-recover reserves. Most experts in this field also agree on the significance of the law for the oil industry, especially in that the document provides measures to support production in already-developed fields. Previously, the development of hard-to-recover reservoirs located within existing fields was economically unprofitable.
Data on the hard-to-recover oil production index, which is being collected from the companies, will help to evaluate the efficiency of the new law.
How much oil and gas has been produced due to the enactment of this law?
According to experts’ calculations, about 2 billion tonnes of oil will be included in development, and due to this law additional exploration and estimation of hard-to-recover oil reserves to the extent of 22 billion tonnes (in the Tyumen and Bazhenov formations and also oil with a permeability of less than 2 millidarcies) can be carried out.
Positive budgetary and multiplier effects are also expected. During the period of development of hard-to-recover oil until year 2032, state income is going to constitute about 2 trillion roubles with additional production of 326 million tonnes of oil.
Since investment into production of hard-to -recover oil has become profitable, companies are adjusting their investment policies and directing funds towards new projects aimed at the production of hard-to-recover oil reserves.
During the past few years, the European Union has been looking for alternative sources of hydrocarbons. With decreasing demand from European consumers, what other countries apart from South Asian countries is Russia looking at in terms of sales and what other markets is it planning to enter in the next five years?
We are not looking for an alternative to the European market. We are developing the new resource base located in the east of the country. The leaders of energy demand growth are Asian and Oceania countries. Correspondingly, our prospective export strategy is aimed at entering those markets. The biggest countries in this area are China, Japan, South Korea and India. Hydrocarbons producers from the Middle East, as well as from Russia, Canada, Australia and East Africa, are planning to reorient their production to the markets of Asia and Oceania. But the list of these consumers is much bigger. The first LNG project in Russia – Sakhalin II – has shown that the market in this area is very big and any quantities of gas will be in demand.
As the tanker fleet and facilities for LNG re-gasification grow, the gas market will gradually transform into a unified global market. Respectively, in the oil market as well as in the natural gas market, we are expecting significant growth of competition, the appearance of new suppliers and bigger diversification of supplies.
The use of new technologies for shale gas and oil production can become widespread in the world, even though it is not a fast process. Everyone is aware of the various technological, legal, infrastructural, ecological and even political complications. However, in prospect it can also influence international energy flow, since the production process can get as close as possible to the places of consumption.
Therefore, in our policy we rely upon the principle of feasibility. We attentively monitor all the changes happening in the international energy market, including changes in the energy balance, infrastructure, routes of delivery and technological development in the industry. That is why decisions on the development strategy are taken with the consideration of key prospective markets and technological achievements.
Creating the incentives for work in an eastern direction will be our strategic priority in the following decades. We will be investing at a growing rate into the development of the resource base and realisation of infrastructural projects that will allow us to meet the requirements of those markets in hydrocarbons.
Eventually, all of this will contribute to the consolidation of global energy security, which both producers and consumers are interested in.
Energy demand from China is growing and co-operation between Russia and China continues. How is Russia planning to satisfy Chinese requirements for energy?
As was already mentioned, infrastructure projects in the Far East are aimed not only at China but also at the rest of Asia and Oceania. China is only one sales market, even though it is a very big and important one. Oil and coal supplies to China are provided competitively. Electricity supplies from the Far East for now are very insignificant, but they allow us to fill our capacities and reduce the rate load for Far Eastern consumers. Pipeline gas is not being supplied yet because there is no infrastructure for this now. But negotiations between China and Gazprom over gas supplies are still ongoing. Potential quantities have been fixed and the only thing that is left is to regulate the issue of pricing where we are guided by market price markers.
What new projects are being created for the realisation of this objective?
In accordance with the agreement between the governments of the Russian Federation and the People’s Republic of China on co-operation in the area of oil from April 21, 2009, there was an oil pipeline constructed and commissioned from Skovorodino to the Russia-China border with transfer capacity of 15 million tonnes per year. The total cost of the construction is about 720 billion roubles.
An intergovernmental agreement with the People’s Republic of China, signed in March 2013 on the extension of co-operation in the area of crude oil trade, provides increased supplies through the Skovorodino-Mohe oil pipeline starting from 2018. It is planned to extend the oil pipeline’s transfer capacities in the sector up to Skovorodino up to 80 mil-lion tonnes per year and in the sector from Skovorodino to Kozmino up to 50 million tonnes a year. Currently, its capacity is 50 million and 30 million tonnes respectively. If required, a further ex-tension of the projects is possible.
Increased oil supplies will allow Russia to both expand trading activities with China and its presence in the markets of Asia and Oceania.
How successful has the development of offshore fields and energy reserves of the Arctic been?
Regardless of the fact that this region has been under development for a long time, the production of an estimated 600 billion barrels of oil is still not up and running. #
Hydrocarbons production on the Russian shelf will be crucial for Russia’s energy balance from the point of view of substituting production decline in existing oilfields, as well as from the retention of positions of Russia in conditions of growth of internal and external demand for oil and gas.
Over the past 10 years, more than two-thirds of hydrocarbons reserves have been discovered. The vast majority of new assets created for the exploration and development of oil and gas are going to the shelf. Oil, gas and condensate resources in the Arctic continental shelf are estimated at 83 billion tonnes of standard fuel.
According to the requirements of the Subsoil Law, an extraction license for the Russian Federation continental shelf can be granted to companies that have not less than five years of experience of the Russian Federation continental shelf exploration; companies that have more than a 50-percent share of the Russian Federation in their authorised capital; and/or companies where the Russian Federation has the right to control directly or indirectly more than 50 percent of the total number of votes of the share capital. Currently, only Rosneft and Gazprom and their subsidiaries meet these requirements.
What current exploration efforts are being made in the Russian Arctic?
The base region for the exploration oil and gas potential in the Siberian Arctic zone is Yamal. It is the most explored region with developed infrastructure and unique reserves of oil and condensate.
The next Arctic gas province after Yamal’s stage of production is the Gydanskiy Peninsula. The resource base will provide annual production of more than 60 bcm (2.12 tcf) and up to 4 million tonnes of gas condensate. At present, geological exploration of the Arc-tic shelf is the main activity in the development of mineral resources in the Arctic shelf. In accordance with the licence obligations, the development of offshore fields is scheduled to begin in 2019-2020. 3D-seismic exploration was the main type of geophysical surveys in 2013. The use of 2D-seismic profiles was planned most-ly in the west Arctic and far eastern seas of the Russian Federation. Starting oil production in the Pechora Sea at oilfields the Varandey Sea and Medynskoye Sea is planned by oil and gas companies working in the Russian Arctic shelf.
At the end of 2013, plans to drill six prospect and exploration wells for oil and gas with total length of more than 16,000 metres were announced. As of September 30, 2013, two exploration wells were drilled in the shelf of the Sea of Okhotsk at the Kirin-sky subsoil area. In 2015, it is planned to commission the Dolginsky oilfield.
Gas production in the Severo-Kamenno-mysskoye, Kamennomysskoye-More and Se-makovskoye fields in the Gulf of Ob and Tar Bay of the Kara Sea is planned to start in 2017-2020.
What challenges are faced in Russia’s continental shelf?
Poor geological research is one of the factors that restrains more active continental shelf reserves exploration. The degree of exploration of initial re-coverable resources of the Russian continental shelf is the following: oil 6.8 percent, gas 11.1 percent. Some seas have zero degree of exploration (Laptev Sea, East-Siberian Sea, the Sea of Chukotsk, Bering Sea, Black Sea and Pacific Ocean aquatory in Kam-chatka and Kurily areas).
However, there has been a growth of the licensing area recently. The total area of the Russian sector of the continental shelf is about 6.6 million square kilometres the licensing area is 19 percent, last year saw just 5 percent.
As of October 2013, 131 licences for the geological survey, exploration and production of hydrocarbons in offshore zones of the Russian Federation were issued. Licence holders conduct work at their own expense in 110 zones.
In order to boost investment in offshore development, Federal Law of 30 September, 2013, No. 268-FZ on Amendments to Parts One and Two of the Tax Code of the Russian Federation and Certain Legislative Acts of the Russian Federation in Connection with the Provision of Tax and Customs Duty Incentives for Hydrocarbons Production on the Continental Shelf of the Russian Federation, which provides implementation of a package of measures to stimulate the development of offshore fields, was adopted.
Also, with the purpose of stimulation of the greenfield development, Federal Law of July 23, 2013, No.213-FZ, On Amending Chapters 25 and 26 of Part two of the RF Tax Code and Article Three of the Law, On the Customs Tariff, providing an application of reduced rates of the tax on natural resource production was adopted.
Russia plays a special role in maintaining the Earth’s Arctic ecosystems and its unique diversity of species. As was already mentioned, a third of the entire area of the Arctic is Russian. These territories are the vivid embodiment of the typical features of the Arctic ecosystems.
In order to preserve the environment from possible oil spills during production in the territorial sea, in the exclusive economic zone and in the continental shelf of Russia Federal Law No. 287-FZ of December 30, 2012, on the Amendments to the Federal Law on the Continental Shelf of the Russian Federation and the Federal Law on Internal Seawaters, Territorial Seas and the Adjacent Zone of the Russian Federation, Prevention and Elimination of Oil spills in the Sea, was adopted on July 13, 2013.
Russia was also actively involved in the preparation of the second in the history legal binding pan-Arctic document – Agreement on Co-operation in the field of preparedness for marine oil spills in the Arctic and combating them, signed during the seventh ministerial session of the Arctic Council in Kirun on May 15, 2013.
Signing the agreement is further evidence of the high responsibility of the Arctic states for the situation in the region.
In your opinion, when will Russia reach peak resource production in the Arctic?
According to the updated quantitative assessment of oil, gas and gas condensate resources, the Barents, Pechora and Kara (including Ob and Taz Bay) seas have the most significant hydrocarbons reserves in the Arctic shelf of the Russian Federation, which comprises 80 percent of total hydrocarbons reserves in the entire Russian Arctic shelf, as well as the en-tire volume of parametric and exploratory drilling. At the present moment, all the discovered hydrocarbons deposits are located in the area of those seas.
In accordance with the commitments of licence holders, reaching project capacities for hydro-carbons fields in the most prospective areas of the Russian shelf is planned 2027-2035 for oil and 2035-2055 for gas.
So, large-scale oil and gas production is planned to start only after 2030, and before this time mainly geological surveys will be performed.
Can Iran become Russia’s main competitor in the natural gas market if negotiations on the “nuclear problem” remove it from international isolation? What are the estimated nat-ural gas reserves in Iran and Russia? Where is it more profitable to produce gas – Russia or Iran?
All producer and exporters can be called potential competitors. At the same time, there are organisa-tions such as the Forum of Gas Exporting Countries where Iran is a member. In these areas we are co-operating with our partners but competition should not cross out one of the participants. We have a mutual understanding with Iran. I think we will be able to co-operate properly with this country.
In comparison, Russia has the largest gas re-serves in the world, which are of 69 tcm. Gas reserves in Iran are estimated at 34 tcm. At present, Iran al-most does not export gas. That is, Iran exports about 9 bcm per year while Russia exports 235 bcm.
If Iran’s isolation is removed, the country will need to make decisions about the sales market in the first turn. Iran can enter European markets as well as mar-kets in Asia and Oceania. But both options will require large-scale investments in infrastructure. Moreover, the contract conditions offered by Russia are rather attractive to foreign investors.
Reference 1: Construction of the ESPO (East Siberia-pacific ocean) pipeline was fulfilled in two stages: ESPO-1, including construction of the Tayshet-Skovorodino sector and the Kozmino oil port, and ESPO-2, including construction of pipeline Skovorodi-no-Khabarovsk- Kozmino port and development of the Kozmino oil port.
Reference 2: In terms of oil and gas resources, the Russian Federation has the most extensive and promising marine periphery. The state balance of mineral resources on the continental shelf of the Russian Federation as of January 1, 2013, includes hydrocarbons reserves in 62 fields, including 15 underwater extensions of coastal fields.
The total amount of recoverable hydrocarbons reserves in categories ABC1 + C2 is 13.4 billion tonnes of coal equivalent, while reserves of the higher category A on the continental shelf of the Russian Federation are not registered, and total reserves of categories B + C1 reserves of 8.9 billion tonnes of coal equivalent or 67 percent.
The New Geography of Energy: Business as Usual or a New Era for Energy Supply and Demand?
H.E. Abdalla Salem El Badri, Secretary General, OPEC
May 2014
Several indicators point at a shift in energy supply and demand. From the so called “shale revolution” to a series of producing countries about to increase or resume production levels once again. How does this impact the OPEC members?At present, we are seeing growth in non-OPEC supply, particularly North American tight oil production, as well as expectations for increases from ... [ More ]
The New Geography of Energy: Business as Usual or a New Era for Energy Supply and Demand?
H.E. Abdalla Salem El Badri, Secretary General, OPEC
Several indicators point at a shift in energy supply and demand. From the so called “shale revolution” to a series of producing countries about to increase or resume production levels once again. How does this impact the OPEC members?
At present, we are seeing growth in non-OPEC supply, particularly North American tight oil production, as well as expectations for increases from elsewhere. This includes non- OPEC countries such as Brazil and Kazakhstan, as well as OPEC countries, such as Iraq, Iran, if sanctions are lifted, and Libya, if the country can overcome its current upheaval. In terms of the impact on OPEC production as a whole, we do not see it as a major challenge. In the near term, OPEC production will remain steady around the 29-30 million barrels of oil per day (b/d) level. Spare capacity will increase, but we expect it to remain at comfortable levels.
In the long term, however, we expect to see the call on OPEC liquids to increase by more than 10 million b/d by 2035. This is greater than the expected increase in non-OPEC supply over the same period, at just under 9 million b/d. For the foreseeable future, OPEC member countries will continue to meet much of the world’s expanding liquids requirements. OPEC members are committed to invest to ensure that consumers receive oil when they need it. In terms of demand, we can expect to see a continuing trend in the expansion of the needs of developing countries. They will be the ones that drive demand in the years ahead.
I should also add that supply and demand levels are always shifting. It is something we have to monitor closely on a daily, monthly and yearly basis.
How concerned are you about instability in Libya and the continual decline of its production? What is OPEC’s role in forestalling oil getting onto the black market?
During Libya’s uprising of 2011, the country’s oil production almost came to a standstill. However, once hostilities ended it was able to return to more than 1.5 million b/d in a fairly short space of time. This was a great achievement and was due to the efforts of an efficient and highly skilled workforce.
It has been sad to see these efforts fall by the wayside. Supply disruptions in recent months have impacted output significantly. We remain hopeful that the Libyan government can resolve the current situation and return full Libyan production to the market. How long this takes, however, is difficult to say. But it is important that the country returns its production capacity as quickly as possible. It is vital that wells are not shut for too long.
In terms of your question about oil getting onto the black market – this is not something the OPEC Secretariat can do anything about. It is member countries that must act to counter any illegal trade of their own oil and products.
Do you foresee Iraq emerging as a factor in compensating for Libya’s lost oil output? With Iraq’s production rising rapidly, how quickly do you foresee the country being subject to the quota system?
In February 2014, Iraqi production expanded from around 3 million b/d to close to 3.4 million b/d. Moreover, increased export capacity and the start-up of new production in a number of joint ventures with international oil companies holds the promise of higher output this year, although a number of above-ground challenges remain in terms of security and the development of new infrastructure facilities. Looking longer term too, Iraq still has huge untapped petroleum resources. There is great potential.
With regards to Iraq and production allocations, this subject is not expected to be discussed in 2014. As for Iraq helping compensate for Libya’s lost output, I think it is important to stress that OPEC member countries have on many occasions made up for any supply shortfall that suddenly impacts the market. This has also been the case with Libya. Our members have made sure there has been enough supply to meet demand. This also underscores the importance of spare capacity, which can be used in an emergency to keep the market balanced. I should stress, however, that Libya will be accommodated once it starts bringing its capacity back online.
Over the past few years, unconventional oil and gas have become more important. Do you think this is a long-term trend?
In the last few years the world has seen an increase in production from unconventional oil and gas. The main focus has been on shale gas and tight oil, particularly in North America. In response to your question, however, I will focus specifically on tight oil.
OPEC welcomes the increase in North American tight oil production. We see it as part of diverse energy mix – something we have always welcomed. With oil demand continuing to expand, the world will need all sources of oil. It also helps underscore what OPEC has said for many years: the fact that oil will remain central to our energy future. It adds depth to global supply and contributes to market stability.
In the United States, evidently great strides have recently been made in developing tight oil, but questions remain about how sustainable this is in the longer term.
There are some environmental concerns. And many wells are already experiencing sharp decline rates – in some cases 60 percent after one year. Moreover, current production is focused on what many are terming “the sweet spots.” This is the low hanging fruit. We need to see what happens once these have been tapped.
In our latest World Oil Outlook, which was published in November 2013, we see North American tight oil supply, including from natural gas liquids, reaching just below 5 million b/d in 2018, before declining thereafter.
Have OPEC members been slow to act on opportunities created by fracking and unconventional oil and gas resources?
I think we need to appreciate that most OPEC member countries still have huge amounts of conventional resources in the ground. It is these that remain the primary focus for petroleum investments in member countries. In terms of oil, OPEC holds over 80 percent of the world’s proven crude oil reserves, and in terms of gas, the share is just under 50 percent.
To date it is only the United States that has really taken advantage of the opportunities created by the evolution of fracking technology. It is easy to understand why. Of course, the technology was developed there. The principle of the private ownership of mineral rights, meaning the landowner benefits, has spurred drilling. And before it tapped into its shale gas and tight oil resources, the United States was gradually importing more oil and gas year-on-year. So I do not think we can say that OPEC member countries have been slow to act on the opportunities around unconventional resources. In fact, we are already seeing some, such as Algeria and Saudi Arabia, talk about developing their unconventional gas resources.
Moreover, they certainly have the resources. In a 2013 United States Energy Information Administration report, Libya and Venezuela were in the top 10 for technically recoverable tight oil resources, and Algeria was in the top ten for technically recoverable shale gas resources. It is also clear that many countries are still in the early assessment phase for these types of resources. I am sure OPEC member countries will find, develop and produce more unconventional resources in the coming years and decades. But, of course, that is a decision to be taken by each of them.
What is your position on the recent jump in OPEC crude output, which is matched by the steady growth of non-OPEC supplies? Are you concerned about the impact on the barrel price?
Yes, we have seen a slight increase in OPEC crude output in recent months and there is an expectation for a steady growth in non-OPEC supplies this year. However, as I mentioned in my response to your first question we are comfortable with this. We believe the market will remain fairly balanced in 2014.
In terms of the price, I am not unduly worried about current developments, but let me stress that OPEC does not have a target price. Our priority is a stable price; a level that does not affect global economic growth, and at the same time, a level that allows producers to receive a decent income and to invest to meet future demand. It is in no one’s interest to have an industry where investments are “on, off, on, off.” When talking about supply and the price we need to remind ourselves about the cost of the marginal barrel. It is obvious that this has increased significantly over the past decade, and the question that needs to be asked is: at what price levels might some projects being developed become unworkable? It is clear that for some projects it may not be far below current price levels of $100-110. It is essential we try and maintain a stable price. This benefits both producers and consumers.
Who Has the Energy to Compete?
Fatih Birol, Chief Economist, International Energy Agency
May 2014
Large, persistent differences in natural gas and electricity prices across regions, coupled with a sustained period of high oil prices that is without parallel in market history, have made energy a hot political issue. Lower natural gas prices in the United States, supported by the shale-gas revolution, have boosted that country’s industrial and economic competitiveness, ... [ More ]
Who Has the Energy to Compete?
Fatih Birol, Chief Economist, International Energy Agency
Large, persistent differences in natural gas and electricity prices across regions, coupled with a sustained period of high oil prices that is without parallel in market history, have made energy a hot political issue. Lower natural gas prices in the United States, supported by the shale-gas revolution, have boosted that country’s industrial and economic competitiveness, raising hopes of a sustained economic recovery on the back of the manufacturing sector. Conversely, higher energy prices in Europe and parts of Asia, particularly Japan, are setting alarm bells ringing, with politicians calling for urgent action to prevent the demise of their industrial heartlands. Are these hopes and fears justified?
The results of new IEA analysis just published in the 2013 edition of the World Energy Outlook (WEO) suggest that shifts in energy competitiveness could indeed have far-reaching effects on investment, production, employment and trade patterns. In most sectors, in most countries, energy is a relatively minor part of the calculation of competitiveness. But its cost can be crucial to energy-intensive industries, such as chemicals, oil refining, iron and steel, paper, cement, glass and aluminium. For those sectors, differences in prices across regions can lead to significant differences in operating margins and potential returns on investment, especially where the output is easily traded internationally. So these industries do tend to migrate to where energy costs are lowest, though other factors – such as labour, capital and raw material costs – matter, too.
In recent years, regional natural gas-price differences have ballooned as a result of falling prices in North America, thanks to booming production of shale gas, and rising prices in Europe and Asia, where gas prices remain largely indexed to expensive oil. By mid-2012, the price of gas imported into Europe reached a level more than five times higher than in the United States, while Japanese prices were an astonishing eight times higher. United States prices have since rebounded, but are still three times lower than in Europe and almost five times lower than in Japan.
These price differences are contributing to significant differences in electricity prices across regions, too, as gas is often an important fuel-input to power generation. Industrial electricity prices in Japan, Europe and China remain roughly twice as high as in the United States. In the WEO central scenario, we project that gas-price differentials will narrow somewhat in the coming years, though nonetheless remain substantial through to 2035, while electricity-price differentials will persist in many cases (figure 1). So what we see today reflects a structural issue, not a one-off.
There are signs that these price divergences are already starting to affect investment in new capacity, especially in the petrochemicals sector, and our analysis indicates that this is set to continue over the coming two decades. In many emerging economies across Asia, we project that strong growth in domestic demand for energy-intensive goods supports a swift rise in their production, accompanied by growth in exports. But relative energy costs play a more decisive role in shaping developments elsewhere. We project the United States to see an increase in its share of global exports of energy-intensive goods, providing the clearest indication of the link between relative low energy prices and the industrial outlook. By contrast, the European Union and Japan both see a strong decline in their export shares – a combined loss of around one-third of their current share (figure 2). Such shifts in industrial competitiveness have important knock-on effects for the rest of an economy: lower industrial costs mean lower input prices into other economic activities, an improvement in the terms of trade and higher income.
Searching for an Energy Boost to the Economy
Fortunately, there is considerable scope for action to enhance energy competitiveness, both by putting downward pressure on energy prices and by mitigating the impact of price increases. The challenge is to identify solutions that improve energy competitiveness, or at least mitigate part of the impact of energy price disparities, while at the same time addressing energy security and environmental concerns. Improving energy efficiency is at the top of the list. As well as bringing down costs for industry, efficiency measures mitigate the impact of energy prices on household budgets (the share of energy in household spending has reached very high levels in the European Union) and on import bills (the share of energy imports in Japan’s GDP has risen sharply). But for the full economic potential of efficiency to be realised, action is needed to break down the various barriers to investment in energy efficiency. This includes phasing out fossil-fuel consumption subsidies, which the IEA estimates rose to $544 billion worldwide in 2012.
Another avenue to boosting energy competitiveness is encouraging the development of indigenous sources of energy with the potential to meet domestic demand at lower cost. In several regions – including parts of Europe, China and Latin America – there is the potential to replicate, at least in part, the United States’ success in developing its unconventional gas and oil resources, but considerable uncertainty remains over the quality of the resources and the cost of producing them. Moreover, a number of technical and regulatory hurdles will need to be overcome for large-scale production. What can be done to achieve this, while allaying legitimate public concerns about the potential environmental impact, is encapsulated in the recent WEO Special Report Golden Rules for a Golden Age of Gas.
Other low-carbon sources of energy, such as nuclear power and renewables, can also contribute both to enhancing energy competitiveness and achieving climate change goals (the 2014 edition of the IEA’s WEO, to be released on 12 November 2014, will include an in-depth focus on prospects for nuclear power). Governments need, though, to be attentive to the design of their subsidies to renewables, which surpassed $100 billion in 2012. As renewables become increasingly competitive on their own merits, it is important that subsidy schemes allow for their multiple benefits to be realised without placing excessive burdens on those that cover the additional costs.
And finally, efficient, competitive markets are crucial to minimising the cost of energy to an economy. In many countries, market reforms aimed at liberalising energy supply and increasing competition in wholesale and retail markets for gas and electricity are far from complete, and therefore result in an inefficient allocation of resources and higher prices to end-users than would otherwise be the case.
Related to this – particularly in Asia – renegotiation of pricing terms in both existing and future import contracts for natural gas can be another possible avenue towards improving energy competitiveness. This all highlights that energy policy choices will continue to be just as important in unleashing or frustrating economic growth in the developed countries as they are in the emerging economies.
By making the right choices, governments can see to it that relatively high energy prices do not have to mean high energy costs to consumers or their national economy. They can help their firms compete internationally and their households to obtain affordable energy services by pushing firms and households to invest in energy efficiency, promoting diversification away from expensive sources of energy and developing transparent, free and open energy markets.
Energy poverty: A higher profile – but challenges remain
Suleiman J. Al-Herbish, Director General of OFID
March 2013
After years of neglect, 2012 has seen the issue of energy poverty advance up the agenda of the international community. Recognition has grown that "business as usual" policies will condemn billions of the poorest to life without modern energy services and that such services are essential to enable all aspects of development progress. To improve ... [ More ]
Energy poverty: A higher profile – but challenges remain
Suleiman J. Al-Herbish, Director General of OFID
After years of neglect, 2012 has seen the issue of energy poverty advance up the agenda of the international community. Recognition has grown that "business as usual" policies will condemn billions of the poorest to life without modern energy services and that such services are essential to enable all aspects of development progress.
To improve food security in the face of growing populations, food production in developing countries will have to nearly double by 2050. Higher yields will require more efficient use of water, fertilizers and seeds. Electricity can control and power irrigation equipment and allow rural communities to add value to crops by drying, processing and packaging. Mechanization makes a vital contribution to boosting industry by lowering unit costs and improving competitiveness. It is no coincidence that the expanding manufacturing economies of East and South East Asia made increasing electricity supply a priority in their development plans from the 1960s onwards. Electric lighting at the household and community levels can extend work and study hours and reduce security risks. Clinics need energy for lighting, diagnostic equipment and vaccine preservation. Power can make possible potable water supply and sewerage systems. All such progress can reduce child mortality, improve maternal health and facilitate the treatment of HIV/AIDS, malaria and other diseases.
Lack of access to electricity is not the only problem facing the energy poor. Clean fuels for cooking, heating and transport are often in short supply. A reliable and affordable supply of vehicle fuels is essential to transport goods to market. Diesel generators or hybrid diesel/renewable systems can provide mechanical power in the village to drive workshop equipment or irrigation pumps.
Two main protagonists can play key roles in making energy accessible and affordable. The international community should set achievable goals, define realistic policies and provide high-level leadership: the governments of partner countries should respond to such leadership with determination and the political will to adapt policies to their circumstances and implement workable solutions.
In the international arena, it was five years ago that the Solemn Declaration of the Third OPEC Summit emphasized the global priority of eradicating energy poverty. Following this “Riyadh Declaration”, the “Energy for the Poor Initiative” was launched in Jeddah in June 2008. This Initiative was supported by G8 Energy Ministers in May 2009 and G20 leaders at the Pittsburgh Summit in September 2009: also Energy Ministers meeting for the 12th International Energy Forum in Cancun in March 2010 stated that reducing energy poverty should be added as the Ninth Millennium Development Goal.
This groundswell of support culminated in the designation of 2012 by the United Nations General Assembly as the “International Year of Sustainable Energy for All”. In response, the UN Secretary-General launched a global initiative, “Sustainable Energy for All” which has the provision of universal access to modern energy services as the first of its objectives. Moreover, in November 2011 the UN Secretary-General designated a High Level Group to create an Action Agenda. OFID was nominated to this High Level Group in recognition of our commitment to the eradication of energy poverty since inception and in particular since 2007. The Action Agenda prepared by the High Level Group was formally presented to the Rio+20 Conference in June earlier this year.
High level support for action against energy poverty is vital to mobilise political will – not least within those countries suffering from energy poverty. Energy investment is very capital intensive. The projects carry substantial technical and commercial risks. Economic pricing may require levels of tariffs which create political difficulties. For these reasons improved energy access has not been a top priority for governments, especially in the poorest countries. Authorities need encouragement and assistance to improve governance of contracts and procurement, reform the finances of existing utilities and work towards macroeconomic, regulatory and political stability in order to attract international partners.
There are developing countries which have made dramatic progress. Thanks to appropriate reforms and targeted electrification programmes China, India, Vietnam and Brazil do have success stories to tell. These countries have improved the access for their citizens substantially in the last two decades – largely as a result of long term plans implemented at the cost of the public sector. Poorer countries can learn from these pioneers but external help will be needed to devise energy plans, to translate plans into specific projects for generation, transmission and distribution and to negotiate long term investment funding. Most important will be to create the ‘soft infrastructure’ of management and governance and develop the human resources sufficient to undertake a task of this complexity.
Political will must be combined with resources to achieve results on the ground. According to the IEA, investment of USD 49 billion per year is needed to provide the most basic level of energy access to all by 2030. This represents more than five times the current level of spending directed towards improving energy access. The amounts are substantial but the ongoing crisis in global finance has taught us a lesson: whenever an important issue is given high priority and the international community can devise a consensual and resolute solution – the money can be found. Energy poverty alleviation also needs and deserves collective international solutions.
Sustained progress to eradicate energy poverty will require action on many fronts. This is well illustrated by the activities of OFID which include longstanding efforts to raise the profile of energy poverty in parallel with substantial and growing financial support for partner countries. For many years OFID has urged the international community to attach a higher priority to the struggle against energy poverty whilst simultaneously raising the proportion of energy projects in total OFID operations. Indeed, since the Riyadh Declaration of 2007, OFID has approved more than USD 1.37 billion in loans for 58 energy projects and operations in 34 countries. In 2011 and 2012, the share of energy projects in total operations has reached 28%.
In all our work OFID emphasizes ownership of operations by the development partner. Conditionality is limited to ensuring good project and corporate stewardship. As part of this commitment to partner ownership of development projects, OFID is technology neutral and has financed many renewable solutions where endowments and geography permit. To leverage its financial assistance, OFID cooperates with the Coordination Group of Arab National and Regional institutions and also with international institutions including the World Bank, the African Development Bank, BADEA and IFAD. This cooperation permits the building of synergies and reduces the risk that partner countries have to deal with a large number of donors giving relatively small amounts of money – so-called ‘aid fragmentation’.
As the year draws to a close it is clear that 2012 has seen some progress. The Rio+20 Conference in June 2012 committed attending Heads of State and Governments to ‘promoting sustainable modern energy services for all through national and subnational efforts, inter alia, on electrification and dissemination of sustainable cooking and heating solutions’. But such commitments will not, of themselves, bring power to a single additional village. On the ground it is vital that financial institutions continue to work with partner countries to design, finance and implement bankable energy projects despite the worsening economic environment and the increasing caution of commercial lenders.
In these uncertain times the value of a reliable development partner such as OFID is evident. In June 2012 the OFID Ministerial Council issued a “Ministerial Declaration on Energy Poverty” which committed a minimum of USD 1 billion to finance the “Energy for the Poor Initiative” and stands ready to scale up the commitment if demand warrants. This Ministerial Declaration was announced at the Rio+20 Conference on the instruction of Ministers. Going forward, OFID is ready to work with other bilateral and multilateral development institutions, also the UN and regional organizations, to best take advantage of our diverse capabilities. Those hundreds of millions of people still suffering from energy poverty deserve nothing less.
Kuwait: An 'Active And Responsible' Producer And Partner
Hani Hussein, Oil Minister, Kuwait And Host, IEF13
March 2012
Countries are becoming increasingly inter-dependent in energy matters; producers and consumers share many things in common. The main energy challenges facing the industry remain the same; the need for sustained levels of investment throughout the energy chain, the challenge of addressing persistent volatility in energy markets, reducing energy poverty in the developing world, and the ... [ More ]
Kuwait: An 'Active And Responsible' Producer And Partner
Hani Hussein, Oil Minister, Kuwait And Host, IEF13
Countries are becoming increasingly inter-dependent in energy matters; producers and consumers share many things in common. The main energy challenges facing the industry remain the same; the need for sustained levels of investment throughout the energy chain, the challenge of addressing persistent volatility in energy markets, reducing energy poverty in the developing world, and the challenge of mitigating climate change.
Since the IEF Charter was signed, the political upheaval in some parts of the Middle East and North Africa region, the Fukushima tragedy in Japan and more recently the geopolitical tensions in the Gulf and the eurozone debt crisis have added to energy market and price volatility.
Energy prices, and more specifically oil prices, are key inputs of public and private investment decisions and the lack of predictability may adversely affect economic growth. IEF efforts to enhance understanding regarding the root cause of high volatility and to improve market functioning are commendable.
Though prices may need to moderate from recent levels, one must recognise that future prices will have to be sufficiently strong to attract large capital investments into high-cost producing areas such as Canadian oil sands and shale. Hence, prices need to be set at a level sufficiently high to support ongoing development of conventional and unconventional energy sources as well as encouraging continued improvement in energy efficiency.
Energy security is a complex and broad-based issue which is fundamentally linked to the world’s prosperity and welfare. The global energy dialogue – under the umbrella of the IEF – is the optimal manner to foster mutual trust among producers and consumers and to bring transparency to the oil markets, thereby ensuring global energy security.
The IEF Charter marks a new era of international energy cooperation, signaling reinforced political commitment to an informal, open and ongoing dialogue within the neutral framework of the IEF. We do value the IEF, as a global forum to tackle issues of common interest to all parties involved in energy.
Throughout the recent economic crisis, international co-ordination and collaborative dialogue between energy producers and consumers contributed to the early recovery of the world economy. The emphasis should be on ensuring reliable and secure supplies of energy at reasonable prices.
Effective and continuous engagement between producers and consumers can assist in facilitating transparent frameworks of investment, promoting diversity, efficiency and flexibility within the energy sector, as well as reducing market volatility, improving emergency preparedness and oil data sharing for better understanding of market price behaviour and undertaking appropriate regulatory responses.
Kuwait is an active and responsible producer in the world and is fully committed towards the development of its crude oil production capacity. Kuwait’s total oil production has reached 3 million barrels per day (mb/d), in the second half of 2011.
Hence, Kuwait is pursuing its plans to achieve sustainable crude oil capacity of 3.5 mb/d by 2015, and then 4 mb/d by 2020 onwards. Furthermore, KPC has initiated an expansion plan encompassing both the upstream and the downstream, which include plans to upgrade Kuwait’s production, export infrastructure and its tanker fleet, as well as expanding exploration and building downstream facilities, both domestically and abroad.
Moreover, Kuwait needs to acquire leading know-how and technology to ensure that production targets are achieved to promote better Kuwaiti competencies. In implementing these plans, the technical assistance of international oil companies will be needed in the field of enhanced oil recovery, and to develop heavy crude oil in Kuwait.
Kuwait is also seeking to cultivate downstream interests in markets with high potential demand growth, the Asian market in particular, specifically China and Vietnam. Despite being a major oil exporter, Kuwait has recently become a net importer of natural gas, leading the country to focus more on natural gas exploration and development for domestic consumption.
Kuwait increasingly requires supplies of natural gas for the generation of electricity, water desalination, and petrochemicals, as well as for enhanced oil recovery (EOR) to boost oil production.
We believe that producer-consumer energy dialogue is needed to enhance the understanding of the energy markets, the linkages with financial markets and the uncertainties of global energy policy.
In this regard, the IEF efforts and activities have been fruitful. The joint projects and the various workshops on market outlooks as well as the regulatory tasks have provided more insight and closer understanding of the various factors affecting the energy industry and markets.
The Secretariat, in co-operation with the IEA and OPEC, has acted as a platform to help improve understanding of the linkages between physical and financial markets, working with the IEA and OPEC within the context of the trilateral cooperation initiative announced in the Cancun Declaration and with other parties as appropriate. The first joint IEA/IEF/OPEC Workshop on physical and financial markets linkage was held on 22 November 2010 in London, with participation from governments, industry, banks, regulators, multilateral institutions and academia.
However, the producer-consumer dialogue should set a precise, comprehensive and action-oriented agenda for the IEF. Enhancing the energy cooperation between producing and consuming countries will result in securing greater diversity, competitiveness and transparency in all aspects of the supply chain. This partnership is the key element for keeping the supply-demand balance on a clear and sustainable path.
Accurate energy data is essential for making appropriate investment and policy decisions. Reflecting the strong interest expressed by ministers, continuous measures to extend JODI to other sources of energy are important for understanding the world energy mix. We support the Secretariat’s implementation in co-operation with JODI partners for the extension of JODI to natural gas.
We are proud of the achievements that have been reached so far under the umbrella of the IEF. Recognising the increasing importance of the role of natural gas in the world energy mix and the need for a global and sustained dialogue between the natural gas stakeholders, the IEF has established in cooperation with the International Gas Union (IGU), an IEF-IGU Ministerial Gas Forum for selected Ministers and leaders from the gas industry.
The 1st IEF NOC-IOC Forum, in Kuwait in March 2009, was recognised by industry leaders as an important step forward in promoting global energy dialogue and enhancing global energy security. Highlighting successful examples of long-term cooperation between NOCs and IOCs, participants underlined that regular contacts between NOC and IOC leaders provide a useful platform for industry to discuss the changing business environment and its impact on stakeholder relationships.
Recognising the importance of innovation and technology in addressing future energy and climate needs, as an oil producer, we support international cooperation in energy technologies. IEF and the Global CCS Institute jointly organised a series of symposia on carbon capture and storage in response to a call-for-action from member nation ministers. Furthermore, we believe that producers and consumers must dedicate more resources to investigate the most effective means to alleviate energy poverty and review the role of different stakeholders and support IEF efforts in this respect.
As globalisation continues, trade will expand, and technological advancements will drive productivity gains even as the world’s population grows. Fossil fuels will continue to play a dominant role in the world’s energy mix, and will remain the principal energy source in the next 50 years or more.
Underinvestment or delays in investment could lead to shortfalls in the incremental capacity required to meet demand. The IEF conference in Kuwait is a further step in producers’ and consumers’ cooperation to create the right environment for continued investments in energy and in paving the way towards market stability and energy security.
IEF countries must dedicate much of their efforts, in such important forums as the 13th IEF ministerial meeting, to align interests for the achievement of more efficient and clean consumption of fossil fuels, developing other sources of energy efficiently as well as making the markets more transparent without undermining the goals of economic growth and prosperity.
IEF13 will certainly be a crucial step to move forward towards becoming a more result-oriented forum – through collaboration with relevant multilateral organisations and research institutions, hiring highly-qualified staff, conducting credible analysis and providing reliable and timely data to achieve greater energy market transparency and stability.
In addition, the Joint Organisations Data Initiative should be expanded to other fuels in the energy mix, as well as capacity expansion plans (upstream and downstream), and should be promoted in different media outlets.
We hope that IEF13 in the State of Kuwait will bring together different viewpoints and decision makers among producers and consumers towards better understanding of the functioning of oil markets and the relationships between the physical and financial energy markets. In addition, enhancing visibility on future energy outlooks should assist in the maintenance of investment as well as the stability of energy markets.
Furthermore, mitigating energy market volatility and uncertainty remains of crucial importance to energy market stability and energy investment, which will contribute to the smooth recovery of the world economy.
Focus On The Overarching Themes Of Investment And Price Volatility
Ben Knapen, Minister For European Affairs And International Cooperation, The Netherlands And Co-Host, IEF13
March 2012
From the very beginning the Dutch government has strongly supported producer-consumer dialogue in the International Energy Forum. The Netherlands has actively participated in various IEF organs and by hosting the IEF Ministerial in 2004. The main reason for this support for the dialogue has not changed over the years. Since our country is a large ... [ More ]
Focus On The Overarching Themes Of Investment And Price Volatility
Ben Knapen, Minister For European Affairs And International Cooperation, The Netherlands And Co-Host, IEF13
From the very beginning the Dutch government has strongly supported producer-consumer dialogue in the International Energy Forum. The Netherlands has actively participated in various IEF organs and by hosting the IEF Ministerial in 2004. The main reason for this support for the dialogue has not changed over the years. Since our country is a large gas producer within Europe and has a major petrochemical industry as well, energy is an important factor in the Dutch economy. Consequently, energy policy has played an important role in government policy. Cooperation in the producer-consumer dialogue helps stabilise energy markets which is in the interest of producers and consumers alike and vital for the global economy and people’s welfare.
Over the years we have seen a number of recurring themes. To my mind investments and volatility are the most important and most frequently recurring issues, and I would like to focus on them here. Let me start with investments.
In 2003 the International Energy Agency’s annual World Energy Outlook focused on investments. The reason was that in its projections the pace of new investments was lagging behind what was deemed necessary for supply to meet the growing demand. In response to similar concerns we subsequently chose investments as the overarching theme of the IEF Ministerial in Amsterdam in 2004. Oil and investments in the natural gas value chain were addressed, as was the need to invest in renewable energy. When we look at today’s situation, investment in energy is still is a very topical issue. It is predicted that energy demand will increase substantially, particularly in the Middle East, Asia and Latin America. Economic growth is only possible when energy supply is secured. Moreover, millions and millions of people still need to gain access to energy and, for example, be connected to electricity grids.
The recent period of rapid demand growth, in emerging economies in particular, has further challenged the pace of investment in energy production. While new and often more complex resources need to be explored and developed, they tend to be situated further away from markets. Energy companies and governments alike are tested, technologically and economically, in bringing these investments about. New technologies have to be developed in order to be able to produce more oil and gas, while at the same time reducing the environmental footprint. According to IEA’s World Energy Outlook, the total investment in energy amounts to US$38 trillion, of which about US$20 trillion should be investment in exploration and production. This is a tremendous challenge. However, while increased demand for oil and gas is challenging the pace of investment that companies and governments are able to generate, future demand uncertainties as a result of energy efficiency gains and expected fuel switching to renewables requires a critical view of various demand projections. I am therefore strongly in favour of the initiative to compare IEA and OPEC projections in order to get a clearer picture of global energy supply and demand and regional differences.
I would now like to turn to the second issue: volatility. Although every market experiences some instability, oil price volatility in particular has been very marked over the last few years. Of course, 2008 was the most remarkable year in which the oil price increased to US$147 per barrel and then collapsed to a price of less than US$40 at the end of the year. Since 2008 volatility has not been that strong, but nevertheless persists. Since volatility does not strengthen the confidence of investors, it is of the utmost importance that we try to moderate it. We greatly value the efforts of IEA, IEF and OPEC to create greater transparency and understanding of the factors that influence the price of oil. One topical issue is the connection between physical and financial markets. For many industries, financial instruments are an indispensable way of mitigating price risks. Airlines and other companies, for example, are relatively vulnerable to oil price volatility, and can use these instruments to control risks. So it is good that these types of financial hedging instruments can be used to benefit the companies mentioned and limit price movements. However, these instruments can also be used for speculation, which may distort the market balance. A good way of improving energy market performance could be to boost market transparency and ensure that producers and consumers are open about their supply and demand projections. And improving market performance is exactly what the global economy needs.
In recent years the International Energy Forum has grown in its role as neutral facilitator of the dialogue between producer and consumer countries. By stimulating discussions and cooperation with international organisations like IEA and OPEC, and relevant experts on the above mentioned issues, the IEF has contributed to a better understanding of the functioning of oil and other energy markets. Furthermore, the IEF secretariat has facilitated discussions on IOC-NOC cooperation, which is vital if we are to meet future challenges in energy.
These are important steps toward better understanding of, and greater stability within, the market. This will lay the groundwork for investment and further technological development. And, ultimately, access to energy for all.
Australia Welcomes Foreign Investors To Help Meet Future Energy Demand
Martin Ferguson, Minister For Resources And Energy, Australia
March 2012
As a major energy user and supplier in the Asia-Pacific region, Australia is acutely aware that our economic prosperity, and the prosperity of all energy consumers and producers, will be greatly affected by the ability to bring on necessary investment in a timely manner. This will consequently affect our ability to overcome future global energy ... [ More ]
Australia Welcomes Foreign Investors To Help Meet Future Energy Demand
By Martin Ferguson, Minister For Resources And Energy, Australia
As a major energy user and supplier in the Asia-Pacific region, Australia is acutely aware that our economic prosperity, and the prosperity of all energy consumers and producers, will be greatly affected by the ability to bring on necessary investment in a timely manner. This will consequently affect our ability to overcome future global energy security challenges. In the decades ahead, the continued development of open and transparent energy trade and investment frameworks will be critical in delivering investment to achieve cleaner, reliable, adequate and competitively priced energy.
A key requirement to ensure global energy security is the delivery of appropriately sized and timed investments in energy infrastructure to meet rising future global energy demand. The 13th IEF Ministerial Meeting in Kuwait brings together the world’s largest energy producers and consumers, and provides the opportunity to discuss the continued importance of energy security.
The last decade has seen strong economic growth in non-OECD economies and a rapid increase in demand for energy – particularly oil and coal. This demand is set to continue. Growth in natural gas consumption is also expected to remain strong in both advanced and emerging economies, underpinned by improving economic conditions, a desire to diversify supply and an aspiration to reduce greenhouse gas emissions.
Investment in energy infrastructure is critical to meet rising demand, replace ageing assets and support the development and deployment of new technologies to reduce emissions and increase energy efficiency and productivity.
In its 2011 World Energy Outlook, the International Energy Agency estimates that global investment in energy supply infrastructure of US$38 trillion (2010 dollars) is required over the period 2011 to 2035. To meet our domestic energy demand, Australia will need investment of around AU$240 billion over the next two decades in our generation, distribution and transmission infrastructure. Such energy investment will be strongly influenced by the global investment environment and by the appetite of foreign investors to commit to energy projects.
Australia is currently experiencing record investment in our energy sector, including AU$175 billion in capital expenditure committed to LNG projects alone since 2007. In this context, Australia is a major beneficiary of foreign investment – especially in the energy and resources sectors – and we very much welcome foreign companies who want to invest in Australia. We are committed to open and transparent trade and investment frameworks to underpin global resources and energy markets, and Australia will continue to work with our trade and investment partners to facilitate cross-border trade and investment on a transparent basis.
All governments have an important role to play in supporting energy investment by providing an appropriate policy environment to attract the capital required to deliver necessary energy infrastructure investment. This requires confidence from the private sector with regard to policy settings that will attract necessary investment in long lived capital intensive energy projects. This also includes the need for global certainty over carbon policy.
Australia is taking action to reduce greenhouse gas emissions. From 1 July 2012 we will have a carbon price in operation that will provide an important investment signal and encourage investment in lower-emissions energy technologies.
Investment in technology is critical to reduce emissions. While the use of fossil fuels will remain central to the global energy mix for the foreseeable future, cleaner energy alternatives will increasingly assist in meeting energy demand as they become more competitive and cost effective. The Australian government is establishing the AU$10 billion Clean Energy Finance Corporation and the AU$3.2 billion Australian Renewable Energy Agency to support the commercialisation and deployment of renewable energy, energy efficiency and low-emission technologies.
Our global future energy security must also look to energy diversification and investment to increase energy efficiency and productivity. There is a wide range of policies we can explore that support and encourage investment across a spectrum of energy technologies in order to promote energy efficiency, integrate more sources of renewable energy, reduce emissions and diversify supply according to individual national circumstances.
The Australian government also recognises the importance of investment to assist industry overcome capacity constraints in the energy supply chain, and Australia is proceeding with large investments in transport infrastructure to ensure supply capacity can increase to meet demand in coming years, which will help maintain Australia’s position as a reliable supplier to our trading partners.
The coming years will offer many opportunities and pose some challenges for the energy sector. Forums such as the 13th IEF Ministerial Meeting provide an opportunity to share lessons to help overcome the challenges and allow us to grab the opportunities that exist to help maintain and increase prosperity.
Applying The Lessons Of The Global Crisis To The Energy Sector
Natig Aliyev, Minister Of Industry And Energy, Azerbaijan
March 2012
The world we live in constantly faces the necessity for solution of energy problems since energy is the main factor for stability and development of the world economy. These problems may be divided into two groups. The first group may include current problems that arise as the result of geopolitical and economic situations, which in ... [ More ]
Applying The Lessons Of The Global Crisis To The Energy Sector
Natig Aliyev, Minister Of Industry And Energy, Azerbaijan
The world we live in constantly faces the necessity for solution of energy problems since energy is the main factor for stability and development of the world economy. These problems may be divided into two groups. The first group may include current problems that arise as the result of geopolitical and economic situations, which in turn leads to:
Rapid change of global oil production and demand for energy resources;
Change of volumes of energy resources in the total consumption balance;
Volatility of global prices for energy resources;
Complication of relations between producers and consumers.
On the basis of the following considerations I would assess the situation which arises prior to the Ministerial meeting to be held within the framework of the 13th International Energy Forum as complicated enough.
First, attempts to eliminate global economic and financial crises have turned out to be unsuccessful so far. Economic conditions in certain countries of the European Union negatively impact on the global economy. This causes instability in the financial markets and volatility in the rate of major currencies.
Second, developments in political events in various regions of the world, especially in North Africa and the Middle East which influence volumes of global oil production and market prices, also creates serious concern.
Third, the tragic events at the Fukushima nuclear power plant have negatively influenced public opinion about the use of nuclear energy.
The second group of energy problems is more global, critical and important for mankind. It is inevitable that there will have to be a reduction in hydrocarbon use in the foreseeable future, especially oil; growth of energy efficiency and the necessity to save on hydrocarbons; development of effective alternative energy sources; reduction of emissions of CO2 and other hazardous products into atmosphere.
Given the development of the global economy, there will be steady growth of demand for energy resources, especially hydrocarbons. This will certainly require implementation of big investment energy projects as well as establishment of a rational balance between oil production volumes and prices at the global market. Therefore, it is necessary to reach consensus between producers and consumers of energy resources on the basis of fair and transparent relations.
The policy of unreasonably high prices for oil will only restrain development of global economy and lead developed countries to increase prices for industrial products, the latest technologies, high efficiency equipment, and to implement programmes to save energy, to develop alternative energy and to reduce dependence on import of oil and oil products. This will bring a reduction of oil demand, investments and decline of oil production. Therefore, it is very important for producers and consumers of energy resources to ensure predictability and reliability in supply and consumption.
In this respect, I would stress that lessons we learned from the global crisis should be thoroughly analysed, since there are certain questions that remained without unambiguous answer. Thus, the main task of the ministerial meeting and the whole International Energy Forum is to discuss and share opinions about the current condition and problems of development of the fuel-energy complex and minimisation of possible risks in future.
Over US$45 billion was invested into the oil industry in our country during 1994-2010. The size of investments will double in coming years. Azerbaijan increased annual oil and gas production up to 50 million tons and 26 billion cubic metres (bcm), respectively, owing to successful implementation of upstream megaprojects such as the development of the Azeri-Chirag-Gunashli oil block, where recoverable reserves reach over 925 million tons of oil, and the Shah Deniz gas condensate field where recoverable reserves reach 1.2 trillion cubic metres of natural gas. Azerbaijan plans to stabilise oil supply at the rate of 1 million barrels per day (mb/d). Gas export is to be increased gradually up to 30-40 bcm per year.
I also would like to note the growing role of natural gas and LNG. Azerbaijan is involved in a number of mega-projects relating to the production of natural gas and its delivery to the European market. There are plans to considerably enlarge the Baku-Tbilisi-Erzurum gas pipeline, increasing its carrying capacity up to 50 bcm, as well as to lay a new Trans-Anadolu gas pipeline towards Europe through Turkey. We are also considering a project for supply of natural gas to the coast of Georgia, construction of a terminal for gas liquefaction and its sale of the liquefied gas to the Black Sea basin countries.
In my opinion, all of these measures will promote strengthening of energy security and stable economic development of countries. It is an ultimate goal of those involved in international energy policy.
A Balanced Approach To Meeting Future Energy Demand
Phil Heatley, Minister Of Energy And Resources, New Zealand
March 2012
New Zealand is a small, dynamic country located at some distance from international markets, but we are confronted by the same challenges of energy security and climate change as the rest of the world. The best means of meeting these challenges is to ensure energy markets are effective and efficient and that the cost of ... [ More ]
A Balanced Approach To Meeting Future Energy Demand
Phil Heatley, Minister Of Energy And Resources, New Zealand
New Zealand is a small, dynamic country located at some distance from international markets, but we are confronted by the same challenges of energy security and climate change as the rest of the world.
The best means of meeting these challenges is to ensure energy markets are effective and efficient and that the cost of greenhouse gas emissions is factored in. This approach will encourage efficient energy use, the development of resources where it is economic to do so and the minimisation of environmental impacts of energy supply and use.
New Zealand has sought to apply these principles both domestically and, via its participation in various international organisations, on the world stage.
Domestic Efforts
Our domestic energy policy is articulated in the New Zealand Energy Strategy 2011-2021. The goal is for New Zealand to make the most of its energy potential through the environmentally responsible development and efficient use of the country’s diverse energy resources. The strategy focuses on four priorities to achieve this goal – diverse resource development, environmental responsibility, efficient use of energy, and secure and affordable energy.
Diverse resource development includes the development of both renewable and non-renewable energy sources. The government has a target for 90 per cent of electricity generation to be from renewable sources by 2025, providing this does not affect security of supply. In 2010, renewables contributed to 74 per cent of electricity generation.
Commercial enterprises will ultimately be best placed to identify the lowest-cost generation mix, with the government’s role limited to ensuring that there are no undue barriers to invest in generation of any type and that the environmental effects are priced in wherever possible. New Zealand’s emissions trading scheme is the primary economic motivator for generators to move to a lower-emissions future.
The government is also keen to make New Zealand a highly attractive global destination for petroleum exploration and production investment. Most of New Zealand’s territory is yet to be explored, and the potential for further development of petroleum resources is significant.
New Zealand is already seen as a stable and pro-investment environment. An important step to further attract investors is to ensure regulatory settings are world-class. We are in the process of reviewing our regulatory settings to ensure our upstream regulatory settings meet this objective.
A new approach to the allocation of petroleum exploration permits has now been implemented. The new approach is based on the regular (annual), predictable, managed tenders of exploration blocks (“block offers”), which have previously been carried out on a more ad hoc basis. This approach draws more closely on publicly available seismic information and is better suited to foster competitive work programme bids from suitable investors.
We have had some success in attracting new capable and experienced operators such as US-based Anadarko to the Canterbury and Taranaki basins, Petrobras of Brazil to the Raukumara Basin, and US-based Apache to the east coast of the North Island. In addition, operators with an existing presence in New Zealand have been expanding into new basins such as Austrian-based OMV and Shell in the Great South Basin.
The New Zealand emissions trading scheme is the primary means to reduce emissions in the energy sector, and all other sectors of the economy. The government has set a target for a 50 per cent reduction in New Zealand’s greenhouse gas emissions from 1990 levels by 2050. New Zealand is willing to commit to reducing greenhouse gas emissions by between 10 per cent and 20 per cent below 1990 levels by 2020, if there is a comprehensive global agreement and certain conditions are met.
Energy efficiency measures help reduce costs, make houses more comfortable and reduce greenhouse gas emissions. The government has invested over NZ$180 million since July 2009 in an energy efficiency programme to retrofit homes with new insulation and/or clean heating. More than 150,000 homes have benefited from the scheme so far.
Secure and affordable energy is best achieved through competitive markets. Competition in energy supply provides choice to consumers, places downward pressure on prices and incentivises efficient investment.
Where competition in energy supply is not possible due to natural monopolies, particularly electricity networks and gas pipelines, targeted regulation is applied. Elsewhere, competition between market players is encouraged and fostered, with Government retaining a general oversight role. This includes an understanding of the overall resilience of New Zealand’s networks and other infrastructure. Recent under-investment in the national electricity grid is now being addressed and Transpower, the national transmission line owner and operator, is planning and undertaking significant investment, including projects such as the upgrade of the inter-island link and a major new line into Auckland.
New Zealand is a founding member of the International Energy Agency. One of the obligations of membership is that New Zealand must hold 90 days of oil reserve supply.
International Efforts
Reducing fossil fuel subsidies is one area which offers immediate benefits in terms of mitigating energy demand, reducing carbon dioxide emissions and providing some relief for stretched public budgets.
At the Copenhagen climate summit in 2009, developed countries agreed to US$30 billion in funding during 2010-2012 to combat climate change. That same year, more than US$400 bn was spent globally on subsidies for fossil fuels, a key source of emissions contributing to global warming.
In other words, at the same time as countries were mobilising resources to address climate change, they were spending more than 10 times that amount on subsidising production and consumption of carbon. Even now, as countries are beginning to put in place mechanisms to price carbon, many are still subsidising carbon. Isn’t the polluter supposed to pay, rather than be paid?
Production subsidies, such as subsidies for coal production, inhibit innovation and the development of cleaner technologies, and they reduce incentives to produce and use fossil fuels more efficiently. This occurs amid growing global concern about energy security.
Consumption subsidies which intend to lower the price of fossil fuels are no better. For example, subsidies for transport fuels are seldom effective in assisting the people they are designed to help. The essential energy needs of vulnerable groups must be met. But there are better ways to do this than through universal fossil fuel consumption subsidies which most often benefit richer people more, because they use more fossil fuels.
Fortunately, the world is beginning to grasp the incoherence of fossil fuel subsidies. In 2009 and again in 2010, G20 and APEC leaders signalled their political commitment to reform and elimination of inefficient fossil fuel subsidies. This is important and welcome leadership from the world’s largest economies.
To support these reform initiatives, a group of non-G20 countries has emerged including Costa Rica, Denmark, Ethiopia, Finland, New Zealand, Norway, Sweden and Switzerland. Known as the Friends of Fossil Fuel Subsidy Reform, this group is encouraging G20 and APEC countries to implement their political commitments as soon as possible, and for others to follow their example. The global climate will be a clear winner. IEA research indicates that removing subsidies could reduce global carbon dioxide emissions by up to 5.8 per cent by 2035.
In addition, reducing fossil fuel subsidies would free up funding for other purposes, for example to help mitigate and adapt to the effects of climate change. According to the 2010 Report of the UN Secretary-General’s High-level Advisory Group on Climate Change Financing, redirection of the money spent on fossil fuel subsidies could potentially finance up to US$8 bn dollars a year of mitigation and adaptation activities.
There would also be good news on the energy security front. Universal phase-out of fossil fuel subsidies by 2020 would cut global primary energy demand in 2035 by 5 per cent. A cut in demand of this magnitude would help reduce the risk of future oil shocks and smooth out energy price volatility.
The reform of fossil fuel subsidies deserves to be much higher up the agendas of both climate change policy and general economic reform processes. Successful phasing-out of subsidies should start immediately, with the elimination of subsidies that are obviously inefficient and cause the most damage to state budgets and the climate. Transition measures to support subsidies phase-out may need to be implemented in parallel.
We welcome the OECD’s establishment of an inventory of support to fossil fuels in OECD countries. The OECD inventory increases transparency of the scope and range of support to fossil fuels and its publication on a regular basis will benefit international efforts to reform fossil fuel subsidies and support green growth.
As a small island nation unconnected to international energy infrastructure, New Zealand’s strategy for meeting future energy demand focuses on the balanced development of all of our resources, and ensuring that domestic energy markets operate efficiently to incentivise investment. This market-based approach extends to New Zealand’s efforts in the global context to encourage the reduction of inefficient fossil fuel subsidies that encourage greenhouse gas emissions and discourage the development of new energy resources and technologies.
Ensuring that global energy markets operate efficiently while taking account of environmental effects is, in our view, the most effective way to ensure global energy security of supply and the reduction of environmental harm.
Working On Supply And Demand To Improve Energy Security
Daniel B. Poneman, Deputy Secretary Of Energy, United States Of America
March 2012
The United States is delighted to participate in the 13th IEF Ministerial. We thank our Kuwaiti hosts for their hospitality and the IEF Secretariat, under the very able leadership of Aldo Flores Quiroga, for all the hard preparatory work that enables us to gather together. As both a significant energy consumer and a leading energy ... [ More ]
Working On Supply And Demand To Improve Energy Security
Daniel B. Poneman , Deputy Secretary Of Energy, United States Of America
The United States is delighted to participate in the 13th IEF Ministerial . We thank our Kuwaiti hosts for their hospitality and the IEF Secretariat, under the very able leadership of Aldo Flores Quiroga , for all the hard preparatory work that enables us to gather together.
As both a significant energy consumer and a leading energy producer, the United States values the dialogue that is the International Energy Forum ’s core reason for being. The IEF provides the venue through which nations of diverse interests and points of view talk about some of the most critical energy issues of our day. The United States appreciates the commitment of the IEF’s participants to enhancing transparency and dialogue for the benefit of all nations.
Oil and gas resources are, and will continue to be, important to America and to the world. The United States is committed to promoting open and stable rules of the road and to ensuring that energy markets operate efficiently. Stable and transparent energy markets are important to the health of the world economy, the security of energy supply and demand, and the expansion of global trade and investment in energy resources and technology.
The IEF, which now involves nearly 90 countries, provides an excellent venue – not only for structured, formal discussion of top priority issues, but also for informal dialogue among producers and consumers. These conversations allow us to identify and advance shared interests and to gain greater understanding of our differences. Common interests include enhancing oil market transparency, reducing oil market volatility (including through improved reporting under the Joint Organisations Data Initiative), and encouraging investment across the energy value chain.
We believe that, by strengthening the informal energy producer-consumer dialogue and hearing from international and national oil companies, the Forum can fill an important niche in our global energy arena.
The discussion fostered by the IEF, and the data that it publishes in coordination with its JODI partners , can increase transparency and the flow of vital information in the oil market. Given today’s global economic and geopolitical risks, this is more important than ever. Markets are best able to balance past trends with future needs through transparent dialogue. Reduced uncertainty means reduced risk for everyone in the value chain -- which helps the market avoid volatile trading patterns. Investors and upstream developers can project demand most effectively and make informed judgments about the profitability of future exploration and production. Infrastructure and transportation systems can be sized and located properly to link production and consumption requirements. And end-users can make sound judgments about which fuels to use, from whom to procure them, and how much those fuels will cost in the period ahead.
The United States recognises the continuing importance of safe, responsible oil production to America and to the world. The United States is producing more oil today than at any time in the last eight years, thanks to the application of new technology that allows the development of tight oil deposits. In 2010, the United States imported less than 50 per cent of its oil requirements for the first time in more than a decade.
At the same time, our citizens are grappling with high fuel prices, which bite particularly hard in this time of fragile economic recovery. Every family and every business bears this burden. That is one reason why the United States has proposed landmark vehicle fuel efficiency standards so that our cars will average nearly 55 miles per gallon by the middle of the next decade. While there are no short-term "silver bullets" to bring down excessive gasoline prices, the United States will continue to take every possible step to enhance energy security and to protect consumers against rising gas prices in the long term.
To that end, President Obama is committed to an all-of-the-above strategy that expands production of American energy resources, including oil and natural gas; increases energy efficiency to save families and businesses money at the pump and in buildings nationwide; and develops cleaner, alternative fuels to reduce our dependence on oil. Additionally, the United States is working in areas such as permitting, easing delivery bottlenecks, and assuring transparency so all consumers and traders can better understand what’s going on in the oil markets. We know that many of our fellow members of the IEF share the same concerns for their energy consumers.
The United States supports the IEF’s ability to enhance available data on oil production and consumption. The United States is pleased to be a part of the Joint Organisations Data Initiative (JODI), which involves reporting of major oil production and consumption data by more than 90 countries through six international agencies. JODI-Oil is intended to provide an accurate, timely and comprehensive database on oil market data and can promote greater transparency in international oil markets. We support recent JODI initiatives to create similar natural gas and energy investment databases.
The latest assessment of JODI-Oil shows continued improvement. Transparency can be improved further as JODI expands its oil and natural gas coverage and increases training to assure optimal data collection and sharing.
The United States supports the IEF’s work to convene market analysts from different organisations to compare respective energy market outlooks, and we are grateful for the inclusion of the US Energy Information Administration . As we learned from consumer and producer dialogue and actions following the Libya disruption last spring, market outlooks help inform producer-consumer discussions and help improve the formation of energy policies. In the United States, the Energy Information Administration produces monthly and annual outlooks for energy markets precisely because we think outlooks help make energy markets more transparent, improve the dialogue, and provide a framework for understanding actual market data as it is gathered.
The IEF plays a critical role at a critical time. Markets are tight and prices are high. While increases in oil price volatility have caused concern over investment returns and capital expenditure deferrals, significant investment is still needed to compensate for declines in oil and gas production in existing fields and to meet growing demand. Improved cooperation between national and international oil companies could assure technology advances optimise resource development – particularly in the current, volatile market environment.
The United States supports the efforts of IEF’s Business Forum to enhance these important partnerships and to inform governments on actions they can take to foster constructive alliances between national oil companies (NOCs) and international oil companies (IOCs).
From our own engagement with oil company leaders, including through the National Petroleum Council (NPC), we know that key challenges include reducing costs, improving efficiency and increasing output. To address these issues, joint technological development among NOCs, IOCs, service companies, universities and research institutes and maintaining R&D funding are needed. As appropriate, the Forum can encourage greater cooperation between international and national oil companies on advanced technology and techniques.
In conclusion, the United States supports an IEF that provides a neutral arena for producers and consumers to discuss areas of mutual concern. The IEF is most useful when promoting a common understanding of energy market transparency, stability, and sustainability. We are grateful for the leadership of the Kingdom of Saudi Arabia, which not only catalysed the formation of the IEF, but also serves as the IEF Secretariat’s home.
Together we can build confidence and trust through improved information sharing among Members. The Forum can help reconcile competing views and positions on the global oil market, and promote responsiveness to members’ concerns. The United States supports that vision and looks forward to working with all members committed to realising the vision of a stable, secure, and transparent oil market.
The IEF - Serving All, Dominated By None
Ali Al-Naimi, Minister Of Petroleum And Mineral Resources, Saudi Arabia
March 2012
The world's precious natural resources are key to human progress. They contribute towards alleviating poverty, stimulating economic growth and creating opportunities for people around the world to improve their lives.Energy issues will, therefore, always form a fundamental aspect of geopolitical relations. This is why the aims and objectives of the International Energy Forum remain as ... [ More ]
The IEF - Serving All, Dominated By None
Ali Al-Naimi, Minister Of Petroleum And Mineral Resources, Saudi Arabia
The world's precious natural resources are key to human progress. They contribute towards alleviating poverty, stimulating economic growth and creating opportunities for people around the world to improve their lives.
Energy issues will, therefore, always form a fundamental aspect of geopolitical relations. This is why the aims and objectives of the International Energy Forum remain as important today as they did when the organisation was first conceived more than 20 years ago.
The 88 country members, accounting for around 90 per cent of global oil and gas supply and demand, is testament to this – but let us be under no illusions. It is easy to meet and to speak; it is much more challenging to meet the fundamental aims and objectives of the IEF, without continuous collaboration. It may be worth reminding ourselves as we meet here in Kuwait, about some of these goals.
A central IEF ambition is to foster greater mutual understanding and awareness of common energy interests among members, through the sharing of information, the exchange of views and the acceptance and promotion of clear principles.
It is clear that hydrocarbons will continue to be the major source fuelling the world’s economy for many decades, with petroleum accounting for much of that energy. Stability and predictability in oil markets helps.
It is indisputable that energy interests are shared interests, and that in our interconnected world, all countries can be impacted by events in other parts of the world.
The 24-hour news media has a role to play, but it is incumbent on leaders, and on nations, to understand situations for themselves and to act in an appropriate, and measured, fashion. The IEF has an important role to play when it comes to engendering better understanding.
Another stated aim of the IEF is to promote a better grasp of the benefits of stable and transparent energy markets for the health of the world economy, the security of energy supply and demand, and the expansion of global trade and investment in energy resources and technology.
For its part, Saudi Arabia’s position in the world oil market is based on its commitment to maintaining spare capacity for the sake of market stability. The Kingdom’s policy in this regard is clear and has been consistent: moderation in all decisions that concern the global petroleum market.
Improving the lives of citizens should be a fundamental priority for all nations and it is clear that increased trade and investment, and stable energy markets, contribute towards that goal. The IEF can, and does, play an important role, but it is just as clear that more effort and work is required.
The IEF also aims to identify and promote principles and guidelines that enhance energy market transparency, stability and sustainability. Reliable and transparent information is vital in reducing volatility in oil markets. It is the IEF’s mission to encourage all members to provide such information in order to improve understanding and reduce instability.
The Joint Organisations Data Initiative (JODI) aims to help achieve a degree of market stability by providing timely, accurate and transparent oil market data. That the initiative has started is a positive, but it clearly has some way to go before we can be satisfied that the collection and dissemination of sound data is being done in a timely manner. Some countries struggle to meet the demands of JODI, but it is important that they work towards doing so to ensure the future success of the initiative.
Of course, no system will ever be perfect; it is a vast and dynamic industry, and there are so many competing interests, but more can be done. The IEF, and JODI, presents an opportunity for increasing the dialogue and enhancing the transparency.
One ultimate purpose of the JODI initiative is to reduce instability in markets. Price volatility is in no- one’s interest, apart, perhaps, from the speculators, who make their money whether markets rise or fall. But as the recent financial crisis reminds us yet again, it was the lack of openness and transparency which helped create, and indeed exacerbate the problems, and this is something we are striving to avoid in the energy sector.
The organisation seeks to narrow the differences among energy producing, consuming and transit member states on global energy issues and promote a fuller understanding of their interdependency. It is an honourable, if sometimes challenging, target and one closely linked to another IEF goal, that of building confidence and trust. This meeting in Kuwait is another opportunity to build confidence and trust.
The International Energy Forum is precisely what it says: international. It is the sum of its parts, not steered or controlled by one country or group of interests. In that sense, the IEF is unique in the world of energy and energy policy. The IEF’s mission is in the interest of all governments, countries and people. Openness, trust, stability and understanding - these are the ultimate aims to which Saudi Arabia is committed.
Putting The Stress On Investment, Efficiency And Dialogue
Charles Hendry, Energy Minister, United Kingdom
March 2012
The UK is a very strong supporter of the International Energy Forum. We believe it has a crucial role to play in delivering the stable energy markets necessary for the future wellbeing of both producer and consumer countries. I welcome the work done over recent years to ensure the continuing critical relevance of the IEF ... [ More ]
Putting The Stress On Investment, Efficiency And Dialogue
Charles Hendry, Energy Minister, United Kingdom
The UK is a very strong supporter of the International Energy Forum. We believe it has a crucial role to play in delivering the stable energy markets necessary for the future wellbeing of both producer and consumer countries. I welcome the work done over recent years to ensure the continuing critical relevance of the IEF and I am grateful for this opportunity to set out my views on the challenges facing us, what the IEF has already achieved, and where we might look to achieve more in the future.
Challenges
Secure and affordable oil and gas supplies are vital for the world economy and, even as we act to reduce greenhouse gas emissions, will continue to be so for decades to come. Maintaining these supplies requires well functioning global energy markets that provide the signals about future supply and demand necessary to support long term investment decisions in production infrastructure. To create such markets we need strong producer-consumer dialogue and accurate market data.
The last year has been an eventful one, with events in Libya and the consequences of the tragic Japanese earthquake having significant implications for energy markets, helping drive the price of oil above US$100 a barrel early in 2011 and maintaining it at that level since. This is despite the subdued state of the global economy and good cooperation between consumers and producers to ensure that energy markets have remained properly supplied.
Although the impact of recent events has been mitigated to some extent, with, for example, rapidly-returning Libyan production, a great deal of uncertainty remains over both supply and demand.
The IEF will therefore have an ever more important role to play in improving transparency in the market, and facilitating the effective producer consumer dialogue necessary to deliver the stable markets required by both producer and consumer countries.
Achievements Of The IEF
I very much welcome the progress that has been made in the Forum’s various work streams since the last Ministerial, and look forward to the reports that are to be made when we meet in Kuwait.
While JODI is already playing a valued role, the work being done by members and partner organisations to improve the quality and range of the data is particularly constructive. The actions set out in the report made to the G20 last year and the steps taken since then to develop and publicise the website, deliver timely national contributions and provide training for national officials, as well as to promote the use of the database, are all very welcome. The planned extension of JODI to the gas and oil and gas investment plans this year will also provide invaluable information to the market.
The initiatives the Forum is undertaking in coordination with OPEC, the IEA and others, in particular the analysis of the links between physical and financial markets and the work being done to improve energy forecasting have been highly successful. I also welcome the work being done to promote the use of Carbon Capture and Storage, help tackle global energy poverty and publicise best practice in NOC-IOC cooperation. We will need to build on all this work to ensure that we capture the benefits that have been identified.
Finally I would commend the work the IEF has carried out for the G20. That the G20, Construction As Well As Extraction Continues In The North Sea and other multilateral bodies are increasingly looking to the IEF to deliver important objectives is testament to the excellent work of the Forum and Secretariat. I hope that we will be able to build on this in the future, continuing to advance IEF objectives through cooperation with international organisations.
Future For The IEF
While it will of course be important to deliver against existing workstreams, I believe the IEF should also look to other areas that will become increasingly important in years to come. I would like to highlight three areas in particular:
Firstly, investment. Changing patterns of demand and production, especially the growth in demand in Asia, the need to reduce carbon emissions and the development of new and unconventional energy sources will require huge investment in the hydrocarbons industry and energy infrastructure. Indeed the IEA estimates we need US$38 trillion of new investment in energy infrastructure by 2035. That is over twice the GDP of the EU, and an increase of over US$5 trillion on the IEA’s previous estimate of only a year ago.
The IEF needs to be prepared to be at the centre of international efforts – alongside governments, industry and financial organisations – to ensure that conditions are in place to allow this essential investment to be delivered. Transparency over expected trends in production, demand, investment and regulation will be a key factor. This underlines the importance of JODI and its continuing development.
Secondly, in addition to oil and gas, we must also consider how we can drive forward energy efficiency and low carbon technologies as part of the global future energy mix. I welcome in particular the renewable energy ambitions of many producer countries. There is enormous potential for expansion of renewable energy sources in many countries, especially those lavishly supplied with renewable energy resources such as solar or wind. As well as reducing carbon emissions, the development of renewable energy sources will release to the global market hydrocarbons that would otherwise potentially have been consumed in the domestic market.
Finally, I would like to endorse the suggestions Noé van Hulst made on the future development of the Forum in his “Last Waltz” speech to the IEF in December. I was particularly struck by his suggestion that open and frank discussion of energy issues between members could be encouraged by holding some sessions under Chatham House rules. I believe that the IEF already facilitates an exceptionally open and honest dialogue between producer and consumer countries, but we should continue to seek ways to improve and advance this.
Conclusion
Meeting the global energy demand poses many difficult questions, and it is impossible for any single country to answer them alone. International cooperation of the sort facilitated by the IEF is in all our interests, and I hope we will be able to develop our dialogue still further in the future.
I would like to thank Kuwait for their excellent work as Chair of the Executive Board over the past two years, and for hosting the 2012 Ministerial along with co-hosts Algeria and the Netherlands. As a co-host for the 2014 Ministerial the UK is greatly looking forward to working with the hosts Russia, and fellow co-host Iraq, to delivering an equally successful agenda.
Meeting Future Demand: Algeria's Contribution
Youcef Yousfi, Minister Of Energy And Mines, Algeria And Co-Host, IEF13
March 2012
The 13th Ministerial meeting of the International Energy Forum is taking place in "The International Year of Sustainable Energy for All". This International Year, decided by the United Nations General Assembly, reflects a universal aspiration for access to modern, affordable and sustainable energy services for all, as well as the desire of all countries, including ... [ More ]
Meeting Future Demand: Algeria's Contribution
Youcef Yousfi, Minister Of Energy And Mines, Algeria And Co-Host, IEF13
The 13th Ministerial meeting of the International Energy Forum is taking place in "The International Year of Sustainable Energy for All". This International Year, decided by the United Nations General Assembly, reflects a universal aspiration for access to modern, affordable and sustainable energy services for all, as well as the desire of all countries, including mine, to achieve the Millennium Development Goals.
The various forecasts for world energy demand by the year 2035, based on a “business as usual” scenario, show consensus on a considerable increase of more than 50 per cent, due to the dynamism of the non-industrialised countries and their needs in terms of development, mobility, urbanisation and the general improvement in the living standards of an increasing population.
It is also acknowledged that fossil energies will remain predominant in the total energy balance with an overall share of more than 80 per cent. Gas, as a fossil energy with low carbon content, will probably witness the highest growth rate. The global demand for liquids, which include oil, biofuels and other products, is likely to reach about 103 million barrels a day (mb/d) by the year 2030, compared to 87 mb/d in 2010.
Power generation, the main sector through which the energy mix can be widely diversified, accounts for more than 57 per cent of the growth in future demand for primary energy.
“Energy for all” should imply additional demand from the more than one billion people who live mainly in the countries of the South, and are today deprived from modern energy services. It should also mean developing all forms of energies, including renewable energies, which are available and economically viable.
Worldwide energy resources are abundant. Apart from the important resources of OPEC countries, estimates of economically viable energy reserves, notably oil and gas, are all the time revised upward, thanks to the intensification of exploration efforts and to technological progress. The North Sea, which was considered as a mature zone, has surprised us with a re-evaluation to more than 3 billion barrels of oil reserves for a single field in Norway. Similar findings should not be ruled out in other regions.
By the year 2030, supply increase will come mainly from OPEC. Additional supply from non- OPEC countries will certainly come from biofuels, tar sands, the deep offshore and shale oils.
Overall, offshore potential is important. Moreover, stimulation technology has succeeded in turning non-conventional hydrocarbons resources into a substantial share in supply, and this is expected to increase further.
However, resource availability and consequently supply should in no case curb the efforts undertaken by several countries to rein in demand through energy efficiency. This remains, according to experts who met at the recent IEF Symposium on this topic and whose opinion I share, “the quickest, the cheapest and the cleanest solution,” to contribute to meeting the challenge of future increases in demand. It is also imperative to exploit and use energy resources in a way that would ensure the preservation of the environment.
The development of the energy resources identified above requires the mobilisation of considerable investments, which can be achieved only in a favourable climate characterised by an effective and predictable long-term demand.
Algeria, one the most important African countries in terms of hydrocarbon reserves, produces the equivalent of 4 mb/d, 60 per cent of which contribute to the supply of the international market.
As a pioneer in the natural gas liquefaction industry, Algeria ranks fifth among natural gas exporters. The country has an important domestic pipeline transport network estimated at more than 18,000 km, which links production fields to processing and liquefaction units and/or loading ports. Export capacities via gas pipeline represent a total of 52 billion cubic metres a year (bcm/yr), with the first deliveries of Medgas that took place last year, and other projects such as the Galsi project which will enhance these capacities.
Another important project, the Trans-Sahara Gas Pipeline (TSGP), which would link Nigeria to the Algerian coast via Niger, would allow the supply of gas to Europe. This role will be enhanced by two liquefaction units under construction with a combined capacity of 12.5 bcm/yr, bringing the total LNG capacity to nearly 37 bcm/yr in the medium term.
The country’s economic development creates strong demand for energy, in view of the quasi-total electrification of the country and the gas penetration rate which has reached nearly 50 per cent, in addition to the increasing needs of the industrial and transport sectors. The domestic economic and social imperatives, the preservation of the role conferred on the hydrocarbon sector in ensuring a stable income to the country and its contribution to the overall effort to preserve the environment, require an adjustment of our energy policy. This implies in the first place an adaptation of our energy production policy. Indeed Algeria has 1.6 million square kilometres of largely under-explored sedimentary basins, including 100,000 square kilometres of unexplored offshore subsurface.
The Algerian subsoil bears non-conventional gas resources associated with clays and source rocks of the Silurian and the Frasnian periods that contain good organic wealth. Algeria has realised the importance of its national non-conventional gas resources and has launched several initiatives aimed at evaluating its potential, described by experts as being important. Indeed preliminary evaluation of the non-conventional gas potential show that it is at least comparable to the most important deposits of the US.
This evaluation work continues in association with companies which possess the necessary expertise and are willing to participate in this new exploration experience. The adaptation of the legal and fiscal framework to economic and technological conditions for the development of this type of reserves is ongoing.
Likewise, exploration efforts will be enhanced as part of an investment plan of about US$70 bn over the next five years which will be allocated to hydrocarbons, of which two thirds will be devoted to oil and gas upstream.
But beyond hydrocarbons, the country enjoys one the highest sunshine irradiation rates in the world, estimated at about 2,700 kWh/m2/year. It has therefore decided to exploit this potential and an ambitious programme was adopted in this direction by the government for the introduction of renewable energies and particularly solar. The aim is to install power production capacity based on renewable energies of 22,000 MW between 2011 and 2030, including 12,000 MW for the supply of the domestic market and 10,000 MW for export.
Once this programme is completed, 40 per cent of electricity will be generated from renewable energies. The first hybrid solar/gas power station, with a capacity of 150 MW, was commissioned in 2011 in Hassi R’mel.
Concurrently with this programme, energy efficiency is also to contribute to reining in consumption growth of exhaustible hydrocarbon resources with the reduction of the harmful effects on the environment. A series of measures and actions, which have been already initiated or under implementation, will translate into significant energy savings.
I would like to point out that all the ongoing actions, planned or under study, which are designed in the first place to enhance the national energy base to meet the country’s needs, constitute also a contribution by Algeria to securing the supply of the world economy.
However, it seems important to me here to underline that energy security implies also securing future demand with an adequate return on investments. The need for a favourable environment for the realisation of the necessary huge investments requires also market stability with rewarding price levels in the interest of all.
Today, dialogue between producers and consumers is therefore more necessary than ever to increase energy market transparency and stability. The various players must coordinate their efforts to reduce price volatility, particularly by enhancing energy data transparency and reliability and providing the necessary conditions likely to encourage investments.
Algeria, which is celebrating the 50th anniversary of its independence this year, has embarked on a new phase of adaptation of its energy policy based on clear objectives, while taking into account the development of the international energy environment. It will pursue its economic and social development programme, while maintaining its historic role as a reliable energy supplier.
Mitigating Climate Change: The Role Of Producing Countries
Mohamed Bin Dhaen Al Hamli, Minister Of Energy, United Arab Emirates
March 2012
As energy producers and consumers meet for the 13th IEF, it is incumbent upon us all to dwell on our joint responsibility to protect the future of our planet for coming generations. We need to lay the foundations for the economic and social development of our respective countries, without destroying our planet in the process. ... [ More ]
Mitigating Climate Change: The Role Of Producing Countries
Mohamed Bin Dhaen Al Hamli, Minister Of Energy, United Arab Emirates
As energy producers and consumers meet for the 13th IEF, it is incumbent upon us all to dwell on our joint responsibility to protect the future of our planet for coming generations. We need to lay the foundations for the economic and social development of our respective countries, without destroying our planet in the process. Our children need employment and security, but in an enjoyable world in a safe environment.
However, it is clear that sustainability and environmentally friendly development have to go hand in hand. Climate change is an undeniable fact and we all have a role to play in mitigating its effects. For its part, the UAE has not shirked this responsibility; in recent years it has announced a wide range of climate-friendly initiatives.
The exceptionally fast pace of our economic development over the last few years has given the UAE a unique perspective as we have become both major energy producers and growing energy consumers. Our national annual peak demand for electricity is set to more than double by 2020 and we have an increasing demand for other forms of energy.
Our growing population and fast-moving industrial development have forced us to choose between whether we want to continue burning fossil fuels, or find complementary energy solutions for use at home. We realised that by widening our domestic fuel mix, we could release more hydrocarbons for export, while reducing our carbon footprint at the same time.
Two years ago, we took a major step in complementing our traditional energy portfolio when the Emirates Nuclear Energy Corporation awarded a major contract for the construction of four new 1,400 megawatt nuclear power stations. The UAE firmly believes that nuclear power represents an important clean energy source that should be developed, along with other clean fuels. We have been able to embark on an important civilian nuclear energy programme in close collaboration with the International Atomic Energy Agency in Vienna. The nuclear plants have been designed in accordance with the latest cutting-edge technology and safety was given paramount importance in the design as well in all other operational issues, including the safe storage of radioactive waste. The first plant will be commissioned in 2017 and the objective is for nuclear energy to eventually account for 25 per cent of the UAE’s power requirements.
We believe that the best way of securing a sustainable economic future in a carbon-constrained world is to develop a balanced portfolio of clean energy sources in which nuclear, renewable energy, oil and natural gas all have a role to play. The UAE’s geographic location enables us to utilise renewable energies, particularly solar energy, to the maximum, and the emirate of Abu Dhabi has recently set a target of generating 7 per cent of its energy needs from renewable sources.
Already, Masdar Power is developing the 100MW Shams One Concentrated Solar Power plant in the Western Region of Abu Dhabi, which when complete, will be the largest such unit in the world. Masdar is also developing a 30MW wind farm and a Photovoltaic array on Sir Bani Yas Island.
In addition to measures to improve its energy mix at home, the UAE is seeking to promote a sustainable future in the world as a whole.
Masdar is at the heart of a multi-billion dollar initiative to create a global cooperative platform for open engagement in the search for solutions to some of mankind’s most pressing energy and development problems. Masdar’s research arm, the Masdar Institute, has teamed up with the Massachusetts Institute of Technology to launch a range of research programmes focused on the development of advanced alternative energy, environmental technologies and sustainability.
Masdar is building in Abu Dhabi the world’s first low-carbon city built on sustainable principles. Among the first tenants will be the Masdar Institute, which will eventually host 600-800 Master and PhD students and 200 faculty members.
The other important tenant at Masdar City will be the International Renewable Energy Agency (IRENA), now headquartered in Abu Dhabi. By promoting renewable energy and helping develop new technologies, IRENA has the potential for making a tangible contribution to the mitigation of climate change. To date, 156 nations are either members or signatories to the IRENA convention and I would strongly encourage those countries that are not members to sign up for this important initiative.
The objective of the UAE’s energy policy is not just to reduce carbon emissions at home, but also to play a leading role in the development of innovative new technologies that can effectively contribute to substantial reduction of global warming.
The UAE seeks partners in the implementation of this vision. I invite attendees at the International Energy Forum and the International Energy Business Forum to contact my office for ways of partnering with UAE institutions. Together, we can work for a better future.
The IEF Charter: A New Era For The Producer – Consumer Dialogue
Daniel Cameron, Secretary of Energy, Argentina
July 2011
In my view, the signing of the Charter in the Extraordinary Ministerial Meeting of the International Energy Forum has firmly established the importance of a better mutual understanding and acknowledgment of the common energy interests between producing and consuming countries.It is of the greatest importance for our countries to support such a meeting place for ... [ More ]
The IEF Charter: A New Era For The Producer – Consumer Dialogue
Daniel Cameron, Secretary of Energy, Argentina
In my view, the signing of the Charter in the Extraordinary Ministerial Meeting of the International Energy Forum has firmly established the importance of a better mutual understanding and acknowledgment of the common energy interests between producing and consuming countries.
It is of the greatest importance for our countries to support such a meeting place for producers and importers of hydrocarbons, because it enables the exchange of views, including with transit countries.
Since fossil fuels will remain the principal energy source in the next 40 years or more, we must dedicate ourselves to achieving a more efficient consumption of these fossil fuels and to make the markets more transparent.
We must a achieve this objective, as well as a diversification of our energy sources, including hydropower, nuclear energy and renewables, in support of our earnest efforts to contribute to the mitigation of climate change and to reduce greenhouse gas emissions.
Therefore, it follows that it is of vital importance that the member countries of the International Energy Forum will identify and promote principles and guidelines that improve the transparency, stability and sustainability of the energy market.
Argentina notes with satisfaction that the International Energy Forum is a useful and productive vehicle, stimulating the energy dialogue between the major producing and consuming countries and diminishing the tensions currently affecting the oil and gas markets. The tensions that have recently arisen in some countries in the Middle East, North Africa and Central Asia are to a large extent not the result of physical problems or costs, but rather of financial speculation or geopolitical circumstance.
In addition, we underline the importance that the International Energy Forum will have as a consultative body for the Energy Experts Group of the G20.
We want the G20 to be the Multilateral Forum for tackling the principal problems of the world in the coming years. Energy questions will not be an exception, hence the Energy Experts Group of the G20 has 4 working groups:
Volatility of fossil fuel prices
Fossil fuel subsidies
Initiative for Global Maritime Protection
Clean energy
The International Energy Forum will provide a consultative mechanism for the G20 in relation to the topics of volatility of the price of fossil fuels and fossil fuel subsidies.
Therefore Argentina highly values the initiative of the International Energy Forum for its neutral positioning as a forum where numerous countries come together from different continents and with distinctive views on the political, economic and energy reality.
A Collective Responsibility To Deliver Tangible Results On Oil Price Volatility
Eric Besson, Minister of Industry, Energy & the Digital Economy, France
July 2011
On 22 February, the new IEF Charter was adopted by 86 countries. I was glad to participate in this historical moment, and I am proud that France has contributed to the elaboration of this new Charter as a member of the high-level steering group.France strongly supports the Forum's work and as one of the initiators ... [ More ]
A Collective Responsibility To Deliver Tangible Results On Oil Price Volatility
Eric Besson, Minister of Industry, Energy & the Digital Economy, France
On 22 February, the new IEF Charter was adopted by 86 countries. I was glad to participate in this historical moment, and I am proud that France has contributed to the elaboration of this new Charter as a member of the high-level steering group.
France strongly supports the Forum's work and as one of the initiators of producer consumer dialogue, we are delighted to see that the enthusiasm behind the dialogue remains intact, 20 years after its creation.
Indeed, producers and consumers have a lot of things in common. Protecting the environment, preventing climate change, reducing energy poverty, as well as ensuring global energy security are key examples. We also have a shared interest in limiting erratic price movements in the energy sector, and enhancing predictability.
Energy prices, and more specifically oil prices, are key inputs of public and private investment decisions all across the economy. Therefore the lack of predictability can result in a lower economic growth. On the consumer side, oil price volatility severely impacts households, for whom diesel, gasoline or fuel oil are most of the time non-substitutable fuels, but it also undermines the competitiveness of our companies. On the producer side, public authorities and businesses need adequate visibility to base their medium- and longterm investment decisions.
France has made commodity price volatility a priority of its presidency of the G20, focusing our work on 3 priority areas, on which we hope to achieve significant progress by the Cannes summit in November: the enhancement of physical markets transparency, the reinforcement of the regulation of financial markets, and the strengthening of producer / consumer dialogue.
The IEF has been very active in the past months in investigating the current volatility of energy prices, and exploring ways to mitigate it, in line with the roadmap agreed at the Cancun ministerial meeting in March 2010. I would like to take the opportunity of this article to thank the IEF secretariat for its sustained and valuable contribution to this work.
Building on its expertise in bringing together different viewpoints, and being identified as a neutral facilitator, I am convinced that the IEF can play an essential role in the fight against excessive energy price volatility by:
1. Developing a better understanding of the functioning of oil markets, together with other international organisations like IEA or OPEC, as it did in November 2010, by organising a symposium on the link between physical and financial markets, and a workshop on regulation;
2. Improving the transparency of energy data, notably through the improvement of the timeliness, completeness and reliability of the JODI database, its extension to gas and the collection of annual data on investment programs;
3. Enhancing visibility on future energy outlooks (both short-, medium- and longterm), through the comparison of existing scenarios and forecasts, building on the work initiated at the Riyadh symposium in January 2011.
With the adoption of the IEF Charter, we now have a collective responsibility to deliver tangible results on these core issues for the stability of energy markets.
S. Jaipal Reddy, Minister, Petroleum & Natural Gas, Government of India
July 2011
The recent earthquakes in Japan and the resultant decision of several countries to reduce their dependence on nuclear power in the coming years and decades, means that hydrocarbon fossil fuels will continue to play a dominant role in the world's energy basket well into the fourth or fifth decade of the 21st century.This means that ... [ More ]
Building Trust Valuing Interdependence
S. Jaipal Reddy, Minister, Petroleum & Natural Gas, Government of India
The recent earthquakes in Japan and the resultant decision of several countries to reduce their dependence on nuclear power in the coming years and decades, means that hydrocarbon fossil fuels will continue to play a dominant role in the world's energy basket well into the fourth or fifth decade of the 21st century.
This means that the world will have to find ways and means of bringing more and more oil to the markets, for which huge investments will be required. For the required investments to materialise, we will need a conducive investment climate. Most of all, we will need to assure the producing/investing countries of the 'certainty of demand'.
The human population on the planet is inching towards the 9 billion mark by the middle of the century. With a rapid increase in the consumption of energy world-wide, particularly in the emerging economies, issues related to global energy security will acquire a renewed urgency. In this perspective, the ongoing global energy dialogue will have to be strengthened so that the burning issues before us get addressed effectively.
With the adoption of a new Charter in the Extraordinary Ministerial meeting at Riyadh on 22 February 2011, the International Energy Forum (IEF) has emerged as a more robust and dynamic vehicle for carrying on the global energy dialogue, encompassing not just the views of all the stakeholders including the producing, consuming and transit countries, but also highlighting the need to tackle issues such as energy poverty on an urgent and global basis.
It is our belief that energy security for the world can only come from inter-dependence among the producing, consuming and transit countries. In today's highly globalised world, no country can be an island unto itself. We must strive to move towards a global energy system that underlines the mutual dependency between consumers and producers, and facilitates international trade on wellaccepted market principles.
For emerging economies like India which are also net importers of oil, the stability of the international oil markets and transparency in price formation of oil are very important. Since rising fuel prices adversely affect the world economy as a whole but more so developing countries, international oil markets must not be allowed to get divorced from the fundamentals of demand and supply. With the emergence of oil as both a physical commodity and financial asset, there is an urgent need to bring in some kind of regulatory oversight of the commodity and futures markets. Oil is too important a natural resource to be left entirely unregulated in the international marketplace. Very high oil prices do not, in the long run, benefit either the producer or the consumer. In fact, they lead to 'demand destruction' and thereby reduce further investments in the oil sector.
We look to the IEF in its new avatar to focus on these and other related issues, and conduct the global energy dialogue in a manner that enhances the mutual trust among producers and consumers, brings transparency to the oil markets, and through the mantra of inter-dependence, leads to greater energy security for the world.
Collective Action Required To Meet Energy Challenges
Lord David Howell, UK Minister of State
July 2011
On 30 May 2011 UK Minister of State, Lord Howell, who holds the international energy portfolio at the UK's Foreign Office, visited the IEF headquarters and delivered a speech on "Global Energy Challenges: Now and in the Future". Lord Howell was accompanied by Lord Marland, Minister at the Department for Energy and Climate Change.Lord Howell's ... [ More ]
Collective Action Required To Meet Energy Challenges
Lord David Howell, UK Minister of State
On 30 May 2011 UK Minister of State, Lord Howell, who holds the international energy portfolio at the UK's Foreign Office, visited the IEF headquarters and delivered a speech on "Global Energy Challenges: Now and in the Future". Lord Howell was accompanied by Lord Marland, Minister at the Department for Energy and Climate Change.
Lord Howell's speech touched on the many technical, economic and geopolitical challenges that affect us all on a daily basis, but placed particular emphasis on the UK's commitment to tackling oil price volatility through international co-operation. He noted the importance of providing consistent evidence-based messages to global oil markets and in this context he highlighted the key role played by the IEF and its partners in the Joint Organisations Data Initiative. "I have no doubt that consumers, both in developed and developing countries and producers will benefit from the IEA, OPEC and IEF initiatives to share their analysis, and from the continuing improvements and refinements to data sharing mechanisms, such as the Joint Organisations Data Initiative."
Lord Howell concluded his presentation by saying that "The IEF can provide the transparency and facilitate dialogue between consumer and producer states to address the challenge of oil price volatility. The Challenge of higher energy prices can be moderated by responsible investment in supply. Global energy demand can become sustainable through energy efficiency and new technology, which will also enhance economic resilience and thereby diffuse the threat posed by price rises."
In his own closing remarks, IEF Secretary General, Noé van Hulst was pleased to note Lord Howell's statement that "The IEF has demonstrated in recent years that there is a genuine value in the producer-consumer dialogue" and thanked him for the UK's unwavering support for the IEF. Highlighting the UK's commitment to strengthening the institutional framework of the producer-consumer dialogue, van Hulst commended their role as co-chair of the Forum's High Level Steering Group. The work of the group resulted in the Cancun Declaration in 2010 and culminated in the signature of the IEF Charter by 86 countries on 22 February 2011.
Diversity, Competitiveness And Transparency Through Enhanced Cooperation
Traicho Traikov, Minister of Economy, Energy & Tourism, Republic of Bulgaria
July 2011
Today we are facing the challenge to make the transition to a safer, more efficient and low-carbon economy based on a more sustainable way of life. Europe has agreed a forward-looking political agenda to achieve its core energy objectives of sustainability, competitiveness and security of supply. The situation requires placing the emphasis on reducing external ... [ More ]
Diversity, Competitiveness And Transparency Through Enhanced Cooperation
Traicho Traikov, Minister of Economy, Energy & Tourism, Republic of Bulgaria
Today we are facing the challenge to make the transition to a safer, more efficient and low-carbon economy based on a more sustainable way of life. Europe has agreed a forward-looking political agenda to achieve its core energy objectives of sustainability, competitiveness and security of supply. The situation requires placing the emphasis on reducing external dependence on energy imports through increased diversification of energy sources, including domestic ones, and energy routes, as well as energy efficiency and savings and promotion of the use of renewable energy.
The Republic of Bulgaria is an important transit route between Europe, Asia and the Middle East as well as a key energy player, a reliable partner and participant in a number of very important energy projects.
Bulgaria has already acknowledged and will continue to support the message of the World Energy Council 'to keep all options open' and the right of every country to develop production based on various energy sources such as coal, nuclear power, oil and gas, hydro resources, bio-resources and other renewable energy sources, while strictly observing the requirements set by the environmental standards in force. In our view, diversification of energy routes and sources is an important factor amongst others to improve energy security in our country and in the region.
Bulgaria is a small country with limited energy sources. For all that we are strongly committed to guarantee the national and regional energy security by improvement of the energy efficiency, promotion of renewables, best use of indigenous energy resources, building a reliable energy infrastructure.
It is now an acknowledged fact that energy security cannot be achieved without the presence of a real energy market. Only transparent energy markets and predictable regulatory framework can ensure affordable and reliable energy to consumers and favourable investment environments.
I would also like to emphasise that Bulgaria intends to develop its capacity as an active participant in the implementation of strategic oil and natural gas transit projects from the South East European region, the Black Sea, the Mediterranean, the Caspian region and the Middle East. It is necessary to identify alternative sources of energy in order to prevent high prices that would be an unacceptable burden to our national economies.
These measures will result in improved welfare of our citizens, increasing the competitiveness of the economy, increasing jobs and at the same time - reducing consumption of energy and natural resources with minimal negative impact on the environment and climate change.
I do believe that only the shared responsibility can help us to find the response to the challenges we are facing today. Countries are becoming increasingly interdependent in energy matters. The increasing demand for energy resources will necessitate new projects offering diverse energy suppliers, sources and supply routes for delivery of energy resources. Energy interdependence is influencing development, trade and competitiveness, international relations and global cooperation on climate. Enhancing the energy cooperation between producing, consuming and transit countries will result in securing greater diversity, competitiveness and transparency in all aspects of the supply chain, boost system integrity, economic development and energy security. This partnership is the key element for securing a supply - demand balance under clear and sustainable transit rules.
In conclusion, I would like to point out that being an EU member-state Bulgaria will actively contribute to the implementation of the European energy development, energy security and climate change strategy. We will seek and rely as much as possible on understanding and cooperation in the global context.
Maxime Verhagen, Minister for Economic Affairs, Agriculture and Innovation, The Netherlands
December 2010
As former minister of Foreign Affairs I already had the pleasure to meet the Secretary General in Riyadh. He informed me about the IEF and the role of the secretariat in facilitating the global dialogue with producers and consumers, of which the Netherlands has always been a strong promoter.As present minister of Economic Affairs, Agriculture ... [ More ]
The Dialogue Reaches Maturity
Maxime Verhagen, Minister for Economic Affairs, Agriculture and Innovation, The Netherlands
As former minister of Foreign Affairs I already had the pleasure to meet the Secretary General in Riyadh. He informed me about the IEF and the role of the secretariat in facilitating the global dialogue with producers and consumers, of which the Netherlands has always been a strong promoter.
As present minister of Economic Affairs, Agriculture and Innovation, I intend to keep on promoting the energy dialogue. Energy is of vital importance to any country in the world and to the Netherlands in particular. Energy is important in the Dutch economy, being a consumer but also a producer and a Gas Hub in North-west Europe. This explains the importance we attach to the dialogue and why the Netherlands is co-host for the IEF in 2012.
The unique selling point of the IEF is that it gathers ministers and companies to discuss and find workable solutions to problems. It has developed into a platform which brings together ministers that would otherwise not meet and discuss so easily. The informal character stimulates that they are at ease as well. Where confidence building plays a pivotal role, the process of building relations is as important as the political outcome.
Next year the producer-consumer dialogue will celebrate its 20th birthday. Quite an accomplishment for an informal forum. For me this reflects the real need for a platform on major issues regarding energy.
In my vision, those major issues are the following:
First of all of course the global market place. The issue of functioning and volatility of markets. A lot of work has been done and will be done by IEA, IEF and OPEC, separately and jointly. A key question is not only how volatility can be reduced. The question is basically how we can enhance flexibility in commodity markets that are characterised by large-scale investments as well as long lead times?
Second issue: transparency. It goes without saying that data transparency through JODI will stay a priority in the coming years. The expansion of JODI to gas is an important element. Transparent policies are important as well. Maybe we could try to discuss how we as governments are coping with issues as energy prices, environment, energy security, energy poverty, etc. And it would be helpful not to talk in general, but to refer to specific policies and best practices. It helps us all to learn from each other and to gain insight in policy developments in other countries. This will contribute to confidence.
Third issue: energy efficiency. Before mid-2009 energy markets were tight. We expect them to be tight again when the present crisis is over, unless…… unless we will be able to improve energy efficiency substantially. It will prevent the oil and gas markets will be overstretched again in a couple of years. Besides, we have to use our energy resources much more responsibly. Discussing this issue will touch upon every aspect of the energy market, including prices. So it won't be easy. But increasing efficiency has benefits in many areas. It is worthwhile discussing it in the forum, preferably in a very practical way.
To conclude: the dialogue is maturing. With the drafting of a new Charter for the IEF we are entering a new phase; a consolidation phase. Maybe the next Ministerial does not even need a 4th session on the future of the dialogue. The dialogue will continue anyway. I say after Descartes: Cogito ergo sum!
The Forum's Work is More Important Than Ever
Charles Hendry, Minister for Energy, UK
December 2010
As the new UK Energy Minister, I am very grateful to the IEF for giving me this opportunity to introduce my Government's priorities and direction of thinking on international energy issues.The UK firmly supports the Forum's work. The security of oil and gas supplies is of key importance to the whole world and will remain ... [ More ]
The Forum's Work is More Important Than Ever
Charles Hendry, Minister for Energy, UK
As the new UK Energy Minister, I am very grateful to the IEF for giving me this opportunity to introduce my Government's priorities and direction of thinking on international energy issues.
The UK firmly supports the Forum's work. The security of oil and gas supplies is of key importance to the whole world and will remain so for the foreseeable future. Growing energy consumption will see demand for these fuels rise significantly even as we increase our use of low carbon energy sources. This makes open dialogue between oil consumers and producers essential if we are to avoid the price volatility so damaging to economic growth and to the investment needed for future oil production. We in the UK are not exempt from these concerns: access to oil and gas on the world market is a key priority for us too as declining domestic production makes us increasingly dependent on imports of these fuels.
Current global economic uncertainties make the Forum's work more important than ever and I welcome the renewed focus given to the Forum's work at Cancun earlier this year. The emphasis given to the development of the Charter and on analysing both regulation and the operation of the international oil market will allow the Forum to make a significant contribution in these areas.
More generally the new Charter will, by increasing certainty over objectives and funding, allow the Forum and its Secretariat to work and plan ahead more effectively. The proposals the Secretariat has already brought forward for the Charter provide the building blocks for a document which respects the interests of all members and which I hope we will be able to agree at the IEF Ministerial meeting in February.
JODI is already making an important contribution to the oil market, with publication of much of the detailed and timely data on production and consumption, stocks and investment needed to inform trading. I hope the initiative can soon be extended to include investment data - it is particularly important that decisions on developing production facilities can be taken in the knowledge of the likely future balance of global production capacity and demand, especially as the world comes out of recession.
Closer cooperation with other international organisations, in particular OPEC and the IEA, is important to the future development of the IEF's work. There is a wealth of information and analysis produced by each organisation, and significant potential to develop this work further by collaborating. The two joint workshops held in November, on regulation and the linkages between the physical and financial oil markets, are therefore a very welcome development. I hope the workshop on international oil markets can inform the work the G20 is also doing in this area.
Progress in all of these areas will provide Ministers with plenty of material for substantive discussions when we next meet.
I was very pleased to meet many of you when the IEF High Level Steering Group met in London in July and look forward to working with you all in the future.
H. E. Georgina Kessel Martínez, Minister of Energy, Mexico
March 2010
Mexico is honored to host the 12th International Energy Forum and 4th International Energy Business Forum. We especially thank our co-hosts Germany and Kuwait, as well as the IEF Secretariat, whose help has been invaluable in organizing these events. We hope that the work conducted in Cancun will bear fruit and that it helps in ... [ More ]
Light In The Darkness
H. E. Georgina Kessel Martínez, Minister of Energy, Mexico
Mexico is honored to host the 12th International Energy Forum and 4th International Energy Business Forum. We especially thank our co-hosts Germany and Kuwait, as well as the IEF Secretariat, whose help has been invaluable in organizing these events. We hope that the work conducted in Cancun will bear fruit and that it helps in setting a comprehensive platform to strengthen the global energy dialogue, in order to further our understanding of the myriad challenges confronting the energy sector.
The global financial crisis and the ensuing economic slowdown, coupled with the roller-coaster ride in oil prices that, at their height, were five times those of 2004, have created a unique set of risks for the energy sector. As a result of reduced cash flow, leading companies in the global oil and gas sector have announced cutbacks in capital spending, as well as over a hundred project delays and cancellations. According to estimates by the International Energy Agency, these decisions cut 2009 global upstream oil and gas investment budgets by 19% compared with 2008 - a reduction of $ 90 billion dollars. If prolonged, such downturn in investment threatens to constrain capacity growth in the medium term, particularly for long lead-time projects. This will eventually pose a risk of supply shortfalls. The Organisation of the Petroleum Exporting Countries has already projected that this downturn will mean that crude runs will not recover to 2007 levels until 2015. As a consequence, low refinery utilization and poor refining economics will besiege the sector for an extended period of time.
Complicating this scenario, for a large segment of the world population access to energy remains a promise yet unfulfilled, while the relationship between energy and climate change has become increasingly intricate. Currently 2.5 billion people lack access to modern fuels for cooking and heating, and given concurring estimates by leading aid agencies, under current policies that number will increase to 2.6 billion by 2020… more than one third of the world's population. Furthermore, according to the Organisation for Economic Cooperation and Development, the climate change picture remains bleak: the atmosphere contains long-lived greenhouse gases at a concentration 455 per million of carbon dioxide equivalent, which is 60% above preindustrial era levels. This number far exceeds the natural range over the last 650,000 years. Average global temperatures are currently 0.76°C higher than pre-industrial levels and continue rising.
Considering this situation, it is not surprising that the international dialogue between producing and consuming countries has been very intense in the past few years; and that it has expanded to address energy security, the dilemmas of energy poverty, and the global concern for sustainability and environmental protection. All of these subjects will be open for discussion when we meet in Cancun.
I think it is fair to say that no Minister participating in this coming Meeting can ignore the crossroads we now face, nor can any of us shirk the responsibilities we share. In order to promote coordinated confidence-building measures, we must discuss how to build a more focused producer-consumer dialogue, based on a greater degree of trust and openness. Our list of priorities is extensive: identifying the causes and consequences of price spikes, assessing the uncertainties affecting future supply and demand outlooks, unlocking the barriers holding back investment, encouraging increased cooperation and partnership among national and international companies, broadening energy access, and advancing clean technologies.
This International Energy Forum provides the occasion and structure to substantially strengthen the architecture of the global energy dialogue. Enhancing awareness of the links that need to be established between governments, international financing bodies, corporations, and assistance agencies is equally crucial. In an important sense, most people involved in the energy sector agree that we are running against the clock in terms of energy poverty and climate change, as well as with regards to the remaining avenues available to us if we are to successfully turn the tide.
Given our sector's makeup, it may be more than a little ironic to cast the challenge before in these words, but symbolically speaking we are in a struggle pitting light against darkness. The sheer scale of this mandate is monumental, and it can only be met through a broad-minded, collaborative effort across the globe. This effort must encompass each level of government, and all possible partners in the industry, financial, and aid communities, all striving together to uncover, fund, and deploy new measures to lead the way into a prosperous future.
We look forward to welcoming you in Cancun!
IEF Newsletter, Issue 14, November 2009
H.E. Taner Yildiz, Energy Minister of Turkey
November 2009
For decades, oil has taken first place in world primary energy consumption. It still maintains its importance in being the number one input for countries' economic development. It is widely accepted that oil cannot be easily replaced by any other alternative energy resource. This is especially the case in the transportation sector in the short ... [ More ]
IEF Newsletter, Issue 14, November 2009
H.E. Taner Yildiz, Energy Minister of Turkey
For decades, oil has taken first place in world primary energy consumption. It still maintains its importance in being the number one input for countries' economic development. It is widely accepted that oil cannot be easily replaced by any other alternative energy resource. This is especially the case in the transportation sector in the short and medium term. On the other hand, natural gas and nuclear power can not compete fully with oil. Furthermore, transportation of oil is much more convenient than its alternatives, ie natural gas. Needless to say, renewable energy resources are far from replacing this crucial energy commodity, at least in the near future.
Global oil consumption has taken the biggest share in primary energy consumption for a long time (in 1998, for example, it was 38%). However, oil in the energy mix has shown a slightly declining trend and accounted for 34% in 2008 while in some industrialized countries, the share of energy resources, such as nuclear power or natural gas, have significantly expanded.
In recent years, lots of oil disruptions occurred due to various reasons, eventually leading to an increase in commodity prices. Ultimately, this had a negative impact on the energy consuming countries, especially on emerging economies, which are highly dependent on oil imports. Similarly, energy-producing countries will be negatively affected in the long run. In this sense, producers have a bigger responsibility in maintaining sustainability in the global oil market. It needs to be also noted that producers should not use oil as a means of weapon. Such an approach will not only have a damaging effect on the consumer countries, but it will be detrimental for the interests of the producers as well.
According to some projections, oil will keep its dominant position at least for another 20-30 years. Moreover, most of current oil reserves will be depleted and they will be limited to some countries. This foresight increases the significance of a constructive dialogue between oil producers and consumers.
It is important that the major oil producing countries need to take the lead in devising more effective and useful dialogue among themselves, with oil consuming countries as well as the international institutions, starting with International Energy Forum. Such a dialogue should also include minor oil consumers and producers, as well as international oil companies, which play a major role in the global oil industry.
On the other hand, transparent policies are vital for a sustainable oil market. These policies can provide important contributions to improve dialogue amongst the companies, the international institutions, and above all, the producing and the consuming countries. The main motive behind the establishment of the International Energy Forum (IEF) was to develop dialogue and provide solidarity between producers and consumers.
Today, oil data of more than 90 countries, representing more than 90% of global oil supply and demand, are collected with the efforts of the IEF, which includes both producer and consumer countries. This cooperation significantly contributes to the global oil market in making accurate projections and in pursuing policies for the interest of those countries. Obviously, we should have a closer focus on exploring and designing new mechanisms for furthering and strengthening this dialogue.
Energy security is a major geopolitical issue of our time
H.E. Martin Ferguson, Minister for Resources and Energy of Australia
November 2009
As a key energy supplier in the Asia-Pacific region and net oil importer, Australia is acutely aware that our economic prosperity, and the prosperity of all consumers and producers, will be greatly affected by the way these energy security challenges are addressed. The global economic slowdown has seen some moderation in demand, but we can't ... [ More ]
Energy security is a major geopolitical issue of our time
H.E. Martin Ferguson, Minister for Resources and Energy of Australia
As a key energy supplier in the Asia-Pacific region and net oil importer, Australia is acutely aware that our economic prosperity, and the prosperity of all consumers and producers, will be greatly affected by the way these energy security challenges are addressed. The global economic slowdown has seen some moderation in demand, but we can't afford to relax. We must, as a matter of priority, take appropriate steps to deal with these challenges. We need to do this together. An effective consumer-producer dialogue founded on a clear understanding of our mutual inter-dependence can become a driving force for cooperation to help mobilise timely and effective global action.
Efficient, transparent and competitive regional and global energy markets are central to meeting these challenges in a way that delivers cleaner, more reliable, adequate and affordable energy. Transparent markets offer the best means of attracting necessary investment at least cost, particularly in the wake of the global economic slowdown. They also create strong incentives for energy efficiency and support the timely and effective roll-out of innovative, low-carbon energy technologies.
The International Energy Forum (IEF) is already making an important contribution to promoting transparent and efficient global oil markets through the Joint Oil Data Initiative. This work is important and I encourage the IEF to continue strengthening the quality and coverage of its oil data.
Improved transparency is a good start, but more is needed. The global financial crisis must not be allowed to give rise to a retreat to protectionism. Consumer and producer governments need to work together to create the stable, predictable and effective policy, legal and regulatory frameworks needed to build resilient global energy markets that can deliver timely investment. Undue barriers to energy trade and investment need to be identified and removed where possible. Related challenges, including improving cooperation between international oil companies and national oil companies, and addressing looming skill shortages, will also need to be addressed. We look forward to reviewing the proposals being developed by the Expert Group in this context.
Continued large-scale use of fossil fuels by developing economies is an inescapable reality for the foreseeable future. New technologies that reduce associated carbon emissions, such as carbon capture and storage (CCS), need to be developed and deployed, along with the full suite of renewable technologies. Energy efficiency also has an important role to play in reducing global greenhouse gas emissions.
IEF Newsletter, Issue 13, May 2009
H.E. Natig Aliyev, Minister of Industry and Energy of Azerbaijan
May 2009
The modern world is living through a period of serious economic turmoil, causing successive crises in the financial and social-economic sphere, the main areas of industry, and also in the fuel-energy complex, which is a particularly good barometer of the current situation and indicator of how the world economy will develop in the foreseeable future.Given ... [ More ]
IEF Newsletter, Issue 13, May 2009
H.E. Natig Aliyev, Minister of Industry and Energy of Azerbaijan
The modern world is living through a period of serious economic turmoil, causing successive crises in the financial and social-economic sphere, the main areas of industry, and also in the fuel-energy complex, which is a particularly good barometer of the current situation and indicator of how the world economy will develop in the foreseeable future.
Given the important role of the energy sector in economic development across countries, regions and continents, it is necessary to take special measures to co-ordinate the energy policies of producer countries -- to establish diverse sources of hydrocarbons supply and stabilize world oil prices, enhancing global energy security. For this reason, regular and extraordinary meetings are held by of OPEC, heads of state, ministries, major oil and gas companies, and representatives of international energy agencies and financial organizations.
The European Union has tried to create mechanisms that promote mutually beneficial co-operation between energy producers and consumers -- on the basis of a market economy, characterized by transparency of transactions and freedom of competition.
Azerbaijan completely encourages these principles. Our country, which has developed upstream projects amounting to many billions of dollars in value, is prepared for its hydrocarbon resources to help guarantee and strengthen the energy security of European countries.
Most European countries are dependent on oil and gas imports. Imports of natural gas, in particular, are growing in importance - to serve the continent's need for electricity, light and heat. In this context, it is obvious and beyond any doubt that the Caspian region, as a major producer of energy resources, will be one of the principal guarantors of energy security in western and eastern Europe.
We are convinced that greater co-operation with foreign investors in upstream projects, especially in the identification of new geological prospects in the Caspian region, will result in an increase in the region's hydrocarbons potential and enhance its role as a supplier of energy resources to Europe.
We are interested in and understand the European Commission's idea of establishing the Caspian Development Corporation, with the participation of all relevant energy and transportation companies, financial and business circles. Its objective is to concentrate all efforts on creating a reliable, efficient, transparent, market-based energy-transport system, supplying energy resources from Central Asia and the Caspian region to EU countries.
In our opinion, it is necessary to create favourable and attractive regimes with optimal prices and tariffs that suit not only investors, but also link up the various parts of the business chain - harmonizing relations between producers, transit parties and consumers.
I consider that it is necessary to decide points concerning relations with producer countries of natural gas and to determine the mutual obligations and responsibility of all parties on the supply and transportation of natural gas.
H.E. Helmi Güler, Minister Of Energy And Natural Resources Of Turkey
April 2009
Energy, being the fundamental ingredient of economic and social development, continues to top the political agenda of every country in the world in the sense that, energy resources are limited and distributed unevenly in the world, while demand is continuously rising as populations grow and economic growth sustains.Given this global situation, hydrocarbons will continue to ... [ More ]
Energy Security And Producer-Consumer
H.E. Helmi Güler, Minister Of Energy And Natural Resources Of Turkey
Energy, being the fundamental ingredient of economic and social development, continues to top the political agenda of every country in the world in the sense that, energy resources are limited and distributed unevenly in the world, while demand is continuously rising as populations grow and economic growth sustains.
Given this global situation, hydrocarbons will continue to be the fuel of choice for decades to come, but their development and production have entered a new phase. Reserves are large but finite, operations in new areas are becoming even more technically complex, and non-conventional hydrocarbons will form a larger part of the production base in the future.
It is obvious that the Middle East, North Africa and CIS regions with their vast oil and gas reserves, comprising the two thirds of the remaining oil and gas reserves of the World, will be the centre of gravity for future balancing of the supply-demand pendulum and will play the leading role in global oil and gas supply security.
Geopolitics steered by globalization and long term interests, will yield long-term strategic partnerships and co-operations. Both producers and consumers will have an impact on shaping the future and regional stability should strongly be supported. Limited energy sources of countries and increase in consumption have led the 'self-sufficient energy' strategy of the countries to become 'the development of international trade and regional integrations' strategy. Therefore energy trade is expanding rapidly, increasing mutual interdependence among countries and regions. Hence regional and inter-regional co-operation strengthens the global energy policy interrelationship in the energy world.
While energy markets around the world are more open now to trade, competition, and foreign investment than at any time in history, questions regarding market liberalization, transparency, and security of supply are pulling markets in the other direction. Competing forces seem to pit producers against consumers, development against sustainability, competition against regulation, and national issues against transparency. The solution is, to establish the economic linkages that connect producing countries to consumers increasing co-operation and creating a more stable, sustainable international environment.
For accessing and securing energy a well established and consistent co-operation among countries is needed. Governments must act decisively to accelerate the actions for this co-operation. Co-operative international research and development can promote effective energy policy and lay the groundwork for technology breakthroughs in clean, distributed energy sources that can benefit populations in the developing world.
In this context, the International Energy Forum (IEF) can encourage international dialogue and co-operation between energy consuming and energy producing countries by deepening dialogue among those involved in energy affairs, as well as enhancing transparency among governments by creating common energy databases. The Forum can also contribute to global energy security by converging producers' and consumers' policies to establish a win-win situation for both parties. Facilitating discussions on global energy security and encouraging producers and consumers to recognise the commonality of their interests is the only way of sustaining global economic growth, and the IEF is and will be expected to work towards achieving this goal.
Excerpts from the 9th IEF Lecture on 13 October 2008
H.E. Maria van der Hoeven , The Netherlands Minister of Economic Affairs
November 2008
The decision to establish an IEF Secretariat dates back to the 8th IEF Ministerial in Osaka, Japan. Following this, the Netherlands acted as host to the 9th IEF Ministerial and has chaired the Executive Board. The Dutch government highly values the IEF and its Secretariat and would like to thank the government of Saudi Arabia ... [ More ]
Excerpts from the 9th IEF Lecture on 13 October 2008
H.E. Maria van der Hoeven , The Netherlands Minister of Economic Affairs
The decision to establish an IEF Secretariat dates back to the 8th IEF Ministerial in Osaka, Japan. Following this, the Netherlands acted as host to the 9th IEF Ministerial and has chaired the Executive Board. The Dutch government highly values the IEF and its Secretariat and would like to thank the government of Saudi Arabia for hosting it in such a magnificent location.
Energy is vital to all of us. We can only safeguard security of supply and demand by working together. Cooperation and joint action is key. We have to find ways and means to avoid conflicts and solve disputes in a constructive way.
Countries have to create the right conditions, but companies are the real agents of energy security. NOCs and IOCs are open to cooperation. So let us create the possibilities for them to cooperate and enable them to realise synergies.
In recent years the wish to improve the quality of data resulted in the Joint Oil Data Initiative, which is now coordinated by the IEF Secretariat and its partners APEC, Eurostat, IEA, OLADE, OPEC and UNSD. A lot of work has already been done, though more remains.
Transparency will increase by further improving JODI and extending it to include the gas market also. And finally, we should inform each other about investments that will affect future capacity. This will provide more confidence for capacity growth in future, thus promoting stability. I think the IEF Secretariat has a lot to contribute in this area.
The Kingdom of Saudi Arabia has shown responsible leadership in taking up the initiative to organise last June"s Jeddah Energy Meeting.
The Jeddah process strengthened the dialogue between producers and consumers. More importantly it was a step towards concrete action on investments, shared oil market analysis and transparency. And action on these issues we need.
I am happy to see that the IEF Secretariat has played an increasingly prominent role in the recent debate. Its role was downright pivotal in preparing for the Jeddah Energy Meeting. We are all looking forward to the follow-up meeting in London this coming December.
Climate change is one of the major global issues of our time. Environmental problems have already given incentives to improve energy efficiency and have led to the present boom in investment in renewables.
But to be clear: fossil fuels will remain the backbone of the energy system for decades to come. So we have to prepare ourselves for a cleaner production and use of fossil fuels.
I would certainly welcome the establishment of a CCS-group within the framework of the IEF as suggested by the Ministers of UK and Norway. For my part, focus should be on the way in which CCS is part of an overall energy agenda and sustainable energy policy. Again, good international cooperation is essential given other work done. Saudi Arabia and the Netherlands organised a conference last June, a further plan of action is already being elaborated and both countries and the UK and Norway see themselves as frontrunners in the implementation of this action plan.
In summary - we need to extend present cooperation as we already see between our countries, between
NOCs and IOCs and for example on the issue of CCS. New alliances already are opening new horizons, create business opportunities and bring us closer to our goal: a cleaner, smarter and more varied energy system.
I consider it worthwhile to continue the close cooperation between OPEC, IEA and the IEF Secretariat as well. This combines the best available expertise on oil.
I am sure that the IEF Secretariat has an important role to play in all of these fields of endeavour. It already has played a major role in the discussions in Jeddah and its follow-up.
The full speech is available on the IEF Secretariat's website.
High Oil Prices and the Financial Bubble
H.E. Miguel Sebastián Gascón, Minister of Industry, Tourism and Trade of Spain
November 2008
"Readers should note that the following article was written in July and based on the intervention of H.E. Minister Miguel Sebastián Gascón at the Jeddah Energy Meeting in June 2008. In the light of the events since then, it stands the test of time remarkably well".The price of oil is above $140 a barrel, the ... [ More ]
High Oil Prices and the Financial Bubble
H.E. Miguel Sebastián Gascón, Minister of Industry, Tourism and Trade of Spain
"Readers should note that the following article was written in July and based on the intervention of H.E. Minister Miguel Sebastián Gascón at the Jeddah Energy Meeting in June 2008. In the light of the events since then, it stands the test of time remarkably well".
The price of oil is above $140 a barrel, the highest price ever. In real terms, the current price is almost 50% more than the highest price reached during the oil crisis of the late 70's. Moreover, the rise in prices has been sharp, 100% in the last year and 500% over the past five years. Only during the first oil crisis was there a similar surge in prices.
There are two reasons inherent to the oil market that explains this increase. The first one refers to the strong growth of the emerging economies. Since 2004 demand from these countries has grown by over 15%. Nevertheless, this increase needs to be put into perspective since world demand for petrol has only increased by 5.7% over the past four years, compensated by a fall in consumption by OECD countries.
The second reason is the inadequate growth of supply. By way of example, Opec production between 2005 and 2007 was reduced by 100,000 barrels a day, as compared to an increased demand for 2.2 million barrels during this period. Surplus capacity in the industry has consequently fallen in order to increase short term production. Until 2003 surplus capacity ranged from between 3 to 6 million barrels, while between 2003 and 2007 this has dropped to a mere 1 to 2 million barrels, barely 2% of production. This means that supply is very tight, thus pushing prices up. By 2009 and 2010, however, the International Energy Agency expects a significant increase in surplus capacity owing to new projects and oil fields coming into production.
Notwithstanding the above, these two basic factors - supply and demand - do not fully explain the price increase of the past year. There is a third factor: a possible financial bubble. Certain aspects of the financial markets substantiate the possible emergence of this bubble. Since 2005 significant changes have taken place in the futures markets for raw materials. The beginning of the so-called institutional funds, as well as unduly lax regulations allowing too much leverage, have both fed this bubble. For raw materials as a whole and in monetary terms, investment in these futures markets has gone from 13,000 million dollars to over 250,000 million dollars, which means that it has multiplied by nearly 20 in scarcely four years.
In short, it is difficult to quantify what portion of the current price of oil corresponds to the speculative financial bubble and what portion to basic factors of the oil market. Besides, while these basic factors have been thoroughly identified, it is difficult to predict the emergence of factors that might "burst" this bubble. Until this happens, oil prices will continue to rise and the global economy will continue to suffer the ill effects.
London Energy Meeting 19 December 2008
H.E. Edward Miliband, MP Secretary of State for Energy and Climate Change of UK
November 2008
I'm delighted to be leading the new Department of Energy and Climate Change, which has been created to give an even greater focus to solving the twin challenges of tackling climate change and securing an affordable energy supply.Over the last couple of years, and in particular over the last few months we have seen dramatic ... [ More ]
London Energy Meeting 19 December 2008
H.E. Edward Miliband, MP Secretary of State for Energy and Climate Change of UK
I'm delighted to be leading the new Department of Energy and Climate Change, which has been created to give an even greater focus to solving the twin challenges of tackling climate change and securing an affordable energy supply.
Over the last couple of years, and in particular over the last few months we have seen dramatic changes in oil prices. Oil price volatility has an impact across all levels of society, often hitting the most vulnerable hardest. Clearly, a stable oil market is in our common interest and the current economic climate only reinforces this.
This is why the phase of the producer-consumer dialogue that was started at the Jeddah Summit in June is so important. The medium to longer-term challenges facing energy markets that were identified at Jeddah still need to be addressed. If we can improve the way that the oil market functions, with supply and demand responding more efficiently to prices and investments based on shared understanding of future demand and supply conditions, we can reduce the likelihood of price volatility. That will be good for everyone, especially the poor and least developed countries, who are the hardest hit by high energy prices.
Even in a de-carbonising economy, the world will still need oil. So we will continue to need investment in production: both to meet rising demand and offset declines from existing fields.
At the same time we will need to continue to take urgent action to tackle climate change which, if not mitigated, will undermine global growth and security. This will include measures to diversify the energy supply through increased energy efficiency and accelerating the use of low emission technologies. It is therefore vital that producers and consumers work more closely together to understand clearly the outlook for consumption to ensure supply and demand match in a timely manner and at sustainable prices.
At the December meeting we will, working with the IEF, provide a progress report on all the long-term commitments agreed at Jeddah. Broadly these were:
Removing barriers to upstream and downstream investment
A shared understanding of future supply and demand trends
Improving the quality, completeness and timeliness of oil data
International progress on increased energy efficiency
International support to help developing countries alleviate the consequences of high oil prices.
As well as this, under the wider theme of 'Oil, Energy and the World Economy' we will present some analysis of the impact of the financial crisis on energy markets, looking particularly at the effect of the credit crunch on energy demand and investment and what this might mean for energy markets in the future. This will help us all to better understand the effects of the current economic climate and what further work is necessary to achieve our longer-term shared ambitions for the oil market.
I am grateful for the contribution the IEF has made to the preparation for the London meeting and am sure that together we can achieve real progress on 19 December.
The Outlook to Synchronized Energy Responsibility
H.E. Sameh Fahmy, Minister of Petrolum of Egypt
November 2008
I would like to contribute some thoughts on the outlook to synchronized energy responsibility from the Ministers' Rostrum of the IEF Newsletter.It is very crucial to develop a pragmatic global vision on the relation between energy providers and consumers in the sense of their mutual responsibility especially with the ongoing severe challenges both are encountering.It ... [ More ]
The Outlook to Synchronized Energy Responsibility
H.E. Sameh Fahmy, Minister of Petrolum of Egypt
I would like to contribute some thoughts on the outlook to synchronized energy responsibility from the Ministers' Rostrum of the IEF Newsletter.
It is very crucial to develop a pragmatic global vision on the relation between energy providers and consumers in the sense of their mutual responsibility especially with the ongoing severe challenges both are encountering.
It is crystal clear that energy affects many lives either through the hydrocarbons supplied or the development of new technologies in augmenting depleting resources to reach a substantial number of people around the world in illuminating their homes, keeping their cars running and strengthening their business, as well as assisting in boosting and sustaining their economies.
Having said that it is of utmost importance to inform our respectable consumers with some facts of our commitment towards them in revamping quality of life throughout the world and in order to achieve this mission we incorporate concerted efforts, risk, financial means, environmental concerns and social obligations.
Some communities are aware of the fact that conventional resources are depleting and they have already started considering certain measures to prolong the enjoyment of such luxury. Others may not have the right approach to energy preservation due to the variation in the cultural backgrounds of one client to another.
Since ages it has been and will remain our sole paramount responsibility as energy suppliers to sustain a reliable energy influx reflected by greater economic prosperity, improved standards of living, and production of a kaleidoscope of hydrocarbon products.
The challenge we face, as did our predecessors, in maintaining such success in the forthcoming period, will require a wide portfolio of energy options and scenarios especially under the current skyrocketing energy demand.
To guarantee enough energy in the future, it is not anymore required to set action plans and policies with a wishful approach. On the contrary a pragmatic invasion of global, regional and indigenous problems will produce a dandy outcome.
It is time for suppliers and consumers to foresee the repercussions of our present actions and habits, and the failure to have the same affordable and reliable energy later.
The hydrocarbon industry is a long-term business. The new supply of hydrocarbons the world utilizes currently is available due to action plans and policies set by our industry over the last decade or more. Similarly, the decisions we set today regarding the whole value chain of our industry will likely reflect on the outcome for many years to come.
We devote remarkable resources and concerted efforts to recognizing, analyzing and assimilating these long-term dynamics. Though we never claim an ability to predict the future, we are always working to identity and analyze the trends and issues most likely to affect the long-term world energy business. Through this effort, we develop a planning framework based on what we see as the outlook for energy.
In some societies it is time to move from self-awareness to public-awareness to help extricate some of their habits and perceptions to energy consumption.
In better words such communities are not sure that one day they will be subject to severe energy phase-out due to their present attitude in draining their resources and this phenomenon might be a cause of a long enjoyment of social schemes i.e. subsidies etc. — or overwhelmed by cheap natural resources coupled with the lack in cultural energy preservation for the future.
It is time to blow trumpets, out of our responsibility towards global future generations and this will emphasise the outlook to multilateralism in coaching and changing the old methodology of having strategic commodities suppliers in one end and on the other end clients just consuming it.
Telecommunication has managed to shrink the world and I believe it is time for this tool to be utilized in an augmenting manner to address critical issues for the sake of sustaining a quality future. One of the most vital issues that has to be addressed is developing the scenario of a win-win responsibility between suppliers and customers in some communities where the drain of their resources is substantial and won't just reflect on their indigenous resources but on the global strategic scene.
It is our ultimate commitment to drive hard all means of securing our future prosperity and retaining the theme of prosperity as long as possible.
Iran-Pakistan-India Gas Pipeline For Regional Prosperity
H.E. Amanullah Khan Jadoon, Federal Minister For Petroleum And Natural Resources Of Pakistan
May 2008
H.E. Amanullah Khan Jadoon, Federal Minister for Petroleum and Natural Resources of Pakistan, outlines in this special article for the IEFS Newsletter his country's two-pronged strategy for enhancing gas supplies in support of economic development: accelerated domestic exploration and imports through pipelines and in the form of LNG. He underscores that not only Pakistan, but ... [ More ]
Iran-Pakistan-India Gas Pipeline For Regional Prosperity
H.E. Amanullah Khan Jadoon, Federal Minister For Petroleum And Natural Resources Of Pakistan
H.E. Amanullah Khan Jadoon, Federal Minister for Petroleum and Natural Resources of Pakistan, outlines in this special article for the IEFS Newsletter his country's two-pronged strategy for enhancing gas supplies in support of economic development: accelerated domestic exploration and imports through pipelines and in the form of LNG. He underscores that not only Pakistan, but the whole South Asia region will benefit from the Iran-Pakistan-India pipeline project as it will provide a foundation for future economic growth, peace and co-operation as well as contribute to more gas-driven and environment friendly energy economies of two major energy consuming countries.
Federal Minister for Petroleum and Natural Resources since September 2004, Mr Jadoon is an elected Member of the National Assembly representing the Pakistan Muslim League. He has earlier served as Federal Minister for Kashmir Affairs.
Pakistan's energy mix is dominated by oil and gas. Together they contribute 80% of 56 million tonnes of oil equivalent (MTOE) of primary energy supplies. The other sources include 8% coal, 11% hydro electricity and 1% nuclear electricity.
According to Government's projections in the Medium Term Development Framework (MTDF) plan, Pakistan's energy requirement will increase to over 360 MTOE in the next 25 years, more than half of which will have to be imported. Although according to this plan, contribution of oil and gas is projected to drop from the present 80% to about 64%, natural gas is still expected to meet 45% of the primary energy needs at the end of the twenty-five year period.
Pakistan is exploring various options to enhance its gas supplies which are assured, affordable and sustainable on long-term basis so as to maintain the current pace of economic development. To meet this challenge, Pakistan has adopted a two-pronged strategy focusing on: (a) accelerating domestic exploration efforts with more attractive package of incentives for producers; and (b) import of natural gas through transnational pipelines and in the form of liquefied natural gas.
One of the viable gas import options being pursued by Pakistan is import of gas from Iran to Pakistan and its extension to India. Iran as the owner of the world's second-largest proven natural gas reserves is keen to exploit this resource as a source for its revenues. The biggest potential customers of Iranian gas so far are Pakistan and India.
The Iran-Pakistan-India gas pipeline project envisages laying of 2,200 km on-land pipeline to transport gas for both the countries. The total cost of the project was estimated to be over USD seven billion in 2006.
Pakistan's Ministry of Petroleum and Natural Resources has constituted separate working groups with Iran and India to deliberate upon technical, legal, financial and commercial issues of the project. The working groups have held several one-to-one as well as joint meetings so far. Despite the complexities that naturally involve negotiating and executing such a project, progress has been achieved on key components of the project like signing of the term sheet, consensus on major items of the gas sale purchase agreement, broad understanding on project structure, and appointment of international advisors. A Pakistani advisory consortium led by PricewaterhouseCoopers has almost finalized pre-feasibility reports for the Pakistan segment of the project.
Further negotiations of the three parties are in hand to finalize this venture. The degree of earnestness displayed by all the parties, since all will benefit from it, allows us to assume an optimistic conclusion of the project.
Benefits to Pakistan
For Pakistan, the replacement of imported oil with imported gas will increase energy security both in terms of security of supply as well as security of price in view of the long term contract with dedicated source of supply and guaranteed consumption. It will give relief to the hard-pressed infrastructure of ports, roads and railways which are used in movement of imported oil upcountry. In addition, Pakistan will have a strategic advantage as a transit country.
Regional Prosperity
The South Asia region will benefit from the Iran-Pakistan-India pipeline project as it will provide a foundation for future economic growth, peace and cooperation throughout the region.
It will result in a shift towards more gas-driven and environment friendly energy economies of two major energy consuming countries. Significant direct and indirect economic benefits during the construction and over the life of the project will be generated through employment, transit fees, availability of clean fuel, economic and industrial growth. The project will create major investment opportunities for the entire region including downstream business.
Libyan Gas Exports: Broadening The Mediterranean Dimension Of Global Energy Security
H.E. Dr. Shokri Ghanem, The Chairman Of The National Oil Company Of Libya
April 2008
H.E. Shokri Ghanem, the Chairman of the National Oil Company of Libya, highlights in this special article for the Newsletter the potential of Libyan gas exports in the context of regional energy security along side Libya's increasing importance as exporter of oil to global markets. His perspectives have special relevance for the opening plenary session ... [ More ]
Libyan Gas Exports: Broadening The Mediterranean Dimension Of Global Energy Security
H.E. Dr. Shokri Ghanem, The Chairman Of The National Oil Company Of Libya
H.E. Shokri Ghanem, the Chairman of the National Oil Company of Libya, highlights in this special article for the Newsletter the potential of Libyan gas exports in the context of regional energy security along side Libya's increasing importance as exporter of oil to global markets. His perspectives have special relevance for the opening plenary session of the forthcoming 8th Offshore Mediterranean Conference organized jointly by the OMC and IEF Secretariat on the 'Mediterranean Dimension of Global Energy Security' in Ravenna, Italy on 28 March 2007. Dr. Ghanem will share his perspectives as a speaker at the session, which will be inaugurated by H.E. Pierluigi Bersani, Minister of Economic Development of Italy.
Prior to assuming his present position last year, a position with functions corresponding to those of Ministers of other countries, Dr. Ghanem served for three years as Secretary (Prime Minister) of the General People's Committee of Libya after serving as Secretary (Minister) of the General People's Committee from 2001-3. Following a distinguished academic career, he was Director of OPEC's Research Division from 1999-2003, the last two years also in charge of OPEC's Secretariat. Dr. Ghannem was selected 'Petroleum Executive of the Year for 2006' by the Energy Intelligence Group.
It gives me great pleasure to contribute to this edition of the International Energy Forum Secretariat Newsletter which will be published in time for presentation at the 8th Offshore Mediterranean Conference to be held in Ravenna in March 2007. I must also say that I was extremely delighted to participate in the 10th International Energy Forum Ministerial and the 2nd International Business Forum, which were held in Doha in April 2006. I certainly found the discussions with the Energy Ministers quite stimulating and definitely share their view that the International Energy Forum can play a pivoting role in bridging the gap between energy consuming and producing countries through deeper dialogue that activates cooperation and inhibits confrontation. I would also like to take this opportunity to stress the importance of enhancing the energy dialogue between the various energy players at all levels. Only through such a process can successful and lasting relations be achieved and global energy security addressed. As a case in point, the Libyan-Italian dialogue and cooperation experience, which has resulted in bringing the vast Libyan gas resources to the European market through what became known as the Western Libya Gas Project (WLGP), is worthy of special mention. This project, which was launched in 1999 and completed on schedule in 2004, and which involved the development of two large Libyan fields: the onshore Al-Wafa and the offshore Bahr Essalam fields, and the construction of the longest sub-sea pipeline in the Mediterranean (The Green Stream Pipeline) which currently supplies Europe with 8 BCM of gas per year, could not have been possible without the outstanding cooperation between NOC-Libya and ENI-Italy. Undoubtedly, the project has contributed both to the growth of Libyan economy and to the diversification of Europe's energy supplies.
Important Supplier
With the inauguration of the WLGP and the stepping up of exploration programs for both oil and gas, I believe that Libya, in addition to being a major supplier of oil, will become an important supplier of gas to Europe during the coming decades. Of course, Libya's role as a major oil producer will continue as well in view of the substantial proven oil reserves amounting to 39 billion barrels and the fact that there is great potential of discovering more oil since only 25% of the country is actually explored and even this area is not yet fully developed. Our policy aimed at opening more areas for exploration and attracting foreign investment through a highly competitive and a transparent process will see to it that, by 2015, Libya's oil production will once again reach 3 million bpd. However, Libya's potential of becoming an important gas producing country as well is just as great. To put this in perspective, with proved gas reserves of around 47 TCF, Libya is no stranger to the international gas market since it became in 1970 the second country in the world (after Algeria) to export LNG to Italy and Spain. Furthermore, with about 50% of these reserves being undeveloped, and the high possibility that the country's proved and probable gas reserves could be as high as 100 TCF, exports to Europe of pipeline gas and even LNG will ultimately increase in the years to come. More specifically, plans are already underway for doubling the capacity of the gas pipeline to Italy, revamping and expanding the capacity of the existing LNG plant, and even the possible construction of a new LNG plant. Certainly, the remarkable success of the previous three open bid rounds conducted during 2005 and 2006 stands as a testimony of Libya's great potential as an oil and gas producing country, and gas would definitely be the focus of the next exploration round to be launched in the first quarter of this year. Keeping all this in mind, I believe that Libya will play in the coming decades a major role in enhancing and broadening the Mediterranean dimension of global energy security.
Energy Interdependence - Harmony For Progress
H.E. Shri Murli Deora, Minister Of Petroleum & Natural Gas Of India
April 2008
An enormous challenge facing us today is ensuring reliable and affordable energy to the billions of people across the world. Inter-regional trading in crude oil and products accounts for over 50% of the global oil production. The global hydrocarbon supply chain is complex, covering large distances, different modes of transport spanning diverse geographical regions, a ... [ More ]
Energy Interdependence - Harmony For Progress
H.E. Shri Murli Deora, Minister Of Petroleum & Natural Gas Of India
An enormous challenge facing us today is ensuring reliable and affordable energy to the billions of people across the world. Inter-regional trading in crude oil and products accounts for over 50% of the global oil production. The global hydrocarbon supply chain is complex, covering large distances, different modes of transport spanning diverse geographical regions, a huge variety of products, etc. The supply chain is an important link between producer and consumer nations which drives the wheels of the modern global economy. Developing countries in Asia and Africa have to meet the growing energy needs of their people. Also, the geographical endowment of global hydrocarbon resources points towards an increasing interdependence in the future, with economies of both producing and consuming countries closely intertwined.
The turbulence in the international oil market over the past 5 years and record high oil prices are hard facts. The Speculators vs Fundamentals theory has generated a lot of debate but shed little light on the reasons for high oil prices. There is no denying the fact that structural shortcomings across the hydrocarbon supply chain are responsible for this situation and addressing them urgently should be a key focus for all of us.
Dialogue is the only method for addressing matters of such urgent concern in today's globalised world. India is committed to this principle of dialogue among oil producing and consuming nations, based on trust and mutual respect for one another. India has taken the initiative to strengthen the process of dialogue by hosting Ministerial Round Tables involving major Asian consumers and producers. The first Ministerial Round Table was held in January 2005 and saw the participation of Middle East producers and major Asian consumers. This was followed by another Ministerial Round Table in November 2005 for sharing of perspectives by North & Central Asian producers and Asian consumers.
India has made significant contributions to the supply chain, particularly in the refining sector. During the last 10 years, India's refining capacity has more than doubled from 62.2 million tons to 149 million tons. From a net product-importing nation, India has emerged as a major product export hub, with current exports of over 30 million tons. We have plans to add about 98 million tons of refining capacity in the medium term. In the area of exploration and production also, India has taken several initiatives. 6 rounds of the New Exploration and Licensing Policy (NELP), with attractive terms, have been held, inviting international bids and the seventh round is in progress currently. While we are relentlessly working on the domestic E&P sector, we are also encouraging Indian companies to take up E&P activities abroad. We believe in an investment climate that promotes free trade with lower barriers to investment. India will continue to strive to positively contribute to the world oil supply chain both in the Upstream and Downstream sectors.
India, an Executive Board member of the International Energy Forum Secretariat and co-host of the upcoming 11th IEF at Rome is committed to playing an active role in the emerging global energy scenario. The theme of the IEF 'Energy Dialogue to Respond to the Global Challenges' reflects the most pressing global concern today. Beginning with the first step of bringing the producers and consumers together to share their perspectives, the upcoming IEF ministerial round attempts to embark on a path of collective action to respond to the energy challenges facing us. This is indeed a giant step forward. I am optimistic that our collective efforts in this sphere will take us forward and enable us to confront issues in a cohesive and concerted manner.
Common Challenges Facing Energy Producers And Consumers
H.E. Chakib Khelil, Minister Of Energy And Mines Of Algeria, OPEC President
April 2008
The year 2008 could mark a milestone in the long history of petroleum, as the oil price crossed the highly symbolic threshold of $100 /barrel. This new development stirred debate all over the world, in oil exporting and importing countries, regarding its causes, sustainability and implications for both parties.Indeed, whereas some perceive it as cause ... [ More ]
Common Challenges Facing Energy Producers And Consumers
H.E. Chakib Khelil, Minister Of Energy And Mines Of Algeria, OPEC President
The year 2008 could mark a milestone in the long history of petroleum, as the oil price crossed the highly symbolic threshold of $100 /barrel. This new development stirred debate all over the world, in oil exporting and importing countries, regarding its causes, sustainability and implications for both parties.
Indeed, whereas some perceive it as cause for alarm, others look at it as though it was a mere short-lived spike, in the current cycle of the petroleum industry. Yet a serene analysis of the current price environment, allows some interesting observations.
· There is a consensus that the current price include a significant share (up to one third according to several analyses) due to non market fundamentals;
· The yearly average price for 2007 was still lower than the highs reached in the early 1980's, when put in real terms;
· The global economy has shown, over the last few years, a genuine resilience to this upward oil price path;
· The positive implications in terms of a more efficient use of a finite energy resource, less carbon emissions and a highly stimulating booster for the promotion of renewable energy sources, on the long transition road to a new economy.
From these observations, we can draw some conclusions regarding the challenges that the ongoing global energy trends raise for producers and consumers, but more importantly the multiple opportunities they offers for all stakeholders.
Indeed, if one third of the current price level is due to factors other than supply and demand, there is clearly room for producers and consumers to join force to reduce volatility, through better regulation of the speculative activities, increasing predictability, etc… OPEC has been calling for such joint effort through dialogues with various parties within the oil importing world but also with other oil and gas producers.
There is evidence today that the relatively slow expansion of the petroleum industry over recent years was to a great extent a result of the divestment in human capital over the previous two decades that followed the price collapse of the mid eighties. Industry should meet the challenge of balancing short term benefits of cost cutting, with the long term reward of a strong comparative advantage of investment in human resources, when opportunities are offered by the ever expanding global energy needs.
Algeria, like other petroleum exporting countries, has been actively looking for a shared solution to the common challenges facing oil producing and consuming countries. Hence, as an OPEC member it is an active proponent of dialogue with consumers, and as within the IEF it has been a committed member since its inception.
On the domestic front, Algeria has been for decades promoting the use of environmentally friendly energy carriers such as natural gas and LPG, to replace more polluting fuels. One positive side effect was to free more petroleum for export. For the same long period, Algerian oil industry has invested heavily to reduce flared gas to marginal levels. On the same track, Algeria has developed a major Carbon Capture and Storage (CCS) project in the gas prone region of In Salah, which is one the few such projects worldwide.
More recently, Algeria has launched an ambitious programme to develop the vast potential of its renewable energy sources, particularly solar. A first hybrid gas solar power plant, using the solar thermal technology is under construction and should be followed by others, with the objective of meeting 10% of the electricity need of the country by 2030 through renewable energy.
Apart from contributing to the dialogue and co-operation to meet the current challenge of stabilising oil market, Algeria is committed to implement an energy policy which includes environmental protection and to promote renewable energy sources. Thus, it is looking for co-operation with all stakeholders, including the industry and the research community to achieve its stated targets.
On the eve of our 11th International Energy Forum, we are looking forward to join force with interested parties to explore all avenues for co-operation to secure a sustainable energy path.
Consumers Facing Major Energy Challenges
H.E. Ali I. Al-Naimi, Minister Of Petroleum And Mineral Resources Of Saudi Arabia
April 2008
The first ministerial meeting between oil producers and consumers took place in the summer of 1991, seventeen years ago. Since then, the global petroleum and energy markets have confronted five major challenges.The first major challenge, which I call the development of a globalized oil market, started in the eighties and took on defined shape in ... [ More ]
Consumers Facing Major Energy Challenges
H.E. Ali I. Al-Naimi, Minister Of Petroleum And Mineral Resources Of Saudi Arabia
The first ministerial meeting between oil producers and consumers took place in the summer of 1991, seventeen years ago. Since then, the global petroleum and energy markets have confronted five major challenges.
The first major challenge, which I call the development of a globalized oil market, started in the eighties and took on defined shape in the nineties. The globalization of the oil market means that prices are decided freely within an open market, petroleum is directed to where the demand is, and buyers and sellers are fully integrated at the global level.
With the help of this globalized market, producers and consumers have been able to deal successfully with many problems with minimum impact on energy markets and wider economies. Crises such as the production cuts from Nigeria and Venezuela in early 2003, the halt of Iraqi oil exports in March 2003, the reduction of oil production from the Gulf of Mexico and damage to oil refineries in 2005 as a result of Hurricanes Katrina and Rita, and the loss of Alaskan production the following year were all met successfully within the context of this global market system. In other words, I believe this is a challenge we as producers and consumers have successfully met.
The second major challenge we are facing today is the recent flood of money into the oil futures markets from various directions, including hedge funds, institutional and individual investors, traders, and speculators. As an indicator of the scale of this development, I would note that paper markets have grown 45 times faster than physical markets over the last four years. Of course, there is a lot of debate about the impact of this new money and these new players in the oil market. Many experts believe that the influx of investments into the future oil market—which is also related to other financial developments such fluctuations in the value of major currencies, the sub-prime mortgage crisis, and interest rate movements—are behind the increase of oil prices during the last eight months.
The third challenge is reducing harmful emissions from fossil fuels while at the same time making sure these sources of energy are available to contribute to higher economic growth and human prosperity, especially within developing countries. In this regard, I believe that we should avoid political or individual economic self interest and focus instead on scientific and technological solutions such as carbon capture and storage, as well as efficiency in energy uses, cleaner burning fuel formulations, and more efficient engine designs.
The fourth challenge is dealing with the artificial fear about the availability of oil supplies, resources and production capacity. Frankly, I believe that this fear has neither a scientific nor an economic basis. Nevertheless, it is creating a perception of scarcity and is therefore helping to push oil prices higher and higher. Take for example the issue of petroleum resources: all respected petroleum engineers, geologists and upstream professional organizations believe that the world has enough petroleum resources to easily meet demand for at least the next 30 years. Yet, a handful of non-specialists are able to scare the world with theories about peaking oil reserves.
The second area related to fear and scarcity is the issue of production capacity. For example, we in Saudi Arabia have a current production capacity of 11.3 MB/D and 12.5 MB/D by year end 2009. Yet some people who have never actually visited Saudi Arabia and who have a limited scientific knowledge about production capacity and the oil industry in general (let alone the specifics of the
Kingdom"s oil industry) lower their estimates of Saudi production capacity to the range of 10 to 10.3 MB/D. Regardless of their motivation in low-balling their numbers, they create a fear of availability of oil in case of supply shortage which bolster oil prices.
The fifth challenge we face is the increasing level of engagement between food markets and production and energy markets and uses. For the last one hundred and fifty years, petroleum has been used to produce more and more and cheaper and cheaper food; at the moment, however, some food crops are being increasingly used as sources of energy for cars, planes and other transportation vehicles.
Let us leave aside the wisdom of such policies and practices, and for the moment simply note that the energy and food markets are increasingly interlocked, not only at a national level but also at the international level. This is a major issue for all of us, and it requires a logical, scientific and economic approach if we are to optimize both energy use and food production.
In sum, the last four challenges indicate that we as producers and consumers still have collaborative work to do if we are to resolve the concerns and problems which affect the wellbeing of our citizens. One method, among others, to deal with these challenges is to strengthen the existing framework we have for multilateral co-operation and collaboration which includes both the International Energy Forum and its Secretariat.
Dialogue And Co-operation: The Only Way Forward
H.E. Gholamhossein Nozari, Minister Of Oil Of Iran
April 2008
As Ministers and officials of the energy producing and consuming countries are gathering to meet in historical city of Rome for 11th International Energy forum, they can look back with some sense of satisfaction to achievements of the dialogue among themselves to tackle the numerous challenges in the international energy arena in the relatively short ... [ More ]
Dialogue And Co-operation: The Only Way Forward
H.E. Gholamhossein Nozari, Minister Of Oil Of Iran
As Ministers and officials of the energy producing and consuming countries are gathering to meet in historical city of Rome for 11th International Energy forum, they can look back with some sense of satisfaction to achievements of the dialogue among themselves to tackle the numerous challenges in the international energy arena in the relatively short history of this process.
As a founding member of OPEC and one of the pioneers in oil production which will mark its 100th year as an oil producer this June, Iran has always promoted dialogue with other producers and consumers, since we believe that the challenges in this area are so complex, no single group can claim to have solutions for them on its own. In this connection, we took practical steps in the early 1990s to invite major consumers and producers for a meeting in the historical city of Isfahan. The success of this initiative prompted participants to institutionalize the dialogue in following years.
The challenges our industry has had to face in recent years has become even more complex, making co-operation among all parties involved vital for the smooth functioning of energy markets. I hope this forum will be successful in bringing closer the viewpoints of producers and consumers of energy to ensure the long term stability of international energy markets.
· It is our strong belief that the energy industry is an industry of peace and requires political stability for unhindered flow of investment which is a pre-condition for security of energy supply.
· Some consumers attempt at channeling funds for alternative energy sources without due consideration to their economic viability. The resulting inventory stockpiling will heighten the concerns of producers about surplus capacity expansion.
· Investments in cleaner fossil fuels by developed consuming countries which possess financial resources and technological capabilities will not only address environmental concerns but also help the issue of security of supply and demand.
· The fact that current oil price levels have little to do with market fundamentals and are more responsive to issues such as US dollar weakness as well as political and geopolitical concerns, for the sake of market stability, the function of speculators in the paper markets needs to be addressed.
· The gas sector which is much more capital intensive, and natural gas which is the fuel of choice for its environmentalfriendliness, require greater support and encouragement from producers, consumers and the industry. All attempts must be directed to develop the required technology and financial resources.
· Co-operation in energy conservation and utilization in producing countries together with gradual elimination of subsidies will be a major step towards ensuring access to energy supplies. Both producers and consumers should implement policies supportive to this end.
The transfer of alternative energy technologies, especially nuclear energy and clean fossil fuels, which are being pursued by major consumers, is the legitimate right of all consumers. Although Iran is a major and reliable energy exporter, because of its young population, it has no choice but to utilize all accessible forms of energy including nuclear energy. Our approach to this issue is also non-political.
As Long As There Are Energy Producers And Consumers, We Will Need Dialogue
Mr. Nobuo Tanaka, IEA Executive Director
April 2008
Representatives from the International Energy Agency (IEA) were among the small group of participants in the first meeting of what was initially called the 'Producer-Consumer Dialogue,' which took place in Paris in 1991. This gathering, which sought to overcome the tensions between oil-producing and oil-consuming countries and focus instead on shared interests and concerns, was ... [ More ]
As Long As There Are Energy Producers And Consumers, We Will Need Dialogue
Mr. Nobuo Tanaka, IEA Executive Director
Representatives from the International Energy Agency (IEA) were among the small group of participants in the first meeting of what was initially called the 'Producer-Consumer Dialogue,' which took place in Paris in 1991. This gathering, which sought to overcome the tensions between oil-producing and oil-consuming countries and focus instead on shared interests and concerns, was unprecedented at the time. Seventeen years later, the 'dialogue' can only be called a great success, as Ministers and senior policy makers from over 90 countries have been invited to come to Rome for the 11th International Energy Forum (IEF) Ministerial meeting.
I would like to start by welcoming the new IEF Secretary General, Noé van Hulst. Mr. van Hulst brings a wide breadth of experience to this challenging position. A skilled policy maker with many years working on energy issues, he also spent over four years as one of the senior officials at the IEA. The IEF Secretariat will certainly flourish under his leadership.
Since its establishment in Riyadh in 2003, the IEF Secretariat has been given the mandate to further develop the 'dialogue' between oil- and gas- producing and consuming countries. In addition to supporting the organisation of the biennial Ministerial meetings, the IEF broadened its scope to include the energy industry. The International Energy Business Forum integrates top-level executives from the major energy companies into discussion with policymakers. This new dimension underscores the important role of industry in energy issues ranging from investment to technology. One potential area for future IEF activity could be ensuring the development of human resources in the energy sector given the current shortages of skilled personnel.
The role of the IEF in improving data collection and dissemination has also been instrumental. In particular, the IEF should be congratulated for its outstanding contribution in building and running the Joint Oil Data Initiative (JODI). More work needs to be done, however, and the IEA looks forward to continued close co-operation with the IEF to further improve the quality and timeliness of oil and, perhaps eventually, gas data. In addition to collaborating on data, statistics and other energy-related subjects, the IEA is pleased to serve on the IEFS Executive Board. These multiple and productive linkages between the secretariats ensure coordination and maximise the potential for synergies.
With oil prices surging past $100 per barrel and uncertainty characterising global energy markets, the ongoing dialogue between producers and consumers is more important than ever. The IEF is the appropriate facilitator, but member governments must provide both support and input. As Ministers convene in Rome, it is my hope that they will provide clear guidance for the future activities in which the IEF can add value.
In a relatively short time, the IEF secretariat has established a presence in the energy arena. The IEA is committed to continue its efforts to work and collaborate with the IEF. As long as there are energy producers and consumers, we will need dialogue.
The Role Of The IEF In Balancing The Interest Between Producers And Consumers
H.E. A. H. M. Fowzie, Minister Of Petroleum & Petroleum Resources Development Of Sri Lanka
April 2008
I recently had a very fruitful dialogue with my counterpart, His Excellency Ali Al- Naimi, Minister of Petroleum and Mineral Resources of the Kingdom of Saudi Arabia. We had a very cordial exchange of views particularly on the effect of the spiraling cost of fuel in the global market. While agreeing on the circumstances which ... [ More ]
The Role Of The IEF In Balancing The Interest Between Producers And Consumers
H.E. A. H. M. Fowzie, Minister Of Petroleum & Petroleum Resources Development Of Sri Lanka
I recently had a very fruitful dialogue with my counterpart, His Excellency Ali Al- Naimi, Minister of Petroleum and Mineral Resources of the Kingdom of Saudi Arabia. We had a very cordial exchange of views particularly on the effect of the spiraling cost of fuel in the global market. While agreeing on the circumstances which compel oil producing countries to increase prices, I am particularly concerned about the hardships faced by developing countries as consumers due to oil price increases.
The phenomenal rise in the price of oil has affected almost every country in the world except the producing countries; the most affected being the third world countries or the developing countries.
The recent astronomical rise in the price has caused the virtual collapse of the economies of several developing countries and this in turn has affected the living standards of the ordinary people, even the matter of procuring basic essentials has become a serious issue. Therefore, it is very important to focus on the economic situation of the consumer.
I am now representing a consumer country. But very soon I will also represent a producer country. Even when my country becomes a producer, my focus will be to protect the consumer.
The oil price hike has affected the economic growth and indeed created a high rate of inflation resulting in the prices sky-rocketing to an intolerable height.
Needless to state, that oil is the major energy source on which agricultural and industrial activities are based, and in the absence of any alternative sources of energy at the moment, even the activities in these two areas have slowed down. Developing countries now find it extremely difficult to achieve their development targets.
The negative effect of this price hike, apart from lowering the living standards of the people, has made democratically elected governments of the developing countries targets of terrorist activities and destabilizes elected governments.
These are issues of such vital importance that it is hardly necessary to emphasize the need to address them by the International Energy Forum (lEF) in its forthcoming Ministerial meeting to be held in Rome in the month of April 2008. The agenda would be a multilateral dialogue amongst the member countries to find remedies such as alternative sources of energy, not excluding an appropriate mechanism to prevent further increase in the prices.
I would like to put forward a couple of important suggestions to be considered at the forthcoming International Energy Forum. I suggest that it is appropriate to monitor the comparative price increases and take remedial measures to minimize the negative effects.
I would further suggest that the attention of leaders of oil producing countries be drawn to the establishment of a Fund through which a certain percentage of price increase can be used exclusively to compensate developing countries.
Ultimate Goal Is Full Transparency Of Agendas
H.E. Abdulla Bin Hamad Al-Attiyah, Deputy Premier, Minister Of Energy & Industry Of Qatar
April 2008
The first meeting of the energy producers and consumers that took place in Paris in 1991 was the start of the dialogue Marathon. Since 2000 the dialogue is continuing as the International Energy Forum (IEF).Since then, a permanent Secretariat has been established and, as of the Amsterdam Forum in 2004, the International Energy Business Forum ... [ More ]
Ultimate Goal Is Full Transparency Of Agendas
H.E. Abdulla Bin Hamad Al-Attiyah, Deputy Premier, Minister Of Energy & Industry Of Qatar
The first meeting of the energy producers and consumers that took place in Paris in 1991 was the start of the dialogue Marathon. Since 2000 the dialogue is continuing as the International Energy Forum (IEF).
Since then, a permanent Secretariat has been established and, as of the Amsterdam Forum in 2004, the International Energy Business Forum (IEBF), bringing together politicians and energy industry leaders, has preceded the Ministerial Forum. The IEBF has been a welcomed addition to the dialogue process as it gives the operators of the Energy Industry a unique platform to air their concerns and needs for a more efficient and timely response to the challenges they have to address.
JODI, the Joint Oil Data Initiative, managed by the IEF Secretariat is developing well and increased political support will greatly enhance its effectiveness and benefits. Presently, JODI is limited to oil and will in time cover natural gas and other important sources of energy so as to include more elements and factors that influence the global energy balance.
Irrespective of what topics are chosen for the different sessions of both, the Ministerial and those with the industry leaders, the objectives of the dialogue remain unchanged from those of the Paris meeting in 1991.
In setting the agenda for the Doha Forum, held in 2006, we revised the format to encourage discussions beyond the listed topics and allow participants to raise issues they considered important and relevant. The unprecedented number of bilateral discussions that took place throughout the Doha Forum was a good indicator of the level of willingness and desire for better understanding of issues and readiness for co-operation in attempting to bridge gaps and jointly move along the road that leads to agreed objectives of mutual benefits.
The ultimate goal of the dialogue will remain to be full transparency of agendas leading eventually to joint planning of the global energy balance. There are numerous keywords that can be used in the search for energy security, however, transparency and co-operation will remain the most important.
We hope and expect that the Rome 11th International Energy Forum and the 3rd International Energy Business Forum will achieve more for all involved. We strongly believe that we are on the right path and all will eventually harvest the fruits of our sincere efforts in making the dialogue successful.
The Need For An All-Embracing Dialogue
H.E. Michael Glos, Federal Minister Of Economics And Technology Of Germany
April 2008
The 11th International Energy Forum is taking place at a decisive juncture. More than ever before, the political agenda is dominated by the question of a secure, affordable and climate-friendly supply of energy. More than ever before, dialogue and co-operation are important.One issue in particular is predominant: the rising oil price. This issue was also ... [ More ]
The Need For An All-Embracing Dialogue
H.E. Michael Glos, Federal Minister Of Economics And Technology Of Germany
The 11th International Energy Forum is taking place at a decisive juncture. More than ever before, the political agenda is dominated by the question of a secure, affordable and climate-friendly supply of energy. More than ever before, dialogue and co-operation are important.
One issue in particular is predominant: the rising oil price. This issue was also at the heart of the last International Energy Forum in Doha. Anyone who hoped that the continuation of the dialogue outside the ministerial conference would steady the markets and bring about a lasting reduction in the price of oil has been disappointed. The oil price today is significantly higher.
For this reason, the International Energy Forum has taken on the task of co-ordinating a database for an exchange of information on the oil market. JODI, this first joint project, remains a vital task. We need a further improvement in transparency, and co-operation between the stakeholders needs to be expanded and consolidated. Timely, precise and reliable reports of all relevant data, and the participation of additional countries, are especially important.
Similarly, the concern about sufficient and timely investment to maintain a stable oil supply has become more pressing since Doha. Progress needs to be made on this.
There is no lack of explanations of the major fluctuations in price we have seen in recent years. Many stakeholders benefit from a high oil price - as long as demand does not collapse. On the other hand, a high oil price hits the poorest countries hardest. And it is also having an increasing impact on broad low-income sections of the population in less-poor countries. Energy bills are accounting for a rising proportion of consumer spending.
One key response to these challenges is energy efficiency. Energy saving is still the best energy source. Ensuring that energy is consumed economically, and giving top priority to energy efficiency, are not measures targeted against the producer countries.
On the contrary: efficient use of oil and energy conserves resources and thus extends their lifetime, not least in the interest of the producers.
This means that producers and consumers gain time in which to prepare for a future energy mix with a higher proportion of new energy sources. They should start using the time now - and they should do so together. An enormous market is going to develop here. That already seems clear today.
The International Energy Forum emerged in the light of two oil crises. So far, the emphasis has chiefly been on a secure supply of what is currently our most important and most versatile fuel. Oil will remain the dominant theme of our dialogue for a long time to come.
But this much is already clear: as the dialogue becomes deeper and more established, it fosters an understanding of the interests, perspectives and constraints on both sides - consumers and producers. In this way, trust is built up. Both sides are becoming more and more focused on the interrelationships of a future global energy policy. Alongside security of supply, other increasingly important topics include the energy mix, efficiency, technology and climate protection.
The International Energy Forum can make a major contribution to a global dialogue reaching beyond the traditional issues relating to the oil market. It is the only organisation of its type which is open to any country which has questions to ask about a secure and sustainable energy future.
I am glad that Germany can continue to support the work of the IEF, both as co-host at the 12th International Energy Forum in Mexico in 2010, and as a member of the Executive Board.
Producer-Consumer Dialogue From OPEC's Perspective
Mr. Abdalla Salem El-Badri, OPEC Secretary General
April 2008
One word: interdependence. In an era of globalisation, expanding international trade, instant mass communications, rapidly advancing technology and greater mobility; it is perhaps the word that most aptly fits the world in which we live.And at the heart of all this is the global energy system, something on which the whole world depends. It is ... [ More ]
Producer-Consumer Dialogue From OPEC's Perspective
Mr. Abdalla Salem El-Badri, OPEC Secretary General
One word: interdependence. In an era of globalisation, expanding international trade, instant mass communications, rapidly advancing technology and greater mobility; it is perhaps the word that most aptly fits the world in which we live.
And at the heart of all this is the global energy system, something on which the whole world depends. It is a system that is finely balanced and one where stability must be the mantra. The right decisions need to be made, as the interrelationships between economic growth, social progress, energy security and the protection of the environment become ever more fundamental. OPEC attaches great importance to this, which can be viewed in the Riyadh Declaration that concluded the Third OPEC Summit of Heads of State and Government in Saudi Arabia last November.
The Organization has long recognised the importance of adopting a multilateral approach to the producer-consumer dialogue. This includes being actively involved with the International Energy Forum Secretariat and the development of the Joint Oil Data Initiative (JODI), as well as conducting energy dialogues with the European Union, China, Russia, a number of other non-OPEC producers and the International Energy Agency.
As an industry inclusivity is paramount. We must continue to push existing and new avenues of co-operation with innovative thinking, collaboration, timely adaptation and swift action on key issues. It begs the question: what areas should we be looking at?
Whilst JODI has made much welcome headway in advancing the provision of accurate, reliable and timely data, improvements can still be made to ensure a better understanding of the market. We all know that certainty is vital. None of us want the volatility that has characterized the recent past, since it is damaging to all responsible parties.
What is important is to recognize that we are not just talking about historical data. For example, recent energy and environmental policy initiatives, involving subsidies for competing fuels and higher tax rates, tend to push towards a reduction in oil demand. We need to know exactly how these will play out given the long-lead times and major investments required. Over- or underinvestment is not conducive to a well-balanced market.
Technology is an important area too, particularly in the promotion of cleaner fossil fuel technologies. This was highlighted at the recent OPEC Summit, with four Member Countries - Saudi Arabia, Kuwait, Qatar and the UAE - announcing that they would contribute a total of $750 million towards funding research into energy, the environment and climate change.
One such technology is carbon dioxide capture and storage, which is a proven technology and has a large economic mitigation potential. What needs to be recognized, however, is that developed countries, bearing the historical responsibility, and having the technological and financial capabilities, should take the lead in the development and deployment of this technology, as well as in its transfer to developing countries.
The human resource is a further area of concern and the difficulties in finding and hiring skilled labour need to be addressed at a global level. This means concerted efforts to restore this essential capacity, by facilitating education and training in energy disciplines, and making the industry an attractive career choice.
What is clear is that we need to co-operate with each other to promote synergies and drive real change in our industry that benefits all parties. Not just as producers and consumers, National Oil Companies and International Oil Companies, but as partners working together towards the shared objective of a stable and sustainable energy future in an increasingly interdependent world.
H.E. Georgina Kessel, Minister Of Energy Of Mexico
April 2008
The world is concerned about energy security, and justifiably so. Headlines trumpet the news of ever higher oil prices and warn of the dangers of global warming. Finding alternative sources of energy to complement existing resources and address these concerns is crucial. Various key actors in the world's energy markets are already making decisions that ... [ More ]
Perspectives For International Energy
H.E. Georgina Kessel, Minister Of Energy Of Mexico
The world is concerned about energy security, and justifiably so. Headlines trumpet the news of ever higher oil prices and warn of the dangers of global warming. Finding alternative sources of energy to complement existing resources and address these concerns is crucial. Various key actors in the world's energy markets are already making decisions that will have a major impact on the fortunes of virtually every nation on earth. Our collective economic well-being is at stake.
Mexico shares these concerns. As one of the world´s main oil exporters---and also as a growing importer of oil products and energy technologies---Mexico has a considerable interest in stable energy markets.
It is crucial that energy prices reflect the true cost of bringing new resources to market for the consumers that need them. As a producer, we need to receive fair compensation for our oil reserves; as a consumer, we need to supply our domestic needs at prices that are consistent with economic growth. And like most countries, Mexico is vulnerable to the increasing effects of global warming. At the forefront of our energy strategy, we stress responsible policies that are compatible with sustainable development.
Mexico shares these concerns with many countries, and we know that they cannot be addressed unilaterally.
International energy markets are far more integrated today than in the past century, when the first serious initiatives for energy co-operation appeared. One result of this has been to make it abundantly clear that, at least in energy matters, we are all in the same boat. If we hope to overcome the world´s current energy challenges, we desperately need greater dialogue, consultation, and effective co-operation between producers and consumers.
In an effort to promote closer energy relations and co-operation, Mexico has joined its neighbours to the North and South, as well as its partners in other regions. Mexico has worked to improve energy access and technical capacity in Central America. At the same time, we have participated in the drafting of conventions that allow for the peaceful use of nuclear energy.
Along the way, Mexico has worked to establish efficiency standards, improve the collection of statistical information regarding supply and demand, and develop new energy links for all of North America. Looking forward, we have appealed to our friends and partners throughout the world for greater scientific co-operation. Through bilateral and multilateral dialogue, we seek new and visionary ways to address our own challenges, as well as to help solve those of the international community.
Make no mistake, the struggle we face will be a battle. If we are to win, we must work more closely with international financial institutions, agencies for international co-operation, and other organizations to facilitate the construction of infrastructure in less-developed countries. In many developing nations, the lack of terminals, ports, roads, and other necessary facilities make it virtually impossible to realize the potential for energy co-operation. In short, there is insufficient funding for energy projects throughout the world, and the situation is worst in the regions that need it the most.
Mexico is delighted to participate in the 11th IEF, and we are honored to have been selected as host of the next IEF in 2010. We realize that this is a great responsibility. We accept the challenge, and we undertake it both solemnly and enthusiastically. Mexico is an emerging market with a strategic---if not pivotal---position, placed by fate between the developed and developing economic regions of the world. Our experience helps us to understand the needs of all regions; we believe that Mexico is ideally suited to help build bridges of co-operation between all countries…bridges that the world desperately needs.
H.E. Sameh Fahmy, Minister Of Petroleum Of Egypt
July 2007
H.E. Sameh Fahmy, the Minister of Petroleum of Egypt, underscores from the Ministers' Rostrum the need for more international co-operation, "true multilateralism", in dealing with global energy challenges. As we approach the next IEF Ministerial, he identifies some key forces that will shape the future of energy. He underscores Egypt's focus on producer-consumer dialogue as ... [ More ]
The Outlook To Multilateralism
H.E. Sameh Fahmy, Minister Of Petroleum Of Egypt
H.E. Sameh Fahmy, the Minister of Petroleum of Egypt, underscores from the Ministers' Rostrum the need for more international co-operation, "true multilateralism", in dealing with global energy challenges. As we approach the next IEF Ministerial, he identifies some key forces that will shape the future of energy. He underscores Egypt's focus on producer-consumer dialogue as a multilateral relationship and that Egyptian energy interests in the Mediterranean basin and elsewhere remain multilateral.
Minister Fahmy convened the "First Global Energy Roundtable" of regional energy ministers in Cairo in November 2006. He delivered a keynote address to the IEFS-OMC joint plenary session on "the Mediterranean Dimension of Global Energy Security" at the 8th Offshore Mediterranean Conference in Ravenna, Italy in March 2007.
Minister Fahmy is also a Member of the Shoura Council of Egypt. Before being appointed Minister in 1999, he served as Chairman and Chief Operating Officer of Middle East Oil Refinery and Middle East Tankage and Pipelines and earlier held various positions in the Egyptian General Petroleum Corporation.
As we approach the 11th IEF Ministerial in Rome next year, I would like to contribute some thoughts on the outlook to multi-lateralism from the Ministers' Rostrum of the Newsletter.
As we know, the energy world is facing uncertain times and there is much discussion as to how the world will look in the future. A vital part of the world order has always been the importance and reliance on partnerships, alliances and global institutions in dealing with the world's challenges.
However, given the size of the current challenges, neither individual nation states nor even regional groups of states are large and powerful enough to face these issues. We all need more, not less, international cooperation. We need true multilateralism.
In attempting to set that scene, I will try to take a general view of the current state of our industry and will seek to identify what I believe are some of the key forces that will shape the future of energy over the next two or three decades and possibly beyond.
We live in a number of different worlds, the traditional world of upstream has had to move searching for and developing more difficult reservoirs. Additionally, we must make the most of existing fields using innovative technology. Although important new discoveries will continue to be made both in established producing basins and some frontier areas, they are unlikely to change the distribution of hydrocarbons on our planet significantly.
If we accept this, then most of the oil demand growth in the coming decades will have to be met from the Middle East and Latin America and having Egypt in the hub of the energy world in addition to its unique location being on one of the most busy marine routes worldwide so our energy interests will be and remain multi-lateral within the Mediterranean basin and others regions.
It is also worth mentioning that gas demand is substantially escalating due to the world currently demanding cleaner energy. Developing countries can, by using more gas, avoid much of the environmental pollution of the early stages of industrialization. In addition, also the rise of new gas technologies will have a major impact on demand in both developed and developing countries over the next decades.
If we foresee great changes in the world of gas, what do we have to say about prospects for the oil products businesses of manufacturing, marine and marketing? Here we find ourselves in yet another world. A world of contrasts with the lack of capacity in refining in the slow-growing markets of Europe and North America and too many tankers chasing too few cargoes and yet rapidly growing economies in the Asia-Pacific region, India and Latin America, which require massive investments in infrastructure if their needs are to be satisfied.
In today's media, we are presented with dramatic images demonstrating the effects of environmental degradation. Many questions remain unanswered e.g.
What are the facts about urban air pollution?
The Global Warming phenomena?
A New Paradigm Of Energy Security
H.E. Samuel W. Bodman, Secretary Of Energy Of The United States Of America
July 2007
Prior to assuming the position of Secretary of Energy in February 2005, H.E. Samuel W. Bodman served as Deputy Secretary of the Commerce Department from 2001 and Deputy Secretary of the Treasury Department from 2003. Before joining the Administration of President George W. Bush, Secretary Bodman, a Sc.D. in chemical engineering from the M.I.T., was ... [ More ]
A New Paradigm Of Energy Security
H.E. Samuel W. Bodman, Secretary Of Energy Of The United States Of America
Prior to assuming the position of Secretary of Energy in February 2005, H.E. Samuel W. Bodman served as Deputy Secretary of the Commerce Department from 2001 and Deputy Secretary of the Treasury Department from 2003. Before joining the Administration of President George W. Bush, Secretary Bodman, a Sc.D. in chemical engineering from the M.I.T., was Chairman and Chief Executive Officer of Cabot Corp., a multinational chemicals and specialty materials company.
It is well known that global demand for energy is rising rapidly and will continue to do so. By 2030 global energy consumption is projected to grow by over 50 percent, with 70 percent of that growth coming from the world's emerging economies. And as all nations prepare to meet this growing demand, we also must confront some realities about our current situation: that most economies around the world are fundamentally hydrocarbon-based; that fossil fuels are often in places that are geographically hard to reach and geologically difficult to develop; that disruptions in global supply can harm developed and developing nations alike; and, of course, that we must address the realities of global climate change.
For all nations of the world, it is clear that we need a secure, clean and affordable supply of energy. Our collective ability to attain such an energy future is directly related to: whether or not our economies will grow and our people will prosper; whether or not our industries will operate efficiently; whether or not our earth's climate will worsen or improve; and perhaps most importantly, whether or not our people will be safe and secure. And the scale and scope of the challenges we face will only grow more pressing over time, as traditional sources of energy become more stretched and demand continues to grow.
Given this reality, President Bush has committed the United States to a path to a more secure energy future. And further, we believe it is time for the world community to embrace a new paradigm of energy security and acknowledge that the international nature of this problem requires coordinated action on a global scale. To that end, the United States has proposed five co-operative global goals for all nations who join us in choosing the path of responsible action.
Five Goals
First, we must diversify the available supply of conventional fuels and expand production.
We need not only expanded supply from existing sources, but as importantly, we need more producers supplying global and regional markets. Diversification of supply will help to defuse the risks of supply disruptions from any one source. But in order to achieve this, we need stable regulatory frameworks, open investment climates, adherence to the rule of law, and market-based pricing of energy resources.
The second goal is related to the first: we must diversify our energy portfolios by expanding the use of alternative and renewable sources.
Diversification toward alternatives could greatly relieve pressure on markets for conventional sources over time, while also addressing environmental concerns. Among other measures, we must enhance the use of nuclear and renewable electricity generation in the power sector and develop alternative fuels such as hydrogen, biodiesel and cellulosic ethanol for our transportation sectors.
The third goal: we must promote increased energy efficiency and conservation measures.
On a global scale, we must continue to encourage consumers to choose energy-efficient vehicles and products. All nations also must reduce the energy intensity of our industries. And, we can all do more to strengthen our cooperation with developing countries to encourage policies that will ensure economic growth and responsible energy use.
Progress on expanding our use of alternatives and increasing global energy efficiency will move us toward a fourth goal: we must take steps to improve our earth's environment to reduce pollution and the emissions intensity of the global economy.
Human activity is contributing to changes in our earth's climate. There is no question that this is a serious challenge. And so, the focus must continue to be on developing and deploying solutions that are technically and economically sound.
The final goal: we must maintain the global energy supply system and protect critical energy infrastructure to ensure a more resilient, secure and less volatile market.
Delivering energy resources is as important as gaining access to them - and the governments of the world are uniquely positioned to achieve this goal in a coordinated way. All nations should take steps to protect and modernize critical energy infrastructure, safeguard sea lanes, and facilitate multiple delivery routes. At the same time, we must be prepared to address any severe supply disruption by maintaining adequate strategic reserves and using them in a coordinated fashion.
A New Paradigm
Agreement on these five goals will define a new coalition of countries committed to a peaceful, secure and environmentally responsible energy future. And the International Energy Forum will continue to play an important role in achieving this new paradigm. Through its efforts to bring together energy producers and consumers, to enhance market transparency, and to recognize the crucial role of industry, the IEF will help us all meet our energy challenges.
The world has certainly united around issues of common cause before, and I would argue that there are few more compelling global concerns today than the need for a safe, affordable and clean energy supply.
External Energy Security
H.E. Benita Ferrero-Waldner, Member Of The European Commission And Commissioner For External Relations And European Neighbourhood Policy
July 2007
H.E. Benita Ferrero-Waldner, Member of the European Commission and Commissioner for External Relations and European Neighbourhood Policy, outlines from the Ministers' Rostrum efforts to develop a focused external energy security policy as an integral part of the EU's foreign policy in a new global energy landscape. Cautioning that the world no longer can take secure ... [ More ]
External Energy Security
H.E. Benita Ferrero-Waldner, Member Of The European Commission And Commissioner For External Relations And European Neighbourhood Policy
H.E. Benita Ferrero-Waldner, Member of the European Commission and Commissioner for External Relations and European Neighbourhood Policy, outlines from the Ministers' Rostrum efforts to develop a focused external energy security policy as an integral part of the EU's foreign policy in a new global energy landscape. Cautioning that the world no longer can take secure and affordable energy for granted, Commissioner Ferrero-Waldner notes internal and external measures to be taken and recognizes the important role that the International Energy Forum has to play in reminding producer, consumer and transit countries of their common interest in a non-discriminatory and competitive world energy market. Commissioner Ferrero-Waldner and Energy Commissioner A. Piebalgs convened a Conference on the EU's External Energy Policy in Brussels in November 2006, which the Secretariat was honoured to attend.
Before assuming her present position in 2004, Commissioner Ferrero-Waldner, served as Federal Minister of Foreign Affairs of Austria from 2000. Prior to being appointed Minister, she served as State Secretary for Foreign Affairs from 1995. Her earlier positions include that of Chief of Protocol of the United Nations Secretariat in New York and posts in the foreign service of Austria.
The world has recently entered a new energy landscape. After a long period of relative stability we can no longer take secure and affordable energy supplies for granted.
We see the rising demand for energy imports from an increasing number of countries, declining production from the mature hydrocarbon reserves in Europe and America, the pressing challenge of tackling climate change, and the high and volatile energy prices that are a combination of more than a decade of underinvestment in many producing areas as well as increasing geopolitical complexities and risks surrounding energy supply and transportation. Security of energy supply is at the top of the political and business agenda.
Within the EU, there is a growing consensus on the importance and advantages of our 27 Member States' working together. The energy package proposed by the Commission in January and endorsed at the European Council in March has established a clear action plan to start tackling these challenges - both internally and externally.
Internally, this includes the achievement of a genuine EU-wide internal energy market; plans to link up Member States' energy infrastructure; increasing the solidarity over national oil stocks and examining options for increasing gas security, improvement of energy efficiency by 20% by 2020, a binding overall EU target of 20% of renewable energy by 2020, a binding minimum target of 10% of biofuels in the transport sector by 2020 and the development of a European Strategic Energy Technology Plan.
These are internal measures that the EU itself can take by itself. Nevertheless, our demand for fossil fuels is likely to continue to grow, and these resources will increasingly have to be supplied by countries outside the EU.
However, we have to recognise that this carries certain additional technical and political risks - risks such as disruptions in supplies caused by technical problems with pipelines resulting from a lack of sufficient maintenance or investment, specific adverse climatic conditions or the increasing threat of terrorism. There are also concerns in many major consumer countries that, in the current market conditions, supplier countries may try to use their market power in an uncompetitive or even political manner.
These concerns need to be addressed in a pragmatic way. Our relationships in the energy sector are and must remain mutually beneficial. The energy that the EU for example buys from producer countries contributes very significantly to their economic growth and the improved living conditions of their populations. In turn, the stable flow of reasonably priced energy remains an important motor for Europe's economic growth.
At the EU level, there has been a clear focus over the past year on developing a focused external energy security policy as an integral part of the EU's foreign policy. This was confirmed at the March European Council, which defined an action plan to 2009 that prioritises consumer-to-producer as well as consumer-to-consumer and consumer-to-transit countries dialogues and partnerships. This is where the International Energy Forum has an important role to play: to remind producer, consumer and transit countries that they all have a common interest in a non-discriminatory and competitive world energy market.
Facilitating objective discussions on issues of concern and encouraging all participants to recognise the commonality of their interests is the most effective way of ensuring global energy security and of underpinning global economic growth. This, combined with a proactive approach to the post-20l2 negotiations on climate change, is the cornerstone to ensuring global energy sustainability.
A Key To Global Energy Security
H.E. Akira Amari, Minister Of Economy, Trade And Industry Of Japan
April 2007
H.E. Akira Amari was appointed Minister of Economy, Trade and Industry in September 2006. He has held many senior government positions, including those of Parliamentary Vice-Minister of International Trade and Industry, Minister of Labour, and more recently as the Acting Chairman of the Policy Research Council.Addressing crucial energy challenges through a dialogue between producers and ... [ More ]
A Key To Global Energy Security
H.E. Akira Amari, Minister Of Economy, Trade And Industry Of Japan
H.E. Akira Amari was appointed Minister of Economy, Trade and Industry in September 2006. He has held many senior government positions, including those of Parliamentary Vice-Minister of International Trade and Industry, Minister of Labour, and more recently as the Acting Chairman of the Policy Research Council.
Addressing crucial energy challenges through a dialogue between producers and consumers is an essential task and a key to global energy security. In particular, the International Energy Forum, which brings together some 60 energy producers and consumers from around the world, together with major international organs, serves as the most important arena for producer-consumer dialogue. The Joint Oil Data Initiative, operated by the IEF Secretariat, plays a significant role in the efforts for information sharing among energy producers and consumers, thus enhancing market transparency and stabilizing the international oil market.
The current situation brought on by high crude oil prices, which currently hover at around US$60 a barrel, may be likened to a 'quasi-Oil Crisis,' although the price volatility has diminished recently. While high crude oil prices are attributable to increasing demand primarily in newly emerging nations, it is difficult to deny that insufficient upstream investment on the supply side has also played a significant part. The slow-paced growth of the present supply capacity may be ascribed to a slowdown in upstream investment during a period from the late 1980's to the 1990's in which crude oil prices remained rather stable at low levels below $20 a barrel.
In the future, global energy demand is projected to further expand by 50% by 2030. Massive investment, estimated at around $20 trillion, including $8 trillion in the oil/gas sector, will be required to respond to such huge growth in demand. To secure stable supplies in line with the surging global energy demand, it is essential that both oil producing and consuming countries ensure necessary investment in all stages from upstream to downstream, and launch efforts to ensure market stabilization.
It is worth noting, however, that oil producing countries and/or regions where the entry of foreign capital has been restricted are said to control about half the world's total oil reserves. Also, nationalistic moves to monopolize resources that have surfaced in some resource-rich countries are a cause of concern. This calls for the need for producers and consumers to share a common understanding that foreign investment accompanied by the introduction of new technology would serve the benefit of both parties. Moreover, stable, long-term returns commensurate with high investment risks are crucial to energy sector investment, which points to the importance of a transparent, stable and highly reliable legal and regulatory framework in the producing countries.
In response to the burgeoning global energy demand, we in the energy consuming countries will need to secure necessary investment in energy-related infrastructure including oil refineries and related facilities through the promotion of national understanding on the importance of energy infrastructure, rationalization of the approval and licensing processes, and other means. Also, it is important to direct the necessary investment into the technological development of exploration, drilling and other operations to mitigate the technological and financial risks involved in upstream development as well as related areas.
As a member of the Executive Board of the IEF Secretariat, Japan is dedicated to making a positive contribution to the 11th IEF to be held in Rome in spring 2008. In May this year, Saudi Arabia and Japan will co-host in Riyadh the Asian Regional Petroleum Cooperation Second Roundtable Meeting, which will provide a stage for discussions among major producers and consumers in Asia. Japan hopes to build on the achievement of the Roundtable for the greater success of the 11th IEF.
The Japanese government believes in the importance of collaboration between the IEF and related international organizations including the IEA. Mr. Nobuo Tanaka, formerly of Japan's METI, has been appointed as the next IEA Executive Director. Japan is committed to give more support for the enhanced collaboration between the IEF and the IEA.
H.E. Erik Solheim, Minister For International Development Of Norway
April 2007
H.E. Erik Solheim, Minister for International Development of Norway since September 2005, underscores in this special article from the Ministers' Rostrum the importance of the petroleum sector for developing countries. He presents Norway's "Oil for Development" programme that focuses on good governance, transparency and anti-corruption with regard to resource and revenue management as well as ... [ More ]
Oil For Development
H.E. Erik Solheim, Minister For International Development Of Norway
H.E. Erik Solheim, Minister for International Development of Norway since September 2005, underscores in this special article from the Ministers' Rostrum the importance of the petroleum sector for developing countries. He presents Norway's "Oil for Development" programme that focuses on good governance, transparency and anti-corruption with regard to resource and revenue management as well as environmental protection. He reconfirms Norway's strong support to the Joint Oil Data Initiative managed by the IEF Secretariat.
Norway has, within the "Oil for Development" programme provided the Secretariat with a special financial grant to promote JODI among developing countries, additional to Norway's generous annual financial contributions to Secretariat activities. Norway co-sponsored the Regional JODI Training Workshop organized by the IEF Secretariat and the Ministry of Minerals and Energy of South Africa in Johannesburg 30 January to 2 February this year.
Mr. Solheim has long played a prominent role in Norwegian politics and was the leader of the Socialist Left Party from 1987-1997. He is internationally known for his role as peace facilitator in Sri Lanka.
Energy security, climate change, government transparency, corruption and prosperity are words all closely linked with oil - for good and for bad. As a Minister for International Development, I am concerned, but also optimistic, about the increasing shift of investments that we see in the petroleum sector, from developed countries to some of the world's poorest countries. Facing the challenges of good governance, corruption and wealth creation becomes more important than ever. Environmental degradation is yet another consequence of corrupt systems, contrary to environmental protection being a result of good governance. In the 1960s, international oil companies came to Norway with many "good offers" for extracting Norway's oil resources, one was to take on exclusive rights to our entire continental shelf. Jens Evensen, a key government official, wisely responded: "We understand you are interested in exploring for oil in the North Sea. We hold the rights to this and we do not intend to grant any license before we know what we are doing. We quite simply give you a challenge: Educate us!" I am deeply honoured by the many governments now seeking our advice. Norway has a responsibility to share its experience.
Norway's "Oil for Development" programme was launched focusing on good governance, transparency and anti-corruption. The initiative builds on three main thematic pillars: resource management, revenue management and environmental protection. Cooperation under the initiative include several countries, one is Timor Leste, the world's youngest, and one of the poorest countries in the world. Lacking basic competence and government structure, the securing of the petroleum revenues was at stake for Timor Leste, as it was for Norway 40 years ago. Support includes institution building, legal framework, petroleum fund, transparent licensing system and education. Added revenues to the East Timor nation of more than USD 10 billion over the next 20 years have been secured through tough negotiations with neighbouring countries. The Oil for Development team provided support to this, as it did in securing the legal framework to pass Parliament in 2005. The "sustainable" income from the established Petroleum Fund (reached USD 1 billion) will from this year be available to the benefit of the young nation. The 1st offshore license round has been successfully completed in a transparent process. The first Timor Leste students supported by the initiative will graduate from universities next year. Oil for Development has become a pillar of Norway's development work. I am convinced that this initiative - together with others - will give sufficient impact to make the petroleum industry more transparent and environmentally sustainable. I will mention three such initiatives supported by Norway and also highlighted at the G8 summits at Gleneagles and St. Petersburg.
Three Initiatives
The Joint Oil Data Initiative (JODI) has proved an important tool for establishing more transparent and reliable oil statistics. My compliments to the Secretariat of the International Energy Forum, co-ordinating the initiative, today with more than 90 countries providing data, and with the recent successful training workshop for officials from sub-Saharan African developing countries in Johannesburg, which Norway was happy to co-sponsor.
The Extractive Industries Transparency Initiative - EITI launched by British Prime Minister Tony Blair at the 2002 Johannesburg Summit, supports improved governance in resource-rich countries through the full publication and verification of company payments and government revenues from oil, gas and mining. I am proud to accept to host the EITI Secretariat for the next period, following the UK.
The Global Gas Flaring Reduction Initiative (GGFR) was launched by the World Bank and Norway, also at the Johannesburg Summit. Most of the gas flared today - 85% - is flared in developing countries. This equals 25% of the US gas consumption!
Norway will take active part when Ministers meet at the 15th Session of the United Nations Commission on Sustainable Development in New York in May to further discuss some of these most important challenges that the world is facing.
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Sulphur/sulfur dioxide and (various) nitrogen oxides are the main contributory factors in what unhelpful environmental effect?
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Sulphur/sulfur dioxide and (various) nitrogen oxi... - Brainly.in
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Acid rain...........
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Acid rain
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What structural modification of oxygen is an air pollutant in the lower atmosphere but beneficial in the upper atmosphere?
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Energy for sustenance & growth
Energy for sustenance & growth
Tracking the developments in the energy sector...
Friday, June 5, 2015
World Environment Day 2015 Quiz
Wishing you all a Happy Environment Day!!
Here are the questions of the World Environment Day 2015 Quiz by our HSE team for our customers & GoLNG team:
A photovoltaic module is more commonly known as what?
Sulphur/sulfur dioxide and (various) nitrogen oxides are the main contributory factors in what unhelpful environmental effect:
Acid rain
Global warming
Pesticides?
What structural modification of oxygen is an air pollutant in the lower atmosphere but beneficial in the upper atmosphere?
From the Greek root words for 'house' and 'study of' what term refers to the scientific study of the relationship between living things, and their natural environment?
Of the following burning fossil fuels, which is considered to be the cleanest?
Coal
The world's first commercial tidal power station was installed in 2007. Where was it?
France
Japan
Germany
Which is the first state to implement the path-breaking proposal that environment should be included as a separate subject in schools?
Delhi
Kerala
Tamil Nadu
Name the gas released from landfills, decaying organic matter under shallow water in marshes and bogs, flooded paddy fields, by ruminant animals & termites, and by the burning of biomass. A molecule of this gas has 21 times more global warming potential than a molecule of CO2.
Sulphur dioxide
Ammonia
Nitrous Oxide
Hazardous waste is generated mainly by the industrial sector. It not only causes harm to the environment but also leads to health problems. A small percentage of the hazardous waste is also generated in the house. One of the following is a hazardous waste that is generated in the house.
Paper
Old batteries
Plastic bags
A much cheaper and lighter fuel extracted from crude oil is used to adulterate petrol in the ratio 3:1 (adulterant : petrol). It causes damage to the vehicle engine, besides leading to high emission levels. Name this common adulterant of petrol that most easily escapes detection.
Diesel
Pls identify any 5 Hazards in the following Picture:
Answers to follow tomorrow!!
Back to the Green Commute (or How to Potentialy Save Around $ 200 Million Annually in Crude Imports)
Its the time of the year when I help my bicycle work off the rust it has gathered during the summer & monsoon months. I began this exercise last year & have resumed it for this year too.
For most of the rest of the year, the only exercise I claim to do during the day is waking up! But during the months when temperature drops to bearable levels (mid-Oct to mid-Feb), cycling is one physical activity that I can sustain. I have tried the morning/evening walks & jogs, but I am too lazy to carry it beyond a few days. Not cycling, though. It helps that I take it to work (some 12 kms twice a day), so that I am forced to pedal twice a day. And this really works!!
Apart from the health benefits (see adjoining figure, also trending on Facebook) associated with cycling, that have been well documented, there are other benefits (tangible & intangible) too that you can consider as the catalysts to take up this clean, green & healthy habit:
You get a high when you sweat during the coldest Dec/Jan mornings, while all around are you are draped in their woolens.
Even after putting in full day's worth at the office, you don't feel tired & drained when you get back after the long ride home. You realize this when you not only finish reading the day's newspaper and also get to see some late night television, but are out of bed the next morning feeling totally refreshed!
When other users do not compete with you to occupy road space & when they (and you too) are not bothered about who gets ahead & stays ahead, it makes the commute very pleasing.
Bothered by a Traffic Jam? Simply pick up your bike & coolly move ahead leaving behind the envious 2- & 4-wheelers!
You get enough time to see things around you without worrying about crashing into someone or running over something, thus getting a real-time update about the changes taking place in the cityscape.
The satisfaction of not increasing the din in the already noisy streets is experienced exclusively by the cyclists.
You become the role model for your colleagues, friends & neighbours. If this is not exhilarating enough, consider the fact that most of them wish to emulate you but are unable to do so!
The perverse pleasure you get when you park your vehicle besides a super premium car inside hotel parking. During an offsite programme, I placed my bicycle besides an Audi SUV. End of the day, colleagues from other locations swarmed around my vehicle clearly ignoring the exorbitantly priced, fuel guzzler parked besides it. The owner would have definitely suffered from a severe attack of inferiority complex had he been around to witness it!!
My daughter picked up this dialogue from Chennai Express - "Don't underestimate the power of the common man". Unlike SRK, I feel this everyday when I am on my bicycle & my fellow occupants of the road give me enough space to move at my pace. Some are even gracious enough to wait for me to overtake a slow rick or a parked vehicle or cross a busy traffic intersection. (Wearing a helmet gives one additional privileges as a cyclist)
As they say, every silver lining has a cloud attached. Here are some of the turn-off's that may prevent you from a healthy act:
Some portions of the roads are real bad & you have to seek a path through the lanes & by-lanes to have a smooth ride.
The roads are not cyclist-friendly. There need to be separate bicycle tracks or cyclist only stretches where other vehicles are not allowed. Unfortunately, most of the cyclists on the road do not carry enough political or economic weight for this to happen.
Some of the drivers are totally lacking in basic traffic courtesy & need to be educated on the do's & don'ts of driving. Perhaps, the RTO may wake up some day & do the needful.
The noise. Its only when one is out of the closed windows of the car that one realizes the amount sound pollution the vehicles create in addition to the air pollution.
Its difficult to turn right on a wide road when every driver is trying to reach the max point on his speedometer.
Now, if the silver in the lining is sufficiently bright, it will definitely illuminate the cloud so that one is no longer worried about it. So, here are some hard facts to help you take the plunge:
Save money. GAIL sells us CNG at the lowest price in Gujarat & I shall save at least Rs. 5000 this season. Someone driving a petrol or diesel car would have saved Rs. 9000 or Rs. 5800 respectively. You get back your investment in the bicycle in less than 2-3 months. Isn't this a great deal (especially during a depressed economy)? Mind you, these nos. are based on the current fuel costs, which are rising every fortnight, so the real nos. would be even rosier.
I would be reducing my carbon footprint & contributing in my own individual, howsoever small, capacity to a cleaner environment. Some back of the envelope calculations show me that I would be reducing around 240 tonnes of CO2 from the atmosphere this season! For someone driving a petrol or diesel car, this no. would be even higher - 350 tonnes & 300 tonnes.
Help save foreign exchange requirement of the country. I would be reducing the forex requirement on LNG by USD 70 this season. Corresponding figures for petrol or diesel users are USD 190 & USD 290. The amount looks small, but if multiplied by potential cyclists, Mr. Rajan would be able to sleep a little peacefully.
The nos. above appear small, but when multiplied these can be substantial. Let me illustrate:
Considering that the urban population in India is around 400 million & 5% Indian households own a car, let's assume average urban family size to be 5. This means there are 4 million cars in urban India. Let's assume, these consist of 2.4 million petrol cars, 1.4 million diesel cars & 200,000 CNG cars.
If 20% of these car users (or those below 40 years & driving small cars) switch to cycling for 4 months in a year, we can collectively reduce CO2 emissions by around 260 million tons each year & save forex on crude imports by around 200 million dollars!!
My Hero No. 1
Note: The benefits quantified above are based on my activity level, i.e. 20 days of cycling in a month.
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India conducts dry run of hydrogen fuel cell bus - Times Of India
India’s first hydrogen-powered fuel cell bus has been developed in a collaborative research program between Indian Space Research Organization and Tata Motors Limited (TML). The bus is now undergoing tests at ISRO’s Liquid Propulsion Systems Centre in Mahendragiri in Tamil Nadu, in southern India, reports Times of India .
The first test was carried out for 5 km in the presence of S Ramakrishnan, director of VikramSarabhai Space Centre, and senior authorities of Tata Motors which carried out the five-year research project.
ISRO was working to develop energy alternatives that could be easily stored and harnessed, with the goal of emitting minimum harmful emissions into the surroundings. The hydrogen cells are said to be a by-product of the cryogenic technology that ISRO had been developing for the last few years.
Modeled on a Compressed Natural Gas (CNG) bus, the hydrogen cylinders are mounted on the bus’s roof. The fuel system involves hydrogen being converted into alternate current (AC) to drive the electric engine.
Powered by GoLNG!!
That's what Tetra Pak India would be saying... for it has recently powered its gas-fired engines with natural gas delivered through the GoLNG delivery module!
Tetra Pak India was setting up its new greenfield unit, which was envisioned as "Green Facility". However, with gas not being available through the conventional mode & Tetra Pak in no mood to either delay the project or increase its carbon footprint, it turned to Inox India Ltd. to step in & plug the gap to run its gas engines (3 * 2-MW). Inox, along with Tetra Pak & gas suppliers - BPCL, designed, supplied, installed & commissioned the facility in 8 months!!
Inox has supplied the LNG Storage & Regasification facility, having a capacity to store 110,000 SCM of gas & a regasification capacity of 2500 SCMH, along with PLC-based control system & associated safety features, on a turnkey basis. The facility is designed to deliver uninterrupted supply of gas having a consistent quality. The facility has been commissioned recently, enabling Tetra Pak to switch from rented diesel-based power to captive gas-based power even as the plant is the final stages of commissioning.
Needless to mention, Tetra Pak wold not be bothered with Take-or-Pay & Ship-or-Pay obligations, or fluctuations in gas quality or pressure, for the next 3 years!!
The installed power generation capacity at Tetra Pak is 6-MW & peak natural gas requirement is 33,000 SCMD.
Congratulations to the following & their teams for this success:
Tetra Pak - Mr. VS Mantrala & Mr. Ajit Patil
Inox - Mr. Prabhakar Negi, Mr. Mayank Ahuja, Mr. Hardik Shah, Mr. Pritesh Modha
BPCL - Mr. Chetan Mishra
Apart from powering Tetra Pak's manufacturing facility, GoLNG is also providing the thrust to small scale LNG movement in India... keep returning for more updates.
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i don't know
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In excess of how many gallons of water are lost each day in the USA to leaks, equating to 14% of all 'withdrawals'?
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Solar panel 4 Sulphursulfur dioxide and various nitrogen - BUS - 234
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A photovoltaic module is more commonly known as what? Solar panel 4. Sulphur/sulfur dioxide and (various) nitrogen oxides are the main contributory factors in what unhelpful environmental effect: Acid rain; Landfill run-off; Global warming; or Pesticides? Acid rain 5. What structural modification of oxygen is an air pollutant in the lower atmosphere but beneficial in the upper atmosphere? Ozone
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6. Used in various environmental terminology referring to organic life, what prefix derives from the original Greek meaning 'the course of human life'? Bio (from Greek, bios) 7. What is the climate change agreement aimed at stabilizing greenhouse gas levels in the atmosphere, named after the Japanese city in which participating nations agreed its framework in 1997? Kyoto Protocol 8. Photopollution is a technical alternative word for what sort of pollution? Light (specifically artificial light - i.e., pollution of the natural light or darkness in the sky or environment, externally and potentially internally, by artificial light) 9. In excess of how many gallons of water are lost each day in the USA to leaks, equating to 14% of all 'withdrawals': Six million, Sixty million, Six hundred million; or Six billion? Six billion (According to the US EPA, Environmental Protection Agency, as at 2011) 10. The UN Stockholm Convention signed in 2001 seeks to limit the production and use of what, abbreviated to POPs? Persistent Organic Pollutants (or more loosely and notably, pesticides , for example DDT, extending to related chemicals such as herbicides) 11. What colourless/colorless, odourless/odorless, poisonous polluting gas is chiefly emitted by small engines typically used in lawn-mowers and chainsaws, etc? Carbon monoxide 12. What highly toxic element was traditionally used in thermometers, posing a substantial safety and disposal risk? Mercury 13. The 1987 Montreal Protocol concerns specifically, and includes in its full title, substances that deplete what? The Ozone Layer 14. Carbon dioxide, methane, nitrous oxide, and sulphur/sulfur hexafluoride are widely referred to by what collective metaphorical term? Greenhouse Gases 15. From the Greek root words for 'house' and 'study of' what term refers to the scientific study of the relationship between living things, and their natural environment? Ecology 16. An 'R number' identifies what sort of substance having potentially significant impact on global warming when used in heating/cooling applications? Refrigerant 17. If electricity costs say 5p (or 5 cents) per kilowatt/hour, how much does a conventional 100W light bulb cost to run in a year if it is left on permanently? £43.80 (or $43.80 - a 365-day year - the calculation is: 0.05p x
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TERM
activity 6-rhythm of my heart.docx
Saint Augustines University Raleigh
Activity 6 The Rhythm of My Heart Objectives: 1) Measure and describe your pulse (hea
activity 6-rhythm of my heart.docx
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six billion
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What colourless/colorless, odourless/odorless, poisonous polluting gas is chiefly emitted by small engines typically used in lawn-mowers and chainsaws, etc?
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Solar panel 4 Sulphursulfur dioxide and various nitrogen - BUS - 234
View Full Document
A photovoltaic module is more commonly known as what? Solar panel 4. Sulphur/sulfur dioxide and (various) nitrogen oxides are the main contributory factors in what unhelpful environmental effect: Acid rain; Landfill run-off; Global warming; or Pesticides? Acid rain 5. What structural modification of oxygen is an air pollutant in the lower atmosphere but beneficial in the upper atmosphere? Ozone
This preview has intentionally blurred sections. Sign up to view the full version.
View Full Document
6. Used in various environmental terminology referring to organic life, what prefix derives from the original Greek meaning 'the course of human life'? Bio (from Greek, bios) 7. What is the climate change agreement aimed at stabilizing greenhouse gas levels in the atmosphere, named after the Japanese city in which participating nations agreed its framework in 1997? Kyoto Protocol 8. Photopollution is a technical alternative word for what sort of pollution? Light (specifically artificial light - i.e., pollution of the natural light or darkness in the sky or environment, externally and potentially internally, by artificial light) 9. In excess of how many gallons of water are lost each day in the USA to leaks, equating to 14% of all 'withdrawals': Six million, Sixty million, Six hundred million; or Six billion? Six billion (According to the US EPA, Environmental Protection Agency, as at 2011) 10. The UN Stockholm Convention signed in 2001 seeks to limit the production and use of what, abbreviated to POPs? Persistent Organic Pollutants (or more loosely and notably, pesticides , for example DDT, extending to related chemicals such as herbicides) 11. What colourless/colorless, odourless/odorless, poisonous polluting gas is chiefly emitted by small engines typically used in lawn-mowers and chainsaws, etc? Carbon monoxide 12. What highly toxic element was traditionally used in thermometers, posing a substantial safety and disposal risk? Mercury 13. The 1987 Montreal Protocol concerns specifically, and includes in its full title, substances that deplete what? The Ozone Layer 14. Carbon dioxide, methane, nitrous oxide, and sulphur/sulfur hexafluoride are widely referred to by what collective metaphorical term? Greenhouse Gases 15. From the Greek root words for 'house' and 'study of' what term refers to the scientific study of the relationship between living things, and their natural environment? Ecology 16. An 'R number' identifies what sort of substance having potentially significant impact on global warming when used in heating/cooling applications? Refrigerant 17. If electricity costs say 5p (or 5 cents) per kilowatt/hour, how much does a conventional 100W light bulb cost to run in a year if it is left on permanently? £43.80 (or $43.80 - a 365-day year - the calculation is: 0.05p x
This is the end of the preview. Sign up to access the rest of the document.
TERM
activity 6-rhythm of my heart.docx
Saint Augustines University Raleigh
Activity 6 The Rhythm of My Heart Objectives: 1) Measure and describe your pulse (hea
activity 6-rhythm of my heart.docx
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Laboratory Safety | Environmental Health, Safety, and Risk Management | Radford University
Chemical Hygiene Plan
Preface
Chemicals are part of many work environments. Approximately 25 million workers nationwide are exposed to 500,000 chemical products in the work place. Hundreds of new chemicals are introduced annually, posing a significant problem to exposed workers. Chemicals must be treated with respect. Exposure to chemicals can cause serious health effects such as skin rashes, burns, organ damage, cancer, sterility, and birth defects. In addition some chemicals are safety hazards with the potential to cause fires, explosions, and other accidents.
Because these problems are serious, and there is often a lack of information available to workers concerning chemicals, OSHA has adopted a Hazard Communication Standard and a Laboratory Safety Standard. OSHA's Hazard Communication Standard is intended to protect workers in industrial operations. The Lab Standard is specifically designed to protect workers exposed to chemicals in laboratories. A Chemical Hygiene Plan must be developed to implement the provisions of the Lab Standard. It must include all procedures and policies necessary to protect workers from hazardous chemicals used in laboratories. The goal of both standards is to reduce the incidence of occupational illness and injuries from exposure to hazardous chemicals.
Injury to laboratory workers can result from carelessness, unfamiliarity with hazards of chemicals and equipment, or a lack of proper precautions. Accidents involving injuries and illness from exposure to corrosives, toxins, flammable liquids and explosives are far to common in laboratories. To reduce these accidents, personnel must be trained in the hazards of the chemicals they work with and methods to reduce exposures. Individuals must develop good personal safety habits such as wearing proper eye protection and not smoking or eating in areas where chemicals are present.
The university is committed to providing students, faculty, and staff an environment that is free from recognized hazards. This manual provides information on chemical hazards and procedures for the safe handling of hazardous chemicals commonly used in laboratories. Physical hazards such as flammable liquids, reactives, explosives, compressed gas cylinders, and cryogenic liquids are covered. Health hazards associated with chemicals such as corrosives, toxins, carcinogens and embryotoxins are included. Information is also presented on personal protective equipment, safety equipment that can reduce exposures and prevent accidents, and protection from other hazards commonly found in laboratories such as electrical equipment.
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1.0 Laboratory Facilities
Poor design and layout of laboratories and equipment are often the underlying cause of accidents. This aspect of laboratory safety is often the most neglected. A safe laboratory is well designed. It has proper access and the layout is conductive to the free movement of personnel in the event of an emergency. Adequate ventilation and appropriate equipment for the operation of the laboratory are available and well maintained. The laboratory is kept clean and uncluttered. Provisions are made for special hazards. Hazardous areas are posted with the appropriate warning signs and safety equipment is present and conveniently located.
Design
Approval. New construction and renovations must be approved by Facilities Management and the Safety Office.
Organization. The space within a laboratory should be organized as much as possible to separate areas of high and low risk activities. It should not be necessary to routinely pass through high risk areas. In the event of an emergency, escape routes should be placed through the safest area within the laboratory. Traffic flow should be minimized near equipment that generates fumes, e.g., fume hoods and distillation apparatus. Flammable materials should be separated by as much distance as possible from sources of ignition. Emergency equipment should be readily accessible from every point within the laboratory.
Aisles. A minimum aisle clearance of 36 inches must be maintained in all laboratories. Dead end aisles should be avoided. In emergencies, equipment cluttering up aisles can lead to accidents. Caution must be taken to ensure that portable equipment, carts, gas cylinders and similar items are not allowed to restrict aisle clearance.
Exits. Teaching laboratories that use flammable or combustible liquids or other fire hazards are required to have at least two exits with doors that swing in the direction of exit travel. Existing, small, one or two person research laboratories are exempted from this requirement but should be organized to reduce fire hazards between the normal work station and the single exit. For example, flammable liquids or storage cabinets should not be stored along a required exit path. All exits must be marked with a readily visible sign. Any door, passage, or stairwell that might be mistaken for an exit must be labeled "Not an Exit".
Emergency equipment. Appropriate emergency equipment such as deluge showers, eye-wash stations, fire extinguishers, and first aid kits must be readily available. Access to this equipment must not be blocked. All laboratories should be equipped with an audible evacuation alarm system. Safety equipment should be periodically inspected to ensure they are in good working order.
Housekeeping. Equipment should be organized in an orderly and stable manner in the laboratory. Clutter on the bench, in hoods, and in aisles should be eliminated. Equipment must not block exits and emergency equipment. Electrical cords, wires, or hoses should not run across aisles.
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Furniture and Surfaces
Furniture. Laboratory furniture should meet appropriate safety standards and be functional, durable, and economical. Furniture should be selected in cooperation with the Safety Office.
Floors. Laboratory floors should be seamless, slip resistant, easily cleaned or decontaminated, and resistant to spills of water or common chemicals such as solvents. Tile floors should be avoided because spills can run into the joints, making clean up very difficult.
Benches and countertops. Work surfaces should be built to facilitate decontamination if needed. The surfaces should be relatively impervious, such as Formica, and free of cracks and seams. The construction materials should be fire resistant, non-reactive, and not subject to corrosion from the chemicals being used.
Cabinets. Cabinets should be designed to provide safe, secure storage for chemicals. They should be constructed of non-reactive, corrosion resistant material, have a non-skid surface and edge protection to prevent bottles from falling off accidentally. Access to the chemicals should not be difficult. High wall-mounted units or free standing cupboards should be discouraged.
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Ventilation
Air changes. Laboratory activities involving work with toxic, flammable, or irritating materials must be provided with adequate ventilation. This is necessary to provide makeup air for the fume hoods and to provide clean air for breathing. The ventilation system should be capable of independently providing 4-12 air changes per hour with 100 percent exhaust. Other types of laboratories may require additional ventilation.
Consultation. Consultation on ventilation problems may be obtained from the Safety Office. Advice and design for ventilation systems can be obtained from Facilities Management.
Intake and exhaust. Intake and exhaust ventilation should be balanced to maintain a slight negative pressure with respect to adjacent areas to ensure that air movement is into the laboratory. Air must be exhausted outdoors and not recycled. Exhaust discharges must not be located near air intakes of buildings.
Special Facilities
General. Specialized laboratories must meet requirements based on the type of research and the degree of hazard associated with the research. These facilities will require evaluation on a case-by-case basis. Examples include laboratories using OSHA regulated carcinogens, or highly infectious agents. The Safety Office should be called for consultation.
Recombinant DNA facilities. Laboratory containment and facilities must be in accordance with the current safety levels and practices specified in the NIH Guideline for Recombinant DNA Research.
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Warning Signs
General. Laboratories that have special or unusual hazards should be posted with the appropriate warning signs. In some instances, access to an area will be restricted. Following is a partial list of signs or symbols that may be required. Usually, the sign will be preceded by the words "Caution", "Warning", or "Danger" depending on the degree of hazard. Information on the size, color and required symbol may be obtained from the Safety Manager.
Airborne radioactivity. Some uses of radioactivity could lead to the generation of airborne radioactivity. If levels in excess of those legally permitted could occur, this sign must be posted at the boundaries of the area.
Authorized admission only. This sign should be posted, accompanied by a sign identifying the hazard, in highly hazardous areas.
Biological hazard. An area in which a biologically active agent that could lend to human illness is used (Class II or III etiologic agent) must be posted with a standard biological hazard sign.
Carcinogenic agent. Entrances to areas in which known or suspect carcinogens are used or stored in significant quantities should be posted with this sign. Laboratories using OSHA regulated carcinogens that may exceed an action level must post this sign.
Chemical splash goggles required. This sign should be posted at entrances to areas where active wet chemical operations are in progress. Normally this will be posted on the door to laboratories and goggles would be required upon entering the room. Goggles are not required, however, in areas in the laboratory set aside for non-laboratory work such as study areas.
Cryogenic liquids. All containers of cryogenic liquids (liquid nitrogen, helium, air, etc.) should be labeled with a caution sign.
Flammable solvents. Laboratories in which flammable solvents in quantities greater than five gallons are stored or used must be posted with this sign. In addition, a NO SMOKING sign must be posted.
High voltage. The entrance to electrical closets, breaker rooms and maintenance rooms with accessible high voltage circuits must be labeled with this sign.
Interlocks on. Devices with internal hazards are often interlocked to prevent access while they are on. Many of these, such as x-ray diffraction units, legally require warning signs.
Lasers. Standard warning signs are required on the entrance to rooms where lasers of class 3b and above are operating.
Microwave. Areas in which it is possible to exceed the occupational limit for microwave energy must be posted with this sign.
No eating, drinking or smoking. This sign must be posted in areas where highly toxic substances, carcinogens, mutagens, or embryotoxins are used.
No smoking. This sign must be posted where highly toxic substances, carcinogens, mutagens, embryotoxins, or flammables are in use or stored. No smoking signs may be posted in other areas at the discretion of personnel working in the area.
Not for use on electrical fires. This sign must be posted on all fire extinguishers containing water.
Radiation area. This sign accompanied by the standard radiation symbol, must be posted in areas where the radiation levels may exceed levels defined by the Nuclear Regulatory Commission.
Radioactive materials. Areas in which radioactive materials are stored must be identified with this sign.
Radioactive waste. All radioactive waste must be placed in standard waste containers labeled with this sign.
Refrigerator not to be used for storage of chemicals. Refrigerators used only to store food for human consumption should be posted with this sign.
Refrigerator not to be used for storage of food for human consumption. Laboratory refrigeration units used for storage of chemicals and biological materials should be posted with this sign to prevent the storage of food and chemicals in the same refrigerator.
Refrigerator unsafe for storage of flammables. Standard refrigerators must be posted with this sign. Only explosion-safe and explosion-proof refrigerators are to be used for the storage of flammable liquids.
Respiratory protective equipment required. This sign must be posted wherever airborne levels are present that exceed the action levels specified by OSHA.
Safety glasses required. This sign must be posted in areas where a risk to eyesight exists which is exclusively due to impact.
Toxic chemicals. Laboratories that store or use significant quantities of highly toxic chemicals should be posted with this sign.
Toxic gas. This sign should be posted in all laboratories that use or store highly toxic gas cylinders.
Ultra-violent light. This sign should be posted in laboratories if there is a possibility of exposure to ultra-violet light.
X-ray. This sign must be posted in all areas where x-ray equipment is located.
The following signs are generic. The researcher is responsible for identifying the special risks and providing the appropriate warnings.
(Specific item) personnel protective equipment required. Areas in which risks exist that would require specific items of protection must be posted with the appropriate warning sign.
(Specific) toxic or hazardous material. OSHA has identified several chemicals that require specific warnings to users. Among these are ethylene oxide, PCBs, lead, and ethylene dibromide.
(Specific) waste chemical only. The chemical waste disposal program requires that chemicals be segregated. Waste collection containers must be labeled with this sign.
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2.0 Laboratory Safety Equipment
Laboratory safety equipment is designed to protect personnel from injury and minimize damage if an accident occurs. Safety equipment should be in useable condition and available to all laboratories. Laboratory workers should know the location, operation and limitations of safety equipment in the work area.
Fire Extinguishers
Portable fire extinguishers are the first line of defense against a laboratory fire. Fire extinguishers are rated for their suitability in combating four types of fires.
Class A. Class A fire extinguishers are used to extinguish fires in ordinary combustibles such as wood, paper, cloth, rubber, and plastics. These extinguishers should not be used on electrical, flammable liquid or combustible metal fires. Extinguishers effective against type A fires contain water or a special dry chemical agent.
Class B. Class B fire extinguishers are effective against flammable liquids and gas fires such as solvents, oil, gasoline, and grease. Dry chemical agents, carbon dioxide, and halogenated agents are typically used. Water will only spread a flammable liquid fire and should not be used as an extinguishing agent for Class B fires.
Class C. Class C fire extinguishers are used to extinguish fires involving energized electrical equipment. Non-conducting agents such as dry chemical, carbon dioxide, or halogen compounds are used. Water should never be used to extinguish an electrical fire.
Class D. Class D fire extinguishers contain a special granular formulation that is effective against combustible metal fires such as sodium, potassium, magnesium, and lithium. Normal extinguishing agents must not be used against combustible metal fires because they may increase the intensity of the fire.
Training. Personnel should be trained yearly in the basic operation of fire extinguishers and know what type of extinguisher to use on a particular fire.
Laboratories. All chemical laboratories should be provided with carbon dioxide and/or dry chemical fire extinguishers. Laboratories working with flammable solvents must have an appropriate fire extinguisher. Class D fire extinguishers or other suitable extinguishing media should be readily available to laboratories working with reactive metals or metal hydrides.
Labeling. Every extinguisher should be clearly labeled to indicate the classification of the fires it is effective against. Water fire extinguishers must be labeled to indicate that they cannot be used on electrical fires.
Access. Fire extinguishers should be readily accessible and the location of the extinguisher should be clearly identified. Fire extinguishers must be mounted off the floor and no higher than 5 feet. Extinguishers weighing over 40 lbs. should not be mounted higher than 3 1/2 ft.
Inspections. Fire extinguishers should be maintained in operating condition, inspected monthly, checked against tampering, and recharged as required.
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Flammable Storage Cabinets
Quantities of flammable liquids greater than 10 gallons must be stored in flammable storage cabinets, approved safety cans, or a properly designed flammable storage room. Approved storage cabinets are designed to protect flammable liquids from involvement in an external fire for 10 minutes. This is the time it would normally take for an area to become seriously involved in a fire.
Approval. All cabinets must comply with OSHA and NFPA requirements.
Fire resistance. Cabinets must be capable of limiting the internal temperature to less than 325 F when subjected to a 10-minute standard fire test.
Metal cabinets. The bottom, top, door, and sides of metal cabinets shall be constructed of at least No. 18 gage sheet iron, and double walled with one and a half inch air space. The door sill shall be raised at least 2 inches above the bottom of the cabinet.
Wooden cabinets. The bottom, top, and sides of wooden cabinets shall be constructed of at least 1-inch thick high density plywood. When more than one door is used, there shall be a rabbeted overlap of not less than one inch. Hinges shall be mounted so that they will not loosen during the fire test. The door sill shall be raised at least 2 inches above the bottom of the cabinet.
Storage limits. Maximum storage limits for flammable liquids in approved storage cabinets are 120 gallons of Class I, Class II, and Class IIIA liquids. Of this total, only 50 gallons of Class I and Class II liquids are allowed. No more than three such cabinets may be stored in a fire area.
Venting. Storage cabinets are not required to be vented unless required by the local Fire Marshal. Venting a cabinet may defeat the cabinet's purpose of protecting the contents from involvement in a fire for 10 minutes.
Labeling. Cabinets must be labeled in conspicuous lettering "Flammable-Keep Fire Away."
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Safety Cans
Portable approved safety cans can be used to safely store, carry, and pour flammable and combustible liquids. The main purpose of the safety can is to prevent an explosion of the container when it is heated. Safety cans are constructed of terne plate steel, stainless steel, or high density polyethylene. The type of can purchased is determined by the chemical properties of the flammable liquid and how it will be used. Terne-plate steel cans are designed to store petroleum solvents if the purity and color of the solvents are not critical. Some solvents may also dissolve the paint from the outside of these cans. Stainless steel cans are recommended when high purity solvents are needed. High density polyethylene cans are resistant to many solvents but may cause discoloration of the solvent.
Approval. Safety cans must be UL listed and FM approved, and properly labeled to identify contents.
Construction. All approved cans must have a lid that is spring loaded to close automatically after filling or pouring. The lid also acts as a relief valve when pressure builds up. A flame arrestor screen must be inside the cap spout to prevent fire flashback into the can.
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Refrigerators
Confined vapors from flammable liquids are easily ignited and represent a major hazard in laboratory refrigeration units. There are a number of potential ignition sources in a normal refrigerator or freezer. Spark producing devices include the thermostat, light switch, defrost mechanism and compressor. In addition, self-defrosting units have a drain hole at the bottom. Vapors can escape through the hole and be ignited by the compressor.
Standard refrigerators. Because of the danger of fires and explosion, standard refrigerators and freezers may not be used for storage of flammable liquids. These refrigerators should be posted as unsafe for storage of flammable liquids.
Acceptable units. The following types of refrigerators are safe for the storage of flammable materials:
Explosion-Safe or flammable storage refrigerators and freezers, which have been modified to eliminate the spark producing mechanisms.
Explosion-Proof refrigerators and freezers, which not only protect against flammable vapors inside the unit, but may also be operated in rooms that have an explosive atmosphere. These units must be permanently wired to the laboratory electrical system.
The extra protection afforded by Explosion-Proof units is not necessary for solvent storage under ordinary laboratory conditions. Explosion-Safe units are recommended for this purpose. However, if large amounts of ether are stored, the former should be considered.
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Eyewash Fountains and Emergency Showers
Suitable eye-wash facilities and emergency showers must be available to laboratories using hazardous chemicals that may be harmful to the eyes or skin or can be absorbed through the skin. In addition to providing protection from chemical splashes, emergency showers can be used to extinguish clothing fires. Emergency showers and eye-wash stations should always be installed at the same location because injuries to the eyes and skin often occur together. All personnel should be familiar with the location and operation of emergency showers and eye-wash stations before beginning hazardous procedures.
Location. Units shall be located in readily accessible areas within 10 seconds of a laboratory using injurious chemicals. In extremely hazardous areas, units may be required to be closer. Eyewash and emergency showers should not be located near electrical apparatus, power outlets or water reactive chemicals. The area around the equipment must be kept clear to ensure immediate access.
Valve. The valve must be designed so that the water remains on without the user holding the valve open. Injured personnel must be able to hold both eyelids open or take their clothes off. The valve actuator should be large enough to be easily located and operated by the user. A self-closing valve on emergency showers may be used in teaching laboratories and low hazard research laboratories if approved by the Safety Office.
Pull devices. Overhead chains are most commonly used to activate showers. The chain should be within reach of anyone working in the lab. The chain should never be tied out of the way. Rod-type pull activators are preferable to chains because they are easily accessible and cannot be tied out of the way.
Water flow. Eye-wash equipment should be capable of delivering to both eyes simultaneously at least 0.4 gallons of potable water per minute for 15 minutes. The velocity should be low enough so that it will not injure the user. Nozzles must be protected from airborne contaminants. The removal of the protective device should not require a separate motion by the user. Shower heads shall be between 82 and 96 inches from the floor. Emergency shower heads must be capable of delivering a minimum of 20 gallons of water per minute.
Signs. The location of eyewash units and emergency showers should be identified with a highly visible sign.
Inspections. Laboratory personnel should flush eye-wash units for a few minutes weekly to ensure they are in operating condition and to clean out the water lines. The Safety Office will inspect and flush eye wash units four times a year. Emergency showers will be flushed twice a year.
Back-up units. Small squeeze bottles of water are not acceptable as a primary eyewash unit because they do not supply the flow necessary for repeated washings and cannot flush both eyes simultaneously. Drench hoses are acceptable only as a back up system because they cannot flush both eyes simultaneously and the user cannot hold both eyes open. In addition, hand-held drench hoses cannot provide the full flow associated with an emergency shower. Small eye-wash units mounted on the ends of faucets are intended only to supplement, but not replace standard plumbed in eye-wash equipment. These units can be difficult to operate in an emergency.
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Laboratory Fume Hoods
Laboratory fume hoods are ventilated enclosures in which toxic, offensive, or flammable materials can be handled safely. Operations that involve hazardous reactions, heating or evaporating solvents, and transfer of hazardous chemicals from one container to another should be performed in a fume hood. The purpose of a hood is to capture gases, dust, vapors, or fumes from these operations and prevent them from escaping into the laboratory where they could injure personnel. This is accomplished by an exhaust fan on the roof which draws hazardous material into the hood away from the operators breathing zone and exhausts it safely away from the building. In addition to providing protection from gases and dust, the sliding sash on the hood offers protection from chemical splashes and explosions of hazardous materials within the hood. The hood can also act as a containment device in case of chemical spills.
Laboratory fume hoods are divided into two classes: general purpose and special purpose hoods. General purpose hoods are suitable for most chemicals used in the laboratory. Special purpose hoods requiring additional safety features are used for substances posing unusual hazards, such as hot perchloric acid, highly toxic chemicals, carcinogens, radioactive materials, and flammable solvents and gases. Perchloric acid poses special problems because it is a highly reactive substance which forms explosive residues when allowed to dry, especially when mixed with organic materials. Because of the possibility of acid fumes contaminating the duct work and forming explosive residues, hot perchloric acid must be used in specially designed hoods.
Approval. The Safety Office must be notified before purchasing a hood to ensure that the proper hood has been ordered and that it will be installed correctly.
Construction. Fume hoods should be constructed of heat and corrosion resistant materials such as epoxy resins, fiberglass, cement-asbestos, and stainless steel. Control valves, electrical receptacles, and other fixtures should be located outside the hood to minimize the need to reach into the hoods, and to reduce explosion hazards.
Ducts. Each hood should be independently ducted to the roof of the building. This eliminates the possibility that toxic vapors released into one hood could enter into an unused hood. Ducts from hoods in the same room may be combined. The exit duct should be of the updraft type and designed to discharge the effluent away from the building and air intakes. The exhaust duct should never discharge out the side of the building. This could allow potentially hazardous fumes to collect near the building. Ducts penetrating a floor must be encased in a 2-hour fire rated enclosure that extends to the ground. The motor must be located on the roof. This ensures that the ducts within the building are under negative pressure and that leakage will occur into the duct.
Sash. The sash insures safe operation, reaction containment and proper airflow. To maximize the capture efficiency of hazardous fumes the sash opening should not be greater than 18 inches. The sash should be opened fully only when placing large items in or removing them from the hood. The sash should be closed when conducting procedures that produce high velocity aerosols, particulate contamination or when conducting experiments with high pressure systems that produce gases and vapors.
Face velocity. To provide adequate protection from hazardous chemicals, the face velocity of air entering the hood must be between 75-150 feet per minute (fpm). Air flow greater than 150 fpm will create turbulence that can allow fumes to escape back into the room. At velocities less than 75 fpm, leakage from the hood is likely. Whenever maintenance is performed on a hood, the face velocity must be measured by the Safety Office before the unit is returned to service. Face velocities will be measured every four months by the Safety Office and acceptable sash limits marked.
General ventilation. The performance of the hood is strongly influenced by the general ventilation system in the laboratory. Sufficient make-up air must be available so the hood will draw properly.
Flow monitor. New installations should include an air flow monitor. As a minimum alternative to ensure proper air flow in existing installations, a light should be connected with the motor to warn users if the power fails. If the light goes out users should assume that the hood is inoperable and call Facilities Management.
Location. Hoods should be located in draft-free low traffic areas away from exits, walkways, doors, windows and air conditioning and heating ducts. Cross drafts from the movement of people or air currents can exceed the face velocity of the hood and draw hazardous materials from the hood into the room. Walking, for example, can generate air speeds of 200 fpm. Fume hoods should also be located so that an accident in the hood will not block egress from the laboratory. Location of the hoods within a facility must be done in cooperation with the Safety Office and Facilities Management.
Proper use. To increase the effectiveness of the hood, work should be done as deeply within the hood as possible (at least 8 inches from the edge). Equipment should be arranged in the hood as far back as possible without blocking the rear baffles. Operations producing gases should be vented toward the rear of the hood. Possible sources of ignition should be eliminated from the hood if there is a potential for an explosion. As a rule of thumb use a hood when working with volatile substances that have a permissible exposure limit of less than 50 ppm.
Storage in hood. Chemicals and equipment stored in a hood should be kept to a minimum. Excessive storage can create unnecessary turbulence which reduces the effectiveness of the hood and may allow fumes to escape into the laboratory. The hood must run continuously if highly toxic and volatile chemicals are stored in the hood. It is preferable to provide separate vented cabinets for the storage of these chemicals. Placing of containers in the hood that are continuously emitting toxic contaminants should be avoided. A malfunction in the hood could allow contaminants to enter the laboratory.
Effluents. If highly toxic, corrosive, or offensive vapors will be produced local scrubbing of the effluent should be done before exhausting the vapors into the duct work. If this is impossible, then HEPA filters and activated charcoal filters should be installed at the exit duct to trap particulates and absorb gases.
Perchloric acid hood. Only hoods that are specifically designated as perchloric acid hoods are to be used for operations with hot perchloric acid. These hoods are equipped with a water wash down system that removes residue from the duct work. It must be constructed of relatively inert materials such as stainless steel, ceramic coated material, or PVC. All duct work should be a short and straight as possible to prevent residues from collecting at any point. The hood must be exhausted through a special external duct which carries the effluent well away from the building. All hoods must be permanently labeled "For Perchloric Acid Use."
Radioisotope hood. Hoods used for radioactive material must be designated as a radioisotope fume hood by the vendor. The interior shall be of a seamless material, preferably stainless steel, with coved corners free of joints, cracks, or gaskets to facilitate decontamination. Ducts shall be of stainless steel. Hoods must be ducted independently directly to the roof. Blowers shall be roof mounted, spark-proof and explosion-proof. A HEPA filter must be installed in the exhaust duct if the hood is used for radioisotope work that may present a particulate problem. New units must be installed with a flow monitor and alarm to ensure proper air velocity and direction. As a minimum, older units shall have a red warning light indicating that the motor is working. Hoods shall be labeled "For Radioisotope Use."
Explosion-proof hood. Hoods used for flammable materials, particularly solvents, explosive gases and other highly reactive chemicals, must be equipped with explosion-proof light fixtures and fan motors if the discharge can exceed 25% of the LEL. Switches and outlets should be located outside the hood to eliminate spark sources. Hot plates and fixed wiring in the hood shall be in good repair. The interior of the hood and ducts must be either a glass-cement composition or stainless steel. Work with very reactive or potentially explosive substances will require a horizontal sash unit or an additional protective shield.
Carcinogen hood. Chemical carcinogen hoods must meet the requirements for radioactive use hoods.
Self-contained hood. Self-contained units may be used when venting a hood is not practical and the chemical is of moderate hazard. These units recirculate air through activated charcoal filters and remove small quantities of solvents, acids, and annoying odors from the air. Filters should be designed to release a pungent odor when they become saturated. Purchase of these hoods must be approved by the Safety Office.
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Biological Safety Cabinets
Biological safety cabinets are among the most effective and commonly used primary containment devices in laboratories working with infectious agents. Primary barriers are important because most laboratory techniques produce aerosols that can be readily inhaled. The majority of reported laboratory acquired infections for which no specific cause was identified, have been attributed to exposure to aerosols. There are three basic types of biological safety cabinets: Class I, Class II, and Class III. Class I and II cabinets generally provide an equivalent level of personal protection. Class II cabinets provide the additional benefit of protecting the work area from contamination. The Class III cabinet provides the highest level of personnel, product, and environmental protection.
Class I. The Class I cabinet is a partial containment enclosure that is basically a modified chemical fume hood. Room air flows through a fixed front opening preventing microbial aerosols from entering the room. Exhaust air from the cabinet is filtered through a high efficiency particulate air (HEPA) filter that removes 99.97% of all particles 0.3 microns or greater in size. The cabinet does not protect the work area or the operator's hands and arms from contamination, because the inward flow of air can carry microbial contaminants into the cabinet.
Class II. The Class II, or laminar flow, biological safety cabinet is a partial containment enclosure that protects the worker and the research material. Instead of passing over the product, inward air passes downward in front of the work area and joins a recirculating air stream in the back. Part of this air passes downward through a HEPA filter toward the work area providing a contamination free zone. The remainder of the air is exhausted out of the facility through another HEPA filter.
Class II cabinets are divided into two types, type A and type B, that differ mainly in the amount of air they recirculate. Type A cabinets recirculate approximately 70% of the total exhaust air. Type B cabinets are divided into two subgroups, B1 and B2. Type B1 cabinets recirculate approximately 30% of the total cabinet air. Because a higher dilution rate is achieved before exhausting the air to the atmosphere, Type B1 cabinets may be used with a wider range of chemicals than the type A cabinet. Type B2 cabinets exhaust all inflow and downflow air to the atmosphere through a HEPA filter without recirculation in the cabinet. Hazardous volatiles may be used in this type of cabinet.
Class III. The Class III cabinet is a totally enclosed, gas tight, ventilated, negative pressure cabinet. Operations within the cabinet are conducted through attached rubber gloves. Supply air is drawn through HEPA filters and air is exhausted outdoors through two HEPA filters in series. All procedures involving infectious agents are contained within the cabinet, providing the highest level of personnel, product, and environmental protection. Class III cabinets are also known as glove boxes, however, not all glove boxes are Class III biological cabinets.
Biological agents. Class I and II cabinets are designed for general research operations with low and moderate risk biological agents (Biosafety levels 1, 2, and 3). Class I and II cabinets are not recommended for use with highly infectious agents (Biosafety level 4) because an interruption in the inward air flow could allow aerosols to escape from the cabinet. Work with high risk biological agents (Biosafety level 4) must be performed in a Class III cabinet.
Volatile solvents. Work with biological agents involving volatile solvents must be performed in Class II, type B cabinets. The selection of a B1 or B2 cabinet will depend on the amounts and hazards of solvents used. Substantial quantities of hazardous volatiles should be used in a B2 cabinet.
Exhaust. All type B cabinets must be ducted to the outside. Class I and Class II type A cabinets may discharge exhaust air to the room although it is preferable to discharge exhaust air outdoors.
Certification. The design of Class II cabinets must meet National Sanitation Foundation Standard 49. The integrity of Class II cabinets must be certified upon receipt, any time the cabinet is moved, and at least annually.
Carcinogens. A specifically modified Class I cabinet that exhausts to the outside, a Class II type B1 or B2, or Class III biological safety cabinet may be used for chemical carcinogens.
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Miscellaneous Safety Equipment
First aid kits. First aid kits should contain adequate first aid instructions and an assortment of material packaged in single disposable packages. Bottles of antiseptic liquids or tubes of antiseptic creams that can break or leak should be avoided. A kit should be readily available when work is performed. The location of the kit should be clearly identified and access should not be blocked. Phone numbers for emergency personnel should be posted in the same area. The kit should be inspected periodically and re-supplied as necessary.
Machine guards. Mechanical equipment, such as vacuum pumps, must be adequately guarded to prevent access to rotating parts, pulleys or electrical connections. Guards on fan blades shall have openings no larger than one-half inch.
Safety shields. Transparent safety shields made of shatter-proof glass, polycarbonate, acrylic, or similar material should be used to protect the worker from potentially explosive reactions. This includes highly exothermic reactions, evaporation of ethers, and the heating of chemicals such as polynitro compounds, diazo compounds, diazonium compounds, peroxides, metallic acetylides, and perchlorates. Portable shields may be used to protect against limited hazards such as small splashes and fires. Fixed shields that surround the process on all available sides should be used if detonation is possible.
Fire blankets. Fire blankets should only be used as a last resort to extinguish clothing fires because they may hold the heat in and increase the severity of burns. Fire blankets should be used primarily to prevent shock in an accident victim.
Local exhaust. Laboratory apparatus that discharges toxic vapors such as vacuum pumps, gas chromatographs, distillation columns, and Kjeldahl units, should be vented to an auxiliary local exhaust system. Venting outside a window is not acceptable.
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3.0 Handling Laboratory Equipment
Although attention is usually concentrated on chemical hazards in laboratories, consideration must be given to the safe use of laboratory equipment. Equipment in the laboratory must be set up and operated properly to ensure that accidents are minimized. Cuts and burns from handling glassware are among the most common sources of laboratory accidents. Breaking glassware may cause a chemical spill and possible injury. Chemicals exploding in glassware can send fragments of glass flying into the laboratory. Vacuum systems may implode, sending flying glass and chemicals across the room. Flammable vapors contacting sparking electrical equipment may cause an explosion. Laboratory workers may be electrocuted if they handle electrical equipment improperly. The following safety procedures should reduce the potential for accidents in laboratories.
Glassware
Training. Inexperienced users should receive training in the proper handling of glassware, especially with systems that present unusual risks such as excess pressure or vacuums.
Glassware selection. The proper selection of glassware is very important because glassware is designed with unique characteristics and for specific operations. Systems containing custom glassware should be evaluated to ensure the integrity of the glass under all operational parameters. Only glassware specially designed for vacuum work should be used for that purpose.
Handling. Careful handling and storage of glassware is necessary to prevent damage to the glassware and injury to the worker. Damaged glassware should be properly discarded. Care must be used while inserting glass tubing through a stopper or when connecting flexible tubing to the glass. The glass tubing should be polished, or rounded and lubricated with glycerine or stopcock grease. Hands must be protected with cloth or leather gloves. Hands should be held close together to reduce pressure on the tubing, and out of the direct line of the glass should it break. Vacuum glass apparatus should be handled with extreme caution. Dewar flasks and other glass vacuum vessels should be taped or shielded to protect against flying glass in case of an implosion.
Broken glass. Gloves must be used to pick up broken glass, especially if the glass is contaminated. Small slivers should be picked up with a dustpan and broom. The custodial staff should not be asked to pick up contaminated broken glass. Broken glass should never be placed in a trash bag. Place broken glass in a box clearly marked "Broken Glass" and contact the custodial staff for proper disposal.
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Distillation Apparatus
Water supply. Most distillation units operate with water cooled condensers. Water pressure can change however, and cause unexpected problems. Inadequate water supply can allow distillate vapors to escape. Too high a flow can cause the tubing connectors to burst, flooding the laboratory. All flexible hoses should be free of cracks, slits, or kinks and kept away from hot plates and flames. All hose connections should be firm and clamped or wired for prolonged use. Flow rates should be approximately one liter per minute. For unattended operations, the water pressure should be regulated automatically.
Heating supply. Heating mantles must be used to heat distillation flasks. A variable voltage transformer should be used. The temperature of the mantle must be monitored carefully. If left unattended the mantle must be connected to a thermal cut-off device that turns the heater off if too high a temperature is reached.
Distilled water supply units. These units are usually intended to operate automatically and are left unattended for long periods. This unit must be equipped with a thermal cut off, independent of the temperature controlling devices. This feature is needed to prevent overheating that could cause a fire. When a still is set up, or ceases to operate, the Safety Office should be notified.
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Vacuum Equipment
In a vacuum system the pressure on the outside of the containment vessel is greater than on the inside. A break in the container will cause an implosion, resulting in flying glass, splattered chemicals, and a possible fire. Even equipment under moderate pressure, such as those achieved in water aspirators, can be potentially hazardous. Another hazard associated with vacuum equipment is rapid pressure change that can draw hazardous liquids and gases into the building vacuum system or equipment.
Eye protection. Depending on the hazard, safety goggles, impact resistant glasses, or face shields must be worn when working with vacuum equipment.
Glass vessels. Glass flasks should be taped with friction tape or placed in a metal container large enough to hold the flask. If this is not possible, a safety shield should be placed between the flask and the operator. The vessel should be inspected for cracks or scratches before use. Only round bottomed or thick walled flat bottomed flasks specifically designed for vacuum work should be used. Ordinary glass ware, especially flat bottomed flasks, is not intended for vacuum work and may burst.
Dewar flasks. Dewar flasks are capable of imploding from thermal shock or a very slight scratch. They should be wrapped with friction tape all the way up the neck or shielded in a wooden or metal container to guard against flying glass in case of an implosion.
Vacuum desiccators. Glass vacuum desiccators should be made of glass specifically designed for vacuum work. They should be enclosed in a shield or wrapped in friction tape.
Vacuum distillations. The reaction flask should be taped and placed in a wire cage. The distillation should be performed behind an explosion shield. Operators should wear a face shield. A safety trap should be used to protect equipment (such as a manometer) and the vacuum source from contamination. Pressure should be equalized slowly after the experiment is over and the flask has cooled to room temperature.
Water aspirator. A trap or check valve should be placed between the aspirator and the container under vacuum to prevent water from being drawn back from the aspirator into the container.
Vacuum pump. A safety trap should be placed between the apparatus and the pump to prevent solvents and corrosives from getting into the pump oil or the atmosphere of the laboratory. Exhaust from pumps should be vented to a hood.
Mercury manometers. A sudden change in pressure may cause the mercury to break the closed end of the glass tube and scatter the mercury. A capillary section should be incorporated into the manometer that will prevent surges or a bleeder arrangement should be installed into the trap. The manometer should be placed in a container that will hold any spilled mercury.
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Electrical Hazards
The improper use of electrical equipment is a common source of accidents in laboratories. Electrical shocks, fires, and explosions are some of the potential hazards found in the laboratory. Effects of contact with electrical circuits range from a mild tingling sensation to painful shock and burns to cardiac arrest. Because electrical shorts often get worse, any equipment that produces a mild shock should be reported immediately and removed from service. Proper design of equipment, maintenance, and training of personnel should reduce these hazards.
Shock hazards. To reduce shock hazards, all electrical equipment must be properly grounded. Electrical outlets in the laboratory will be tested periodically for proper grounding. Equipment that does not have a three-prong plug should be re-wired unless it is double insulated. Electrical equipment should not be handled with wet hands or while standing on a wet floor. Wet equipment should never be turned on. Any electrical equipment that emits noises and odors should be turned off and unplugged. Safety devices or interlocks on electrical equipment should not be bypassed.
CPR. As an added precaution in case of electrical shock, several individuals in each department should be trained in CPR.
Location. Electrical equipment should be located to reduce the possibility that water or chemicals could be spilled into the equipment.
Repairs. The power must be turned off before modifying any circuit or servicing any equipment. Electrical equipment should only be serviced by qualified individuals. High voltage equipment must be serviced by qualified electricians. A sign must be posted if an interlock or safety device has been bypassed for repair purposes.
Equipment used with flammables. Arcing electrical equipment may cause an explosion in laboratories where volatile flammable solvents are used. Equipment with non-sparking induction motors and enclosed electrical contact must be used with volatile flammable solvents. This applies to the motors used in vacuum pumps, mechanical shakers, heating devices, magnetic stirrers and rotary evaporators. Kitchen appliances such as mixers and blenders are not equipped with induction motors and should not be used in labs if flammable materials are present. Electrical fixtures may need to be explosion-proof if flammable vapors or gases reach high concentrations. Flammable liquids must be stored in explosion-safe or explosion-proof refrigerators or freezers.
Guards. Live parts of electrical equipment operating at 50 volts or more shall be guarded against accidental contact.
Power cords. Equipment should never be unplugged by pulling or jerking on the power cord. Electrical cords should be inspected periodically to ensure the integrity of insulators and contacts. All frayed or damaged line cords must be replaced.
Extension cords. Extension cords are for temporary use only and are not designed to replace permanent wiring. Insulation and wire size should be adequate for the voltage and current carried. Extension cords should be as short as possible and protected so they do not present a trip hazard.
Access. Sufficient access and working space shall be provided around electrical equipment to permit safe operation of the equipment. Access to switch boards, control panels, switches and circuit breakers shall not be obstructed. Breaker panels must properly identify the circuits within the lab.
Receptacles. All 110 V receptacles in labs should be of the standard design that accept a three-prong plug and provides a ground connection. All electrical wiring in labs must meet specifications of the National Electrical Code. An adequate number of receptacles should be provided at the laboratory bench to remove the need for extension cords and long lengths of cords. Receptacles that provide electric power for operation in hoods should be located outside of the hood. This location prevents the production of electrical sparks inside the hood. Circuits should not be overloaded by using multiple sockets and extension cords.
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Heating Devices
Heating devices are the most common type of electrical device found in the laboratory. Although much safer than Bunsen burners, these devices pose electrical and fire hazards if used improperly.
Variable transformer. Variable transformers control the temperature on many laboratory heating devices. Because some sparking may occur when the control knob is turned, transformers should be located where they will not be exposed to flammable liquids or vapors. Connections from the variable transformer to the heating device should not be done with alligator clips because of the potential shock and spark hazard. Heating devices left unattended overnight should be equipped with a device that turns the power off if a preset temperature is exceeded.
Heating element. The heating element in any laboratory heating device should be enclosed in an insulated case that prevents contact with the worker and protects against sparks.
Laboratory hot plates. Laboratory hot plates are normally used when solutions must be heated above 100 C. Hot plates should be designed specifically for laboratory use. Household type units should never be used in the laboratory. Hot plates with exposed heating elements or spark producing switches should not be used to heat flammable liquids. Care should be exercised when heating solvents on hot plates with enclosed elements to ensure that the liquid does not boil over into the electrical heating equipment.
Hot air blowers. Hot air blowers are used to dry glassware and samples, heat plastic tubing, and to heat the upper parts of a distillation apparatus. Although hot-air blowers provide flameless heat, they are potentially hazardous because the heating element is open and the switches and motor are usually not spark free. Hot air blowers should not be used near open containers of flammable liquids or where there may be appreciable concentrations of flammable vapors. Household hair dryers should only be used if they are double insulated or have a three-prong plug.
Heating mantles. Heating mantles consist of an insulated electric heating element enclosed in several layers of fiberglass cloth. They are commonly used to heat round bottom flasks, and related reaction vessels. Heating mantles should always be used with a variable auto-transformer. Exceeding the voltage recommended by the manufacturer may cause the mantle to melt and expose the bare heating element. Fiberglass mantles protected by outer metal cases should be grounded to protect the worker in case the heating element shorts against the metal case. Precautions should be taken to prevent water or other chemicals from spilling into the mantle and creating a shock hazard.
Oil baths. Electrically heated oil baths are commonly used when a constant temperature is needed. Mineral oil, paraffin and glycerin are used for temperatures below 200 C. Silicon oil is used for temperatures up to 300 C. Oil baths must be carefully monitored to ensure that the temperature has not approached the flash point of the oil vapor. If the oil bath thermostat fails, the oil will overheat and a fire may start. Heating baths containing combustible liquids must have an independent thermal cut-off to ensure that the system will not reach a temperature high enough to ignite the oil bath.
Heated oil should be contained in a metal pan or heavily-walled porcelain dish; never in a glass dish or beaker. The oil bath should be mounted on a stable horizontal support such as a laboratory jack. Because of its instability, an oil bath should never be mounted on a ring stand. Water should never contact the hot oil. Highly oxidizing substances (perchlorates, nitrates, peroxides) should never be heated in an oil bath.
Laboratory ovens. Electrically heated ovens are commonly used in the laboratory to remove water or solvents from chemicals and to dry glassware. Because these ovens are usually improperly vented, gases and vapors produced in them will discharge into the laboratory atmosphere. It is also possible for dangerous concentrations of explosive and flammable mixtures to build up inside the oven. Many fires have started by placing solvents with low flash points in ovens at temperatures where they will ignite.
Ovens should never be used to dry toxic chemicals that are even moderately volatile unless the oven is properly vented. Glassware rinsed with an organic solvent should be rinsed with distilled water before being placed in the oven to dry. Because of the explosion hazard, laboratory ovens should be constructed so that the heating element and temperature controls are physically separated from the interior atmosphere. Ovens not meeting these requirements should be posted with a sign stating "This oven is not safe for flammable liquids."
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4.0 Handling Chemicals
Accidents associated with the handling of chemicals in laboratories can occur during storage, use, and disposal of the chemical. Personnel may be exposed to hazardous chemicals that present health hazards, such as toxins and corrosives, and physical hazards that may result in fires and explosions. These risks can be minimized by following the general precautions recommended below. Recommendations for handling specific classes of chemicals are presented in the succeeding chapters.
Ordering
The potential hazards of a chemical should be known before ordering. Personnel must receive adequate training in handling the material, and plans must be made to store and dispose of the chemical properly before it is received. Chemicals should be properly labeled, inventoried, and a material safety data sheet (MSDS) should be available. Preferably, all chemicals should be received in a central location.
Quantity. To reduce waste disposal costs, only the smallest quantity of a chemical needed for the experiment should be ordered.
Material safety data sheets. Hazardous chemicals should not be accepted unless a MSDS is on file with the Department or the Safety Office.
Labels. In accordance with Globally Harmonized System of Classification and Labeling of Chemicals (GHS), and in compliance with OHSA 1910.1200; labels on incoming chemicals must contain the name of the product or chemical, identify hazardous ingredents or components, display the appropriate signal word, appropriate physical, health, environmental hazard statements, supplemental information, precautionary measures & pictograms, first aid statements, and the name and address of the manufacturer. Unlabeled chemicals must not be accepted.
Inventory. All departments should maintain an inventory of hazardous chemicals.
Free materials. The recipient should limit the amount of free material to that needed. The donor should agree in writing to dispose of any excess material in a legal and safe manner. If the free material poses any safety or health risks or would cause any storage or disposal problems, the Safety Office should be notified to resolve the problems posed by the gift.
Controlled substances. Authorization to use controlled substances for research purposes is normally held by the department head. The holder of the license must sign all purchases and maintain records of the purchase. Copies of the license must be provided to the Safety Office. Contact the Safety Office for information on obtaining a Controlled Substance Registration.
Radioisotopes. All orders for radioisotopes must originate from an Authorized User approved by the Radiation Safety Committee. The Authorized User's name must be on the requisition. The requisition must be signed by the department head and sent to the Safety Office for approval. Purchasing will return unapproved requisition to the initiating department.
The Safety Office should be notified to arrange for prompt delivery of short half-life materials. Phone orders must be approved by the Safety Office. Phone orders will be made by the Safety Office or the purchasing department.
All radioactive material will be shipped to the Safety Office. The Safety Office will maintain records of the transaction, perform a radiological survey of the package and deliver the package to the Authorized User. Radioactive materials cannot be mailed directly to Authorized Users.
Regulated carcinogens. The use of OSHA regulated carcinogens can involve a long list of requirements concerning recordkeeping, posting, containment, facilities, training, monitoring, contamination control, and medical surveillance. To ensure that regulated carcinogens are used properly the Safety Office should be notified before ordering these materials.
Ethers. Ethers pose a special problem because they often form highly explosive peroxides as they age. The smallest amount needed for immediate use should be purchased. Containers must be dated when purchased and disposed of after 12 months if unopened, or after six months if opened.
Perchloric acid. Perchloric acid is an extremely corrosive agent that requires special precautions. It becomes explosive under a variety of conditions, such as heating, dehydrating, combination with organic materials, and shock. Because of these hazards the Safety Manager should be notified when ordering perchloric acid in concentrations greater than 72%.
Flammable liquids. Flammable and combustible liquids must be purchased and stored in containers that do not exceed the following sizes:
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Chemical Storage
Numerous hazards are associated with the storage of chemicals. Accidents can be reduced by the careful planning of storage procedures and facilities. Chemical containers should be periodically inspected to ensure that labels are legible and intact, containers are not leaking or rusting, and that chemicals have not dangerously deteriorated or peroxidized. Containers should always be kept tightly sealed. Storage in laboratories should be minimized. Chemicals should be inventoried periodically and unnecessary chemicals returned to the stock room or disposed of through the Safety Office. Individual chapters on chemical classes should be consulted for additional information on storage procedures.
Location. Chemicals should be stored in a definite storage area and returned to that location after each use. Chemicals should be stored on shelves with a one-half inch retaining lip. Shelves should not be above shoulder height. Shelves should be sturdy and coated with chemically resistant paint. Chemicals should not be stored on bench tops or in hoods. Storage areas should be cool, dry, well ventilated, and out of direct sunlight.
Incompatibles. Every effort should be made to separate chemicals that may react together and create a hazardous situation. A common and unsafe practice is storing chemicals alphabetically. This practice often allows explosions, or the release of toxic vapors. Chemicals should be stored according to chemical class. Further information is available from the Safety Office on incompatible chemicals.
Carcinogens. Stock quantities of carcinogens should be stored in a designated area or cabinet and posted with the appropriate hazard sign. Volatile chemicals should be stored in a ventilated storage area in a secondary container having sufficient volume to contain the material in case of an accident. Storage areas should be separated from flammable solvents and corrosive liquids.
Toxic chemicals. Toxic chemicals should be stored away from fire hazards, heat, and moisture, and isolated from acids, corrosives, and reactive chemicals. Special care should be taken to ensure that toxic chemicals are not released into the environment. Access to the storage area should be restricted for highly toxic chemicals. Highly toxic chemicals should be stored in unbreakable secondary containers.
Corrosives. Corrosive chemicals should not be stored with combustibles, flammables, organics, and other highly reactive and toxic compounds. Acid and bases should not be stored together. Organic acids should be separated from sulfuric, nitric, perchloric acid and other strong oxidizers.
Flammable liquids. Storage in laboratories is limited to 10 gallons outside of flammable storage cabinets or safety cans. Storage in glass containers is limited to 1 pint for Class IA liquids and 1 quart for Class IB liquids unless permission has been obtained from the Safety Manager.
Flammable liquids should not be stored near exits, sources of heat, ignition, or near strong oxidizing agents, explosives, or reactives. Smoking is prohibited in storage areas. Storage areas should be adequately ventilated to prevent vapor building up. Adequate fire extinguishers should be readily available. Metal dispensing and receiving containers should be grounded and bonded together by a suitable conductor to prevent static sparks.
Reactives. Reactive chemicals should be protected from shock, heat, ignition sources, and rapid temperature changes. Containers should be separated from corrosives, flammables, organic materials, toxins, and other reactive chemicals. Depending on the quantity, explosives may need to be stored in specially constructed magazines. Water reactive chemicals should be separated from sprinkler systems, emergency showers, eyewash stations and other water sources. Keep containers well sealed. Store water reactives under an inert non-flammable solvent.
Explosion hazards. Ethers, picric acid, and perchloric acid that have deteriorated in storage present potential explosion hazards. Ethers older than one year and picric acid and perchloric acid with visible crystal formation should not be touched or opened. The Safety Manager should be called for proper disposal of these items.
Compressed gases. Cylinders must be secured, and stored upright with the valve protector in place. Storage areas should be well ventilated and dry. Cylinders should be stored away from ignition sources, heat, and combustibles. Flammable gas cylinders and oxidizing cylinders in storage must be separated by 20 feet or a 5-foot high wall with a half-hour fire rating. Highly toxic gas cylinders must be stored in occupied areas in a way that will not contaminate breathing air.
Drugs. Individuals holding licenses to use drugs in their research must provide safe secure storage for these drugs. The storage must be lockable and difficult to move.
Radioisotopes. The license to use radioisotopes requires the university to rigorously enforce the rules of the NRC. The rules require that all radioisotopes be kept in locked, secure storage when not in use or when an unauthorized user is not physically present.
Ethers. Ethers should be ordered only in small quantities, dated upon arrival and discarded within six months of opening. Unopened containers should be disposed of after one year.
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General Safety Practices
Most laboratory chemicals are hazardous and should be handled with precautions. These hazards include toxic and corrosive chemicals that can damage health, and chemicals that can cause fires and explosions. Many accidents occur because the hazard was not known or it was underestimated. However, most laboratory accidents occur because workers became careless with commonly used substances with known hazards. To reduce accidents in laboratories, individuals must accept responsibility for carrying out their work according to good safety practices. Personnel should always strive to minimize their exposure to chemicals. The following general safety procedures are designed to minimize the likelihood of an accident while working with hazardous chemicals.
Planning. Work should be planned carefully; appropriate planning can substantially reduce the risks in using chemicals. Always know the potential hazards and safety procedures associated with any chemical or operation before beginning the work. Consult this manual for general information on chemical classes and the Material Safety Data Sheet for detailed information for specific chemicals. The following factors should be considered before using hazardous chemicals in research projects or classrooms:
Hazards associated with the use of the chemicals.
Alternate chemicals or procedures that would be safer to use.
Safety training for personnel.
Hazardous waste disposal.
Chemical spills.
Training. Personnel working with, or potentially exposed to, hazardous chemicals must receive training on the hazards of chemicals in their work area and safety procedures. Training will be provided at the time of the employee's initial assignment and prior to exposure to new hazards. Training must contain the following information:
Methods and observations to detect the presence of hazardous chemicals in the work place.
Physical and health hazards of chemicals including signs and symptoms of an overexposure.
Procedures to protect against hazards including proper work practices, emergency procedures, safety equipment, personal protective equipment, and first aid procedures.
Contents of the Chemical Hygiene Plan.
Emergencies. Telephone numbers of emergency personnel and supervisors should be prominently posted in each laboratory.
Reference materials. MSDSs, reference materials on hazardous chemicals, and permissible exposure limits are available in the Safety Office.
Inspections. The Safety Office will periodically inspect laboratories to ensure that the use of hazardous chemicals conforms with University regulations. Preliminary discussion with the Safety Director is encouraged to reduce potential problems associated with new research.
Chemical Hygiene Officer. The Safety Director will serve as the Chemical Hygiene Officer for the university. This person is qualified by training or experience to provide technical guidance in chemical and laboratory safety. The Chemical Hygiene Officer will develop and implement a chemical hygiene plan for the safe use of chemicals in laboratories at the university.
Laboratory supervisor. The laboratory supervisor is responsible for daily chemical hygiene in the laboratory. Specific duties are to ensure that employees are trained properly in chemical hazards, wear appropriate protective equipment and follow the rules in the Chemical Hygiene Plan.
Chemicals spills. Appropriate equipment for the proper handling of chemical spills (sand, soda ash, sodium bicarbonate, or a commercially available spill kit) should be readily available.
Transportation. Glass bottles of flammable solvents, corrosive, and toxic chemicals should be transported in rubber buckets or similar protective carriers.
Hygiene. Since most chemicals are harmful, chemicals should not come in contact with the skin. Wash thoroughly with soap and water if chemicals contact the skin, before leaving the laboratory, and before eating.
Eating & drinking. Many chemicals used in the laboratory are extremely dangerous if ingested. Contamination of food and drinks is a potential route of exposure to these toxic chemicals. A well defined area within the laboratory may be established for the storage, handling, and consumption of food. Chemicals or chemical equipment must not be allowed in this area. Food should never be consumed in laboratory glassware. The storage, handling, and consumption of food is prohibited in certain high risk laboratories such as carcinogenic research laboratories, levels 3 & 4 biological laboratories, pesticide laboratories, and laboratories working with highly toxic compounds. Food meant for human consumption and chemicals or biological specimens must not be stored in the same refrigerator. A refrigerator should be designated for food storage only and appropriately labeled.
Housekeeping. Work areas should be kept clean and orderly, chemicals should be properly labeled, and equipment and chemicals should be properly stored. Chemicals should be used in a systematic way. Reagents should be capped and returned to their normal storage location after use. Unlabeled containers and chemical waste should be disposed of promptly using established procedures. Chemicals that are no longer needed should be disposed of properly. Chemicals should not be stored in aisles where they could be knocked over. Spilled chemicals should be cleaned up immediately. The Safety Manager should be notified immediately in the event of a large spill or one involving toxic materials. Laboratory benches and floors should be cleaned daily to reduce the quantities of accumulated chemicals that could pose respiration hazards.
Pipetting. Mouth pipetting of chemicals is strictly prohibited. Always use a pipet bulb or similar mechanical device.
Personal protective equipment. Exposure to hazardous chemicals should be avoided. Appropriate eye protection must be worn at all times by anyone working or visiting an area of the laboratory where experiments are underway. Other protective equipment such as face shields, gloves, protective clothing, and respirators should be worn as necessary.
Personal apparel. Long hair should be confined. Shoes should be worn at all times. Workers should not wear sandals, perforated shoes, or sneakers.
Shielding. Any reaction that has the potential for explosion or splashing should be guarded on all accessible sides with a safety shield.
Labels. In accordance with Globally Harmonized System of Classification and Labeling of Chemicals (GHS), and in compliance with OHSA 1910.1200; labels on incoming chemicals must contain the name of the product or chemical, identify hazardous ingredents or components, display the appropriate signal word, appropriate physical, health, environmental hazard statements, supplemental information, precautionary measures & pictograms, first aid statements, and the name and address of the manufacturer. Carefully read the label, noting the name and hazard information. Many chemicals have similar names. Secondary chemicals not intended for immediate use during the work shift must be labeled with the name of the chemical and the appropriate hazard warnings. Containers with illegible or missing labels should not be accepted or used. These chemicals should be disposed of by calling the Safety Office.
Material safety data sheets (MSDS). MSDSs must be maintained for all incoming shipments of chemicals and made readily accessible to employees.
Smoking. Smoking is prohibited in laboratories that use or store flammable solvents.
Working alone. Hazardous experiments and work with chemicals that may be immediately dangerous to life and health should not be conducted alone.
Unattended operations. Reactions that may continue overnight should be posted with a warning sign containing the name and phone number of the operator. These operations should contain safety equipment that will shut the reaction off in case of an emergency, e.g., automatic water regulators and thermal cut-off devices.
Flammables. Open flames should not be used to heat flammable liquids. Before lighting an open flame ensure that all flammables have been removed from the area and that all flammables are tightly closed. Use only non-sparking electrical devices to heat flammable liquids.
Fume hoods. Potentially explosive reactions and operations involving the release of hazardous toxic or flammable vapors, or reactions releasing noxious vapors must be performed in a fume hood.
Medical consultation. Personnel must receive medical attention whenever symptoms associated with a possible overexposure are noted or when monitoring shows an exposure routinely above the action level for an OSHA regulated substance.
Air monitoring. Routine monitoring of airborne concentrations of chemicals is normally not warranted in laboratories. Monitoring may be necessary, however for work with certain OSHA regulated carcinogens.
Horseplay. Practical jokes or other behavior that might startle, confuse, or distract another worker must be avoided.
Handling Major Spills
Initial Response and Notifications
1. Any incident which could endanger facility occupants, property, or the environment should be treated as a major spill. If you are unsure about the severity of the spill or the hazards are unknown, treat it as a major spill. In addition, any fires involving hazardous chemicals or spills that causes any injury such as unconsciousness should be considered a major spill.
2. The following are examples of spills that should be considered major:
Type of spill
3. Do not attempt to clean up a major spill. Only individuals who have received the 40-hour HAZWOPER training course and are part of an emergency response team should clean up major spills.
4. If flammable or combustible liquids are spilled, immediately turn off all sources of ignition.
5. Evacuate persons in the immediate vicinity of the spill. Remove injured personnel to fresh air or an emergency shower or eyewash. If occupants in the building are in danger, pull the fire alarm to evacuate the building. Evacuate to an upwind location for toxic gases such as chlorine. Assemble in a designated area well away from the building. Distances from the building will be determined from the DOT Emergency Response Guidebook based upon the type of spilled material. Individuals trained to at least the first responder operations level (Level II) will determine the evacuation distance.
6. On your way out, open windows and turn on a hood, if possible. Close the sash if the spill was in a hood. Close the door and turn off the air conditioning and ventilation systems to prevent vapors from spreading throughout the building. Do not put yourself in danger.
7. Report the spill to the University Police Department. The Police Department will call the Safety Manager. If appropriate, the Police Department will also call the Vice President for Finance and Administration. If deemed appropriate, the Vice President of Finance and Administration will notify the President.
8. Provide the following information. Wait in a safe place for emergency personnel to arrive and direct them to the spill:
Name and telephone number of the caller
Location of the spill
Name and quantity of materials involved
Extent of injuries, if any
Environmental concerns, such as the location of storm drains & streams
Any unusual features such as foaming, odor, fire, etc.
9. If you have been properly trained (at least Level III training) and can do so without putting yourself in danger, don appropriate PPE and attempt to stop the leak or reduce contamination by quickly doing the following:
Close a valve
Roll a drum to point the leak up
Put a container under the leak
Surround the leak with spill booms
Surround storm drains and sanitary drains with spill booms
Place an oil-only boom in streams to absorb petroleum products
10. The Safety Office will obtain the MSDS during normal hours if the identity of the spill is known. The Police Department will obtain the MSDS after hours.
11. A Police Officer will proceed to the site and cautiously evaluate the situation while waiting for the Safety Manager. The officer will evacuate the building if there is clear danger to the occupants of the building. If the spill is clearly beyond the capabilities of the university to handle, the Police Officer will immediately call the Radford City Fire Department.
12. The Safety Office and Police Department will evaluate the hazards. The Safety Office will attempt to clean up the spill if it is within the capabilities of university personnel. Safety Office personnel will wear proper personal protective equipment based on the nature of the spill.
13. If the Safety Office cannot handle the spill they will call the Radford City Fire Department and a spill response contractor.
14. The Safety Office will notify the City of Radford and Pepper's Ferry Treatment Authority as soon as possible, but within four hours, of an accidental discharge into the sanitary sewer system. This notification will include the location, type of waste, concentration and volume, and corrective actions being taken. A written report must be submitted within five days describing the incident and the measures taken to prevent a future occurrence.
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Specific Emergency Procedures
1. The Police Director is the Campus Emergency Coordinator and has overall responsibility at the spill site until the arrival of the Fire Chief. The Police Director will ensure that appropriate emergency responders have been called.
2. The Chief of the Radford City Fire Department or his designate will be the initial senior emergency response official at the scene and direct the clean-up operation.
3. Until the arrival of the Fire Chief, the Safety Manager will serve as the Incident Commander for a hazardous chemical spill. The Safety Manager will also serve as the safety official at the site and will be familiar with the emergency plan, facilities, emergency equipment, hazardous materials, chemical storage sites, and records. The Safety Manager has the authority to stop operations that pose an immediate threat to lives, property, or the environment.
4. The following monitoring equipment is available to the Safety Manager to take air samples to assess the spill and determine proper respiratory protection if needed:
Confined space meter that measures oxygen, LEL, CO, and H2S.
Photoionization detector for measuring VOCs.
Personal air sampling pump.
Natural-gas meter.
5. The Radford Fire Department in cooperation with university personnel will assess the severity of the spill, level of personal protective equipment needed, and implement appropriate emergency operations. If necessary, assistance will be requested from:
Department of Environmental Quality.
Local environmental contractors.
Virginia Tech Safety Office.
6. An evacuation of the building may be ordered by the Fire Chief or the University Police Director.
7. Site security and crowd control to prevent entry into the hot zone will be provided by the Radford University Police Department.
8. Assistance with university facilities and equipment will be provided by Facilities Management.
9. As other emergency response teams arrive, the most senior emergency response official at the site will be in charge. All emergency responders and operations will be coordinated through this individual.
10. Spills requiring Level A or B protection will be handled by an outside hazardous materials team. SCBAs and chemical resistant suits will be worn. Spills requiring Level C or D protection may be handled by properly trained individuals from the Fire Department or Radford University. Proper PPE will be worn. Operations in hazardous areas will be performed using a buddy system.
11. Victims of a chemical spill will be taken to the Carilion New River Valley Medical Center.
12. Emergency medical treatment will be provided by the Radford City EMS squad. First aid for emergency responders will be provided by RUEMS.
13. Decontamination of victims, equipment, and emergency responders will be performed under the supervision of the Safety Manager in cooperation with the Fire Department and outside contractors. Individuals performing decontamination will wear proper PPE and be trained in decontamination procedures. Decontamination equipment is stored in the paint room next to the Allen Building.
14. The Safety Office will notify the National Response Center if a reportable quantity is released and file a report with the Department of Environmental Quality if required.
15. Immediately after the emergency, the Safety Office will ensure that recovered waste and contaminated materials are properly disposed.
16. Within a week of the incident, the Safety Office will contact all parties involved in the incident and critique the emergency response. Necessary changes will be made to the plan.
Handling Minor Spills
Initial Response and Notification
Spills that can be cleaned up by personnel on the spot are defined as minor spills. Minor spills are releases of low toxicity liquids or solids not generating dangerous gases or fumes, e.g., small acid and solvent spills, hydraulic fluids, fuel oils, etc. Minor spills are limited in quantity and pose no emergency or significant threat to the safety and health of employees.
Notify persons in the immediate area and prevent access to the spill if possible. Evacuate persons in the immediate vicinity of the spill if they are in danger.
If flammable or combustible liquids are spilled immediately turn off all sources of ignition.
Avoid breathing vapors from the spill. Open windows and turn on a hood. Close the sash if the spill was in a hood.
Contact the Safety Office if assistance is needed in cleaning up the spill.
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Specific Emergency Procedures
Determine the chemical name of the spilled material by checking labels and shipping papers. Obtain the MSDS and identify the hazards associated with the spill. Is it flammable, combustible, reactive, toxic, corrosive, or an oxidizing agent?
Do not touch spilled materials. Consult the MSDS. Wear appropriate gloves, eye protection, and protective clothing if necessary. For concentrated acids and alkalis, a face shield is needed in addition to goggles. Wear an air-purifying respirator if hazardous gases, fumes, or dusts are present that are within the range of protection of the respirator. Ensure that proper cartridges are used. Anyone who wears an air-purifying respirator must be properly trained and medically evaluated.
Stop the leak at the source and try to prevent the spill from spreading. Prevent the spill from entering drains or leaking onto the ground. Upright overturned containers. Turn the container so that a hole points up. Transfer liquids from leaking containers to new ones. Plug or patch a leaking drum. Surround the spill with an inert absorbent such as vermiculite or spill booms.
Absorb small spills of acids, caustics, solvents, oil, and aqueous solutions with paper towels, spill pads, or spill control pillows. Paper towels should not be used for more than tiny amounts of volatile liquids because the paper will aid evaporation. Using tongs, carefully place the towels, pads, or pillows onto the spill. Pick up flammable liquid spill control materials using sparkproof tools (e.g. plastic, aluminum). Carefully pick up the saturated material with a scoop or tongs, place in a plastic bag, label, and dispose as hazardous waste. Keep oxidizers away from combustible materials (wood, paper towels, oil, etc.).
For a large liquid spill, use a squeegee to bring the liquid into contact with absorbents. Always work toward the center of the spill. If an absorbent is not readily available cover the spill with a plastic sheet to reduce vaporization.
Carefully push solids into a pile with a plastic scraper. Brushes and brooms may create an unacceptable dust hazard and should be used with caution.
Acid and base residues that were not absorbed by the vermiculite or spill pillows should be removed with neutralizers. Small acid spills can be neutralized with sodium bicarbonate or sodium carbonate and alkali spills with sodium bisulfate, citric acid or vinegar. Commercial adsorbent spill control materials can also be used. Wash the contaminated area with soap and water to remove any remaining residues.
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Mercury Spills
To prevent spills, always store mercury in unbreakable plastic containers. Place instruments containing mercury in a tray large enough to hold the contents.
Because mercury is toxic and volatilizes easily, clean spills up immediately. Wear appropriate gloves, eye protection, and respirator. Use mercury cleanup sponges or powder to amalgamate mercury droplets and prevent the emission of mercury vapors. Scoop up the amalgamated mercury and place it and all other contaminated items in a plastic bag for disposal as hazardous waste.
A mercury vacuum, aspirator bulb, or suction flask may be necessary for large spills or droplets that are in hard-to-reach areas. Use mercury indicator powder to verify that all the mercury has been cleaned up. Wear a mercury vapor mask when cleaning up large quantities of mercury.
Check for the presence of mercury vapors with an instrument or mercury vapor detector.
Hydrofluoric (HF) Acid Spills
To prevent spills, always store mercury in unbreakable plastic containers. Place instruments containing mercury in a tray large enough to hold the contents.
Because mercury is toxic and volatilizes easily, clean spills up immediately. Wear appropriate gloves, eye protection, and respirator. Use mercury cleanup sponges or powder to amalgamate mercury droplets and prevent the emission of mercury vapors. Scoop up the amalgamated mercury and place it and all other contaminated items in a plastic bag for disposal as hazardous waste.
A mercury vacuum, aspirator bulb, or suction flask may be necessary for large spills or droplets that are in hard-to-reach areas. Use mercury indicator powder to verify that all the mercury has been cleaned up. Wear a mercury vapor mask when cleaning up large quantities of mercury.
Check for the presence of mercury vapors with an instrument or mercury vapor detector.
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5.0 Toxic Chemicals
Toxic chemicals are chemicals that can produce injury or death when inhaled, ingested, or absorbed through the skin. Damage may result from acute or chronic exposures and involve local tissue or internal organs. The extent of the injury depends on the dose administered, duration of the exposure, physical state, solubility, and interaction with other chemicals. Toxic chemicals include corrosives, systemic poisons, carcinogens, mutagens, and embryotoxins.
Dosage
The dose is the most important factor that determines if damage will result from exposure to a chemical. Chemicals vary tremendously in their toxicity. An excess of almost any chemical can be harmful and a sufficiently small amount of most chemicals will not cause injury. There is a threshold or no effects level that must be exceeded before toxic effects will be noticeable for most chemicals.
Although the toxicity and chemical structure of a compound are generally related, each compound must be studied independently to determine its toxicity. In determining the toxicity of chemicals it is common to use standardized terms called the median lethal dose (LD50) or the median lethal concentration (LC50). The LD50 is defined as the dose of a chemical that will result in the death of 50% of a group of test animals when ingested or applied to the skin in a single dose. It is expressed in milligrams of the chemical per kilogram (ppm) of body weight of the test animal. The LC50 refers to the concentration of a gas or vapor that will result in the death of 50% of the animals when inhaled.
A substance is considered toxic if the LD50 in test animals is between 50 ppm and 500 ppm when ingested, or between 200 ppm and 2000 ppm when in contact with the skin. The substance is also considered toxic if the LC50 is between 200 ppm and 20,000 ppm when inhaled. Examples of toxic chemicals include acrylonitrile, benzene, chloroform, hydrofluoric acid, and mercury. A substance is considered highly toxic if it has an LD50 in test animals of less than 50 ppm by ingestion, less than 200 ppm by skin contact, or the LC50 is less than 200 ppm. Examples of highly toxic chemicals include arsenic, hydrogen cyanide, fluorine, and phosgene.
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Exposure
The toxicity of chemicals is also related to the duration of the exposure. Exposure to toxic chemicals is divided into two classes; acute toxicity and chronic toxicity.
Acute toxicity. An acutely toxic chemical causes damage in a relatively short time after a single concentrated dose. Irritation, burns, illness, or death may result. Hydrogen cyanide, hydrogen sulfide, nitrogen dioxide, carbon monoxide, chlorine, and ammonia are examples of acutely toxic poison gases commonly used in the laboratory. These substances may cause severe inflammation, shock, collapse or even sudden death when inhaled in high concentrations. Corrosive materials such as acids and bases may cause irritation, burns, and serious tissue damage.
Chronic toxicity. A chemical that is a chronic toxin produces long term effects. Damage may result after repeated exposures to low doses over time, as from the slow accumulation of mercury in the body, or after a long latency period from exposure to a carcinogen. Chronic exposure to solvents may result in reproductive problems and behavioral changes. The symptoms from exposure to chronic toxins are usually different from those seen in acute poisoning from the same chemical. Since the level of contamination is low workers may not be aware of the exposure.
Chronic toxicity also includes exposure to embryotoxins, teratogenic agents, and mutagenic agents. Embryotoxins are substances that cause any adverse effects on the fetus (death, malformations, retarded growth, functional problems). Teratogenic compounds specifically cause malformations of the fetus. Examples of embryotoxic compounds include organomercurials and lead compounds. Mutagenic compounds cause changes in the gene structure of the sex cells that can result in the occurrence of a mutation in a future generation. Approximately 90% of carcinogenic compounds are also mutagens.
Effects
Toxic effects are based on the site of action and are classified into local and systemic effects.
Local. The action of a toxin on the skin or mucous membrane at the point of contact is termed local toxicity or corrosivity. For example, acids have a local or direct irritating effect on the skin, eyes, nose, throat, and lungs. The skin may be severely burned or vision impaired. The lungs may be damaged as a result of inhaling toxic gases. Exposure may be through inhalation, ingestion, or direct contact with the skin or eyes.
Systemic. When a toxin is absorbed into the blood stream and distributed throughout the body, systemic or indirect toxicity may occur. Several sites may be damaged or the toxin may act on only one site. Arsenic, for example, may damage the blood, nervous system, liver, and kidneys when absorbed in toxic amounts. However, benzene only acts on one site, the blood forming bone marrow. Absorption may take place through the lungs, skin, or gastrointestinal tract.
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Routes of Exposure
Toxic chemicals may enter the body through three routes: inhalation, ingestion, or contact with the skin and eyes.
Inhalation. Inhalation of toxic substances represents the most common means by which injurious substances enter the body. Air contaminants in the workplace present both acute and chronic dangers to health. Inhalation of toxins can cause local damage to the mucous membranes of the mouth, throat, and lungs or pass through the lungs into the circulatory system and produce systemic poisoning at remote sites.
Thousands of deaths per year are attributed to occupational exposure from dust, fumes, gases, vapors, and mists. Exposure to organic dusts such as coal dust can cause asthma, chronic bronchitis, and emphysema. Mineral dusts such as asbestos can cause asbestosis, characterized by coughing and breathlessness, or mesothelioma, a cancer of the lung lining. Exposure to toxic chemical dusts may result in irritation, bronchitis, and cancer depending on the nature of the chemical. The poisoning effect may be fast or slow depending on the toxicity and concentration inhaled.
Breathing the fumes generated from the heating of heavy metals may result in metal fume fever characterized by irritation of the lungs, dry throat, chills, fever, and pain in the limbs. Cadmium fumes may cause emphysema. Exposure of hydrocarbons, chromium, beryllium, and arsenic fumes may cause lung cancer.
Exposure to acid and alkaline gases such as hydrochloric acid and ammonia will cause extreme local irritation to the lungs. Some gases such as carbon monoxide may pass into the blood stream and cause systemic injuries. Other gases such as vinyl chloride may cause cancer.
Vapors are the gaseous state of liquids. Exposure to vapors may cause nose and throat irritation, pulmonary edema or cancer.
Mists are fine suspensions of liquid in air and can cause chemical burns of the lungs, lung disease and cancer. Common mists include chromic acid, sulfuric acid, and sodium hydroxide from oven cleaners.
Many gases can be detected by their odor or irritating effect which results in an immediate warning so that injury can be averted. Ammonia, for example, is highly irritating and has an offensive odor. Other toxic gases, such as carbon monoxide, however, may have no odor or irritating effects. Deadening of the sense of smell may occur from exposure to some gases, such as hydrogen sulfide, and prevent the detection of toxic quantities. Pain may be delayed for several hours from exposure to other gases, such as hydrogen fluoride. Although sensory warnings may give adequate warnings sometimes, it should not be relied on as a primary defense.
Ingestion. Anything ingested may be absorbed into the blood and cause systemic poisoning. Oral toxicity is generally lower than inhalation toxicity because of the relatively poor absorption of many chemicals from the intestines into the blood stream. The ingestion of laboratory chemicals may cause severe local damage to the lining of the mouth, throat, and gastrointestinal tract. In addition, if the chemical is absorbed into the blood stream, systemic poisoning may result. Ingestion of chemicals may occur from eating contaminated food, smoking cigarettes contaminated with chemicals, or swallowing chemicals deposited in the throat through inhalation.
Skin contact. Chemical damage to the skin of the hands and arms is a common occupational injury in laboratories. Damage to the skin may include inflammation, burning, blistering, and complete destruction of the skin. The extent of the damage depends on the type of chemical, its concentration, and the duration of the contact. Chemicals that affect the skin are divided into two classes: irritants and sensitizers. Exposure to irritants can result in contact dermatitis, the most common occupational skin disease. Contact dermatitis is any local inflammation of the skin following exposure to damaging substances. Most organic and inorganic acids and metallic salts are strong irritants. Exposure to these chemicals can result in serious local damage to the skin often requiring medical attention. Exposure to milder irritants such as detergents and solvents may cause redness, burning, and swelling. The irritation is usually confined to the area of skin that contacted the chemical and may heal in a few days.
Initial contact with a chemical sensitizer may produce no reaction. Once sensitized, however, subsequent exposures may result in an allergic-type of response called contact allergic dermatitis. Reactions usually develop several hours after re-exposure and may last for several days. Skin reactions may also appear at sites remote from the initial contact. Once a worker has become sensitized to a chemical, very small amounts of it may trigger a reaction. Typical sensitizers include arsenic, mercury, nickel compounds, trichloroethylene, carbon disulfide, petroleum distillates, detergents, and many pesticides.
Skin contact is also the primary route of entry into the body for many hazardous chemicals. Chemicals such as organophosphates, aniline, hydrocyanic acid, and phenol may pass through the skin and cause serious or even fatal poisoning. The largest problem associated with skin absorption of chemicals occurs with organic solvents. Solvents such as benzene, carbon tetrachloride, and methyl alcohol may be absorbed in sufficient quantities to cause systemic injury or even cancer at other organ sites. In addition, some solvents such as DMSO may act as vehicles that carry other chemicals through the skin.
Eye contact. The effects of accidentally splashing corrosive chemicals into the eye can range from minor irritation, to scarring of the cornea and loss of vision. Injury to the eye from bases is much more damaging than acid burns. Acids cause a protein barrier to form in the eye preventing further penetration of the acid. Bases, however, continue to soak into the eye and cause further damage. In addition, mists, vapors, and gases may produce varying degrees of damage to the eyes. Some chemicals may be absorbed by the eye and produce systemic poisoning.
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Interactions
It is common in laboratories for workers to be exposed to a wide range of chemicals. Consideration must be given to the possible interaction of these chemicals and how they may affect personnel. There is growing evidence that many chemicals may have a synergistic effect and produce toxic effects that are much greater in combination than would be predicted from their individual effects. Since standards for permissible levels of chemicals are based on the effects of a chemical acting alone, it is prudent to keep exposures to the lowest possible level. Another possible hazard involves the interaction of chemicals with cigarettes. Cigarettes can convert chemicals in the atmosphere into more harmful forms. For example, chloroform can be converted by the heat from a cigarette into the highly toxic gas phosgene. Interactions may also occur inside the body of the worker, producing harmful metabolites.
Threshold Limit Values
Exposure limits to airborne concentrations of common chemicals are published yearly by the American Conference of Governmental Industrial Hygienists (ACGIH). These limits are recommendations, not legal standards, and represent conditions to which nearly all workers may be exposed without experiencing significant adverse effects. They are based on the best currently available data from industrial experiences, human population studies, and animal experiments. Three categories of Threshold Limit Values (TLV) are specified: Time Weighted Average (TWA), Short Term Exposure Limit (STEL), and Ceiling Value. TLV's are expressed in parts per million (ppm) or mg/cubic meter.
TWA. The TWA is the concentration of an airborne chemical averaged over an eight-hour workday to which workers may be exposed to daily without sustaining injury. Exposure to concentrations above the limit is allowed as long as they are balanced by exposures below the limit and do not exceed the STEL or Ceiling Limit.
STEL. The STEL is the maximum concentration a worker can be exposed to for fifteen minutes without suffering from irritation, chronic or irreversible tissue damage, or narcosis of sufficient degree to cause impairment.
Ceiling limit. The Ceiling Limit is the concentration that should never be exceeded for any time.
PEL. The legal maximum levels of airborne chemicals are determined by OSHA and are called Permissible Exposure Levels (PEL). Most of the OSHA Permissible Exposure Levels are adopted from the ACGIH Threshold Limit Value list. OSHA values are not updated yearly as are the ACGIH Threshold Limit Values.
The TLV and PEL should only be used as guidelines for good practice and should not be used as fine lines between safe and unsafe concentrations. It is always prudent to keep exposures to airborne contaminants as low as possible.
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Classes
Lung irritants. Lung irritants are chemicals that irritate or damage pulmonary tissue. Chemical irritants are classified as primary or secondary. Primary irritants exert their effect locally, for example, acid fumes burning the lungs. Secondary irritants, such as mercury vapors, may exhibit some local irritation but the main hazard is from systemic effects resulting from absorption of the chemical.
Irritation of the lungs may produce acute pulmonary edema (fluid in the lungs). Symptoms include shortness of breath and coughing that produces large amounts of mucous. Reactions to some chemicals may produce an allergic sensitization that causes asthmatic-type symptoms following additional exposures. Short term exposure to irritants is usually reversible with no permanent damage, however, systemic poisoning may persist and cause permanent damage.
The solubility of an irritant gas influences the part of the respiratory tract affected. For example, soluble gases such as ammonia, hydrogen chloride, and sulfur dioxide mainly irritate the upper respiratory tract. Insoluble gases such as nitrogen dioxide, carbon monoxide, and phosgene travel deeply into the lungs and cause irritation of the bronchi and air sacs. These gases are then absorbed into the blood stream and damage various organ sites. Some gases such as chlorine and hydrogen sulfide may affect the entire respiratory tract.
Skin irritants. Although not as destructive as corrosive chemicals, skin irritants can cause severe rashes and dermatitis to the hands upon significant and repeated contact. Many common laboratory solvents, such as toluene and xylene, are irritants.
Asphyxiants. Chemical asphyxiants prevent or interfere with the uptake and transformation of oxygen. Examples include carbon monoxide which prevents oxygen transportation, and hydrogen cyanide which inhibits enzyme systems and interferes with the transportation of oxygen to the tissues. At sufficiently high concentrations, both chemicals can result in immediate collapse and death.
Narcotics. Narcotics affect the central nervous system causing symptoms that range from mild anesthesia reactions to loss of consciousness and death at high doses. Examples include acetone, methyl ethyl ketone, and chloroform.
Neurotoxins. Neurotoxins interfere with the transfer of signals between nerves and may cause a collapse of the nervous system. Effects include narcosis, behavior changes, and decreases in motor function. Examples include ethanol, methanol, general anesthetics, mercury, carbon disulfide, and tetraethyl lead.
Hepatotoxins. Chemicals that damage the liver. Effects include jaundice and liver enlargement. Examples include bismuth, mercury, uranium, carbon tetrachloride, heavy metals, and chlorinated hydrocarbons.
Nephrotoxins. Chemicals that produce kidney damage. Effects include anemia, excessive amounts of protein in the urine and renal failure. Examples include arsenic, bismuth, chromium, lead, mercury, cadmium, glycols, phenols, halogenated hydrocarbons, and vinyl chloride.
Agents that act on the blood. Chemicals that cause decreased hemoglobin function which deprives the tissues of oxygen. Symptoms include cyanosis and loss of consciousness. Examples include carbon monoxide, cyanides, metal carbonyls, nitrobenzene, and arsine.
Hematopoietic system. Chemicals that interfere with the production of red blood cells. Symptoms include anemia and leukemia. Examples include arsenic, benzene, fluoride, iodide, and various nitro compounds.
Reproductive toxins. Chemicals that can cause birth defects, spontaneous abortions, or sterility. Examples include lead, PCBs, selenium compounds, and vinyl chloride.
Organic solvents. The vapor pressure of a chemical determines if it has the potential to be a hazard from inhalation. The vapor pressure is the pressure of the vapor in equilibrium with its liquid or solid form. The more volatile a chemical the higher its vapor pressure and the lower its boiling point. Solvents are a problem because they vaporize easily and produce high concentrations of vapor in the air. Common solvents have vapor pressures that can produce concentrations in the breathing zones of workers in the rage of 10 to 1000 ppm. Carbon tetrachloride, for example, has a TLV of 10 ppm and should always be used in a hood.
Inhalation of the vapors from organic solvents can pass to the heart and central nervous system very rapidly and cause a toxic reaction. An acute exposure to very high concentrations can cause unconsciousness and death. Chronic exposure can cause nausea, headaches, fatigue, and mental impairment. Injury to the organs of the body and damage to the blood may also occur. Studies have shown that low concentrations of common laboratory solvents in the air can adversely affect behavior, judgement and coordination. There is also evidence that chronic exposure to some solvents can cause cancer (e.g., benzene, carbon tetrachloride, and chloroform).
Contact with the skin may cause irritation, dermatitis, or an allergic reaction. Some solvents such as benzene and xylene may be absorbed through the skin and enter the bloodstream. Common laboratory solvents include toluene, xylene, benzene, carbon tetrachloride, formaldehyde, chloroform, and methyl alcohol.
Organic solvents are commonly divided into two classes: chlorinated and non-chlorinated solvents. Chlorinated solvents are usually non-flammable. Examples include carbon tetrachloride, chloroform, and trichloroethylene. Non-chlorinated solvents are generally flammable. Examples include xylene, benzene, and toluene.
Corrosive chemicals. Corrosive chemicals cause visible destruction or irreversible alternations in living tissue at the site of contact. These chemicals can burn the skin, cause severe bronchial irritation, and blindness if splashed into the eyes. Examples include sulfuric acid, hydrochloric acid, sodium hydroxide, phosphorus pentoxide, fluorine, and perchloric acid.
Heavy metals and their compounds. Heavy metals are relatively harmless in the metallic state, but their fumes, dust, and soluble compounds are well-known toxins. Some are carcinogenic, others are nephrotoxins, hepatotoxins, or neurotoxins. The most common heavy metals are arsenic, beryllium, cadmium, chromium, lead, mercury, nickel, and silver. Acute toxic effects from exposure to heavy metals result from inhalation and ingestion of dusts or inhalation of fumes. Metal fumes are generally more hazardous than dusts because the particles in fumes can enter the bloodstream easier. Bronchitis, chemical pneumonia, and pulmonary edema may result. Beryllium and cadmium are two of the most toxic metals when inhaled. Symptoms include nausea, vomiting, abdominal pain, and diarrhea.
Chronic exposure to heavy metals may lead to long-term effects. For example, chronic exposure to lead may damage the nervous system, brain and kidneys. Exposure to mercury over a long period can permanently damage the liver, kidney, and brain. Chronic inhalation of cadmium can cause emphysema and kidney damage. Carcinogenic effects have been shown from exposure to chromium, nickel, arsenic, cadmium, and beryllium. Prenatal effects have been observed from exposure to methyl mercury. In addition, some lead compounds are embryotoxic.
Some metals and their compounds can be absorbed through the skin. Mercury metal, and tetraethyl lead for example can enter the bloodstream through this route. Nickel, arsenic, chromium, and beryllium cannot penetrate the skin but they can damage the skin or cause allergic-type reactions.
Phosphorus and its compounds. White phosphorus is highly toxic by ingestion and inhalation and is a fire and explosion hazard. Several inorganic phosphorus compounds are very corrosive. Examples include phosphorus pentoxide, phosphorus pentafluoride, and phosphorus pentachloride. Some compounds such as phosphine, phosphorus trioxide, and phosphorus tribromide are extremely toxic. Organic phosphorus compounds are widely used as pesticides. These compounds may cause acute and chronic poisoning. Poisoning may result from ingestion, inhalation, or absorption through the skin. Organophosphates act by inhibiting an enzyme called cholinesterase. Examples include malathion, diazinon, parathion, and TEPP.
Cyanides. The simple metallic cyanides are highly toxic by ingestion. Cyanides are readily absorbed through the skin, mucous membranes, and by inhalation. Alkali salts are toxic by ingestion. Even small amounts of sodium and potassium cyanide are highly toxic and death may occur within minutes from ingestion. Inhalation of toxic fumes from hydrogen cyanide gas may result in death in a few seconds. Symptoms of poisoning include dizziness, headaches, tightness in the chest, palpitation of the heart, and difficulty in breathing.
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Safety Procedures
Alternate reagents. Before a chemical is used, information about its toxicity should be obtained. If the chemical is highly toxic, alternate reagents should be used if possible. For example, toluene or xylene can often be substituted for benzene. If the material must be used then adequate personal protection and containment are required.
Ventilation. The best way to avoid exposure is to prevent the escape of toxic materials into the workplace by using adequate ventilation such as exhaust hoods. Solvent distillations, column chromatography, heating or evaporating solvents, and transfers from one container to another should only be done in a hood. Respirators may need to be worn if local exhaust ventilation cannot be provided. Respirators must be approved by the Safety Manager.
Hygiene. To prevent the ingestion of toxic chemicals, workers should wash their hands immediately after using toxic chemicals, before leaving the laboratory, and before eating, drinking, smoking, or applying cosmetics.
Eating, drinking, or smoking. Eating, drinking, or smoking is prohibited in areas where toxic chemicals are used or stored. Food and drinks should not be stored with toxic chemicals. Chemicals should never be poured into food or drink containers.
Mouth pipetting. Mouth pipetting of toxic chemicals is prohibited.
Personal protection. Skin and eye contact with chemicals should be avoided by using the appropriate eye protection equipment, gloves, respirators, and laboratory coats. Personal protective equipment must be approved by the Safety Manager.
Highly toxic chemicals. Safety procedures for carcinogens should be followed when working with highly toxic chemicals.
Storage. Storage areas should be well ventilated and away from sources of heat or ignition. Incompatible chemicals should not be stored together. For example, potassium cyanide should not be stored with acids because of the possibility of the formation of the extremely toxic gas, hydrogen cyanide.
Solvents. Contact with solvents should be avoided by wearing appropriate eye protection and gloves. Tongs or a basket should be used to hold parts in a solvent bath. Hands should never be washed with a solvent. Inhalation of solvent vapors should be kept to a minimum. Work with volatile solvents should be done in a hood. Volatile solvents should not be used to any extent on the open bench. Open containers of volatile solvents should not be allowed on the laboratory bench.
Cyanides. Cyanides should not be stored with acids or exposed to the air. Gloves, eye protection and protective clothing should be worn when working with cyanides. Personnel working with large quantities of cyanides should not work alone. Respirators and appropriate first-aid supplies should be readily available.
Heavy metals. Inhalation of heavy metal dust should be avoided. Work must be conducted in a carefully controlled manner. Adequate exhaust ventilation is the most important factor in reducing exposure to heavy metals. Fine powders should be handled in a hood and care must be taken to avoid dispensing the metal into the laboratory atmosphere. For the most toxic compounds, a totally enclosed system may be required. Protective clothing such as gloves, laboratory coat, dust masks and eye protection must be worn. Respirators must be worn if engineering controls are not feasible. Removal of dust should never be done by dry sweeping or with an air hose. Surfaces should be cleaned by vacuuming with a special HEPA vacuum or wetting down the surface prior to sweeping. Water sprays should be used to prevent the formation of dust and to prevent dust from becoming airborne.
Mercury. Every effort should be made to prevent spills of metallic mercury. Mercury flows easily and gets into cracks and crevices where it can be extremely difficult to pick up. Mercury also vaporizes very easily and creates an inhalation hazard. Under static conditions 0.03 grams (about 1/100 the volume contained in a standard laboratory thermometer) can volatilize into the air in a standard laboratory and exceed the threshold limit value. Mercury should be stored in unbreakable plastic bottles. Containers should be sealed, kept in a cool, well-ventilated area, and stored in secondary containers. Instruments containing mercury should be placed in a tray that is large enough to contain the mercury. Transfers of mercury from one container to another should be done in a hood over a tray to hold spills. Spills should be cleaned up immediately. Droplets should be pushed together and collected by suction using an aspirator bulb or a suction flask. Alternatively a commercial mercury clean-up kit that includes special pads for picking up mercury may be used.
When there is a danger of mercury volatilizing, adequate local exhaust ventilation should be installed. Workers should be protected with respiratory equipment if this is not possible. Toxic dust respirators do not offer protection from mercury fumes. Gas respirators only offer minimal protection. The most effective protection is a supplied air respirator if the process cannot be enclosed and local exhaust is not possible.
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6.0 Corrosive Chemicals
Chemicals that cause severe local injury to living tissue are called corrosive chemicals. Accidents involving splashes of corrosive chemicals are very common in the work place. Damage to the skin, respiratory system, digestive system and the eyes may result from contact with these substances or their vapors. The seriousness of the damage depends on the type and concentration of corrosive material, length of the exposure, the body part contacted, and first aid measures taken.
Usually minor exposure to corrosive materials is reversible and healing is normal. However, severe exposure may cause permanent damage. Depending on the severity of the exposure, damage to the skin may range from redness and peeling to severe burns and blistering. Chronic exposure may result in dermatitis. Exposure to the respiratory system may range from mild irritation, to inflammation, chest pain, difficulty in breathing, pulmonary edema, and death. Mild exposure to the eyes may cause pain, tearing, and irritation while severe exposure may cause ulcerations, burns and blindness. Ingestion of corrosive chemicals may cause immediate pain and burning in the mouth, throat, and stomach followed by vomiting and diarrhea. Perforation of the esophagus and stomach is possible.
The concentration of a corrosive material also determines the extent of damage to the tissues. For example, a weak solution of acetic acid (vinegar) can be ingested and contact the skin without any harmful effects. However, concentrated acetic acid is highly corrosive and can cause serious burns to the tissues.
First aid measures must be taken immediately if corrosive chemicals contact the tissues. Corrosive chemicals that contact the skin or eyes should be immediately washed off with water for at least fifteen minutes. Inhalation victims should be moved to fresh air and artificial respiration started if breathing has stopped. If a corrosive material has been ingested, call the poison control center immediately.
If mixed or stored incorrectly corrosive chemicals can generate excessive heat, pressure, flammable, and toxic gases that can damage equipment, ignite combustibles, and lead to injury. During a fire, highly toxic gases may be released. Many corrosive chemicals have other serious hazards and may be classified as flammables, reactives, or toxins. For example, perchloric acid is a strong oxidizing agent that can explode under the right conditions.
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Classes
Strong acids. All concentrated strong acids can attack the skin and permanently damage the eyes. Acids usually cause irritation and pain immediately. Adding water to acids can cause the contents to be violently ejected. In general, inorganic acids are more hazardous than organic acids. Organic acids, however, can cause deep-seated burns on prolonged contact with the skin. Burns from acids are typically more painful, though less destructive than alkaline burns. Acids react differently in contact with the skin. Nitric acid, for example, reacts with the skin and forms a yellow burn. Sulfuric acid reacts with the moisture on the skin leaving a severe burn. Hydrofluoric acid has a delayed action and causes painful deep burns hours after the initial exposure. In addition to burns, exposure to hydrofluoric acid may cause a crippling disease due to fluoride deposition in bone. The vapors from many acids such as hydrochloric acid are soluble in water and cause irritation of the nose and upper respiratory tract. Vapors from other acids, however, are not soluble in water and do not cause irritation. For example, vapors from nitric acid may travel deep into the lungs and cause permanent damage and not be immediately noticed.
Strong acids are also hazardous because they can combine with other chemicals in storage and cause fires and explosions. Common strong acids include hydrochloric, nitric, sulfuric, hydrofluoric, and perchloric acids.
Strong alkalis. The metal hydroxides, especially the alkali metal hydroxides, are extremely hazardous to the skin and the eyes. In contact with water considerable heat can be generated that can cause splattering of the material. Burns from alkaline substances are less painful than acid burns but possibly more damaging. The healing of serious alkaline burns is extremely difficult. Concentrated alkaline gases such as ammonia can cause severe damage to the skin, eyes, and respiratory tract. Dry bases can react with the moisture on the skin, eyes, and mucous membranes, causing serious burns. Examples of strong alkalis include sodium hydroxide, potassium hydroxide, and ammonia.
Non-metal chlorides. Phosphorus trichloride, boron trichloride, aluminum trichloride, and silicon tetrachloride and their bromides are a common source of accidents. These chemicals react violently with water and are extremely hazardous to the eyes.
Dehydrating agents. Because of their affinity for water, these compounds can cause severe burns to the eyes and skin. Violent reactions and splattering can occur when added to water. The strong dehydrating agents include concentrated sulfuric acid, sodium hydroxide, phosphorus pentoxide, calcium oxide, and glacial acetic acid.
Halogens. The halogens are toxic and corrosive to the skin, mucous membranes, and the eyes. Fluorine gas is highly reactive with organic matter and will cause deep penetrating burns on contact with the skin. Chlorine is less reactive but still extremely hazardous. Bromine is a common source of eye damage because of its prevalence in teaching laboratories. In contact with the skin it can also cause severe, long lasting burns. Iodine vapor is irritating to the eyes and respiratory tract and may cause pulmonary edema. Skin contact may produce burns.
Oxidizing agents. In addition to being corrosive to the skin, mucous membranes, and eyes, oxidizing agents are also fire and explosion hazards. Oxidizing agents readily release oxygen, increasing the ease of ignition of flammable and combustible materials and increasing the intensity of burning. Some compounds give up their oxygen at room temperatures while others require the application of heat. Powerful oxidizers such as perchloric, chromic, nitric, and sulfuric acids may react with organic compounds and readily oxidizable materials causing fires and explosions. Oxidizers include chlorates, perchlorates, bromates, peroxides, nitrates, and permanganates. The halogens are also considered oxidizing agents because they react the same as oxygen under some conditions.
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Safety Procedures
Transportation. Corrosive chemicals should always be transported in unbreakable safety containers. Carts used for moving chemicals should have a lip to prevent accidents.
Reactions. Acids should always be added to water to prevent excessive heat generation and splashing. All corrosives should be mixed slowly. Many acids are also oxidizers and react violently with organic compounds and other acids. Nitric acid, for example, should never be mixed with Chromerge or a chromic acid/sulfuric acid mixture. Reaction vessels should not be heated in oil baths.
Personnel protective equipment. Chemical goggles, aprons, and rubber gloves must be worn when handling corrosive chemicals. Gauntlets (sleeve coverings) may also need to be worn. Goggles should be supplemented with a face mask if the possibility of significant splashing exists. Contact lenses must never be worn when working with corrosive chemicals because they can trap chemicals against the eye. Suitable respiratory equipment should be available if a danger exists from inhaling toxic fumes.
Eye wash and emergency shower. An OSHA approved eye-wash unit and emergency shower must be located in areas where corrosive chemicals are used. If corrosive chemicals contact the skin or the eyes, the area should be immediately washed with large amounts of water for 15 minutes.
Storage. Storage should be in a cool, dry, and well-ventilated area away from direct sunlight. Corrosive chemicals should not be stored with combustibles, flammables, organics, and other highly reactive and toxic compounds. Acids and bases should not be stored together. Fire, explosion, or the release of dangerous gases or vapors may result if these chemicals combine. Organic acids should be separated from sulfuric, nitric, perchloric acid, and other strong oxidizers.
Corrosive chemicals should be stored below eye level to prevent splashes in the eyes or face. Shelving should be non-corroding. Strong oxidizing agents should be stored and used in glass or other inert container. Corks and rubber stoppers should not be used.
Ventilation. Corrosive chemicals producing hazardous vapors and corrosive gases should be used with adequate exhaust ventilation. Chromic acid solutions must always be used in a hood because of the possible formation of volatile chromyl chloride, a serious toxic hazard and recognized carcinogen.
Perchloric acid. Perchloric acid is an extremely corrosive chemical and strong oxidizing agent that requires special precautions. It becomes explosive under a variety of conditions, such as heating, dehydrating, combination with organic material, and shock. Consult the chapter on Reactive Chemicals for specific handling procedures.
Spills. Neutralizing chemicals, absorbant materials, and cleaning supplies should be readily available to clean up corrosive chemical spills. All spills should be cleaned up immediately.
7.0 Carcinogens, Mutagens, Embryotoxins
Carcinogens
Cancer is the second leading cause of death in the United States. Approximately one person in four will develop some form of cancer during their lifetime. Cancer is not one disease, but a group of diseases characterized by uncontrolled growth of abnormal cells. These cells are destructive and often capable of migrating to new sites to form secondary growths. Among the causes of cancer, environmental agents acting with genetic susceptibilities are believed to be the most prominent. Approximately 60% to 90% of all cancers may be related to environmental factors such as sunlight, radiation, chemicals, diet, and viruses.
Agents that cause cancer or increase the risk of cancer either by initiating or promoting it, are called carcinogens. Carcinogens can enter the body through the skin, lungs, or the digestive system and act directly or indirectly to cause cancer. Direct acting carcinogens usually cause cancer at the site of exposure, for example, skin contact with coke oven emissions may cause skin cancer. Indirect acting carcinogens are changed by the body into carcinogenic substances that cause cancer at sites other than the initial exposure site. Benzidine, for example, entering the body through the skin does not cause skin cancer. Instead it is transformed to a reactive species in the body and eliminated in the urine causing bladder cancer. Other substances, called promoters, do not cause cancer themselves but are necessary for some chemicals to express their carcinogenicity.
Chemical carcinogens were among the first agents associated with an increased incidence of cancer. In 1775, a positive association was demonstrated between exposure to soot and scrotum cancer among chimney sweeps in England. Since then, chemical components of tar, smoke, air pollution, and automobile exhausts have been shown to be carcinogenic. Several occupational chemicals have also been demonstrated to be carcinogens, including asbestos, arsenic, vinyl chloride, ethylene oxide, and cadmium.
Carcinogens differ in the length of time necessary for the cancer to develop after the initial exposure. This latency period may be as short as five years for the development of leukemia from benzene exposure to as long as 30 years to develop bladder cancer from benzidine.
The existence of a safe level or threshold has not been demonstrated for most carcinogens. Because of this, it must be assumed that low doses can cause cancer also but at a proportionately lower rate than high doses. Therefore, it is prudent to reduce exposures to known or suspected carcinogens to the lowest level possible. Exposure to several carcinogens at once may result in cancer rates higher than would be expected by adding the risks from each carcinogen separately. This is known as a synergistic effect. For example, both cigarette smoking and exposure to asbestos have been show to cause cancer. The cancer rate among asbestos workers who smoke is much greater than would be expected by adding the risk from smoking to the risk from exposure to asbestos.
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Mechanism
The mechanism that causes a normal cell to become cancerous is not well understood. The process is usually characterized by three stages: initiation, promotion, and progression. During the initiation stage, the DNA in the cell that carries the genetic information for cell division is altered spontaneously or by an external agent. This altered cell may replicate during the promotion stage into a malignant tumor. The appearance of the tumor following initiation may take 5-30 years. This latency period is probably related to a gradual weakening of the immune system or hormonal changes as the body ages. Another theory states that the cells remain dormant until another stimulus from an environmental agent causes it to start dividing. During the progression stage, the tumor invades adjoining tissue and may spread throughout the body.
Testing
OSHA considers a chemical to be a carcinogen if the chemical causes cancer in humans, or two different mammal species, or one mammal species if the results are reproduced in a separate study, or one mammal species if the results are supported by a mutagenicity test such as the Ames test.
The carcinogenic potential of a chemical in humans is usually discovered through epidemiological (population) studies. In these studies, the incidence of cancer in a group of exposed workers is compared to a comparable unexposed population. For example, when compared to unexposed workers, an excess of liver cancer was found among polyvinyl chloride workers and an excess of lung cancer was found in asbestos workers. Another study on members of the American Chemical Society demonstrated a significantly higher incidence of cancer deaths among chemists when compared to the general population.
Human population studies are not always adequate to determine if a chemical is carcinogenic. Large populations are needed, cancers may not develop for 30 years, and there are many variables that must be controlled. Therefore, tests are usually performed on experimental animals under controlled conditions. Tests on animals can identify human carcinogens because chemicals that cause cancer in one mammalian species are likely to cause cancer in another. With the exception of arsenic, all human carcinogens have also been shown to cause cancer in animals. It must be assumed that agents that cause cancers in animals are likely to be carcinogenic in humans also.
Animal studies are performed to demonstrate the potential for a chemical to cause cancer. Because small populations are used, it is necessary to use large doses of chemicals to demonstrate an effect. This does not mean that only large doses of the chemical will cause cancer. Smaller doses would cause cancer also but in proportionately smaller numbers, numbers so small that they might be missed in a small population.
Screening tests using cells growing in laboratory cultures, require only a few days or weeks to provide preliminary results on the carcinogenic potential of chemicals. The suspect chemical is added to the cells and any mutagenesis is noted. Approximately 90% of chemicals found to be carcinogenic in humans or animals have also shown mutagenesis in these tests. This procedure is the basis for the Ames test.
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Classes
Although not all inclusive, chemical carcinogens are commonly classified into the following groups. Carcinogenic chemicals should also be considered mutagenic.
Polycyclic aromatic hydrocarbons (PAHs). PAHs were the first group of chemicals shown to be carcinogenic in man. They are produced from the combustion of fossil fuels and tobacco. PAHs are probably the most widespread chemical carcinogens in the environment and some of the most powerful carcinogens are found in this group. Examples include benzo(a)pyrene and methylcholantrene.
Aromatic amines. Aromatic amines result from the addition of an amine group to a polycyclic aromatic hydrocarbon. For example, adding an amine group to the non-carcinogen anthracene produces a well-known carcinogen, 2-anthranine. Other examples include the OSHA regulated carcinogens, benzidine, and 2-naphthylamine.
Aminoazo compounds. Aminoazo compounds were frequently used as dyes in polish, soap, cooking oils, and margarine. An example is 4-Dimethylaminoazobenzene.
n-Nitroso compounds. n-Nitroso compounds are widely distributed in the environment and can also form in the body. These compounds may be one of the most important groups of carcinogens in man. Sodium nitrite is a commonly used preservative in meat that is converted by heat to nitrous acid which reacts with amines in the meat to form nitrosamines. A common example is methyl benzyl nitrosamine.
Alkylating agents. Alkylating agents represents one of the largest classes of carcinogens. They are subdivided based on their functional groups and include compounds such as the aziridines, nitrogen, sulfur, and oxygen mustards, epoxides, lactones, and aldehydes. A common aziridine is the OSHA regulated carcinogen ethylenimine. Alkylating agents commonly used in laboratories include ethylene oxide, propylene oxide, formaldehyde, acetaldehyde, and acrolein.
Aliphatic halogenated hydrocarbons. Several of these compounds are commonly used in the laboratory as solvents. Examples include carbon tetrachloride, chloroform, trichloroethylene, methylene chloride, and ethylene dibromide.
Inorganic metals and minerals. Several carcinogens are known among metals or their salts. Examples of these include beryllium, cadmium, nickel, cobalt, and chromium. Only two minerals are known to cause cancer; asbestos and arsenic.
Naturally occurring. Several natural occurring carcinogens are known. Among these is aflatoxin, probably the most potent of all carcinogens. Aflatoxins are produced by molds that grow on peanuts and corn. Other naturally occurring carcinogens are present in sassafrass and chili peppers.
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Mutagenic Substances
Mutagenic substances cause an alteration in the genetic instructions on the DNA molecule. If the alteration occurred on a somatic (non-sex cell) the results could be the development of cancer. An alteration of a germ cell (sex cell) in either sex can produce genetic defects that will be transmitted to the next generation. Because all mammalian genes are composed of DNA, a mutagenic substance that can produce alterations in one species is considered capable of producing alterations in another species.
Because approximately 90% of chemical carcinogens have been demonstrated to be mutagenic, the carcinogenic potential of a chemical can be determined by assessing its ability to produce mutations. The potential mutagenic potential of a chemical can be rapidly determined by performing short term "in-vitro" (in the tube) tests. In-vitro tests use a microbial organism, such as a bacterium, to assess the potential of a chemical to produce alterations in the genetic material and produce mutations.
Long term "in-vivo" (in the animal) studies are only needed for a few chemicals. Insects, mice, rats, and hamsters are used for these tests to evaluate mutagenicity in an animal system. Chemicals producing positive animal results are considered to represent a genetic risk for humans.
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Embryotoxins
Women of child bearing potential must be especially concerned about exposure to hazardous chemicals because many chemicals may be hazardous to the embryo or fetus. Embryotoxins are substances that may kill, deform, retard the growth, affect the development of specific functions in the unborn child, or cause postnatal functional problems. Agents that only produce malformations of the embryo are called teratogenic. Approximately 60-70% of all malformations are the result of chemical, physical and infectious agents. The developing embryo depends on the environment to supply the substances needed for growth and differentiation of the tissues and organs of the embryo. The result is that various chemical, physical, and infectious agents may alter or arrest growth in the developing embryo.
The influence of embryotoxins depends on the phase of growth the exposure took place. The period of greatest susceptibility to embryotoxins is the first trimester, which includes a period when the woman may not know she is pregnant. The embryo is undergoing rapid growth and differentiation and significant malformations can be produced. Although the development of the fetus is not as sensitive as the embryo, alterations may still occur, particularly in the nervous system.
Classes
Medicines. Medicines that have demonstrated embryotoxic properties in humans include thalidomide, diethylstilbestriol, male hormones similar to methyltestosterone, and cytotoxic drugs such as chlorambucil.
Solvents. Dimethylsulphoxide and formamide have demonstrated both embryotoxic and teratogenic action. Other solvents, however, are less dangerous. Growth retardation and abortions, but not malformations, were shown in animals exposed to chloroform, carbon tetrachloride, trichloroethylene, perchloroethylene, benzene, xylene, cyclohexanone, and propylene glycol.
Heavy metals. Organomercurials and lead compounds are embryotoxic to humans. Cadmium, arsenic, selenium, chromium, and nickel compounds have been shown to be embryotoxic in animals and are classified as potentially harmful to the human embryo.
Pesticides. Pesticides producing malformations in animals include parathion, demeton, paraquat, and penthion.
Anesthetic gases. Anesthetic gases demonstrating embryotoxic properties in animals include, halothane, ethylene oxide, nitrous oxide, and metofane.
Organic compounds. Organic compounds that have shown embryotoxic properties in animals include azo dyes, formaldehyde, hydrazine, ethylenethiourea, pentachlorobenzene, and thiurams.
Safety Procedures for Handling Carcinogens
The following procedures should also be used when working with highly toxic chemicals, mutagens, and embryotoxins.
Protective clothing. Protective clothing such as a fully fastened laboratory coat and disposable gloves should be worn to prevent contact of carcinogenic chemicals with the skin. Care should be exercised in the proper selection of gloves. Although a glove may be resistant to a pure carcinogen it may be permeable to the carrier solvent. Contaminated clothing should be decontaminated before laundering. Contaminated clothing should never be worn out of the work area.
Protective equipment. Appropriate eye protection should be available and used in the laboratory work area. Contact lenses should not be worn. Personnel working with animals or other procedures that could generate airborne particulates should wear an appropriate face mask or respirator. The face mask or respirator should not be worn out of the work area.
Eating, drinking, & smoking. There shall be no eating, drinking, smoking, chewing of gum or tobacco, or application of cosmetics in areas where carcinogenic chemicals are used or stored. Storage of food or food containers in these areas is also prohibited.
Pipetting. Under no circumstances is oral pipetting of carcinogenic chemicals permitted. Pipetting should always be performed with the aid of a mechanical pipetting device.
Personal hygiene. Laboratory workers should wash their hands immediately after the completion of any procedure involving the use of carcinogenic materials.
Storage. Stock quantities of carcinogens should be stored in a designated area or cabinet and posted with the appropriate hazard sign. Volatile chemicals should be stored in a ventilated storage area in a secondary container having sufficient volume to contain the material in case of an accident. Storage areas should be separated from flammable solvents and corrosive liquids.
Labeling. All containers should be labeled as to contents and bear the appropriate hazard warning information.
Work areas. Procedures involving the use of volatile chemical carcinogens or procedures that may generate aerosols should be conducted in a chemical fume hood, glove box, or a Class I Biological Safety Cabinet. Examples of aerosol producing procedures include the opening of containers, transferring procedures, weighing and preparation of food mixtures, blending and the application, injection, or intubation of chemicals into animals. Biological procedures involving carcinogens should be conducted in a Class II type B1 or B2, or Class III Biological Safety Cabinet. A Class II-type A Cabinet may be used with carcinogenic chemicals in low concentrations. Procedures involving non-volatile compounds and procedures with a low aerosol potential should be done in a controlled area of the laboratory designated for carcinogenic materials.
Transport. Carcinogens should be transported in unbreakable outer covers such as metal cans. Contaminated materials transported to a disposal area should be placed in a plastic bag or other impervious material, sealed, and labeled appropriately.
Housekeeping. To reduce the production of aerosols, dry mopping and dry sweeping should not be done in areas where finely divided solid carcinogens are used. Wet mopping or a vacuum cleaner equipped with a HEPA filter should be used.
Vacuum lines. A disposable HEPA filter and liquid trap should be used to prevent the entry of carcinogens into the vacuum system. Separate vacuum pumps placed in or vented to a laboratory hood should be used when working with volatile agents.
Local exhaust. Operations producing aerosols that cannot be accommodated in a primary containment device must be captured by a local exhaust system and exhausted into a chemical fume hood or appropriate Biological Safety Cabinet. Examples include analytical instruments, dosage preparation areas, and necropsy areas.
Working quantities. Working quantities should be kept to a minimum and not exceed the amounts required for use in one week.
Spill control. Spills and accidents must be immediately reported to supervisory personnel and to the Safety Office. Because of aerosol production, the area should be evacuated immediately unless the spill is small and well contained. Personnel performing decontamination should wear adequate protective clothing including respirators or self-contained breathing apparatus. As much of the spill as possible should be absorbed into paper towels, rags or sponges. Dry solids should be covered with paper towels moistened with water or an appropriate solvent. Care should be taken not to generate aerosols. Large spills may require a HEPA filtered vacuum cleaner. Decontamination of the spill should be attempted only after the bulk of the spill has been removed by mechanical means.
Disposal. Volatile carcinogens should never be disposed of by evaporation in a hood. Chemicals and contaminated materials should be decontaminated or removed for subsequent disposal. Chemical inactivation is preferred to incineration because of the possibility of incomplete combustion. Contaminated waste, cleaning devices, and animal carcasses should be collected in plastic bags or other impervious containers, sealed, labeled as to contents and hazard and disposed of by approved methods.
Handwashing facilities. Handwashing facilities should be available in the work area where carcinogens are used. Foot or elbow operated faucets are preferable.
Eye-wash & deluge showers. OSHA approved eye-wash units and deluge showers should be readily available to personnel working with carcinogens having corrosive properties or that can penetrate the skin. Depending on the hazard, these units may be required in the laboratory. A regular shower should be available to laboratories doing extensive work with carcinogens.
Exhaust ventilation. Air movement should be controlled by a mechanical exhaust system that moves air from clean areas to potentially contaminated areas. Exhaust air should be discharged in a way that reduces the possibility of entry into air intake ducts. Exhaust air from laboratory hoods in which carcinogens are used should be treated by filtration through a HEPA filter to remove contaminated aerosols.
Work area identification. Entrances to work areas where carcinogens are used or stored should be posted with a sign stating "Danger Carcinogen - Authorized Personnel Only." In addition, the area should also be posted with a sign stating "No Eating, Drinking, or Smoking."
Access. Only authorized personnel should be allowed in areas where carcinogens are used and stored. Casual visitors should be prohibited. Doors should be closed at all times.
Work surfaces. Work surfaces on which carcinogenic chemicals are handled should be protected from contamination by using an impervious material such as stainless steel, plastic trays or absorbent plastic backed paper. Work surfaces should be decontaminated or disposed of properly after the procedure has been completed.
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OSHA Regulated Carinogens
OSHA publishes a list of known carcinogens that are strictly regulated. The regulations on each are specific and detailed. Their use involves a long list of requirements concerning recordkeeping, posting, monitoring, facilities, training, contamination control and medical surveillance. The following chemicals are on OSHA's list:
2-Acetylaminofluorene(AAF)
Beta-Propiolactone
Vinyl Chloride
Monitoring. Air monitoring must be conducted if there is reason to believe that exposure to the regulated carcinogen may exceed an action level or permissible exposure level (PEL). The relevant OSHA standard will be followed if initial monitoring exceeds an action level or PEL.
Exclusions. Since many of these compounds cannot be completely removed from commercial preparations, OSHA has excluded from its standards preparations containing less than 1.0% of some regulated carcinogens and less than 0.1% for other regulated carcinogens. Consult the Safety Manager for further information.
Approval. A complete evaluation of the facilities, procedures, and measures to protect workers should be conducted by the Safety Manager before using regulated carcinogens. Requirements for use may be expensive and mandate extensive facility and labor commitments. It is strongly recommended that alternate reagents be employed if possible.
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Experimental Animals
Working with animals is particularly hazardous because of the possibility of the formation of aerosols and dusts containing carcinogenic chemicals. These dust and aerosols can easily contaminate the work area through the animal feed, urine, or feces if proper procedures are not followed. Procedures should be implemented to handle potentially contaminated material in a controlled manner to reduce the possible exposure of personnel.
The principal routes of exposure to workers from chemicals occur through inhalation or direct contact. These exposures can occur during the initial handling of the chemicals, dosage preparations and administration, post-treatment, holding and examination of animals, and disposal of waste.
Initial handling. Activities involving the storage, dispensing and aliquotting of stock quantities of chemicals provide a significant opportunity for release of contaminants. Contaminants typically occur on the outer surface of the containers, floors and bench tops, the balance, on protective clothing, and in adjacent rooms. Solid test materials should be handled with extra caution because they can be easily released and dispersed into the work area. Liquids are less likely to disperse but local contamination is still possible. Another route of exposure may come from solids and liquids that volatilize easily. Even materials with a moderate vapor pressure can expose workers to significant vapor concentrations of the chemical. Procedures involving chemicals that volatilize easily or procedures that produce aerosols should be performed in a hood.
Dosage preparation. The worst contamination problem typically occurs in the dosage preparation areas. Aerosol production occurs when the pure chemical is added to the appropriate feed vehicle and vigorously mixed. To reduce aerosol formation all mixing procedures should be done within closed containers and within a hood.
Administration of dose. Animal holding areas can easily become contaminated when the material is being administered. The greatest potential to create contamination of the facility occurs during feed studies, followed by dosed water, gavage, skin painting, and injection. Filling of the feed hoppers generates large amounts of aerosols that can contaminate the work area. Volatilization of the dose material and exhalation by the test animal may occur when the test material is administered by gavage. To reduce contamination, administration of the dose to the animal should be performed in a hood, biological safety cabinet or controlled by local exhaust ventilation.
Animal holding. Experimental animals need to be held under controlled conditions after the treatment because hazardous metabolites or the parent compound may be eliminated in the urine or feces. The removal of contaminated bedding and cage matting can create large amounts of aerosols and dust. Vacuum cleaners equipped with HEPA filters and wetting the bedding to reduce dusts should be used. If the caging system does not protect personnel from contamination workers should wear completely closed jump suits, booties, head covers, and a respirator. Under no circumstances should protective clothing and respirators be allowed out of the work area. Large scale studies should be carried out in special facilities or rooms having restricted access.
Disposal of waste. The Safety Manager should be consulted for proper disposal strategies. Proper disposal will depend on the particular carcinogen, its concentration, the fate of the carcinogen within the biological system, its toxic properties, and if the waste contains radioactive materials.
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8.0 Flammable Liquids
Flammable liquids are a common hazard found in laboratories. These materials can easily vaporize and form flammable and explosive mixtures in air. The degree of hazard is determined by the flash point of the liquid, the concentration of the air-fuel mixture, and the availability of ignition sources. In addition, many flammable chemicals react violently with oxidizing compounds and may start a fire. The flammability properties of a chemical should be checked before a flammable liquid is used. The danger of fire and explosions can be eliminated or reduced by using strict handling, dispensing, and storage procedures.
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Definitions
Flash point. The fire hazard associated with a flammable liquid is usually based on its flash point. The flash point is the lowest temperature at which a liquid in an open vessel will give off sufficient concentration of vapors to form an ignitable mixture with air. Many common laboratory chemicals have flash points below room temperature. Ethyl ether for example has a flash point of minus 45 C.
Explosive range. An important factor in determining the fire hazard of a flammable liquid is its flammable or explosive range. Once the flash point has been reached, flammable vapors will be given off that can mix with air to form an explosive mixture. Every flammable liquid has an upper and lower limit that defines the range of concentrations of the liquid in air that will ignite and propagate a flame. The lower explosive limit (LEL) is the minimum concentration of the vapor in air that will sustain the spread of a flame. Below this concentration, the mixture is too lean to burn. The upper explosive limit (UEL) is the maximum concentration of vapors in air that will propagate a flame. The mixture is too rich to burn above this concentration. The range is usually expressed as a percentage by volume of vapor in air. Acetaldehyde, for example, has a very wide explosive range extending from an LEL of 4% to an UEL of 60%.
If the lower limit is small it only takes a small amount of vapors in the air to form an ignitible mixture. Flammable liquids with an LEL of less than 10% are considered especially hazardous. Liquids having flash points below room temperature and a wide flammability range, for example, ethyl ether, are among the most hazardous flammable liquids.
Ignition temperature. Once the flammability range has been reached, the vapors will ignite at the proper ignition temperature. The ignition temperature of a substance is the lowest temperature necessary to cause the vapor-air mixture over the liquid to ignite and continue to burn in the absence of the heat source. If the vapor-air mixture is confined and there is an ignition source, an explosion will result. The ignition temperature is often misleading because it is a relatively large number, often in the hundreds of degrees. However, it only takes a short duration of contact with a potential ignition source to reach this temperature and ignite a flammable vapor. For example, a spark contacting a few molecules of a flammable vapor can raise the temperature above the ignition point in only a few thousandths of a second. A hot light bulb can ignite some chemicals. Carbon disulfide, for example, will ignite at a temperature of 80 C.
Sources of ignition. Three conditions must exist before a fire can occur: fuel concentration that is within the explosive range for the substance, air, and a source of ignition. To prevent fires, it is necessary to remove one of these conditions. The easiest way to prevent fires is usually to separate the flammable vapors from an ignition source. Many sources such as sparking electrical equipment, open flames, static electricity, and hot surfaces can ignite flammable vapors. Close attention must be given to all sources of ignition when using flammable liquids, especially those at a lower level than the liquid. The vapors of most flammable liquids are heavier than air and can travel considerable distances.
Spontaneous ignition. Spontaneous ignition takes place when a substance generates heat faster than it can be dissipated and reaches its ignition temperature independent of an ignition source. Materials susceptible to spontaneous ignition include oil or paint soaked rags, organic materials mixed with strong oxidizing agents, alkali metals, phosphorus, and finely divided pyrophoric metals.
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Classes
Flammable and combustible liquids are divided into the following classes; based on flash points and boiling points. Flammable liquids are defined as those with flash points below 100 F and combustible liquids have flash points at or above 100 F. Flammable and combustible liquids are further subdivided into the following classes:
Class IA. Flash point below 73 F (22.8 C) and boiling point below 100 F. (37.8 C). Examples include acetaldehyde, diethyl ether, pentane, ethyl chloride, ethyl mercaptan, hydrocyanic acid, and gasoline.
Class IB. Flash point below 73 F (22.8 C) and boiling point at or above 100 degrees F (37.8 C). Examples include acetone, benzene, carbon disulfide, cyclohexane, ethyl alcohol, heptane, hexane, isopropyl alcohol, methyl alcohol, methyl ethyl ketone, toluene, petroleum ether, acetonitrile, and tetrahydrofuran.
Class IC. Flash point at or above 73 F (22.8 C) and below 100 F (37.8 C). Examples include glacial acetic acid, acetic anhydride, cyclohexanone, and dichloroethylether.
Class II. Flash point at or above 100 F (37 C) and below 140 F (60 C). Examples include kerosene, diesel fuel, hydrazine, and cyclohexanone.
Class IIIA. Flash point at or above 140 F (60 C) and below 200 F (93.4 C). Examples include aniline, cyclohexanol, phenol, o-cresol, naphthalene, nitrobenzene, and p-dichlorobenzene.
Class IIIB. Flash point at or above 200 F (93.4 C). Examples include diethyl sulfate, diethylene glycol, and p-cresol.
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Safety Procedures
Ventilation. Ventilation is essential to prevent the buildup of vapors that could lead to flammable liquid fires and vapor-air explosions. Vapors must be controlled by confinement, local exhaust, or general room ventilation. Ventilation systems should be designed to keep the vapor concentration below 25% of the lower flammability level. Room ventilation should be adequate to prevent the accumulation of dangerous concentrations of vapors if only very small quantities are released. All laboratories that use or store flammable or combustible liquids should have six-room air changes per hour with 100% exhaust.
Hoods. An exhaust hood should be used if significant quantities of flammable liquids are being transferred from one container to another or being heated or allowed to stand in an open vessel. Only hoods that are properly designed to handle flammable solvents should be used. Hoods must be equipped with explosion-proof light fixtures. The motor must be explosion-proof if the fumes will pass through it. Switches and outlets should be located outside the hood to reduce sparking.
Ignition sources. Flammable liquids should never be heated with an open flame. Steam baths, water baths, oil baths, or heating mantles should be used. Containers should always be kept closed to reduce the possibility of flammable vapors contacting an ignition source. When flammable liquids are used, all unnecessary ignition sources should be removed. Ignition sources include open flames, nonexplosion proof electrical equipment, hot surfaces, and static sparks.
Smoking. Smoking is prohibited in laboratories where flammable liquids are used or stored.
Fire extinguishers. Appropriate fire extinguishers must be located in laboratories using flammable liquids.
Warning signs. "No Smoking" and "Flammable Liquids" signs shall be prominently posted in areas where flammable liquids are used or stored.
General storage. Flammable liquids should not be stored near heat, ignition sources, powerful oxidizing agents, or other reactive chemicals. Flammable liquids should not be stored near an exit, stairway, or any area normally used for the safe egress of people. Storage in glass bottles should be avoided if possible. If glass must be used, the bottle should be protected against breakage. The quantity of flammable liquids in the laboratory should be limited to what is immediately needed. As much as possible of working quantities should be stored in safety cans. Flammable liquids should not be stored above eye level.
Refrigerators. Flammable solvents must not be stored in standard refrigerators; explosions may result from the ignition of confined flammable vapors by sparking electrical contacts. Only explosion-proof or explosion-safe refrigerators may be used.
Container size. Flammable and combustible liquids must be stored in containers that do not exceed the following sizes:
Class
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Storage limits in laboratories. The maximum amount that may be stored within a laboratory outside approved safety cans, storage cabinets, or flammable storage rooms is 10 gallons. Approved flammable storage cabinets may contain a maximum of 50 gallons of Class I and II liquids, or 120 gallons of Class I, II, and III combined. Only three cabinets are allowed in a fire area.
Inside storage rooms. Bulk quantities of flammable liquids, such as 30 or 55 gallon drums, must be stored in properly designed indoor storage rooms or outside storage areas. Indoor storage rooms containing flammable and combustible liquids must meet the requirements of OSHA Standard 1910-106(d). These standards include spill control measures, spark-proof electrical fixtures, fire suppression equipment, and ventilation requirements.
Electrical grounding. Transferring liquids from one metal container to another may produce static electricity sparks capable of igniting the flammable vapors. To discharge the static electricity, dispensing drums should be adequately grounded and bonded to the receiving container before pouring. Bonding between containers may be made by means of a conductive hose or by placing the nozzle of the dispensing container in contact with the mouth of the receiving container. If the container cannot be grounded, then the liquid should be poured slowly to allow the charge time to disperse.
Spills. Appropriate spill kits should be available to laboratories using flammable liquids. Materials should absorb the solvent and reduce the vapor pressure so that ignition is impossible.
Transportation. Flammable solvents should be transported in metal or other protective containers.
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9.0 Reactive Chemicals
Reactive chemicals are substances that can explode or enter into violent reactions releasing large amounts of light, heat, and gases. A number of reactive chemicals are recognized explosives, requiring only a mild initiating force for detonation. Other reactive chemicals are capable of detonation but require a stronger initiating force. Some reactive chemicals will not detonate but can enter violent reactions producing large quantities of heat and explosive gases. Reactive chemicals must be handled with extreme care, even milligram quantities of some chemicals can result in violent explosions.
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Classes
Reactive chemicals are classified as explosives, strong oxidizing agents, acid sensitives, water reactives, air reactives, and special organic compounds.
Explosives. Explosives are substances that can detonate or decompose rapidly and violently at room temperatures and pressure with an essentially instantaneous release of large quantities of gases and heat. Gentle heat, light, mild shock, and chemical action can initiate these explosive reactions. Many of these compounds become more sensitive as they age or dry out. Hydrogen and chlorine for example will react violently in the presence of light. Acetylides, azides, organic nitrates, nitrocompounds, and peroxides are shock sensitive. Hydrogen peroxide will undergo violent decomposition in the presence of many metals. Picric acid and picryl chloride should always be kept damp. Examples of chemical groups containing explosives include certain aromatic and aliphatic polynitro compounds, nitroamines, organic nitrates, peroxides, and azides, metal salts of nitrophenols, acetylides and azides of heavy metals.
Peroxides. Among the most hazardous chemicals normally handled in the laboratory are the organic peroxides. Peroxides are dangerous because of their extreme sensitivity to shock, heat, friction, and strong oxidizing and reducing agents. Many peroxides normally handled in laboratories are more sensitive to shock than TNT. In addition, all organic peroxides are highly flammable. Ethers, especially isopropyl ether, ethyl ether, dioxane, and tetrahydrofuran (THF), can form explosive peroxides in the presence of air and light during storage. The ether-peroxide solution can explode if heated, or subjected to shock or friction. Peroxides may also form on potassium metal.
Strong oxidizing agents. Many strong oxidizing agents are capable of detonation or explosive decomposition under conditions of strong heat, confinement, or a strong shock. Violent reactions can occur when strong oxidizers are mixed with combustibles such as wood or paper. Strong oxidizing agents that can cause explosions include perchloric acid, organic and inorganic perchlorates, inorganic nitrates, peroxides, permanganates, chlorates, perchlorates, persulfates, chromates and the halogens. Strong oxidizing agents will also react violently with most organic compounds, powdered metals, sulphur, phosphorus, boron, silicon, and carbon.
Acid sensitives. Acid sensitive chemicals react with acids to produce heat, flammable, explosive, and/or toxic gases. Examples include alkali metals, hydroxides, carbonates, carbides, arsenic, cyanides, sulfides, and most metals.
Water reactives. Chemicals that combine with water or moisture in the air to produce heat, flammable, explosive or toxic gases are termed water reactive chemicals. These chemicals present a severe fire hazard because sufficient heat is often released to self ignite the chemical or ignite nearby combustibles. In addition, contact with the skin can cause severe thermal and alkali burns. Common examples include strong acids and bases, acid anhydrides and sulfides that only liberate heat; and alkali metals, hydrides, carbides and anhydrous metal salts that also release flammable gases.
Air reactives. Air reactives (also called pyrophoric materials) ignite spontaneously in air at temperatures below 130 F. Finely divided metal powders that do not have a protective oxide coat may ignite when a specific surface area is exceeded. The degree of reaction depends on the size of the particle, its distribution, and surface area. Examples include aluminum trialkls, white phosphorus, fine zirconium powder, activated zinc, and silanes.
Special organic compounds. These chemicals are unstable and may decompose spontaneously or by contact with the air, water, or other chemicals. Examples include diazonium compounds, diazomethane, butadiene, organic sulfates, polymerization reactions, and highly nitrated compounds.
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Safety Procedures
Planning. The procedures and risks involved should be thoroughly reviewed before working with reactive chemicals. Work should be performed with the smallest possible amount of the chemical.
Personal protective equipment. Safety glasses, face shield, gloves, and a laboratory coat should be worn at all times when handling, transporting, or manipulating reactive chemicals.
Safety equipment. Adequate portable fire extinguishers should be immediately available in the laboratory. Approved eye-wash stations and emergency showers must be in the work area. Safety shields should be used as necessary.
Explosives. Explosives should be protected from heat and shock. Large quantities of explosives may need to be stored in heavily constructed magazines. Explosives should be stored in a cool, dry area, separated from flammables, corrosives, and other reactive chemicals. Operating systems involving explosives should be surrounded by a safety shield made of shatterproof glass or 0.25 inch thick acrylic. Two safety shields should be used if the properties of the explosive are unknown. Protective devices such as long-handled tongs should be available for handling explosives at a distance. Areas in which explosives are handled or stored should be posted with a sign stating "Caution Explosion Hazard." Access to the laboratory should be restricted while experiments are being conducted. Efforts should be made to reduce static electricity discharges such as using cotton gloves, wearing conductive-soled shoes, and working on conductivity mats.
Peroxides. Peroxides should not be stored near strong oxidizing agents, ignition sources or sources of heat. Peroxides should be stored at the lowest possible temperature above their freezing or precipitation temperature. The peroxide should not be allowed to freeze or precipitate. Peroxides in these forms are extremely hazardous. Unused peroxides should not be returned to their original containers. Aliphatic hydrocarbons can be added to most peroxides to reduce their sensitivity to shock and heat (toluene should not be added to diacyl peroxides). Solutions of peroxides should not be allowed to evaporate and increase the peroxide concentration. Metal spatulas should not be used with peroxides. Friction, grinding, and impact should be avoided. Glass containers with screw top lids must be avoided. Spilled peroxides should be absorbed on vermiculite as quickly as possible. Organic peroxides should never be flushed down the drain or mixed with other chemicals for disposal.
Ethers. Ethers should not be distilled unless known to be free of peroxides. Ethers should not be stored in clear bottles. Storage should be in a cool place, preferably an explosion safe refrigerator. Ethers should be dated when purchased and discarded after six months if opened, or after one year if unopened. Inhibitors such as copper mesh or BHT may be ineffective and should not be relied on to prevent peroxide formation. Ethers that do not have an inhibitor, such as those used for anesthesia, should be handled with particular caution. The Safety Manager should be notified to dispose of old containers of ether.
Picric acid. Picric acid should be stored with greater than 10% water at room temperature. Metal spatulas should never be used with picric acid. Explosive salts may form. After each use, the cap and threads should be cleaned with a damp cloth to prevent dry crystal formation. Bottles containing dry crystalline picric acid or with evidence of crystal formation around the cap should not be used. Call the Safety Manager for disposal.
Perchloric acid. Only hoods that are specifically designated as perchloric acid hoods are to be used for operations with hot perchloric acid. Cold perchloric acid may be used in a standard fume hood. Flammable solvents or organic materials should not be stored in a perchloric acid hood. If perchloric acid is frequently used, the hood and ventilation duct should be washed down weekly to remove potentially explosive residues. Perchloric acid should be purchased in minimum quantities, no more than one pound should be stored in a laboratory. Perchloric acid should not be purchased in concentrations greater than 72%.
Perchloric acid should not be stored with strong dehydrating agents such as concentrated sulfuric acid or phosphorus pentoxide. Highly unstable anhydrous perchloric acid may form which can explode with tremendous force. Perchloric acid should be stored in a perchloric acid hood in a glass tray deep enough to hold the contents of the bottle. Perchloric acid should not come in contact with rubber gloves, corks, rubber stoppers, and oil or grease. Never heat perchloric acid with an oil bath. Organic matter should be digested with nitric acid before perchloric acid is added. Explosive crystals may form in bottles stored for more than one year. Bottles with visible crystal formation should be disposed of by calling the Safety Manager. Do not attempt to open or move the container.
85% perchloric acid. If concentrations greater than 72% are needed, additional safety precautions must be used. Operations must be conducted behind a safety shield to protect against a possible explosion. Safety goggles, face shield, thick gauntlets, and a rubber apron must be worn. Only freshly prepared acid should be used. Contact with organic materials will usually result in an explosion. Any discoloration of the anhydrous acid requires immediate disposal. A second person should be nearby to provide routine and emergency assistance.
Water reactives. Water reactive chemicals should be stored in an air and watertight container in an area free of combustibles and flammable solvents. Storage areas should be free from sources of water such as automatic sprinklers and deluge showers. Sodium and potassium should be stored in a closed container under kerosene, toluene, or mineral oil. Vessels containing potassium or sodium should be embedded in an outer container of sand as an added precaution in the event of explosion. Sodium and potassium should be transferred from storage areas in metal containers with a tight cover. Work with these materials should be within a fume hood behind an explosion shield. Personnel should wear safety goggles, face mask, and gauntlets. Proper fire extinguishing agents such as a Class D fire extinguisher, special dry powders developed for metal fires, dry sand, dry sodium chloride, or dry soda ash should be readily available where water reactive metals are used.
Air reactives. Combustibles and flammable liquids must be kept out of the storage area. White or yellow phosphorus should be stored under water in a tightly stoppered glass container, placed in a metal container, and stored in a secure area. All operations should be carried out in an exhaust hood. Large volumes of water should be available in the area to extinguish fires. Pyrophoric gases should be used with equipment that has been purged with an inert gas before administering gas from the cylinder. Store and use with adequate ventilation at all times. Back-flow into the cylinder may cause an explosion. A vacuum break or other protective apparatus should be used in line to prevent back-flow. When working with metal powders, information on how the powder will react in the presence of air is essential to prevent fires and explosions.
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Peroxide Forming Chemicals
Chemicals that decompose into peroxides present a serious hazard. After the peroxides form they may dry in the threads on the container's top or they may become concentrated if the chemical is distilled. Dry or concentrated peroxides formed in this manner are highly explosive and have caused serious explosions in laboratories.
All storage containers of chemicals that may form peroxides must be labeled with the date the container was
opened. Laboratory personnel are responsible for dating containers when they are first opened.
Group A - High hazard - (3 month storage after opening)
These chemicals form explosive levels of peroxides without concentration and are severe hazard after prolonged storage, especially after exposure to air. All have been responsible for fatalities.
Test for peroxide formation (see testing section) or discard after three (3) months from open date. If peroxides are not present, the discard date can be reset as per Group A schedule (otherwise discard promptly via RU EHS). This group includes the following compounds:
divinely acetylene
*2 - Uninhibited autopolymerizers should not be stored over 24 hours (add polymerizer inhibitor).
*3 - When stored as a gas
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10.0 Compressed Gas Cylinders
Compressed gas cylinders are especially dangerous because they possess both mechanical and chemical hazards. Due to the large amount of potential energy resulting from compression of the cylinder, gas cylinders should be handled as high energy sources and as a potential explosive. If a cylinder falls and breaks a valve, the energy released is sufficient to propel the cylinder through concrete walls.
In addition, the gases contained in the cylinders are hazardous because of their flammable, toxic and corrosive properties. The most common hazard associated with gas cylinders is leakage from regulators which allows the gas to diffuse throughout the room. Flammable gases can mix with air causing fires and explosions. Most flammable gases have explosive ranges greater than flammable liquid vapors.
Additional hazards arise from the high toxicity and corrosive properties of many of the gases. Usually, there is no visual warning or odor associated with the escaping gases. Some gases are toxic at concentrations below the odor threshold and some gases can quickly paralyze the sense of smell. Even harmless gases such as nitrogen may displace the oxygen in an unventilated room and cause asphyxiation. The best protection against accidents is knowledge of proper handling and storage techniques.
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Classes
Compressed gas cylinders may be classified into the following six groups based on similar chemical and physical properties, storage compatibility, and handling procedures. Common examples are included.
Highly toxic gases. Phosgene, phosphene, arsine, nitric oxide, nitrogen dioxide, chlorine, fluorine, carbonyl fluoride, diborane, hydrogen cyanide, hydrogen selinide, nickel carbonyl, ozone.
Non-flammable, non-corrosive, low toxicity gases. Air, argon, helium, krypton, neon, carbon dioxide, nitrogen, nitrous oxide, oxygen.
Flammable, non-corrosive, low toxicity gases. Acetylene, butane, cyclopropane, ethane, ethylene, hydrogen, isobutane, methane, natural gas, propane, propylene.
Flammable, toxic, corrosive gases. Carbon monoxide, ethylene oxide, hydrogen sulfide, methyl bromide, methyl chloride, propylene oxide.
Acid and alkaline gases. Ammonia, hydrogen bromide, hydrogen chloride, hydrogen fluoride, boron trichloride, boron trifluoride, dimethylamine, nitrosyl chloride, trimethylamine, ethylamine, methylamine, sulfur dioxide.
Spontaneously flammable gases. Silane.
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Safety Procedures
Identification. The contents of compressed gas cylinders should be clearly identified and bear the appropriate DOT hazard label. Labels should not be removed or defaced. Color coding systems used to identify contents are not reliable because cylinder colors vary among manufacturers. If the labeling on a cylinder becomes defaced, the cylinder should be marked "contents unknown" and returned to the manufacturer.
Transportation. Manual transportation of cylinders (excluding lecture bottles) should always be done with a handtruck. Cylinders should be securely fastened with a strap or rope. The valve cap must be in place. Cylinders should never be lifted by the valve cap or dragged, rolled, dropped, or permitted to strike hard objects or another cylinder.
Training. Persons who handle corrosive and toxic gas cylinders should be adequately trained in the physical and chemical properties of the gas and the proper methods to use the cylinders.
General storage. Cylinders shall be stored upright where they are unlikely to be knocked over, or secured by a heavy chain, strap, or base support. Cylinders cannot be stored in stairwells or within a required exit corridor. The valve protection cap must always be in place when the cylinder is not being used. Cylinders should never be stored on their sides or near a heat or ignition source. Storage areas shall be posted with the name of the gases stored. Storage areas should be well ventilated (one-half to one air change per hour minimum) and dry. Storage rooms should be of fire resistive construction. Temperatures shall not exceed 130 F. Some rupture devices may release at approximately 160 F. Lecture bottles are usually not fitted with rupture devices and may explode if exposed to high temperatures. Cylinders shall not be stored near readily ignitable substances such as gasoline, waste, or bulk combustibles.
Outdoor storage. Cylinders may be stored outdoors if they are adequately protected from the weather and direct sunlight. It is recommended that cylinders be stored under a non-combustible canopy and protected from the ground by a concrete pad.
Handling flammable gas cylinders. Flammable gas cylinders stored inside occupied buildings shall be separated from flammable liquids, highly combustible materials, and oxidizing cylinders by at least 20 ft. or a 5 ft. high wall with a 1/2-hour fire rating. Flammable gas cylinders in storage and in use should be kept away from arcing electrical equipment, open flames, or other sources of ignition. Adequate portable fire extinguishers shall be located in storage areas and No Smoking signs shall be posted. Spontaneously flammable gases should be used only with equipment purged with an inert gas. A vacuum break or other protective device should be used to prevent back-flow into the cylinder.
Handling oxidizing gases. Oxidizing gas cylinders in storage shall be separated from flammable gas cylinders or combustible materials such as oil or grease by at least 20 feet or by a 5-foot high wall with a 1/2-hour fire rating. Oxidizing gas cylinders, valves, regulators, and hoses shall be kept free from oil or grease.
Handling acid and alkaline gases. Proper protective clothing such as goggles, face shields, rubber gloves, and aprons shall be worn when working with acid and alkaline gases. Areas in which acid and alkaline gases are used shall be equipped with an OSHA approved deluge shower and eye-wash station. Acid and alkaline gases should be used in a well ventilated area. Corrosive gases should be used only with compatible equipment. The total quantity of gases on site should be kept to a minimum. Proper respiratory equipment shall be readily available for use in an emergency. When discharging gases into a liquid, a trap should be used to prevent back-flow of liquids into the regulator or cylinder.
Handling highly toxic gases. Highly toxic gas cylinders (except lecture bottles) shall be stored outdoors or in an unoccupied building or room with a one-hour fire rating. Lecture bottles may be stored in a laboratory if they cannot contaminate breathing air. Storage, for example, in a constantly running hood is appropriate. Areas in which toxic gas cylinders are used or stored should be posted with an appropriate warning sign. The quantity of highly toxic gas cylinders should be kept to a minimum. Highly toxic gas cylinders shall be used only in forced ventilation areas or preferably in hoods with forced ventilation. Highly toxic gases should be used only with compatible equipment. Gases emitted in high concentrations shall be discharged into appropriate scrubbing equipment. Users shall only be exposed to concentrations of highly toxic gases that are below OSHA permissible levels. When discharging gases into a liquid, a trap should be used to prevent back-flow of liquids into the regulator or cylinder. Proper respiratory equipment shall be readily available for use during an emergency.
Dispensing contents. The proper regulator should be connected. Be careful not to cross thread or over tighten the connections. Never stand in front of or behind the pressure gauge as the main tank valve is opened. Pressure gauges can explode. When opening the valve on a cylinder containing a corrosive or toxic gas, stand on the side opposite the valve opening. Safety glasses should be worn when dispensing compressed gases to prevent eye damage from equipment failure.
Regulators. Always use the appropriate regulator. Regulators for non-corrosive gases are usually made of brass. Corrosion resistant regulators should be used with gases such as ammonia, boron trifluoride, chlorine, hydrogen chloride, hydrogen sulfide, and sulfur dioxide. Special regulators should be used with carbon dioxide because of potential freeze-up and corrosion problems. Connections should never be forced. Regulators and valves should never be oiled or greased, a fire or explosion could result. Pressure should be removed from the regulator when not in use. The main tank valve should be closed and the pressure bled off from the regulator valves. To prevent explosions, regulators made of brass or copper should not be used with acetylene.
Traps. A trap, check valve, or vacuum break should be used to prevent the back-flow of contamination into the cylinder.
Empty cylinders. Cylinders should not be completely emptied. Approximately 25 pounds of pressure should remain in the cylinder. The tank valve should be closed to prevent contamination from air and water. Empty cylinders should never be refilled by the user. Remove the regulator, replace the cap, mark the cylinder empty, and return it to the storeroom and vendor when possible. Segregate empty cylinders from full cylinders to reduce handling by the supplier. The cylinder should be securely fastened in the storeroom.
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11.0 Cryogenic Liquids
Cryogenic liquids are liquified gases. The primary risks associated with the use of these materials are physical injuries caused by exposure of tissue to extreme cold, typically below -150 F, the potential for fires and explosions, and asphyxiation.
Even very brief skin contact with a cryogenic liquid is capable of causing frostbite injury. Prolonged contact may result in blood clots. Flooding the affected tissue with warm water as soon as possible is the recommended treatment for exposure to cryogenic liquids.
Gases such as hydrogen, methane, and acetylene present obvious fire and explosion hazards. Liquid oxygen greatly increases the flammability of ordinary combustibles and may even cause non-combustibles to burn. Because oxygen has a higher boiling point than nitrogen, helium, or hydrogen it can condense out of the atmosphere during the use of these lower boiling cryogenic liquids. Conditions may exist for an explosion, particularly with hydrogen.
Liquid nitrogen is commonly transported in vacuum flasks called Dewars containing from 15 to 50 liters at atmospheric pressure. If the vacuum in the Dewar flask should fail, the nitrogen would rapidly escape and could displace enough air in a small confined space to asphyxiate someone. However, the most likely consequence of a sudden vacuum loss would be an implosion that could result in flying glass. Water vapor condensing to ice on vents or pressure relief valves blocking the route of gas escape can also result in a pressure explosion in these vessels.
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Safety Procedures
Personal protection. Personnel should wear suitable eye protection such as chemical splash goggles or a face shield. Long sleeves, long pants and hand protection should be worn. Adequate hand protection must be worn to prevent contact with the cold liquid. Pads or pot holders should be used instead of gloves to prevent the cold fluid from being trapped inside the glove.
Containers. All exposed glass surfaces of vacuum flasks used to transport or store cryogenic fluids must be taped to guard against flying glass from an implosion. Containers should be handled and stored in an upright position. Containers must not be dropped, tipped, or rolled on their sides. Containers and systems should be periodically inspected to guard against ice buildup on vents and pressure relief valves. Vessels used for the storage and handling of liquified gases should not be filled to more than 80% capacity to reduce the likelihood of expansion of the contents and rupture of the vessel. Cryogenic liquids should be handled in multi-wall, vacuum insulated containers specifically designed for cryogenic liquid. Store bought glass thermos bottles are not appropriate.
Pressure relief devices. Containers shall be provided with pressure relief devices adequate to prevent excessive pressure within the container.
Ventilation. Cryogenic fluids should be used and stored in well ventilated areas to prevent excessive accumulation of the gas.
Liquid air. The use of liquid air as a substitute for liquid nitrogen is prohibited. The concentration of oxygen in liquid air containers can increase over time creating an explosion hazard.
Liquid oxygen. Liquid oxygen poses a serious fire hazard and should only be used if absolutely essential. Liquid oxygen must be used with a monitoring device. Ignition sources or flammable liquids are not allowed near liquid oxygen systems. Containers, piping, and equipment should be free of grease, oil, and organic material to prevent the possibility of an explosion. The Safety Office should be notified before using liquid oxygen.
Liquid hydrogen. Smoking, open flames, and arcing electrical equipment are prohibited in areas where liquid hydrogen is used or stored. Liquid hydrogen shall be stored and transferred under positive pressure to prevent air from entering the system.
Liquified natural gas. Smoking, open flames, and arcing electrical equipment are prohibited in areas where liquified natural gas is used or stored. Liquified natural gas shall be stored and transferred under positive pressure to prevent air from entering the system.
Liquid helium and neon. Liquid helium and neon shall be stored and transferred under positive pressure.
Liquified inert gases. Gases such as argon, carbon dioxide, helium, krypton, neon, nitrogen, and xenon are asphyxiants that can displace the oxygen in a room and cause suffocation. Self-contained breathing apparatus must be worn when entering an area suspected or being oxygen deficient.
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Appendix A - Glossary
Acid: A compound that releases hydrogen ions in the presence of solvents or water. Acids react with bases to form salts and water.
ACGIH: American Conference of Governmental Industrial Hygienists
Acute toxicity: A substance that causes injury because of a short term exposure, usually in minutes or hours.
Aerosols: Liquid droplets or solid particles that can remain dispersed in air for a period of time.
Auto-ignition temperature: The lowest temperature at which a flammable gas mixture will ignite from its own heat source without the necessity of a spark or flame.
Benign: A tumor that does not metastasize.
Blood toxin: Chemicals that damage blood cells or decrease the ability of the blood cells to deliver oxygen.
Boiling point: The temperature at which the vapor pressure of a liquid and the atmospheric pressure is the same.
Bronchitis: Inflammation of the trachea (windpipe) and its branches.
Cancer: Cancer is characterized by uncontrolled growth of abnormal cells. These cells are destructive and often capable of migrating to new sites to form secondary growths.
Canister: A container filled with sorbents that removes gases and vapors drawn through the device.
Carcinogen: A chemical that causes malignant tumors. It must be listed as a carcinogen or potential carcinogen in one of the following sources: Annual Report on Carcinogens, published by the National Toxicology Program, or Monographs, published by the International Agency for Research on Cancer, or it is regulated by OSHA.
Caustic: A chemical that is strongly irritating or corrosive.
Ceiling limit: The concentration of a chemical that exposure to should never be exceeded.
CFR: Code of Federal Regulations
Chronic toxicity: A substance that causes injury because of long term (months or years) exposure or causes injury after months or years following an acute exposure.
Class IA flammable liquid: Flash point below 73 F(22.8 C). Boiling point below 100 F (37.8 C).
Class IB flammable liquid: Flash point below 73 F (22.8 C). Boiling point at or above 100 F (37.8 C).
Class IC flammable liquid: Flash point at or above 73 F (22.8 C) and below 100 F (37.8 C).
Class II combustible liquid: Flash point at or above 100 F (37.8 C) and below 140 F (60 C).
Class IIIA combustible liquid: Flash point at or above 140 F (60 C) and below 200 F (93.4 C).
Class IIIB combustible liquid: Flash point at or above 200 F (93.4 C).
CNS: Central Nervous System
Combustible Liquid: A liquid having a flash point at or above 100 F but below 200 F.
Container: Any bag, barrel, bottle, box, can, cylinder, drum, reaction vessel, storage tank, or the like that contains a hazardous chemical. Pipes or piping systems are not considered containers.
Corrosive: A chemical that causes visible destruction or irreversible damage to living tissue by chemical action at the site of contact.
Critical organ: The organ that receives the greatest concentration of the chemical.
Cryogenic liquids: Liquified gases which are handled at very low temperatures, typically below -150 F.
Density: The mass of a substance divided by its volume.
Dermatitis: Inflammation of the skin.
Desiccant: A substance that absorbs water.
Duct: A conduit that air travels through.
Dyspnea: Shortness of breath or difficulty in breathing.
Eczema: Skin disease or disorder.
Edema: Swelling of body tissue from excess water.
Embryo: The stage of gestation from conception to the end of the third month.
Embryotoxic: Substances that act during pregnancy to cause adverse effects on the fetus.
Epidemiology: Study of the cause of diseases in human populations.
Erythema: Reddening of the skin.
Exhaust ventilation: The removal of air from an area by mechanical means.
Experimental carcinogen: A substance that has been shown by statistically scientific studies to cause cancer in animals.
Explosive: A chemical that causes a sudden, almost instantaneous release of pressure, gas, and heat when subjected to sudden shock, pressure, or high temperature.
Face velocity: Air velocity at the opening of a hood.
Fetus: The stage of gestation from the end of the fourth month to birth.
Flammable liquid: A liquid having a flashpoint below 100 F.
Flammable solid: A solid, other than an explosive, that can cause fire through friction, absorption of moisture, spontaneous chemical change, or which can be ignited readily and create a serious hazard.
Flash point: The minimum temperature at which a liquid gives off a vapor in sufficient concentration to ignite.
Fume: Minute solid particles dispersed in the air because of heating a solid.
Gas: State of matter characterized by very low density and viscosity.
Gastro: Referring to the stomach.
Glove box: A sealed enclosure in which all operations are carried out through long impervious gloves sealed to the box.
Hazard warning: Any words, pictures, or symbols appearing on a label that conveys the hazards of the chemical in the container.
Hazardous chemical: A chemical that is a physical or health hazard.
Health hazard: A chemical for which there is statistically significant evidence based on at least one scientific study that acute or chronic health effects may occur in exposed individuals. Health hazards include chemicals that are carcinogens, mutagens, teratogens, corrosives, toxic and highly toxic agents, irritants, and sensitizers.
Hemato: Referring to the blood.
Hematopoietic toxins: Chemicals that interfere with the production of red blood cells.
HEPA filter: High efficiency particulate air filter. Removes 99.97% of particles with a diameter greater than 0.3 microns.
Hepatotoxins: Chemicals that damage the liver.
Highly toxic: A chemical is considered highly toxic if it has an LD50 in test animals of less than 50 mg/kg by ingestion, or less than 200 mg/kg by skin contact, or the LC50 is less than 200 ppm.
Human carcinogen: A substance that has been shown by statistically significant epidemiological evidence to cause cancer in humans.
Hydrocarbon: Organic compounds consisting solely of hydrogen and carbon.
IARC: International Agency for Research on Cancer.
Ignition temperature: The lowest temperature necessary to cause the vapor-air mixture over the liquid to ignite and continue to burn without the heat source.
Inorganic: Compounds from a source other than animal or vegetable that generally do not contain carbon.
Irritant: A chemical that causes a reversible inflammatory effect on living tissue by chemical action at the site of contact.
Ischemia: Loss of blood supply to a part of the body.
Label: Any written, printed, or graphic material displayed on or affixed to containers of hazardous chemicals.
LC50: The air concentration of a chemical that causes the death of 50% of the test animals.
LD50: The quantity of a material that will result in the death of 50% of the test animals when ingested, injected, or applied to the skin.
Leukemia: Blood disease characterized by an overproduction of white blood cells.
Lower flammability limit: The minimum concentration of the vapor in air that will sustain the spread of a flame.
Makeup air: Clean, tempered outdoor air that replaces air removed by exhaust ventilation.
Material safety data sheet: Written or printed material concerning a hazardous chemical that is prepared according to the Hazard Communication Standard.
Metastases: The process by which a malignant tumor establishes new sites.
Mists: Finely divided liquid suspended in air. Created by condensation or by breaking up a liquid.
MSDS: Material safety data sheet.
Mucous membranes: Lining of the hollow organs of the body such as the nose, mouth, stomach, intestines, and bronchial tubes.
Mutagenic: Chemicals that cause a change in the gene structure that can be passed on to offspring.
Myelo: Referring to bone marrow.
Narcosis: Loss of consciousness.
3- serious
4- severe
The diamond symbol is subdivided into four smaller diamonds. Health hazards are identified on the left in a blue diamond, flammability at the top in a red diamond, and reactivity on the right in a yellow diamond. The bottom section is used to identify special hazards such as water reactives, oxidizers, or radioactive materials. Following is a summary of the meaning of the numbers in each hazard category:
Health Hazards
4- Materials that are deadly and could be fatal on very short exposure. Special protective equipment required.
3- Materials that are extremely hazardous and could produce serious injury on short exposure. Skin contact or inhalation should be avoided. Protective clothing required.
2- Materials that are hazardous and may be harmful to health if inhaled or absorbed.
1- Materials that are slightly hazardous may cause irritation.
0- Materials that present no unusual hazard.
Flammability
4- Extremely flammable liquids. Flash points below 73 F. Includes Class IA and IB flammable liquids.
3- Flammable liquids. Flash points between 73 F and 100 F. Includes Class IC flammable liquids.
2- Combustible liquids with flashpoints between 100 F and 200 F that require moderate heating to ignite. Includes Class II and IIIA combustible liquids.
1- Combustible materials that must be heated strongly to ignite. Flashpoints above 200 F. Class IIIB combustible liquids.
0- Non-combustible materials.
Reactivity
4- Materials that can readily explode at room temperature and pressure. Includes shock sensitive materials.
3- Materials that may explode when heated under confinement or mixed with water. Includes materials that are sensitive to shock under elevated temperatures and pressures.
2- Materials that are unstable and may undergo violent chemical change but do not explode. May react violently with water.
1- Materials that are normally stable but may react if heated or mixed with water.
0- Materials that are stable and do not react with water.
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Appendix C - Incompatible Chemicals
Incompatible chemicals are chemicals that can react violently with each other creating fires, explosions, or the release of toxic gases. These chemicals should always be handled, stored, and disposed of in a manner that ensures that they do not accidentally come in contact with each other.
Acids: Bases, metals, cyanides, sulfides, selenides
Acetic Acid: Chromic acid, nitric acid, hydroxyl compounds, ethylene glycol, perchloric acid, peroxides, permanganates
Acetylene: Chlorine, bromine, copper, fluorine, silver, mercury, or their compounds
Acetone: Concentrated sulfuric and nitric acid mixtures
Alkali & Alkaline Earth (carbides, hydrides, hydroxides, metals, oxides, peroxides): Water, acids, halogenated organic compounds, carbon dioxide, halogens
Ammonia (anhydrous): Mercury, chlorine, calcium hypochlorite, iodine, bromine, hydrofluoric acid (anhydrous)
Ammonium nitrate: Acids, metal powders, flammable liquids, chlorates, nitrites, sulfur, finely divided organic or combustible materials
Aniline: Nitric acid, hydrogen peroxide, strong oxidizing agents
Azides, inorganic: acids, heavy metals and their salts, oxidizing agents
Bases: Acids
Bromine: Ammonia, acetylene, butadiene, butane (or other petroleum gases), hydrogen, sodium carbide, turpentine, benzene, finely divided metals
Calcium oxide: Water
Carbon, activated: Calcium hypochlorite, all oxidizing agents
Carbon tetrachloride: Sodium
Chlorates: Ammonium salts, acids, metal powders, sulfur, finely divided organic or combustible materials
Chromic acid: Acetic acid, naphthalene, camphor, glycerol, flammable liquids
Chlorine: Ammonia, acetylene, butadiene, butane, methane, propane (or other petroleum gases), hydrogen, sodium carbide, turpentine, benzene, finely divided metals
Chlorine dioxide: Ammonia, methane, phosphine, hydrogen sulfide
Copper: Acetylene, hydrogen peroxide
Cumene hydroperoxide: Acids (organic or inorganic)
Cyanides, inorganic: Acids, strong bases
Flammable liquids: Ammonium nitrate, chromic acid, hydrogen peroxide, nitric acid, sodium peroxide, halogens, strong oxidizing agents
Fluorine: Separate from everything
Hydrocarbons: Fluorine, chlorine, bromine, chromic acid, sodium peroxide
Hydrocyanic acid: Nitric acid, alkali
Hydrofluoric acid, anhydrous: Ammonia (aqueous or anhydrous)
Hydrogen peroxide: Copper, chromium, iron, most metals and their salts, alcohols, acetone, organic materials, aniline, nitromethane, flammable liquids, combustible materials
Hydrogen sulfide: Fuming nitric acid, oxidizing gases
Hypochlorites: Acids, activated carbon
Mercury and its amalgams: Acetylene, fulminic acid, ammonia, nitric acid, sodium azide
Nitrates: Sulfuric acid
Nitric acid: Acetic acid, aniline, bases, chromic acid, chromates, hydrocyanic acid, sulfides, sulfuric acid, carbon, flammable liquids, flammable gases, metals, permanganates, reducing agents
Nitrites, inorganic: Acids, oxidizing agents
Nitro compounds, organic: Strong bases
Nitroparaffins: Inorganic bases, amines
Oxalic acid: Silver and its salts, mercury and its salts
Oxidizing agents: Reducing agents (e.g., alkaline metals, ammonia, carbon, metals, metal hydrides, nitrites, organic compounds, phosphorus, silicon, sulfur), flammable & combustible materials
Oxygen: Oils, grease, hydrogen, flammable liquids, solids, and gases
Perchloric acid: Acetic anhydride, bismuth and its alloys, alcohol, paper, wood, other organic materials
Peroxides, organic: Acids, friction, heat
Phosphorus pentoxide: Water, alcohols, strong bases
Phosphorus, white: Air, oxygen, alkalis, reducing agents
Potassium: Carbon tetrachloride, carbon dioxide, water
Potassium chlorate & perchlorate: Sulfuric and other acids
Potassium permanganate: Glycerine, ethylene glycol, benzaldehyde, sulfuric acid
Reducing agents: Oxidizing agents (e.g., bromates, chlorates, chromates, chromium trioxide, dichromates, halogens, hydrogen peroxide, hypochlorites, iodates, nitric acid, nitrates, perchlorates, peroxides, permangnates, persulfates)
Selenides: Reducing agents
Silver: Acetylene, oxalic acid, tartaric acid, ammonium compounds
Sodium: Carbon tetrachloride, carbon dioxide, water
Sodium nitrite: Ammonium nitrate, and other ammonium salts
Sodium peroxide: Oxidizable substances such as: methanol, glacial acetic acid, acetic anhydride, benzaldehyde, carbon disulfide, glycerine, ethylene glycol, ethylacetate
Sulfides, inorganic: Acids
Sulfuric acid: Bases, chlorates, perchlorates, permanganates, water
Tellurides: Reducing agents
Appendix D - Gloves: Chemical Resistance Guide
Acetaldehyde: Neoprene, Natural Rubber
Acetic Acid, Glacial: Nitrile, PVC
Acetic Acid, 50%: Nitrile, Neoprene, Natural Rubber, PVC
Acetone: Neoprene, Natural rubber
Ammonium Hydroxide, 29%: Nitrile, Neoprene, PVC, Natural Rubber
Aniline: Neoprene, Nitrile, Natural Rubber
Aroclor 1254/50% TCB: Neoprene, Nitrile
Benzene: Nitrile
Bis(2-Hydroxyethyl) Amine: Nitrile, Neoprene, PVC, Natural Rubber
2-Butanone: Neoprene
2-Butoxyethanol: Nitrile, Neoprene, Natural Rubber
Butyl Acetate: Nitrile, Neoprene
Butyl Cellosolve: Nitrile, Neoprene, Natural Rubber
Carbolic Acid: Neoprene, Nitrile, Natural Rubber
Carbon Dichloride: Nitrile
Hazard Communication Manual
1.0 Safety Equipment
Safety equipment is designed to protect personnel from injury and minimize damage to property if an accident occurs. Safety equipment should be in useable condition and available to all workers who use chemicals. Personnel should know the location, operation and limitations of safety equipment in the work area.
Fire Extinguishers
Portable fire extinguishers are the first line of defense against a fire. Fire extinguishers are rated for their suitability in combating the following four types of fires:
Class A. Class A fire extinguishers are used to extinguish fires in ordinary combustibles such as wood, paper, cloth, rubber, and plastics. These extinguishers should not be used on electrical, flammable liquid or combustible metal fires. Extinguishers effective against type A fires contain water or a special dry chemical agent.
Class B. Class B fire extinguishers are effective against flammable liquids and gas fires such as solvents, oil, gasoline, and grease. Dry chemical agents, carbon dioxide, and halogenated agents are typically used. Water will only spread a flammable liquid fire and should not be used as an extinguishing agent for Class B fires.
Class C. Class C fire extinguishers are used to extinguish fires involving energized electrical equipment. Non-conducting agents such as dry chemical, carbon dioxide, or halogen compounds are used. Water should never be used to extinguish an electrical fire.
Class D. Class D fire extinguishers contain a special granular formulation that is effective against combustible metal fires such as sodium, potassium, magnesium, and lithium. Normal extinguishing agents must not be used against combustible metal fires because they may increase the intensity of the fire.
Rating numbers are also used on the labels of extinguishers for Class A and Class B fires to indicate their ability to handle different sizes of fires. An extinguisher rated 1A will extinguish 64 square feet of wood and a 1B unit will extinguish 2.5 square feet of a flammable liquid. The rating numeral also gives the relative extinguishing effectiveness of the fire extinguisher. For example, an extinguisher rated 2A should extinguish twice as much fire as an extinguisher rated 1A. Class C and D fire extinguishers have no numerical ratings. Extinguishers that are effective on more than one class of fire have multiple letter and numeral ratings. No extinguisher is suitable for all four classes of fires.
Recently the National Fire Protection Association has recommended a labeling system that uses picture-symbol labels. Types of fires that the extinguisher should be used for are shown by blue symbols. Black symbols crossed with a red diagonal line show fires that the extinguisher should not be used against.
Training. Personnel should be trained in the basic operation of fire extinguishers and know what type of extinguisher to use on a particular fire.
Location. Areas in which flammable solvents are used must have an appropriate fire extinguisher.
Labeling. Every extinguisher should be clearly labeled to show the classification of the fires it is effective against. Water fire extinguishers must be labeled to indicate that they cannot be used on electrical fires.
Access. Fire extinguishers should be readily accessible and the location of the extinguisher should be clearly identified. Access to the fire extinguisher should not be blocked. Fire extinguishers must be mounted off the floor and no higher than five feet. Extinguishers weighing over 40 lbs. should be mounted no higher than three 1/2 feet.
Inspections. Fire extinguishers should be maintained in operating condition, inspected monthly, checked against tampering, and recharged as required.
Flammable Storage Cabinets
Quantities of flammable liquids greater than 10 gallons must be stored in flammable storage cabinets, approved safety cans, or a properly designed flammable storage room. Approved storage cabinets are designed to protect flammable liquids from involvement in an external fire for 10 minutes. This is the time it would normally take for an area to become seriously involved in a fire.
Approval. All cabinets must comply with OSHA and NFPA requirements. Cabinets can be made of metal or wood if properly constructed.
Storage limits. Maximum storage limits for flammable liquids in approved storage cabinets are 120 gallons. Of this total, only 60 gallons of Class I and Class II liquids are allowed. No more than three such cabinets may be stored in a fire area.
Venting. Storage cabinets are not required to be vented. Venting a cabinet may defeat the cabinet's purpose of protecting the contents from involvement in a fire for 10 minutes.
Labeling. Cabinets must be labeled in conspicuous lettering "Flammable-Keep Fire Away."
Safety Cans
Portable approved safety cans are used to safety store, carry, and pour flammable and combustible liquids. The main purpose of the safety can is to prevent an explosion of the container when it is heated. Safety cans are constructed of terne plate steel, stainless steel, or high density polyethylene. The type of can purchased is determined by the chemical properties of the flammable liquid and how it will be used. Terne-plate steel cans are designed to store petroleum solvents if the purity and color of the solvent are not critical. Some solvents may also dissolve the paint from the outside of these cans. Stainless steel cans are recommended when high purity solvents are needed. High density polyethylene cans are resistant to many solvents but may cause discoloration of the solvent.
Approval. Safety cans must be UL listed and FM approved, and properly labeled to identify contents.
Construction. All approved cans must have a lid that is spring loaded to close automatically after filling or pouring. The lid also acts as a relief valve when pressure builds up in the can. A flame arrestor screen must be inside the cap spout to prevent fire flashback into the can.
Refrigerators
Confined vapors from flammable liquids are easily ignited and represent a major hazard in laboratory refrigeration units. There are several potential ignition sources in a normal refrigerator or freezer. Spark producing devices include the thermostat, light switch, defrost mechanism and compressor. In addition, self-defrosting units have a drain hole at the bottom and vapors can escape through the hole and be ignited by the compressor.
Standard refrigerators. Because of the danger of fires and explosion, standard refrigerators and freezers may not be used for storage of flammable liquids. These refrigerators should be posted as unsafe for storage of flammable liquids.
Acceptable units. The following types of refrigerators are safe for the storage of flammable materials:
Explosion-Safe or flammable storage refrigerators and freezers, which have been modified to eliminate the spark producing mechanisms.
Explosion-Proof refrigerators and freezers, which not only protect against flammable vapors inside the unit, but may also be operated in rooms that have an explosive atmosphere. These units must be permanently wired to the electrical system.
Eyewash Fountains and Emergency Showers
Suitable eyewash facilities and emergency showers must be available in areas that use hazardous chemicals that may be harmful to the eyes or skin or that can be absorbed through the skin. Besides providing protection from chemical splashes, emergency showers can be used to extinguish clothing fires. Emergency showers and eyewash stations should always be installed at the same location because injuries to the eyes and skin often occur together. All personnel should be familiar with the location and operation of emergency showers and eyewash stations before beginning hazardous procedures.
Location. Units shall be located in readily accessible areas within 10 seconds of an area using injurious chemicals. In extremely hazardous areas, units may be required to be within 10-20 feet of the hazard. Eyewash units and emergency showers should not be located near electrical apparatus, power outlets or water reactive chemicals. The area around the equipment must be kept clear to ensure immediate access.
Valve. The valve should be designed so that the water remains on without requiring the user to hold the valve open. Injured personnel must have the ability to hold both eyelids open or take their clothes off. The valve actuator should be large enough to be easily located and operated by the user. A self-closing valve on emergency showers may be used in low hazard areas if approved by the Safety Manager.
Pull devices. Overhead chains are most commonly used to activate showers. The chain should be at such a height that anyone working in the area could reach the chain. The chain should never be tied up out of the way. Rod-type pull activators are preferable to chains because they are easily accessible and cannot be tied out of the way.
Water flow. Eye-wash equipment should be capable of delivering to both eyes simultaneously at least 0.4 gallons of potable water per minute for 15 minutes. The velocity should be low enough so that it will not injure the user. Nozzles must be protected from airborne contaminants. The removal of the protective device should not require a separate motion by the user. Shower heads shall be between 82 and 96 inches from the floor. Emergency shower heads must be capable of delivering a minimum of 20 gallons of water per minute.
Signs. The location of eyewash units and emergency showers should be identified with a highly visible sign.
Inspections. Eye-wash stations should be flushed weekly for a few minutes to ensure that they are in operating condition and to clean out the water lines. Deluge showers should be tested and flushed yearly.
Back-up units. Small squeeze bottles of water or saline solutions are not acceptable as a primary eyewash unit because they do not supply the flow necessary for repeated washings and cannot flush both eyes simultaneously. Drench hoses are acceptable only as a back up system because they cannot flush both eyes simultaneously and the user cannot hold both eyes open. In addition, hand-held drench hoses cannot provide the full flow associated with an emergency shower and can only be used to support an approved emergency shower. Small eye-wash units mounted on the ends of faucets are intended only to supplement, but not replace standard plumbed in eye-wash equipment. These units can be difficult to operate in an emergency.
Miscellaneous Safety Equipment
First aid kits. First aid kits should contain adequate first aid instructions and an assortment of material packaged in single disposable packages. Bottles of antiseptic liquids or large tubes of antiseptic creams that can break or leak should be avoided. A kit should be readily available at all times work is being performed. The location of the kit should be clearly identified and access should not be blocked. Phone numbers for emergency personnel should be posted in the same area. The kit should be inspected periodically and re-supplied as necessary.
Machine guards. Mechanical equipment must be adequately guarded to prevent access to rotating parts, pulleys or electrical connections. Guards on fan blades shall have openings no larger than one-half inch.
Fire blankets. Fire blankets should only be used as a last resort to extinguish clothing fires because they may hold the heat in and increase the severity of burns. Fire blankets should be used primarily to prevent shock in accident victims.
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2.0 Handling Chemicals
Accidents associated with the handling of chemicals can occur during, storage, use, and disposal. Personnel may be exposed to hazardous chemicals that present health hazards, such as toxins and corrosives, and physical hazards that may result in fires and explosions. These risks can be minimized by following the general precautions recommended below. Recommendations for handling specific classes of chemicals are presented in the succeeding chapters.
Ordering
The potential hazards of a chemical should be known before ordering. Personnel should receive adequate training in handling the material, and plans must be made to store and dispose of the chemical properly before it is received. Chemicals must be properly labeled, inventoried, and a material safety data sheet must be available. Preferably, all chemicals should be received in a central location.
Quantity. To reduce waste disposal costs, only the smallest quantity of a chemical should be ordered.
Material safety data sheets. Hazardous chemicals should not be accepted unless an MSDS has been sent with the shipment, is being sent, or is on file with the Safety Office.
Labels. In accordance with Globally Harmonized System of Classification and Labeling of Chemicals (GHS), and in compliance with OSHA 1910.1200; Labels on incoming chemicals must contain the name of the product or chemical, identify hazardous ingredients or components, display the appropriate signal word, appropriate physical, health, environmental hazard statements, supplemental information, precautionary measures & pictograms, first aid statements, and the name and address of the manufacturer. Unlabeled chemicals must not be accepted.
Inventory. All departments must maintain an inventory of incoming hazardous chemicals.
Free materials. The recipient should limit the amount of free material to that actually needed. The donor should agree in writing to dispose of any excess material in a legal and safe manner. If the free material poses any safety or health risks or would cause any storage or disposal problems, the Safety Manager should be notified to resolve the problems posed by the gift.
Flammable materials. Containers of flammable and combustible liquids are limited to the following sizes:
Class
5 gal
Chemical Storage
Many hazards are associated with the storage of chemicals. Accidents can be reduced by careful planning, following procedures, and properly designing facilities. Chemical containers should be periodically inspected to ensure that labels are legible and intact, containers are not leaking or rusting, and chemicals have not dangerously deteriorated. Containers should always be kept tightly sealed. Storage should be minimized. Chemicals should be inventoried periodically and unneeded chemicals disposed of through the Safety Office. Individual chapters on chemical classes should be consulted for additional information on storage procedures.
Location. Chemicals should be stored in a definite storage area and returned to that location after each use. Chemicals should be stored on shelves with a one-half inch retaining lip. Shelves should not be above shoulder height. Shelves should be sturdy and coated with a chemically resistant paint. Chemicals should not be stored on bench tops. Storage areas should be cool, dry, well ventilated, and out of direct sunlight.
Incompatibles. Every effort should be made to separate chemicals that may react together and create a hazardous situation. A common and unsafe practice is storing chemicals alphabetically. This practice can cause explosions, or the release of toxic vapors. Chemicals should be stored according to chemical class. Further information on incompatible chemicals is available from the Safety Office.
Carcinogens. Carcinogens should be stored in a designated area or cabinet and posted with the appropriate hazard sign. Volatile chemicals should be stored in a ventilated storage area in a secondary container having sufficient volume to contain the material in case of an accident. Storage areas should be separated from flammable solvents and corrosive liquids.
Toxic chemicals. Toxic chemicals should be stored away from fire hazards, heat, and moisture, and isolated from acids, corrosives, and reactive chemicals. Special care should be taken to ensure that toxic chemicals are not released into the environment. Access to the storage area should be restricted for highly toxic chemicals. Highly toxic chemicals should be stored in unbreakable secondary containers.
Corrosives. Corrosive chemicals should not be stored with combustibles, flammables, organics, and other highly reactive and toxic compounds. Acid and bases should not be stored together.
Flammable liquids. Storage in work areas is limited to 10 gallons outside flammable storage cabinets or approved safety cans. Storage in glass containers is limited to one pint for Class IA liquids and one quart for Class IB liquids, unless permission has been obtained from the Safety Manager.
Flammable liquids should not be stored near exits, sources of heat, ignition, or near strong oxidizing agents, explosives, or reactives. Smoking is prohibited in storage areas. Storage areas should be adequately ventilated to prevent vapor building up. Adequate fire extinguishers should be readily available. Metal dispensing and receiving containers should be grounded and bonded together by a suitable conductor to prevent static sparks.
Reactives. Reactive chemicals should be protected from shock, heat, ignition sources, and rapid temperature changes. Containers should be separated from corrosives, flammables, organic materials, toxins, and other reactive chemicals. Depending on the quantity, explosives may need to be stored in specially constructed magazines. Water reactive chemicals should be separated from sprinkler systems, emergency showers, eyewash stations and other water sources. Keep containers well sealed. Store water reactives under an inert non-flammable solvent.
Compressed gases. Cylinders must be secured, and stored upright with the valve protector in place. Storage areas should be well ventilated and dry. Cylinders should be stored away from ignition sources, heat, and combustibles. Flammable gas cylinders and oxidizing cylinders must be separated by 20 feet or a five-foot high wall with a half-hour fire rating. Highly toxic gas cylinders must be stored in occupied areas in a way that will not contaminate breathing air.
General Safety Practices
Most chemicals are hazardous and should be handled with precautions. These hazards include toxic and corrosive chemicals that can damage health, and chemicals that can cause fires and explosions. Many accidents occur because the hazard was not known or it was underestimated. However, most accidents occur because workers become careless with commonly used substances with known hazards. To reduce accidents individuals must accept responsibility for carrying out their work according to good safety practices. Personnel should always strive to minimize their exposure to chemicals. The following general safety procedures are designed to minimize the likelihood of an accident when working with hazardous chemicals.
Planning. Work should be planned carefully; appropriate planning can substantially reduce the risks in using chemicals. Always know the potential hazards and safety procedures associated with any chemical or operation before beginning the work. Consult this manual for general information on chemical classes and the Material Safety Data Sheet for detailed information for specific chemicals. The following factors should be considered before using hazardous chemicals:
Hazards associated with the use of the chemicals
Alternative chemicals or procedures that would be safer to use
Safety training for personnel
Hazardous waste disposal
Chemical spills
Training. Personnel working with, or potentially exposed to, hazardous chemicals must receive training on the hazards of chemicals in their work area and safety procedures. Training is to be provided at the time of the employee's initial assignment and before exposure to new hazards. Training must contain the following information:
Methods and observations to detect the presence of hazardous chemicals in the work place.
Physical and health hazards of chemicals including signs and symptoms of an overexposure.
Procedures to protect against hazards including proper work practices, emergency procedures, safety equipment, personal protective equipment, and first aid procedures.
Emergencies. Telephone numbers of emergency personnel and supervisors should be prominently posted in each work area.
Reference materials. MSDSs, reference materials on hazardous chemicals, and permissible exposure limits are available in the Safety Office.
Inspections. The Safety Manager will periodically inspect work areas to ensure that the use of hazardous chemicals conforms with University regulations. Preliminary discussion with the Safety Manager is encouraged to reduce potential problems associated with the use of new chemicals.
Chemical Hygiene Officer. The Safety Manager will serve as the Chemical Hygiene Officer for the university. This person is qualified by training or experience to provide technical guidance in chemical and laboratory safety. The Chemical Hygiene Officer will develop and implement a chemical hygiene plan for the safe use of chemicals in laboratories and other work areas at the university.
Supervisors. Supervisors are responsible for daily chemical hygiene in their work area. Specific duties are to ensure that employees are trained properly in chemical hazards, wear appropriate protective equipment and follow university rules for the safe use of chemicals.
Chemical spills. Appropriate equipment for the proper handling of chemical spills (sand, soda ash, sodium bicarbonate, or a commercially available spill kit) should be readily available to personnel.
Transportation. Glass bottles of flammable solvents, corrosive, and toxic chemicals should be transported in rubber buckets or similar protective carriers.
Hygiene. Since most chemicals are harmful, chemicals should not come in contact with the skin. Wash thoroughly with soap and water if chemicals contact the skin, before leaving the work area, and before eating.
Eating & drinking. Many chemicals are extremely dangerous if ingested. Contamination of food and drinks is a potential route of exposure to these toxic chemicals. A well-defined area within the work area must be established for the storage, handling, and consumption of food. Chemicals or chemical equipment must not be allowed in this area. Chemicals should never be stored in glassware designed to handle food or beverages. The storage, handling, and consumption of food are prohibited in certain high risk areas such as pesticide facilities. Food meant for human consumption and chemicals must not be stored in the same refrigerator. A refrigerator should be designated for food storage only and appropriately labeled.
Housekeeping. Work areas should be kept clean and orderly, chemicals should be properly labeled, and equipment and chemicals should be properly stored. Chemicals should be used in a systematic way. Reagents should be capped and returned to their normal storage location after use. Unlabeled containers and chemical waste should be disposed of promptly using established procedures. Chemicals that are no longer needed should be disposed of properly. Chemicals should not be stored in aisles where they could be knocked over. Spilled chemicals should be cleaned up immediately. The Safety Manager should be notified immediately in the event of a large spill or one involving toxic materials. Benches and floors should be cleaned daily to reduce the quantities of accumulated chemicals that could pose respiratory hazards.
Personal protective equipment. Exposure to hazardous chemicals should be avoided. Appropriate eye protection must be worn at all times by anyone working or visiting an area where hazardous chemicals are used. Other protective equipment such as face shields, gloves, protective clothing, and respirators should be worn as necessary.
Personal apparel. Long hair should be confined. Shoes should be worn at all times. Workers should not wear sandals, perforated shoes, or sneakers.
Labels. In accordance with Globally Harmonized System of Classification and Labeling of Chemicals (GHS), and in compliance with OHSA 1910.1200; labels on incoming chemicals must contain the name of the product or chemical, identify hazardous ingredents or components, display the appropriate signal word, appropriate physical, health, environmental hazard statements, supplemental information, precautionary measures & pictograms, first aid statements, and the name and address of the manufacturer. Unlabeled chemicals must not be accepted. Carefully read the label, noting the name and hazard information. Many chemicals have similar names. Secondary chemicals not intended for immediate use during the work shift must be labeled with the name of the chemical and the appropriate hazard warnings. Containers with illegible or missing labels should not be used. These chemicals should be disposed of by calling the Safety Office.
Material safety data sheets (MSDS). MSDSs must be maintained for all incoming shipments of chemicals and made readily accessible to employees.
Smoking. Smoking is prohibited in areas that use or store flammable solvents.
Working alone. Work with chemicals that may be immediately dangerous to life and health should not be conducted alone.
Flammables. Open flames should not be used to heat flammable liquids. Before lighting an open flame, ensure that all flammables have been removed from the area and that all flammables are tightly closed. Use only non-sparking electrical devices to heat flammable liquids.
Medical consultation. Personnel must receive medical attention whenever symptoms associated with a possible overexposure are noted, or when monitoring shows an exposure routinely above the action level for an OSHA regulated substance.
Air monitoring. Routine monitoring of airborne concentrations of chemicals is not normally warranted. Monitoring may be necessary, however, for work with certain carcinogens and when using chemicals in areas with inadequate ventilation.
Horseplay. Practical jokes or other behavior that might startle, confuse, or distract another worker should be avoided.
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3.0 Toxic Chemicals
Toxic chemicals are chemicals that can produce injury or death when inhaled, ingested, or absorbed through the skin. Damage may result from acute or chronic exposures and involve local tissue or internal organs. The extent of the injury depends on the dose administered, duration of the exposure, physical state, solubility, and interaction with other chemicals. Toxic chemicals include corrosives, systemic poisons, carcinogens, mutagens, and embryotoxins.
Dosage
The dose of a chemical is the most important factor that determines whether damage will result from exposure to the chemical. Chemicals vary tremendously in their toxicity. An excess of almost any chemical can be harmful and a sufficiently small amount of most chemicals will not cause injury. There is a threshold, or no effects level, that must be exceeded before toxic effects will be noticeable for most chemicals. Although the toxicity and chemical structure of a compound are generally related, each compound must be studied independently to determine its toxicity. In determining the toxicity of chemicals it is common to use standardized terms called the median lethal dose (LD50) or the median lethal concentration (LC50).
The LD50 is the dose of a chemical that will result in the death of 50% of a group of test animals when ingested or applied to the skin in a single dose. It is expressed in milligrams of the chemical per kilogram of body weight of the test animal. The LC50 refers to the concentration of a gas or vapor that will result in the death of 50% of the animals when inhaled and is expressed in parts per million (ppm).
A substance is considered toxic if the LD50 in test animals is between 50 mg/kg and 500 mg/kg when ingested, or between 200 mg/kg and 2000 mg/kg when in contact with the skin. The substance is also considered toxic if the LC50 is between 200 ppm and 20,000 ppm when inhaled. Examples of toxic chemicals include ammonia, bromine, sodium hydroxide, and methanol. A substance is considered highly toxic if it has an LD50 in test animals of less than 50 mg/kg by ingestion, less than 200 mg/kg by skin contact, or the LC50 is less than 200 ppm. Examples of highly toxic chemicals include chlorine, fluorine, and hydrogen sulfide.
Exposure
The toxicity of chemicals is also related to the duration of the exposure. Exposure to toxic chemicals is divided into two classes; acute toxicity and chronic toxicity.
Acute toxicity. An acutely toxic chemical causes damage in a relatively short time (within minutes or hours) after a single concentrated dose. Irritation, burns, illness, or death may result. Commonly used acutely toxic poisons include chlorine and ammonia. These substances may cause severe inflammation, shock, collapse or even sudden death when inhaled in high concentrations. Corrosive materials such as acids and bases may cause irritation, burns, and serious tissue damage if splashed onto the skin or eyes.
Chronic toxicity. A chemical that is a chronic toxin produces long term effects. Damage may result after repeated exposures to low doses over time, as from the slow accumulation of mercury or lead in the body, or after a long latency period from exposure to a carcinogen. Chronic exposure to solvents may also result in reproductive problems and behavioral changes. The symptoms from exposure to chronic toxins are usually different from those seen in acute poisoning from the same chemical. Since the level of contamination is low the worker may not be aware of the exposure to the toxin.
Chronic toxicity also includes exposure to embryotoxins, teratogenic agents, and mutagenic agents. Embryotoxins are substances that cause any adverse effects on the fetus (death, malformations, retarded growth, functional problems). Teratogenic compounds specifically cause malformation of the fetus. Examples of embryotoxic compounds include mercury and lead compounds. Mutagenic compounds can cause changes in the gene structure of the sex cells that can result in the occurrence of a mutation in a future generation. Approximately 90% of carcinogenic compounds are also mutagens.
Effects
Toxic effects are based on the site of action and are classified into local and systemic effects.
Local. The action of a toxin on the skin or mucous membrane at the point of contact is termed local toxicity or corrosivity. For example, acids have a local or direct irritating effect on the skin, eyes, nose, throat, and lungs. The skin may be severely burned or vision impaired. The lungs may be damaged because of inhaling toxic gases. Exposure may be through inhalation, ingestion, or direct contact with the skin or eyes.
Systemic. When a toxin is absorbed into the blood stream and distributed throughout the body systemic or indirect toxicity may occur. Absorption may take place through the lungs, skin, or gastrointestinal tract. Several sites may be damaged or the toxin may act on only one site. For example, arsenic may damage the blood, nervous system, liver, and kidneys. However, benzene acts on one site, the blood forming bone marrow. Pesticides are an example of systemics poisons commonly found in the work place.
Routes of Exposure
Toxic chemicals may enter the body through three routes: inhalation, ingestion, or contact with the skin and eyes.
Inhalation. Inhalation of toxic substances represents the most common means by which injurious substances enter the body. Air contaminants in the workplace present both acute and chronic dangers to health. Inhalation of toxic substances can cause serious local damage to the mucous membranes of the mouth, throat, and lungs; or pass through the lungs into the circulatory system producing systemic poisoning at sites remote from the point of entry.
Several thousand deaths per year are attributed to exposure to dust, fumes, gases, vapors, and mist in the work place. Exposure to organic dusts such as coal dust can cause asthma, chronic bronchitis, and emphysema. Mineral dusts such as asbestos can cause asbestosis, characterized by coughing and breathlessness, or mesothelioma, a cancer of the lung lining. Exposure to toxic chemical dusts may result in irritation, bronchitis, and cancer depending on the nature of the chemical. The poisoning effect may be fast or slow depending on the toxicity and concentration inhaled.
Breathing the fumes generated from the heating of heavy metals may result in metal fume fever characterized by irritation of the lungs, dry throat, chills, fever, and pain in the limbs. Cadmium fumes may cause emphysema. Exposure to hydrocarbons, chromium, beryllium, and arsenic fumes may cause lung cancer.
Exposure to acid and alkaline gases such as hydrochloric acid and ammonia will cause extreme local irritation to the lungs. Some gases such as carbon monoxide may pass into the blood stream and cause systemic injuries.
Vapors are the gaseous state of liquids. Inorganic vapors are generally harmless. Exposure to organic vapors, however, may cause nose and throat irritation, pulmonary edema or cancer.
Mists are fine suspensions of liquid in air and can cause chemical burns of the lungs, lung disease and cancer. Common mists include sulfuric acid and sodium hydroxide from oven cleaners.
Many gases can be detected by their odor or irritating effect which results in an immediate warning so that injury can be averted. Ammonia, for example, is highly irritating and has an offensive odor. Other toxic gases, such as carbon monoxide, however, may have no odor or irritating effects. Deadening of the sense of smell may occur with some gases, such as hydrogen sulfide, and prevent the detection of toxic quantities, or the pain may be delayed for several hours as from exposure to hydrogen fluoride. Although sensory warnings may give adequate warnings occasionally, it should not be relied on as a primary defense.
Ingestion. The ingestion of chemicals may cause severe local damage to the lining of the mouth, throat, and gastrointestinal tract. In addition, if the chemical is absorbed into the blood stream, systemic poisoning may result. Ingestion of chemicals may occur from eating contaminated food, smoking cigarettes contaminated with chemicals, or swallowing chemicals deposited in the throat through inhalation. Oral toxicity is generally lower than inhalation toxicity because of the relatively poor absorption of many chemicals from the intestines into the blood stream.
Skin contact. Chemical damage to the skin of the hands and arms is the most common occupational injury. Damage to the skin may include inflammation, burning, blistering, and complete destruction of the skin. The extent of the damage depends on the type of chemical, its concentration, and the duration of the contact. Chemicals that affect the skin are divided into two classes: irritants and sensitizers. Exposure to irritants can result in contact dermatitis, the most common occupational skin disease. Contact dermatitis is any local inflammation of the skin following exposure to damaging substances. Most organic and inorganic acids and bases are strong irritants. Exposure to these chemicals can result in serious local damage to the skin often requiring medical attention. Exposure to milder irritants such as detergents and solvents may cause redness, burning, and swelling. The irritation is usually confined to the area of skin that contacted the chemical and may heal in a few days.
Initial contact with a chemical sensitizer may produce no reaction. Once sensitized, however, subsequent exposures may result in an allergic-type of response called contact allergic dermatitis. Reactions usually develop several hours after re-exposure and may last for several days. Skin reactions may also appear at sites remote from the initial contact. Once a worker has become sensitized to a chemical, very small amounts of it may trigger a reaction. Typical sensitizers include arsenic, mercury, nickel compounds, petroleum distillates, detergents, and many pesticides.
Skin contact is also the primary route of entry into the body for many hazardous chemicals. Many pesticides, for example, may pass through the skin and cause serious or even fatal poisoning. The largest problem associated with skin absorption of chemicals, however, occurs with organic solvents. Solvents such as benzene, carbon tetrachloride, and methyl alcohol may be absorbed in sufficient quantities to cause systemic injury or even cancer at other organ sites. In addition, some solvents such as DMSO may act as vehicles that carry other chemicals through the skin.
Eye contact. The effects of accidentally splashing corrosive chemicals into the eye can range from minor irritation, to scarring of the cornea and loss of vision. Injury to the eye from bases is much more damaging than acid burns. Acids cause a protein barrier to form in the eye preventing further penetration of the acid. Bases, however, continue to soak into the eye and cause further damage. In addition, mists, vapors, and gases may produce varying degrees of damage to the eyes. Some chemicals may be absorbed by the eye and produce systemic poisoning.
Interactions
It is common for workers to be exposed to a wide range of chemicals. Consideration must be given to the possible interaction of these chemicals and how they may affect personnel. There is growing evidence that many chemicals may have a synergistic effect and produce toxic effects that are much greater in combination than would be predicted from their individual effects. Since standards for maximum permissible levels of chemicals are based on the effects of a chemical acting alone it is prudent to keep exposures to chemicals to the lowest possible level. Another possible hazard involves the interaction of chemicals with cigarettes. Cigarettes can convert chemicals in the atmosphere into more harmful forms. For example, chloroform can be converted by the heat from a cigarette into the highly toxic gas phosgene. Interactions may also occur inside the body of the worker, producing harmful substances.
Threshold Limit Values
Exposure limits to airborne concentrations of common chemicals are published yearly by the American Conference of Governmental Industrial Hygienists (ACGIH). These limits are recommendations, not legal standards, and represent conditions to which nearly all workers may be exposed without experiencing significant adverse effects. They are based on the best currently available data from industrial experiences, human population studies, and animal experiments. Three categories of Threshold Limit Values (TLV) are specified: Time Weighted Average (TWA), Short Term Exposure Limit (STEL), and Ceiling Value. TLV's are expressed in parts per million (ppm) or mg/cubic meter.
TWA. The TWA is the concentration of an airborne chemical averaged over an eight-hour workday that workers may be exposed to daily without sustaining injury. Exposure to concentrations above the limit is allowed as long as they are balanced by exposures below the limit and do not exceed the STEL or Ceiling Limit.
STEL. The STEL is the maximum concentration a worker can be exposed to for fifteen minutes without suffering from irritation, chronic or irreversible tissue damage, or narcosis of sufficient degree to cause impairment.
Ceiling limit. The Ceiling Limit is the concentration that should never be exceeded for any period of time.
PEL. The legal maximum levels of airborne chemicals are determined by OSHA and are called Permissible Exposure Levels (PEL). Most of the OSHA Permissible Exposure Levels are adopted from the ACGIH Threshold Limit Value list. OSHA values are not updated yearly as are the ACGIH Threshold Limit Values.
The TLV and PEL should only be used as guidelines for good practice and should not be used as fine lines between safe and unsafe concentrations. It is always prudent to keep exposures to airborne contaminants as low as possible.
Classes
Lung irritants. Lung irritants are chemicals that irritate or damage pulmonary tissue. Chemical irritants are classified as primary or secondary. Primary irritants exert their effect locally, for example, acid fumes burning the lungs. Secondary irritants, such as mercury vapors, may exhibit some local irritation but the main hazard is from systemic effects resulting from absorption of the chemical.
Irritation of the lungs may produce acute pulmonary edema (fluid in the lungs). Symptoms include shortness of breath and coughing that produces large amounts of mucous. Reactions to some chemicals may produce an allergic sensitization that causes asthmatic-type symptoms following additional exposures. Short term exposure to irritants is usually reversible with no permanent damage, however, systemic poisoning may persist and cause permanent damage.
The solubility of an irritant gas influences the part of the respiratory tract that is affected. For example, soluble gases such as ammonia, hydrogen chloride, and sulfur dioxide mainly irritate the upper respiratory tract. Insoluble gases such as carbon monoxide and phosgene travel deeply into the lungs and cause irritation of the bronchi and air sacs. These gases are then absorbed into the blood stream and damage various organ sites. Some gases such as chlorine and hydrogen sulfide may affect the entire respiratory tract.
Skin irritants. Although not as destructive as corrosive chemicals, skin irritants can cause severe rashes and dermatitis to the hands upon significant and repeated contact. Many common solvents, such as toluene and xylene, are irritants.
Asphyxiants. Chemical asphyxiants prevent or interfere with the uptake and transformation of oxygen. Examples include carbon monoxide, which prevents oxygen transportation, and hydrogen cyanide which inhibits enzyme systems and interferes with the transportation of oxygen to the tissues. At sufficiently high concentrations, both chemicals can result in immediate collapse and death.
Narcotics. Narcotics affect the central nervous system causing symptoms that range from mild anesthesia reactions to loss of consciousness and death at high doses. Examples include acetone, toluene, xylene, and chloroform.
Neurotoxins. Neurotoxins interfere with the transfer of signals between nerves and may cause a collapse of the nervous system. Effects include narcosis, behavior changes, and decreases in motor function. Examples include ethanol, methanol, general anesthetics, mercury, and tetraethyl lead.
Hepatotoxins. Chemicals that damage the liver. Effects include jaundice and liver enlargement. Examples include mercury, uranium, carbon tetrachloride, heavy metals, and chlorinated hydrocarbons.
Nephrotoxins. Chemicals that produce kidney damage. Effects include anemia, excessive amounts of protein in the urine and renal failure. Examples include arsenic, uranium, chromium, lead, mercury, cadmium, and halogenated hydrocarbons.
Agents that act on the blood. Chemicals that cause decreased hemoglobin function that deprives the tissues of oxygen. Symptoms include cyanosis and loss of consciousness. Examples include carbon monoxide and cyanides.
Hematopoietic system. Chemicals that interfere with the production of red blood cells. Symptoms include anemia, and leukemia. Examples include arsenic, benzene, fluoride, and iodide.
Reproductive toxins. Chemicals that can cause birth defects, spontaneous abortions, or sterility. Examples include lead and PCBs.
Organic solvents. The vapor pressure of a chemical determines if it has the potential to be a hazard from inhalation. The vapor pressure is the pressure of the vapor in equilibrium with its liquid or solid form. The more volatile a chemical the higher its vapor pressure and the lower its boiling point. Solvents are a problem because they vaporize easily and produce high concentrations of vapor in the air. Common solvents have vapor pressures that can produce concentrations in the breathing zones of workers between 10 to 1000 ppm.
Inhalation of the vapors from organic solvents can pass to the heart and central nervous system very rapidly and cause a toxic reaction. An acute exposure to very high concentrations can cause unconsciousness and death. Chronic exposure can cause nausea, headaches, fatigue, and mental impairment. Injury to the organs of the body and damage to the blood may also occur. Studies have shown that low concentrations of common solvents in the air can adversely affect behavior, judgement and coordination. There is also evidence that chronic exposure to some solvents can cause cancer (e.g., benzene, carbon tetrachloride, and chloroform).
Contact with the skin may cause irritation, dermatitis, or an allergic reaction. Some solvents such as benzene and xylene may be absorbed through the skin and enter the bloodstream. Common solvents include toluene, xylene, benzene, carbon tetrachloride, formaldehyde, chloroform, and methyl alcohol.
Organic solvents are commonly divided into two classes: chlorinated and non-chlorinated solvents. Chlorinated solvents are usually non-flammable. Examples include carbon tetrachloride, chloroform, and trichloroethylene. Non-chlorinated solvents are generally flammable. Examples include xylene, benzene, and toluene.
Corrosive chemicals. Corrosive chemicals cause visible destruction or irreversible alternations in living tissue at the site of contact. These chemicals can burn the skin, cause severe bronchial irritation, and blindness if splashed into the eyes. Examples include sulfuric acid, hydrochloric acid, sodium hydroxide, and bromine.
Heavy metals and their compounds. Heavy metals are relatively harmless in the metallic state, but their fumes, dust, and soluble compounds are well-known toxins. Some are carcinogenic, others are nephrotoxins, hepatotoxins, or neurotoxins. The most common heavy metals are arsenic, beryllium, cadmium, chromium, lead, mercury, nickel, and silver. Acute toxic effects from exposure to heavy metals result from inhalation and ingestion of dusts or inhalation of fumes. Metal fumes are generally more hazardous than dusts because the particles in fumes can enter the bloodstream easily. Bronchitis, chemical pneumonia, and pulmonary edema may result. Beryllium and cadmium are two of the most toxic metals when inhaled. Symptoms include nausea, vomiting, abdominal pain, and diarrhea.
Chronic exposure to heavy metals may lead to long-term effects. For example, chronic exposure to lead may damage the nervous system, brain and kidneys. Exposure to mercury over a long time can permanently damage the liver, kidney, and brain. Chronic inhalation of cadmium can cause emphysema and kidney damage. Carcinogenic effects have been shown from exposure to chromium, nickel, arsenic, cadmium, and beryllium. Prenatal effects have been observed from exposure to methyl mercury. In addition, some lead compounds are embryotoxic.
Some metals and their compounds can be absorbed through the skin. Mercury metal, and tetraethyl lead for example can enter the bloodstream through this route. Nickel, arsenic, chromium, and beryllium cannot penetrate the skin but they can damage the skin or cause allergic-type reactions.
Phosphorus. Organic phosphorus compounds are widely used as pesticides. These compounds may cause acute and chronic poisoning. Poisoning may result from ingestion, inhalation, or absorption through the skin. Organophosphates act by inhibiting an enzyme called cholinesterase. Examples include malathion, diazinon, parathion, and TEPP.
Safety Procedures
Alternative reagents. Before a chemical is used, information about its toxicity should be obtained. If the chemical is highly toxic, alternative reagents should be used if possible. For example, toluene or xylene can often be substituted for benzene. If the material must be used then adequate personal protection and containment are required.
Ventilation. The best way to avoid exposure is to prevent the escape of toxic materials into the workplace by using adequate ventilation such as dilution and local exhaust ventilation. Respirators may need to be worn if local exhaust ventilation cannot be provided. Respirators must be approved by the Safety Manager.
Hygiene. To prevent the ingestion of toxic chemicals, workers should wash their hands immediately after using toxic chemicals, before leaving the work area, and before eating, drinking, smoking, or applying cosmetics.
Eating, drinking, or smoking. Eating, drinking, or smoking is prohibited in areas where toxic chemicals are used or stored. Food and drinks should not be stored with toxic chemicals. Chemicals should never be poured into food or drink containers.
Mouth pipetting. Mouth pipetting of toxic chemicals is prohibited.
Personal protection. Skin and eye contact with chemicals should be avoided by using the appropriate eye protection equipment, gloves, respirators, and laboratory coats. Personal protective equipment must be approved by the Safety Manager.
Highly toxic chemicals. Safety procedures for carcinogens should be followed when working with highly toxic chemicals.
Storage. Storage areas should be well ventilated and away from sources of heat or ignition. Incompatible chemicals should not be stored together. For example, ammonia should not be stored with bleach because of the possibility of the formation of the extremely toxic gas, chlorine.
Solvents. Contact with solvents should be avoided by wearing appropriate eye protection and gloves. Tongs or a basket should be used to hold parts in a solvent bath. Hands should never be washed with a solvent. Inhalation of solvent vapors should be kept to a minimum. Work with volatile solvents should be done with adequate ventilation. Containers of volatile solvents should be kept closed.
Heavy metals. Inhalation of heavy metal dust should be avoided. Work must be conducted in a carefully controlled manner. Adequate exhaust ventilation is the most important factor in reducing exposure to heavy metals. Fine powders should be handled in a hood and care must be taken to avoid dispensing the metal into the atmosphere. For the most toxic compounds, a totally enclosed system may be required. Protective clothing such as gloves, laboratory coat, dust masks and eye protection must be worn. Respirators must be worn if engineering controls are not feasible. Removal of dust should never be done by dry sweeping or with an air hose. Surfaces should be cleaned by vacuuming with a special fume vacuum or wetting down the surface before sweeping. Water sprays should be used to prevent the formation of dust and to prevent dust from becoming airborne.
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4.0 Corrosive Chemicals
Chemicals that cause severe local injury to living tissue are called corrosive chemicals. Accidents involving splashes of corrosive chemicals are very common in the work place. Damage to the skin, respiratory system, digestive system and the eyes may result from contact with these substances or their vapors. The seriousness of the damage depends on the type and concentration of corrosive material, length of the exposure, the body part contacted, and first aid measures taken.
Usually minor exposure to corrosive materials is reversible and healing is normal. However, severe exposure may cause permanent damage. Depending on the severity of the exposure, damage to the skin may range from redness and peeling to severe burns and blistering. Chronic exposure may result in dermatitis. Exposure to the respiratory system may range from mild irritation, to inflammation, chest pain, difficulty in breathing, pulmonary edema, and death. Mild exposure to the eyes may cause pain, tearing, and irritation. Severe exposure may cause ulcerations, burns and blindness. Ingestion of corrosive chemicals may cause immediate pain and burning in the mouth, throat, and stomach followed by vomiting and diarrhea. Perforation of the esophagus and stomach is possible.
The concentration of a corrosive material also determines the extent of damage to the tissues. For example, a weak solution of acetic acid (vinegar) can be ingested and contact the skin without any harmful effects. However, concentrated acetic acid is highly corrosive and can cause serious burns to the tissues.
First aid measures must be taken immediately if corrosive chemicals contact the tissues. Corrosive chemicals that contact the skin or eyes should be immediately washed off with water for at least fifteen minutes. Inhalation victims should be moved to fresh air and artificial respiration started if breathing has stopped. If a corrosive material has been ingested, 2-4 glasses of water should be administered to the victim and the poison control center called immediately.
If mixed or stored incorrectly corrosive chemicals can generate excessive heat, pressure, flammable, and toxic gases that can damage equipment, ignite combustibles, and lead to injury. During a fire, highly toxic gases may be released. Many corrosive chemicals have other serious hazards and may be classified as flammables, reactives, or toxins.
Classes
Strong acids. All concentrated strong acids can attack the skin and permanently damage the eyes. Acids usually cause irritation and pain immediately. Adding water to acids can cause the contents to be violently ejected. Burns from acids are typically more painful, though less destructive than alkaline burns. The vapors from many acids such as hydrochloric acid are soluble in water and cause irritation of the nose and upper respiratory tract. Vapors from other acids, however, are not soluble in water and do not cause irritation. For example, vapors from nitric acid may travel deep into the lungs and cause permanent damage and not be immediately noticed.
Strong acids are also hazardous because they can combine with other chemicals in storage and cause fires and explosions. Common strong acids include hydrochloric, nitric, and sulfuric.
Strong alkalis. The metal hydroxides, especially the alkali metal hydroxides, are extremely hazardous to the skin and the eyes. In contact with water considerable heat can be generated that can cause splattering of the material. Burns from alkaline substances are less painful than acid burns but possibly more damaging. The healing of serious alkaline burns is extremely difficult. Concentrated alkaline gases such as ammonia can cause severe damage to the skin, eyes, and respiratory tract. Dry bases can react with the moisture on the skin, eyes, and mucous membranes, causing serious burns. Examples of strong alkalis include sodium hydroxide, potassium hydroxide, and ammonia.
Halogens. The halogens are toxic and corrosive to the skin, mucous membranes, and the eyes. Fluorine gas is highly reactive with organic matter and will cause deep penetrating burns on contact with the skin. Chlorine is less reactive but still extremely hazardous. Bromine is a common source of eye damage because of its use as a pool disinfectant. In contact with the skin it can also cause severe, long lasting burns. Iodine vapor is irritating to the eyes and respiratory tract and may cause pulmonary edema. Skin contact may produce burns.
Oxidizing agents. Besides being corrosive to the skin, mucous membranes, and eyes, oxidizing agents are also fire and explosion hazards. Oxidizing agents readily release oxygen, increasing the ease of ignition of flammable and combustible materials and increasing the intensity of burning. Some compounds give up their oxygen at room temperatures while others require the application of heat. Powerful oxidizers such as nitric and sulfuric acids may react with organic compounds and readily oxidizable materials causing fires and explosions. Oxidizers include chlorates, perchlorates, bromates, peroxides, and nitrates. The halogens are also considered oxidizing agents because they react the same as oxygen under some conditions.
Safety Procedures
Transportation. Corrosive chemicals should always be transported in unbreakable safety containers. Carts used for moving chemicals should have a lip to prevent accidents.
Reactions. Acids should always be added to water to prevent excessive heat generation and splashing. All corrosives should be mixed slowly. Many acids are also oxidizers and react violently with organic compounds and other acids.
Personnel protective equipment. Chemical goggles, aprons, and rubber gloves must be worn when handling corrosive chemicals. Gauntlets (sleeve coverings) may also need to be worn. Goggles should be supplemented with a face mask if the possibility of significant splashing exists. Contact lenses must never be worn when working with corrosive chemicals because they can trap chemicals against the eye. Suitable respiratory equipment should be available if a danger exists from inhaling toxic fumes.
Eye-wash and emergency shower. An OSHA approved eye-wash unit and emergency shower must be located in areas where corrosive chemicals are used. If corrosive chemicals contact the skin or the eyes, the area should be immediately washed with large amounts of water for 15 minutes.
Storage. Storage should be in a cool, dry, and well ventilated area away from direct sunlight. Corrosive chemicals should not be stored with combustibles, flammables, organics, and other highly reactive and toxic compounds. Acids and bases should not be stored together. Fire, explosion, or the release of dangerous gases or vapors may result if these chemicals combine.
Corrosive chemicals should be stored below eye level to prevent splashes in the eyes or face. Shelving should be non-corroding. Strong oxidizing agents should be stored and used in glass or other inert containers. Corks and rubber stoppers should not be used.
Ventilation. Corrosive chemicals producing hazardous vapors and corrosive gases should be used with adequate exhaust ventilation.
Spills. Neutralizing chemicals, absorbent materials, and cleaning supplies should be readily available to clean up corrosive chemical spills. All spills should be cleaned up immediately.
5.0 Carcinogens, Mutagens, Embryotoxins
Carcinogens
Cancer is the second leading cause of death in the United States. Approximately 25% of the population will develop some form of cancer during their lifetime. Cancer is not a single disease, but a group of diseases characterized by uncontrolled growth of abnormal cells. These cells are destructive and often can migrate to new sites to form secondary growths. Among the causes of cancer, environmental agents acting in combination with genetic susceptibilities are believed to be the most prominent. Approximately 60% to 90% of all cancers may be related to environmental factors such as sunlight, radiation, chemicals, diet, and viruses.
Agents that cause cancer or increase the risk of cancer either by initiating or promoting it, are called carcinogens. Carcinogens can enter the body through the skin, lungs, or the digestive system and interact with the body by direct or indirect means. Direct acting carcinogens usually cause cancer at the site of exposure, for example, skin contact with coke oven emissions may cause skin cancer. Indirect acting carcinogens are changed by the body into carcinogenic substances that cause cancer at sites other than the initial exposure site. Common examples include solvents such as benzene and carbon tetrachloride. Other substances, called promoters, do not cause cancer themselves but are necessary for some chemicals to express their carcinogenicity.
Chemical carcinogens were among the first agents associated with an increased incidence of cancer. In 1775, a positive association was demonstrated between exposure to soot and scrotum cancer among chimney sweeps in England. Since then, chemical components of tar, smoke, air pollution, and automobile exhausts have been shown to be carcinogenic. Several occupational chemicals are carcinogens, including asbestos, arsenic, benzene, beryllium, and cadmium.
Carcinogens differ in the length of time needed for the cancer to develop after the initial exposure. This latency period may be as short as five years for the development of leukemia from benzene exposure to as long as 20 years to develop lung cancer from cigarette smoking.
The existence of a safe level or threshold has not been demonstrated for most carcinogens. Because of this, it must be assumed that low doses can cause cancer also but at a proportionately lower rate than high doses. Therefore, it is prudent to reduce exposures to known or suspected carcinogens to the lowest level possible. Exposure to several carcinogens at once may result in cancer rates higher than would be expected by adding the risks from each carcinogen separately. This is known as a synergistic effect. For example, both cigarette smoking and exposure to asbestos have been show to cause cancer. The cancer rate among asbestos workers who smoke is much greater than would be expected by adding the risk from smoking to the risk from asbestos.
Mechanism
The mechanism that causes a normal cell to become cancerous is not well understood. The process is usually characterized by three stages: initiation, promotion, and progression. During the initiation stage, the DNA in the cell that carries the genetic information for cell division is altered either spontaneously or by an external agent. This altered cell may replicate during the promotion stage into a malignant tumor. The appearance of the tumor following initiation may take 5-30 years. This latency period is probably related to a gradual weakening of the immune system or hormonal changes as the body ages. Another theory states that the cells remain dormant until another stimulus from an environmental agent causes it to start dividing. During the progression stage, the tumor invades adjoining tissue and may spread throughout the body.
Testing
OSHA considers a chemical to be a carcinogen if the chemical causes cancer in humans or two different mammal species. The carcinogenic potential of a chemical in humans is usually discovered through epidemiological (population) studies. In these studies, the incidence of cancer in a group of exposed workers is compared to a comparable unexposed population. For example, when compared to unexposed workers, an excess of liver cancer was found among PVC workers and an excess of lung cancer was found in asbestos workers. Another study on members of the American Chemical Society has shown a significantly higher incidence of cancer deaths among chemists than would be expected in the general population.
Human population studies are not always adequate to determine if a chemical is carcinogenic. Large populations are needed, cancers may not develop for 30 years, and there are many variables that must be controlled. Therefore, tests are usually performed on experimental animals under controlled conditions. Tests on animals can identify human carcinogens because chemicals that cause cancers in one mammalian species are likely to cause cancers in another. Except arsenic, all human carcinogens have also been demonstrated to be carcinogenic in animals. It must be assumed that agents that cause cancers in animals are likely to be carcinogenic in humans.
Animal studies are performed to demonstrate the potential for a chemical to cause cancer. Because small populations are used, it is necessary to use large doses of chemicals to demonstrate an effect. This does not mean that only large doses of the chemical will cause cancer. Smaller doses would cause cancer also but in proportionately smaller numbers, numbers so small that they might be missed in a small population.
Screening tests using cells growing in laboratory cultures, require only a few days or weeks to provide preliminary results on the carcinogenic potential of chemicals. The suspect chemical is added to the cells and any mutation is noted. Approximately 90% of chemicals found to be carcinogenic in humans or animals have also shown mutagenic changes in these tests.
Classes
Chemical carcinogens are commonly found in the following groups. Carcinogenic chemicals should also be considered mutagenic.
Polycyclic aromatic hydrocarbons (PAHs). PAHs were the first group of chemicals shown to be carcinogenic in man. PAHs are produced from the combustion of fossil fuels and tobacco. PAHs are probably the most widespread chemical carcinogens in the environment and some of the most powerful carcinogens are found in this group.
Nitroso compounds. Nitroso compounds are widely distributed in the environment and can also form in the body. These compounds may be one of the most important groups of carcinogens in man. Sodium nitrite is a commonly used preservative in meat that is converted to carcinogenic nitrosamines in the body.
Halogenated hydrocarbons. Several of these compounds are commonly used as solvents. Examples include carbon tetrachloride, chloroform, trichloroethylene, and methylene chloride.
Inorganic metals and minerals. Several carcinogens are known among metals or their salts. Examples of these include beryllium, cadmium, nickel, cobalt, and chromium. Only two minerals are known to cause cancer: asbestos and arsenic.
Naturally occurring. Several natural occurring carcinogens are known. Among these is aflatoxin, probably the most potent of all carcinogens. Aflatoxins are produced by molds that grow on peanuts and corn. Other naturally occurring carcinogens are present in sassafrass and chili peppers.
Mutagenic Substances
Mutagenic substances cause an alteration in the genetic instructions on the DNA molecule. If the alteration occurred on a somatic (non-sex cell) the results could be the development of cancer. An alteration of a germ cell (sex cell) in either sex can produce genetic defects that will be transmitted to the next generation. Since all genes are composed of DNA, a mutagenic substance that can produce alterations in one species is considered capable of producing alterations in another.
Because approximately 90% of chemical carcinogens have been shown to be mutagenic, the carcinogenic potential of a chemical can be determined by assessing its ability to produce mutations. The potential mutagenic potential of a chemical can be rapidly determined by performing short term "in vitro" (in the tube) tests. In vitro tests use a microbial organism, such as a bacterium, to assess the potential of a chemical to produce alterations in the genetic material and produce mutations. This procedure is commonly known as the Ames Test.
Long term "in vivo" (in the animal) studies are only needed for a few chemicals. Insects, mice, rats, and hamsters are used for these tests to evaluate mutagenicity in an animal system. Chemicals producing positive animal results can be considered a genetic risk for humans.
Embryotoxins
Women of child bearing potential must be especially concerned about exposure to hazardous chemicals because many chemicals may be hazardous to the embryo or fetus. Embryotoxins are substances that may kill, deform, retard the growth, affect the development of specific functions in the unborn child, or cause postnatal functional problems. Agents that only produce malformations of the embryo are called teratogenic. Approximately 60-70% of all malformations are the result of chemical, physical and infectious agents. The developing embryo depends on the environment to supply the substances needed for growth and differentiation of the tissues and organs of the embryo. Because of this, various chemical, physical, and infectious agents may alter or arrest growth in the developing embryo.
The influence of embryotoxins depends on when the exposure took place. The period of greatest susceptibility to embryotoxins is the first trimester, which includes a period when the woman may not know she is pregnant. The embryo is undergoing rapid growth and differentiation and significant malformations can be produced. Although the development of the fetus is not as sensitive as the embryo, alterations may still occur, particularly in the nervous system.
Classes
Medicines. Medicines that have been shown to be embryotoxic in humans include thalidomide, diethylstilbestriol, some male hormones similar to methyltestosterone, and some anticancer drugs.
Solvents. Growth retardation and abortions, but not malformations, have been shown in animals exposed to chloroform, carbon tetrachloride, trichloroethylene, perchloroethylene, benzene, xylene, and propylene glycol.
Heavy metals. Organomercurials and lead compounds have demonstrated embryotoxic properties in humans. Cadmium, arsenic, selenium, chromium, and nickel compounds have been shown to be embryotoxic in animals and are classified as potentially harmful to the human embryo.
Pesticides. Pesticides producing malformations in animals include parathion, demeton, paraquat, and penthion.
Anesthetic gases. Anesthetic gases demonstrating embryotoxic properties in animals include ethylene oxide, and nitrous oxide.
Organic compounds. Organic compounds that have shown embryotoxic properties in animals include azo dyes, and formaldehyde.
Safety Procedures for Handling Carcinogens
The following procedures should also be used when working with highly toxic chemicals, mutagens, and embryotoxins.
Protective clothing. Protective clothing such as a fully fastened laboratory coat and disposable gloves should be worn to prevent contact of carcinogenic chemicals with the skin. Contaminated clothing should not be worn out of the work area.
Protective equipment. Appropriate eye protection should be available and used in the work area. Contact lenses should not be worn. Appropriate respiratory equipment should be worn if the procedure generates airborne particulates or gases. The face mask or respirator should not be worn out of the work area.
Eating, drinking, & smoking. There shall be no eating, drinking, smoking, chewing of gum or tobacco, or application of cosmetics in areas where carcinogenic chemicals are used or stored. Storage of food or food containers in these areas is also prohibited.
Pipetting. Under no circumstances is oral pipetting of carcinogenic chemicals permitted. Pipetting should always be performed with the aid of a mechanical pipetting device.
Personal hygiene. Workers should wash their hands immediately after the completion of any procedure involving the use of carcinogenic materials.
Storage. Carcinogens should be stored in a designated area or cabinet and posted with the appropriate hazard sign. Volatile chemicals should be stored in a ventilated storage area in a secondary container having sufficient volume to contain the material in case of an accident. Storage areas should be separated from flammable solvents and corrosive liquids.
Labeling. All containers should be labeled as to contents and bear the appropriate hazard warning information.
Containment. Procedures involving the use of volatile chemical carcinogens or procedures that may generate aerosols should be conducted in a chemical fume hood or glove box. Procedures involving non-volatile compounds and procedures with a low aerosol potential should be done in a controlled area that is designated for carcinogenic materials.
Transport. Carcinogens should be transported in unbreakable outer covers such as metal cans. Contaminated materials that are to be transported to a disposal area should be placed in a plastic bag or other impervious material, sealed, and labeled appropriately before transport.
Housekeeping. To minimize the production of aerosols, dry mopping and dry sweeping should not be done in areas where finely divided solid carcinogens are used. Wet mopping or a vacuum cleaner equipped with a HEPA filter should be used.
Working quantities. Working quantities (outside of storage) should be kept to a minimum and should not exceed the amounts required for use in one week.
Spill control. Spills and accidents must be immediately reported to supervisory personnel and to the Safety Office. Because of aerosol production, the area should be evacuated immediately unless the spill is small and well contained. Personnel performing decontamination should wear adequate protective clothing including respirators or self-contained breathing apparatus. As much of the spill as possible should be absorbed into paper towels, rags or sponges. Dry solids should be covered with paper towels moistened with water or an appropriate solvent. Care should be taken not to generate aerosols. Large spills may require a HEPA filtered vacuum cleaner. Decontamination of the spill should be attempted only after the bulk of the spill has been removed by mechanical means.
Disposal. Volatile carcinogens should never be disposed of by evaporation. Chemicals and contaminated materials should be decontaminated or removed for subsequent disposal. Contaminated waste, and cleaning devices should be collected in plastic bags or other impervious containers, sealed, labeled as to contents and hazard and disposed of by approved methods.
Handwashing facilities. Handwashing facilities should be available in the work area where carcinogens are used. Foot or elbow operated faucets are preferable.
Eye-wash & deluge showers. OSHA approved eye-wash units and deluge showers should be readily available to personnel working with carcinogens having corrosive properties or that can penetrate the skin.
Work area identification. Entrances to work areas where significant quantities of carcinogens are used or stored should be posted with a sign stating "Danger Carcinogen - Authorized Personnel Only." In addition, the area should also be posted with a sign stating "No Eating, Drinking, or Smoking."
Access. Only authorized personnel should be allowed in areas where carcinogens are used and stored. Casual visitors should be prohibited. Doors should be closed at all times.
Work surfaces. Work surfaces on which carcinogenic chemicals are handled should be protected from contamination by using an impervious material such as stainless steel, plastic trays or absorbent plastic backed paper. Work surfaces should be decontaminated or disposed of properly after the procedure has been completed.
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6.0 Flammable Liquids
Flammable liquids are among the most common occupational hazards found in the work place. Flammable liquids can easily vaporize and form flammable and explosive mixtures in air. The degree of hazard is determined by the flash point of the liquid, the concentration of the air-fuel mixture, and the availability of ignition sources. In addition, many flammable chemicals react violently with oxidizing compounds and may start a fire. The flammability properties of a chemical should be checked before a flammable liquid is used. The danger of fire and explosions can be eliminated or reduced by strict handling, dispensing, and storage procedures.
Definitions
Flash point. The fire hazard associated with a flammable liquid is usually based on its flash point. The flash point is the lowest temperature at which a liquid in an open vessel will give off sufficient concentration of vapors to form an ignitable mixture with air. Many common solvents have flash points below room temperature. Acetone, for example, has a flash point of 15 F.
Flammable or explosive range. An important factor in determining the fire hazard of a flammable liquid is its flammable or explosive range. Once the flash point has been reached, flammable vapors will be given off that can mix with air to form a flammable or explosive mixture. Every flammable liquid has an upper and lower limit that defines the range of concentrations of the liquid in air that will ignite and propagate a flame. The lower flammability limit is the minimum concentration of the vapor in air that will sustain the spread of a flame; below this concentration, the mixture is too lean to burn. The upper flammability limit is the maximum concentration of vapors in air that will propagate a flame. Above this concentration, the mixture is too rich to burn. The range is usually expressed as a percentage by volume of vapor in air. Ethyl ether, for example, has a wide flammability range extending from a minimum of 2% by volume in air to an upper limit of 48%. If the lower limit is small it only takes a small amount of vapors in the air to form an ignitable mixture. Flammable liquids with a lower flammability limit of less than 10% are considered especially hazardous.
Ignition temperature. Once the flammability range has been reached, the vapors will ignite at the proper ignition temperature. The ignition temperature of a substance is the lowest temperature necessary to cause the vapor-air mixture over the liquid to ignite and continue to burn without the heat source. If the vapor-air mixture is confined and there is an ignition source, an explosion will result. The ignition temperature is often misleading because it is a relatively large number, often in the hundreds of degrees. However, it only takes a short duration of contact with a potential ignition source to reach this temperature and ignite a flammable vapor. For example, a spark contacting a few molecules of a flammable vapor can raise the temperature above the ignition point in only a few thousandths of a second. A hot light bulb can ignite some chemicals.
Sources of ignition. Three conditions must exist before a fire can occur: fuel concentration that is within the flammability range for the substance, air, and a source of ignition. To prevent fires, it is necessary to remove one of these conditions. The easiest way to prevent fires is usually to separate the flammable vapors from an ignition source. Many sources such as sparking electrical equipment, open flames, static electricity, and hot surfaces can ignite flammable vapors. Close attention must be given to all sources of ignition when using flammable liquids, especially those at a lower level than the liquid. The vapors of most flammable liquids are heavier than air and can travel considerable distances.
Spontaneous ignition. Spontaneous ignition takes place when a substance generates heat faster than it can be dissipated and reaches its ignition temperature independent of an ignition source. Materials susceptible to spontaneous ignition include oil or paint soaked rags, organic materials mixed with strong oxidizing agents, alkali metals, phosphorus, and finely divided pyrophoric metals.
Classes
Flammable and combustible liquids are divided into the following classes; based on flash points and boiling points. Flammable liquids are defined as those with flash points below 100 F and combustible liquids have flash points at or above 100 F. Flammable and combustible liquids are further subdivided into the following classes:
Class IA. Flash point below 73 F. Boiling point below 100 F. Examples include ethyl ether, and gasoline.
Class IB. Flash point below 73 F. Boiling point at or above 100 F. Examples include acetone, benzene, ethyl alcohol, isopropyl alcohol, methyl alcohol, toluene, and petroleum ether.
Class IC. Flash point at or above 73 F and below 100 F. Examples include xylene and turpentine.
Class II. Flash point at or above 100 F and below 140 F. Examples include kerosene, mineral spirits, and diesel fuel.
Class IIIA. Flash point at or above 140 F and below 200 F. Examples include pine tar oil, fuel oil no. 6, and phenol.
Class IIIB. Flash point at or above 200 F. Examples include mineral, motor, and tung oil.
Safety Procedures
Ventilation. Ventilation is essential to prevent the buildup of vapors that could lead to flammable liquid fires and vapor-air explosions. Vapors must be controlled by confinement, local exhaust, or general room ventilation. Ventilation systems should be designed to keep the vapor concentration below 25% of the lower flammability level. Room ventilation should be adequate to prevent the accumulation of dangerous concentrations of vapors if only very small quantities are released.
Ignition sources. Flammable liquids should never be heated with an open flame. Steam baths, water baths, oil baths, heating mantles, and hot air baths should be used. Containers should always be kept closed to reduce the possibility of flammable vapors contacting an ignition source. When flammable liquids are used, all unnecessary ignition sources should be removed. Ignition sources include open flames, nonexplosion proof electrical equipment, hot surfaces, and static sparks.
Smoking. Smoking is prohibited in areas where flammable liquids are used or stored.
Fire extinguishers. Appropriate fire extinguishers must be located in work areas using flammable liquids.
Warning signs. "No Smoking" and "Flammable Liquids" signs shall be prominently posted in areas where flammable liquids are used or stored.
General storage. Flammable liquids should not be stored near heat, ignition sources, powerful oxidizing agents, or other reactive chemicals. Flammable liquids should not be stored near an exit, stairway, or any area normally used for the safe egress of people. Storage in glass bottles should be avoided if possible. If glass must be used, the bottle should be protected against breakage. The quantity of flammable liquids should be limited to what is immediately needed. As much as possible of working quantities should be stored in safety cans. Flammable liquids should not be stored above eye level.
Refrigerators. Flammable solvents must not be stored in standard refrigerators; explosions may result from the ignition of confined flammable vapors by sparking electrical contacts. Only explosion-proof or explosion-safe refrigerators may be used.
Container size. Flammable and combustible liquids must be stored in appropriate containers according to their classification. See Chapter 4 for proper container sizes.
Storage limits. The maximum amount that may be stored within a fire area outside approved safety cans, storage cabinets, or flammable storage rooms is 10 gallons. Approved flammable storage cabinets may contain a maximum of 60 gallons of Class I or II liquids, or 120 gallons of Class I, II, and III liquids combined. Only three cabinets are allowed in a fire area.
Inside storage rooms. Bulk quantities of flammable liquids, such as 30 or 55 gallon drums, must be stored in properly designed indoor storage rooms or outside storage areas. Indoor storage rooms containing flammable and combustible liquids must meet the requirements of OSHA Standard 1910-106(d). These standards include spill control measures, spark-proof electrical fixtures, fire suppression equipment, and ventilation requirements.
Electrical grounding. Transferring liquids from one metal container to another may produce static electricity sparks capable of igniting the flammable vapors. To discharge the static electricity, dispensing drums should be adequately grounded and bonded to the receiving container before pouring. Bonding between containers may be made by means of a conductive hose or by placing the nozzle of the dispensing container in contact with the mouth of the receiving container. If the container cannot be grounded, then the liquid should be poured slowly to allow the charge time to disperse.
Spills. Appropriate spill kits should be available in work areas using flammable liquids. Materials should absorb the solvent and reduce the vapor pressure so that ignition is impossible.
Transportation. Flammable solvents should be transported in metal or other protective containers.
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7.0 Reactive Chemicals
Reactive chemicals are substances that can explode or enter violent reactions releasing large amounts of light, heat, and gases. Several reactive chemicals are recognized explosives, requiring only a mild initiating force for detonation. Other reactive chemicals are capable of detonation but require a stronger initiating force. Some reactive chemicals will not detonate but can enter into violent reactions producing large quantities of heat and explosive gases. Reactive chemicals must be handled with extreme care. Even milligram quantities of some chemicals can result in explosions.
Classes
Reactive chemicals are classified as explosives, strong oxidizing agents, acid sensitives, water reactives, air reactives, and special organic compounds.
Explosives. Explosives are substances that can detonate or decompose rapidly and violently at room temperatures and pressure with an essentially instantaneous release of large quantities of gases and heat. Gentle heat, light, mild shock, and chemical action can initiate these explosive reactions. Many of these compounds become more sensitive as they age or dry out. Examples include peroxides, nitroglycerin, and TNT.
Strong oxidizing agents. Many strong oxidizing agents are capable of detonation or explosive decomposition under conditions of strong heat, confinement, or a strong shock. Violent reactions can occur when strong oxidizers are mixed with combustibles such as wood or paper. Strong oxidizing agents that can cause explosions include perchlorates, inorganic nitrates, chlorates, chromates and the halogens. Strong oxidizing agents will also react violently with most organic compounds, powdered metals, sulphur, phosphorus, boron, silicon, and carbon.
Water reactives. Chemicals that combine with water or moisture in the air to produce heat, flammable, explosive or toxic gases are termed water reactive chemicals. These chemicals present a severe fire hazard because sufficient heat is often released to self ignite the chemical or ignite nearby combustibles. In addition, contact with the skin can cause severe thermal and alkali burns. Common examples include strong acids and bases, alkali metals such as sodium and potassium, hydrides, and carbides.
Air reactives. Air reactives (also called pyrophoric materials) ignite spontaneously in air at temperatures below 130 degrees F. Finely divided metal powders that do not have a protective oxide coat may ignite when a specific surface area is exceeded. The degree of reaction depends on the size of the particle, its distribution, and surface area. Examples include white phosphorus, fine zirconium powder, and activated zinc.
Safety Procedures
Planning. The procedures and risks involved should be thoroughly reviewed before working with reactive chemicals. Work should be performed with the smallest possible quantity of the chemical.
Personal protective equipment. Safety glasses, face shield, gloves, and a laboratory coat should be worn at all times when handling, transporting, or manipulating reactive chemicals.
Safety equipment. Adequate portable fire extinguishers should be immediately available. Approved eye-wash stations and emergency showers must be in the work area. Safety shields should be used as necessary.
Explosives. Explosives should be protected from heat and shock. Large quantities of explosives may need to be stored in heavily constructed magazines. Explosives should be stored in a cool, dry area, separated from flammables, corrosives, and other reactive chemicals. Areas in which explosives are handled or stored should be posted with a sign stating "Caution Explosion Hazard." Access to the area should be restricted. Efforts should be made to reduce static electricity discharges such as using cotton gloves, wearing conductive-soled shoes, and working on conductivity mats.
Ethers. Ethers should not be stored in clear bottles. Storage should be in a cool place, preferably an explosion safe refrigerator. Ethers should be dated when purchased and discarded after six months if opened, or after one year if unopened. Inhibitors such as copper mesh or BHT may be ineffective and should not be relied on to prevent peroxide formation. Ethers that do not have an inhibitor, such as those used for anesthesia, should be handled with particular caution. Old containers of ether should not be handled. The Safety Manager should be notified to dispose of these containers.
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8.0 Compressed Gas Cylinders
Compressed gas cylinders are especially dangerous because they possess both mechanical and chemical hazards. Due to the large amount of pressure resulting from compression of the cylinder, gas cylinders should be handled as high energy sources and as a potential explosive. If a cylinder falls and breaks a valve, the energy released is sufficient to propel the cylinder through concrete walls.
In addition, the gases contained in the cylinders are hazardous because of flammable, toxic or corrosive properties. The most common hazard associated with gas cylinders is leakage from regulators that can allow the gas to diffuse throughout the room. Flammable gases can mix with the air and present fire and explosion risks. Most flammable gases have explosive ranges greater than flammable liquid vapors.
Additional hazards arise from the high toxicity and corrosive properties of many gases. Usually, there is no visual warning or odor associated with the escaping gases. Some gases are toxic at concentrations below the odor threshold and some gases with strong odors can quickly paralyze the sense of smell. Even harmless gases such as nitrogen may displace the oxygen in an unventilated room and cause asphyxiation. The best protection against accidents is knowledge of proper handling and storage techniques.
Classes
Compressed gas cylinders may be classified into the following six groups based on similar chemical and physical properties, storage compatibility, and handling procedures. Common examples of each group are included.
Highly toxic gases. Phosgene, phosphene, nitric oxide, nitrogen dioxide, chlorine, fluorine, hydrogen cyanide, ozone
Non-flammable, non-corrosive, low toxicity gases. Air, argon, helium, neon, carbon dioxide, nitrogen, nitrous oxide, oxygen
Flammable, non-corrosive, low toxicity gases. Acetylene, butane, ethylene, hydrogen, isobutane, methane, natural gas, propane
Flammable, toxic, corrosive gases. Carbon monoxide, ethylene oxide, hydrogen sulfide
Acid and alkaline gases. Ammonia, hydrogen chloride, hydrogen fluoride, sulfur dioxide
Spontaneously flammable gases. Silane
Safety Procedures
Identification. The contents of compressed gas cylinders should be clearly identified and bear the appropriate DOT hazard label. Labels should not be removed or defaced. Color coding systems used to identify contents are not reliable because cylinder colors vary among manufacturers. If the labeling on a cylinder becomes defaced, the cylinder should be marked "contents unknown" and returned to the manufacturer.
Transportation. Manual transportation of cylinders should always be done with a handtruck. Cylinders should be securely fastened with a strap or rope. The valve cap must be in place. Cylinders should never be lifted by the valve cap or dragged, rolled, dropped, or permitted to strike hard objects or another cylinder.
Training. Persons who handle flammable, corrosive, or toxic gas cylinders should be adequately trained in the physical and chemical properties of the gas and the proper methods to use the cylinders.
General storage. Cylinders shall be stored upright where they are unlikely to be knocked over, or secured by a heavy chain, strap, or base support. Cylinders cannot be stored in stairwells or within a required exit corridor. The valve protection cap must always be in place when the cylinder is not being used. Cylinders should never be stored on their sides or near a heat or ignition source. Storage areas shall be posted with the name of the gases stored. Storage areas should be well ventilated and dry. Storage rooms should be of fire resistive construction. Temperatures shall not exceed 130 degrees F. Containers shall not be stored near readily ignitable substances such as gasoline, waste, or bulk combustibles.
Outdoor storage. Cylinders may be stored outdoors if adequately protected from the weather and direct sunlight. It is recommended that cylinders be stored under a non-combustible canopy and protected from the ground by a concrete pad.
Handling flammable gas cylinders. Flammable gas cylinders stored inside occupied buildings shall be separated from flammable liquids, highly combustible materials, and oxidizing cylinder by at least 20 ft. or a five ft. high wall with a 1/2-hour fire rating. Flammable gas cylinders in storage and in use should be kept away from arcing electrical equipment, open flames, or other sources of ignition. Adequate portable fire extinguishers shall be located in storage areas and "No Smoking" signs posted. Hydrogen gas systems shall not exceed 400 cubic feet unless the Safety Manager has approved the system.
Handling oxidizing gases. Oxidizing gas cylinders in storage shall be separated from flammable gas cylinders or combustible materials such as oil or grease by at least 20 feet or by a five foot high wall with a 1/2-hour fire rating. Oxidizing gas cylinders, valves, regulators, and hoses shall be kept free from oil or grease.
Handling acid and alkaline gases. Proper protective clothing such as goggles, face shields, rubber gloves, and aprons shall be worn when working with acid and alkaline gases. Areas in which acid and alkaline gases are used shall be equipped with an OSHA approved deluge shower and eye-wash station. Acid and alkaline gases should be used in a well ventilated area. Corrosive gases should be used only with compatible equipment. The total quantity of gases on site should be kept to a minimum. Proper respiratory equipment shall be readily available for use in an emergency.
Handling highly toxic gases. Highly toxic gas cylinders shall be stored outdoors or in an unoccupied building or room with a one-hour fire rating. Areas in which toxic gas cylinders are used or stored should be posted with an appropriate warning sign. The quantity of highly toxic gas cylinders should be kept to a minimum. Highly toxic gas cylinders shall be used only in forced ventilation areas. Highly toxic gases should be used only with compatible equipment. Gases emitted in high concentrations shall be discharged into appropriate scrubbing equipment. Users shall only be exposed to concentrations of highly toxic gases that are below OSHA permissible levels. Proper respiratory equipment shall be readily available for use during an emergency.
Dispensing contents. The cylinder should be secured, and the protective cap removed. The proper regulator should be connected being careful not to cross thread or over tighten the connections. Never stand in front of or behind the pressure gauge as the main tank valve is opened. Pressure gauges can explode. When opening the valve on a cylinder containing a corrosive or toxic gas, the user should stand on the side opposite the valve opening. Safety glasses should be worn when dispensing compressed gases to prevent eye damage from equipment failure.
Regulators. Always use the appropriate regulator. Regulators for non-corrosive gases are usually made of brass. Corrosion resistant regulators should be used with gases such as ammonia, chlorine, hydrogen chloride, hydrogen sulfide, and sulfur dioxide. Special regulators should be used with carbon dioxide because of potential freeze-up and corrosion problems. Connections should never be forced. Regulators and valves should never be oiled or greased. A fire or explosion could result. Pressure should be removed from the regulator when not in use. The main tank valve should be closed and the pressure bled off from the regulator valves. To prevent explosions, regulators made of brass or copper should not be used with acetylene.
Traps. A trap, check valve, or vacuum break should be used to prevent the back-flow of contamination into the cylinder.
Empty cylinders. Cylinders should not be completely emptied. Approximately 25 pounds of pressure should remain in the cylinder. The tank valve should be closed to prevent contamination from air and water. Empty cylinders should never be refilled by the user. Remove the regulator, replace the cap, mark the cylinder empty, and return it to the storeroom and vendor as soon as possible. Segregate empty cylinders from full cylinders to reduce handling by the supplier. The cylinder should be securely fastened in the storeroom.
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9.0 Cryogenic Liquids
Cryogenic liquids are liquefied gases that are handled at very low temperatures, typically below -150 degrees F. The primary risks associated with the use of these materials are the physical injuries caused by exposure of tissue to extreme cold, the potential for fires and explosions, and asphyxiation.
Even very brief skin contact with a cryogenic liquid is capable of causing frostbite injury. Prolonged contact may result in blood clots. Flooding the affected tissue with warm water as soon as possible is the recommended treatment for exposure to cryogenic liquids.
Gases such as hydrogen, methane, and acetylene present obvious fire and explosion hazards. Liquid oxygen greatly increases the flammability of ordinary combustibles and may even cause non-combustibles to burn. Because oxygen has a higher boiling point than nitrogen, helium, or hydrogen it can be condensed out of the atmosphere during the use of these lower boiling cryogenic liquids. Conditions may exist for an explosion, particularly with hydrogen.
Water vapor condensing to ice on vents or pressure relief valves blocking the route of gas escape can result in a pressure explosion in the vessel. Liquid nitrogen is commonly transported in vacuum flasks called Dewars. If the vacuum in the Dewar flask should fail, the nitrogen would rapidly escape and could displace enough air in a small confined space to asphyxiate someone. However, the most likely consequence of a sudden vacuum loss would be an implosion that could result in flying glass.
Safety Procedures
Personal protection. Personnel should wear suitable eye protection such as chemical splash goggles or a face shield. Long sleeves, long pants and hand protection should be worn. Adequate hand protection must be worn to prevent contact with the cold liquid. It is recommended that pads or pot holders be used instead of gloves to prevent the cold fluid from being trapped inside the glove.
Containers. All exposed glass surfaces of vacuum flasks used to transport or store cryogenic fluids must be taped to guard against flying glass from an implosion. Containers should be handled and stored in an upright position. Containers must not be dropped, tipped, or rolled on their sides. Containers and systems should be periodically inspected to guard against ice buildup on vents and pressure relief valves. Vessels used for the storage and handling of liquefied gases should not be filled to more than 80% capacity to reduce the likelihood of expansion of the contents and rupture of the vessel. Cryogenic liquids should be handled in multi-wall, vacuum insulated containers specifically designed for cryogenic liquid. Store-bought glass thermos bottles are not appropriate.
Pressure relief devices. Containers shall be provided with pressure relief devices adequate to prevent excessive pressure within the container.
Ventilation. Cryogenic fluids should be used and stored in well ventilated areas to prevent excessive accumulation of the gas.
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Hazard Communication Manual Glossary
Acid: A compound that releases hydrogen ions in the presence of solvents or water. Acids react with bases to form salts and water.
ACGIH: American Conference of Governmental Industrial Hygienists
Acute toxicity: A substance that causes injury because of a short term exposure, usually in minutes or hours.
Aerosols: Liquid droplets or solid particles that can remain dispersed in air for a period of time.
Auto-ignition temperature: The lowest temperature at which a flammable gas mixture will ignite from its own heat source without the necessity of a spark or flame.
Benign: A tumor that does not metastasize.
Blood toxin: Chemicals that damage blood cells or decrease the ability of the blood cells to deliver oxygen.
Boiling point: The temperature at which the vapor pressure of a liquid and the atmospheric pressure is the same.
Bronchitis: Inflammation of the trachea (windpipe) and its branches.
Cancer: Cancer is characterized by uncontrolled growth of abnormal cells. These cells are destructive and often capable of migrating to new sites to form secondary growths.
Canister: A container filled with sorbents that removes gases and vapors drawn through the device.
Carcinogen: A chemical that causes malignant tumors. It must be listed as a carcinogen or potential carcinogen in one of the following sources: Annual Report on Carcinogens, published by the National Toxicology Program, or Monographs, published by the International Agency for Research on Cancer, or it is regulated by OSHA.
Caustic: A chemical that is strongly irritating or corrosive.
Ceiling limit: The concentration of a chemical that exposure to should never be exceeded.
CFR: Code of Federal Regulations
Chronic toxicity: A substance that causes injury because of long term (months or years) exposure or causes injury after months or years following an acute exposure.
Class IA flammable liquid: Flash point below 73 F(22.8 C). Boiling point below 100 F (37.8 C).
Class IB flammable liquid: Flash point below 73 F (22.8 C). Boiling point at or above 100 F (37.8 C).
Class IC flammable liquid: Flash point at or above 73 F (22.8 C) and below 100 F (37.8 C).
Class II combustible liquid: Flash point at or above 100 F (37.8 C) and below 140 F (60 C).
Class IIIA combustible liquid: Flash point at or above 140 F (60 C) and below 200 F (93.4 C).
Class IIIB combustible liquid: Flash point at or above 200 F (93.4 C).
CNS: Central Nervous System
Combustible Liquid: A liquid having a flash point at or above 100 F but below 200 F.
Container: Any bag, barrel, bottle, box, can, cylinder, drum, reaction vessel, storage tank, or the like that contains a hazardous chemical. Pipes or piping systems are not considered containers.
Corrosive: A chemical that causes visible destruction or irreversible damage to living tissue by chemical action at the site of contact.
Critical organ: The organ that receives the greatest concentration of the chemical.
Cryogenic liquids: Liquified gases which are handled at very low temperatures, typically below -150 F.
Density: The mass of a substance divided by its volume.
Dermatitis: Inflammation of the skin.
Desiccant: A substance that absorbs water.
Duct: A conduit that air travels through.
Dyspnea: Shortness of breath or difficulty in breathing.
Eczema: Skin disease or disorder.
Edema: Swelling of body tissue from excess water.
Embryo: The stage of gestation from conception to the end of the third month.
Embryotoxic: Substances that act during pregnancy to cause adverse effects on the fetus.
Epidemiology: Study of the cause of diseases in human populations.
Erythema: Reddening of the skin.
Exhaust ventilation: The removal of air from an area by mechanical means.
Experimental carcinogen: A substance that has been shown by statistically scientific studies to cause cancer in animals.
Explosive: A chemical that causes a sudden, almost instantaneous release of pressure, gas, and heat when subjected to sudden shock, pressure, or high temperature.
Face velocity: Air velocity at the opening of a hood.
Fetus: The stage of gestation from the end of the fourth month to birth.
Flammable liquid: A liquid having a flashpoint below 100 F.
Flammable solid: A solid, other than an explosive, that can cause fire through friction, absorption of moisture, spontaneous chemical change, or which can be ignited readily and create a serious hazard.
Flash point: The minimum temperature at which a liquid gives off a vapor in sufficient concentration to ignite.
Fume: Minute solid particles dispersed in the air because of heating a solid.
Gas: State of matter characterized by very low density and viscosity.
Gastro: Referring to the stomach.
Glove box: A sealed enclosure in which all operations are carried out through long impervious gloves sealed to the box.
Hazard warning: Any words, pictures, or symbols appearing on a label that conveys the hazards of the chemical in the container.
Hazardous chemical: A chemical that is a physical or health hazard.
Health hazard: A chemical for which there is statistically significant evidence based on at least one scientific study that acute or chronic health effects may occur in exposed individuals. Health hazards include chemicals that are carcinogens, mutagens, teratogens, corrosives, toxic and highly toxic agents, irritants, and sensitizers.
Hemato: Referring to the blood.
Hematopoietic toxins: Chemicals that interfere with the production of red blood cells.
HEPA filter: High efficiency particulate air filter. Removes 99.97% of particles with a diameter greater than 0.3 microns.
Hepatotoxins: Chemicals that damage the liver.
Highly toxic: A chemical is considered highly toxic if it has an LD50 in test animals of less than 50 mg/kg by ingestion, or less than 200 mg/kg by skin contact, or the LC50 is less than 200 ppm.
Human carcinogen: A substance that has been shown by statistically significant epidemiological evidence to cause cancer in humans.
Hydrocarbon: Organic compounds consisting solely of hydrogen and carbon.
IARC: International Agency for Research on Cancer.
Ignition temperature: The lowest temperature necessary to cause the vapor-air mixture over the liquid to ignite and continue to burn without the heat source.
Inorganic: Compounds from a source other than animal or vegetable that generally do not contain carbon.
Irritant: A chemical that causes a reversible inflammatory effect on living tissue by chemical action at the site of contact.
Ischemia: Loss of blood supply to a part of the body.
Label: Any written, printed, or graphic material displayed on or affixed to containers of hazardous chemicals.
LC50: The air concentration of a chemical that causes the death of 50% of the test animals.
LD50: The quantity of a material that will result in the death of 50% of the test animals when ingested, injected, or applied to the skin.
Leukemia: Blood disease characterized by an overproduction of white blood cells.
Lower flammability limit: The minimum concentration of the vapor in air that will sustain the spread of a flame.
Makeup air: Clean, tempered outdoor air that replaces air removed by exhaust ventilation.
Material safety data sheet: Written or printed material concerning a hazardous chemical that is prepared according to the Hazard Communication Standard.
Metastases: The process by which a malignant tumor establishes new sites.
Mists: Finely divided liquid suspended in air. Created by condensation or by breaking up a liquid.
MSDS: Material safety data sheet.
Mucous membranes: Lining of the hollow organs of the body such as the nose, mouth, stomach, intestines, and bronchial tubes.
Mutagenic: Chemicals that cause a change in the gene structure that can be passed on to offspring.
Myelo: Referring to bone marrow.
Narcosis: Loss of consciousness.
View the PDF version of Radford University's Laboratory Safety Rules.
The following rules must be followed to reduce the risk of accidents and injuries in laboratories.
Know the location and operation of safety showers, eye wash units and fire extinguishers.
Always wear eye protection and closed toe shoes while working in the laboratory. Wear a protective apron or laboratory coat. If any chemical is spilled on your skin or clothing, wash it off immediately and remove any contaminated clothing.
Never bring food or beverages into the laboratory. Do not taste or smell chemical. Smoking is not allowed in the lab. Never bring chemicals near your face.
Do not use the lab burner until your instructor has explained how it is to be operated. Never leave your burner unattended. When heating test tubes, do not point the open end of the tube towards yourself or someone else.
Do not attempt to insert glass tubing or thermometers into rubber stoppers until your instructor has shown you the proper procedure. Do not use broken, chipped, or cracked glassware.
Dispose of chemicals properly. Ask about a chemical waste container if you don't see one.
Never perform any unauthorized lab experiments or procedure. Do not take chemicals, supplies, or equipment out of the lab area.
Handle chemical with caution. Read labels carefully. Only take as much as you need. Leave reagent bottles in their place. Clean up all spills immediately.
Immediately report all accidents to your instructor, no matter how minor.
Clean your lab bench, put away all equipment and reagents, and wash your hands at the end of the work session.
Pesticides
1.0 Storage
A prominent warning sign, stating "Danger- Pesticides- Keep Out!" should be posted over the entrance to the pesticide storage area. "No Smoking" signs should also be posted. Storage doors should be kept locked at all times.
Storage areas should be ventilated with an exhaust fan. Ten air changes per hour are recommended.
Pesticides that present fire or explosion hazards should be stored separately from other pesticides. Storage should be away from heat and possible ignition sources.
Highly toxic pesticides should be stored separately from other pesticides to prevent cross contaminations and mistakes in identity.
Supplies such as absorptive clay or vermiculite, shovel, broom, and dust pan should be readily available to clean up spills.
A ten pound ABC fire extinguisher should be located near the door.
Dusters and sprayers should not be stored with any pesticides left in them. A label should be placed on the equipment listing the name of the last used pesticide.
A partly empty container of pesticides containing chlorates should not be stored for a long period.
Pesticides should be stored in their original containers with their proper labels. Never store pesticides in coke bottles, canning jars, or unmarked containers.
Routine checks should be made for leaks and spills.
Wetable powders packaged in paper bags should not be stored on concrete floors.
Storage should be in a cool, dry, airy room or building which is fireproof.
Do not store pesticide containers (especially glass and aerosols) in front of windows.
Never store food, feed, or fertilizer in the pesticide storage area as it may become contaminated.
The different groups of pesticides (herbicide, insecticide, fungicide, rotenticide, etc.) should be kept separate to prevent cross-contamination.
Metal shelves are advisable because they are much easier to decontaminate than wooden shelves. Leak proof plastic trays placed on the shelves will contain spillage.
Gloves, aprons, respirators should be stored nearby but not inside the pesticide storage area.
A steel cabinet may be used for small quantities of pesticides. Locate the cabinet along an outside wall in an area away from extreme heat and freezing temperatures. Pesticides should be separated by type and stored on shelves in plastic leakproof trays. The cabinet should be locked and identified as a place of pesticide storage.
2.0 Mixing Procedures
All pesticides should be mixed and prepared in the open or in a well ventilated area. When handled in close quarter, highly toxic pesticides may cause poisoning through inhalation. Volatile liquid pesticides may cause fires or explosions.
Always wear unlined rubber gloves when handling concentrates. Proper care of gloves must be maintained to prevent contamination. Rinse the gloves well with water before removing them. Do not turn gloves inside out when removing.
To safely mix and prepare some pesticides, it may be necessary to wear a respirator and protective clothing. The container label must be followed in detail for safety equipment and directions for use.
If it is necessary to use the same equipment for several types of pesticides, the supervisor should see that the following precautions are observed:
When opening a liquid or dust pesticide container, keep your face away from the cap or lid.
Guard against the hazard of mixing incompatible chemicals. The equipment should be cleaned and/or decontaminated after completion of each pesticide application.
Workers need to be warned of the possible toxic hazards to themselves and the environment from mixing incompatible chemicals.
An up to date compatibility chart must be posted or readily available for reference on all pesticide materials currently used.
The sprayer agitator should be in operation while mixing pesticides in the sprayer tank. This will ensure proper distribution of the material and will keep suspended particles in suspension for more effective and safer application.
3.0 Spills
The contaminated area should be roped off and warning signs posted. Only people wearing proper personal protective equipment should be allowed in the contaminated area. In case of obvious spread of hazardous material, local authorities must be warned of the possible danger. If contamination of water supplies exist, State and Federal health authorities must be notified. All toxic residues must be disposed of in accordance with waste disposal recommendations.
Every precaution should be taken to prevent accidental contamination of water sources. The cleaning and maintenance of application equipment should be performed in controlled and marked section of the work site away from wells, lakes, and streams. The cleaning equipment site should not be used for any other work activity and should be posted with warning signs to keep unauthorized people out of the contaminated area.
4.0 Disposal of Empty Containers
Punch holes in containers to prevent reuse or water collection. The containers are not safe for reuse and should be properly disposed.
Do not dispose of pesticides in the dump. Unwanted pesticides should be declared as hazardous waste.
Containers should be triple rinsed before disposal. This will reduce the residual pesticide contamination by greater than 90%. The rinse should be added back to the prepared formulation.
Never burn a pesticide container. Toxic and/or flammable vapors may be produced.
Large containers should be crushed.
5.0 Personal Hygiene
Personal cleanliness is the first step in the prevention of pesticide poisoning. Pesticide handlers should wear clean clothes each day. An extra change of clothes should be available at the work site so the worker can change immediately if necessary. All pesticide contaminated clothing should be cleaned separately from other clothing with a very strong detergent and liquid chlorine bleach before reuse. Clothing that has been badly contaminated with a highly toxic pesticide should be disposed of as hazardous waste.
Workers should be provided with facilities to wash thoroughly after exposure to pesticides. Workers should wash their hands thoroughly before eating, drinking, or smoking.
6.0 Personal Protective Equipment
Workers required to handle pesticides should wear the proper personal protective equipment as necessary to ensure that the health of the employee is not compromised.
2. Workers handling pesticides that can be absorbed through the skin should wear rubber gloves in addition to the appropriate personal protective equipment recommended on the label.
3. The following personal equipment is recommended:
Boots- rubber, knee-length and unlined
Coverall- lined tyvek
Hood- should be used for protection of head,, eyes, face and neck while dusting overhead
Goggles- should be unventilated or indirect vented with anti-fog coating
To ensure adequate eye protection all workers handling pesticides will be furnished with goggles. Goggles must be worn when mixing, spraying, dusting, or when handling any concentrated highly toxic pesticide.
A source of water to irrigate the eyes should be readily available to pesticide operators in the field.
7.0 Respirators
Dust respirators do not offer protection from toxic gases and vapors given off by many pesticides.
Most pesticides are applied as either dusts or sprays. In many instances the pesticide formulation is very volatile. Pesticide applicators are often exposed to a combination of gaseous and particulate hazards. Adequate protection is provided by utilizing an appropriate gas or vapor absorber in conjunction with a high efficiency particulate filter. Chemical cartridges are available with particulate filters assembled as a integral part. Other units offer the chemical and particulate cartridge as separate units. These units are more economical because the dust filter usually clogs before the chemical cartridge.
Pesticide applicators using respirators must be certified by the Safety Office.
Corrosive to Metals
Explosives
An explosive substance (or mixture) is a solid or liquid which is in itself capable by chemical reaction of producing gas at such a temperature and pressure and at such a speed as to cause damage to the surroundings. Pyrotechnic substances are included even when they do not evolve gases. A pyrotechnic substance (or mixture) is designed to produce an effect by heat, light, sound, gas or smoke or a combination of these as the result of non-detonative, self-sustaining, exothermic chemical reactions.
Classification as an explosive and allocation to a division is a three-step process:
Ascertain if the material has explosive effects (Test Series 1);
Acceptance procedure (Test Series 2 to 4);
Assignment to one of six hazard divisions (Test Series 5 to 7).
Table 3.1 Explosives
Very insensitive substances with mass explosion hazard
1.6
Extremely insensitive articles with no mass explosion hazard
Explosive properties are associated with certain chemical groups that can react to give very rapid increases in temperature or pressure. The GHS provides a screening procedure that is aimed at identifying the presence of such reactive groups and the potential for rapid energy release. If the screening procedure identifies the substance or mixture to be a potential explosive, the acceptance procedure has to be performed.
Substances, mixtures and articles are assigned to one of six divisions, 1.1 to 1.6, depending on the type of hazard they present. See, UN Manual of Tests and Criteria Part I Test Series 2 to 7. Currently, only the transport sector uses six categories for explosives.
Flammable Gases
Flammable gas means a gas having a flammable range in air at 20°C and a standard pressure of 101.3 kPa. Substances and mixtures of this hazard class are assigned to one of two hazard categories on the basis of the outcome of the test or calculation method (ISO 10156:1996).
Flammable Aerosols
Aerosols are any gas compressed, liquefied or dissolved under pressure within a non-refillable container made of metal, glass or plastic, with or without a liquid, paste or powder. The container is fitted with a release device allowing the contents to be ejected as solid or liquid particles in suspension in a gas, as a foam, paste or powder or in a liquid or gaseous state.
Aerosols should be considered for classification as either a Category 1 or Category 2 Flammable Aerosol if they contain any component classified as flammable according to the GHS criteria for flammable liquids, flammable gases, or flammable solids. Classification is based on:
Concentration of flammable components;
Chemical heat of combustion (mainly for transport/storage);
Results from the foam test (foam aerosols) (mainly for worker/consumer);
Ignition distance test (spray aerosols) (mainly for worker/consumer);
Enclosed space test (spray aerosols) (mainly for worker/consumer).
Aerosols are considered:
Nonflammable, if the concentration of the flammable components < 1% and the heat of combustion is < 20 kJ/g.
Extremely flammable, if the concentration of the flammable components >85% and the heat of combustion is > 30 kJ/g to avoid excessive testing.
See the UN Manual of Tests and Criteria for the test method.
Oxidizing Gases
Oxidizing gas means any gas which may, generally by providing oxygen, cause or contribute to the combustion of other material more than air does. Substances and mixtures of this hazard class are assigned to a single hazard category on the basis that, generally by providing oxygen, they cause or contribute to the combustion of other material more than air does. The test method is ISO 10156:1996. Currently, several workplace hazard communication systems cover oxidizers (solids, liquids, gases) as a class of chemicals.
Gases under Pressure
Gases under pressure are gases that are contained in a receptacle at a pressure not less than 280 Pa at 20°C or as a refrigerated liquid. This endpoint covers four types of gases or gaseous mixtures to address the effects of sudden release of pressure or freezing which may lead to serious damage to people, property, or the environment independent of other hazards the gases may pose.
For this group of gases, the following information is required:
vapor pressure at 50°C;
physical state at 20°C at standard ambient pressure;
critical temperature.
Criteria that use the physical state or compressed gases will be a different classification basis for some workplace systems.
Table 3.2 Gases under Pressure
Group
Entirely gaseous at -50°C
Liquefied gas
Partially liquid at temperatures > -50°C
Refrigerated liquefied gas
Partially liquid because of its low temperature
Dissolved gas
Dissolved in a liquid phase solvent
Data can be found in the literature, and calculated or determined by testing. Most pure gases are already classified in the UN Model Regulations. Gases are classified, according to their physical state when packaged, into one of four groups as shown in Table 3.2.
Flammable Liquids
Flammable liquid means a liquid having a flash point of not more than 93°C. Substances and mixtures of this hazard class are assigned to one of four hazard categories on the basis of the flash point and boiling point (See Table 3.3). Flash Point is determined by closed cup methods as provided in the GHS document, Chapter 2.5, paragraph 11.
Table 3.3 Flammable Liquids
Flash point < 23°C and initial boiling point ≤ 35°C (95°F)
2
Flash point < 23°C and initial boiling point > 35°C (95°F)
3
Flash point ≥ 23°C and ≤ 60°C (140°F)
4
Flash point ≥ 60°C (140°F) and ≤ 93°C (200°F)
Flammable Solids
Flammable solids are solids that are readily combustible, or may cause or contribute to fire through friction. Readily combustible solids are powdered, granular, or pasty substances which are dangerous if they can be easily ignited by brief contact with an ignition source, such as a burning match, and if the flame spreads rapidly.
Substances and mixtures of this hazard class are assigned to one of two hazard categories (Table 3.4) on the basis of the outcome of the UN Test N.1 (UN Manual of Tests and Criteria). The tests include burning time, burning rate and behavior of fire in a wetted zone of the test sample.
Table 3.4 Flammable Solids
Metal Powders: burning time ≤ 5 minutes
Others: wetted zone does not stop fire & burning time < 45 seconds or burning > 2.2 mm/second
2
Metal Powders: burning time > 5 and ≤ 10 minutes
Others: wetted zone stop fire for at least 4 minutes & burning time < 45 seconds or burning rat > 2.2mm/second
Self-Reactive Substances
Self-reactive substances are thermally unstable liquids or solids liable to undergo a strongly exothermic thermal decomposition even without participation of oxygen (air). This definition excludes materials classified under the GHS as explosive, organic peroxides or as oxidizing. These materials may have similar properties, but such hazards are addressed in their specific endpoints. There are exceptions to the self-reactive classification for material: (i) with heat of decomposition <300 J/g or (ii) with self-accelerating decomposition temperature (SADT) > 75°C for a 50 kg package.
Substances and mixtures of this hazard class are assigned to one of the seven 'Types', A to G, on the basis of the outcome of the UN Test Series A to H (UN Manual of Tests and Criteria). Currently, only the transport sector uses seven categories for self-reactive substances (Table 3.5).
Table 3.5 Self-Reactive Substances
Can detonate or deflagrate rapidly, as packaged.
B
Possess explosive properties and which, as packaged, neither detonates nor deflagrates, but is liable to undergo a thermal explosion in that package.
C
Possess explosive properties when the substance or mixture as package cannot detonate or deflagrate rapidly or undergo a thermal explosion.
D
Detonates partially, does not deflagrate rapidly and shows no violent effect when heated under confinement; or
Does not detonate at all, deflagrates slowly and shows no violent effect when heated under confinement; or
Does not detonate or deflagrate at all and shows a medium effect when heated under confinement.
E
Neither detonates nor deflagrates at all and shows low or no effect when heated under confinement.
F
Neither detonates in the cavitated bubble state nor deflagrates at all and shows only a low or no effect when heated under confinement as well as low or no explosive power.
G
Neither detonates in the cavitated state nor deflagrates at all and shows non effect when heated under confinement nor any explosive power, provided that it is thermally stable (self-accelerating decomposition temperature is 60°C to 75°C for a 50 kg package), and, for liquid mixtures, a diluent having a boiling point not less than 150°C is used for desensitization.
Pyrophorics
Pyrophoric Liquids
A pyrophoric liquid is a liquid which, even in small quantities, is liable to ignite within five minutes after coming into contact with air. Substances and mixtures of this hazard class are assigned to a single hazard category on the basis of the outcome of the UN Test N.3 (UN Manual of Tests and Criteria).
Pyrophoric Solids
A pyrophoric solid is a solid which, even in small quantities, is liable to ignite within five minutes after coming into contact with air. Substances and mixtures of this hazard class are assigned to a single hazard category on the basis of the outcome of the UN Test N.2 (UN Manual of Tests and Criteria).
Self-Heating Substances
A self-heating substance is a solid or liquid, other than a pyrophoric substance, which, by reaction with air and without energy supply, is liable to self-heat. This endpoint differs from a pyrophoric substance in that it will ignite only when in large amounts (kilograms) and after long periods of time (hours or days). Substances and mixtures of this hazard class are assigned to one of two hazard categories on the basis of the outcome of the UN Test N.4 (UN Manual of Tests and Criteria).
3.1.12 Substances which on Contact with Water Emit Flammable Gases
Substances that, in contact with water, emit flammable gases are solids or liquids which, by interaction with water, are liable to become spontaneously flammable or to give off flammable gases in dangerous quantities. Substances and mixtures of this hazard class are assigned to one of three hazard categories on the basis of test results (UN Test N.5 UN Manual of Tests and Criteria) which measure gas evolution and speed of evolution.
Category
≥20 L/kg/ 1 hour + < 10 L/kg/1 min
3
≥1 L/kg/1 hour + < 20 L/kg/1 hour
Not classified
< 1 L/kg/1 hour
Oxidizing Liquids
An oxidizing liquid is a liquid which, while in itself not necessarily combustible, may, generally by yielding oxygen, cause or contribute to the combustion of other material. Substances and mixtures of this hazard class are assigned to one of three hazard categories on the basis of test results (UN Test O.2 UN Manual of Tests and Criteria) which measure ignition or pressure rise time compared to defined mixtures.
Oxidizing Solids
An oxidizing solid is a solid which, while in itself not necessarily combustible, may, generally by yielding oxygen, cause or contribute to the combustion of other material. Substances and mixtures of this hazard class are assigned to one of three hazard categories on the basis of test results (UN Test O.1 UN Manual of Tests and Criteria) which measure mean burning time and re compared to defined mixtures. Currently, several workplace hazard communication systems cover oxidizers (solids, liquids, gases) as a class of chemicals.
Organic Peroxides
An organic peroxide is an organic liquid or solid which contains the bivalent -0-0- structure and may be considered a derivative of hydrogen peroxide, where one or both of the hydrogen atoms have been replaced by organic radicals. The term also includes organic peroxide formulations (mixtures). Such substances and mixtures may:
be liable to explosive decomposition;
burn rapidly;
be sensitive to impact or friction;
react dangerously with other substances.
Substances and mixtures of this hazard class are assigned to one of seven 'Types', A to G, on the basis of the outcome of the UN Test Series A to H (UN Manual of Tests and Criteria). Currently, only the transport sector uses seven categories for organic peroxides.
Table 3.7 Organic Peroxides
Can detonate or deflagrate rapidly, as packaged.
B
Possess explosive properties and which, as packaged, neither detonates nor deflagrates rapidly, but is liable to undergo a thermal explosion in that package.
C
Possess explosive properties when the substance or mixture as packaged cannot detonate or deflagrate rapidly or undergo a thermal explosion.
D
Detonates partially, does not deflagrate rapidly and shows no violent effect when heated under confinement; or
Does not detonate at all, deflagrates slowly and shows no violent effect when heated under confinement; or
Does not detonate or deflagrate at all and shows a medium effect when heated under confinement.
E
Neither detonates nor deflagrates at all and shows low or no effect when heated under confinement.
F
Neither detonates in the caviated bubble state nor deflagrates at all and shows only a low or no effect when heated under confinements as well as low or non explosive power.
G
Neither detonates in the caviated state nor deflagrates at all and shows no effect when heated under confinement nor any explosive power, provided that it is thermally stable (self-accelerating decomposition temperature is 60°C to 75°C for a 50 kg package), and, for liquid mixtures, a diluent having a boiling point not less than 150°C is used for desensitization.
Substances Corrosive to Metal
A substance or a mixture that by chemical action will materially damage, or even destroy, metals is termed 'corrosive to metal'. These substances or mixtures are classified in a single hazard category on the basis of tests (Steel: ISO 9328 (II): 1991 - Steel type P235; Aluminum: ASTM G31-72 (1990) - non-clad types 7075-T6 or AZ5GU-T66). The GHS criteria are a corrosion rate on steel or aluminum surfaces exceeding 6.25 mm per year at a test temperature of 55°C.
The concern in this case is the protection of metal equipment or installations in case of leakage (e.g., plane, ship, tank), not material compatibility between the container/tank and the product. This hazard is not currently covered in all systems.
Health Hazard
> 1.0
≤ 5
Category 1, the most severe toxicity category, has cut-off values currently used primarily by the transport sector for classification for packing groups. Some Competent Authorities may consider combining Acute Categories 1 and 2. Category 5 is for chemicals which are of relatively low acute toxicity but which, under certain circumstances, may pose a hazard to vulnerable populations. Criteria other than LD50/LC50 data are provided to identify substances in Category 5 unless a more hazardous class is warranted.
Skin Corrosion
Skin corrosion means the production of irreversible damage to the skin following the application of a test substance for up to 4 hours. Substances and mixtures in this hazard class are assigned to a single harmonized corrosion category. For Competent Authorities, such as transport packing groups, needing more than one designation for corrosivity, up to three subcategories are provided within the corrosive category. See the Skin Corrosion/Irritation Table 3.9.
Several factors should be considered in determining the corrosion potential before testing is initiated:
Human experience showing irreversible damage to the skin;
Structure/activity or structure property relationship to a substance or mixture already classified as corrosive;
pH extremes of £ 2 and ³ 11.5 including acid/alkali reserve capacity.
Skin Corrosion
Skin Irritation
Skin irritation means the production of reversible damage to the skin following the application of a test substance for up to 4 hours. Substances and mixtures in this hazard class are assigned to a single irritant category. For those authorities, such as pesticide regulators, wanting more than one designation for skin irritation, an additional mild irritant category is provided. See the Skin Corrosion/Irritation Table 3.9.
Several factors should be considered in determining the irritation potential before testing is initiated:
Human experience or data showing reversible damage to the skin following exposure of up to 4 hours;
Structure/activity or structure property relationship to a substance or mixture already classified as an irritant.
Eye Effects
Several factors should be considered in determining the serious eye damage or eye irritation potential before testing is initiated:
Accumulated human and animal experience;
Structure/activity or structure property relationship to a substance or mixture already classified;
pH extremes like < 2 and > 11.5 that may produce serious eye damage.
Table 3.10 Eye Effects
Subcategory 2B
Reversible in 7 days
Serious eye damage means the production of tissue damage in the eye, or serious physical decay of vision, following application of a test substance to the front surface of the eye, which is not fully reversible within 21 days of application. Substances and mixtures in this hazard class are assigned to a single harmonized category.
Eye irritation means changes in the eye following the application of a test substance to the front surface of the eye, which are fully reversible within 21 days of application. Substances and mixtures in this hazard class are assigned to a single harmonized hazard category. For authorities, such as pesticide regulators, wanting more than one designation for eye irritation, one of two subcategories can be selected, depending on whether the effects are reversible in 21 or 7 days.
Sensitization
Respiratory sensitizer means a substance that induces hypersensitivity of the airways following inhalation of the substance. Substances and mixtures in this hazard class are assigned to one hazard category.
Skin sensitizer means a substance that will induce an allergic response following skin contact. The definition for "skin sensitizer" is equivalent to "contact sensitizer". Substances and mixtures in this hazard class are assigned to one hazard category. Consideration should be given to classifying substances which cause immunological contact urticaria (an allergic disorder) as contact sensitizers.
Germ Cell Mutagenicity
Mutagen means an agent giving rise to an increased occurrence of mutations in populations of cells and/or organisms. Substances and mixtures in this hazard class are assigned to one of two hazard categories. Category 1 has two subcategories. See the Germ Cell Mutagenicity (Table 3.11) below.
Table 3.11 Germ Cell Mutagenicity
Category 1
Target Organ Systemic Toxicity (TOST): Single Exposure & Repeated Exposure
The GHS distinguishes between single and repeat exposure for Target Organ Effects. Some existing systems distinguish between single and repeat exposure for these effects and some do not. All significant health effects, not otherwise specifically included in the GHS, that can impair function, both reversible and irreversible, immediate and/or delayed are included in the non-lethal target organ/systemic toxicity class (TOST). Narcotic effects and respiratory tract irritation are considered to be target organ systemic effects following a single exposure.
Substances and mixtures of the single exposure target organ toxicity hazard class are assigned to one of three hazard categories in Table 3.14.
Table 3.14 TOST : Single Exposure
Category 1
- Narcotic effects
- Respiratory tract irritation
Substances and mixtures of the repeated exposure target organ toxicity hazard class are assigned to one of two hazard categories in Table 3.15.
Table 3.15 TOST : Repeated Exposure
Category 1
- Reliable, good quality human case studies or epidemiological studies
Presumed significant toxicity in humans
- Animal studies with significant and/or severe toxic effects relevant to humans at generally low exposure (guidance)
Category 2
Presumed to be harmful to human health
- Animal studies with significant toxic effects relevant to humans at generally moderate exposure (guidance)
- Human evidence in exceptional cases
In order to help reach a decision about whether a substance should be classified or not, and to what degree it would be classified (Category 1 vs. Category 2), dose/concentration 'guidance values' are provided in the GHS. The guidance values and ranges for single and repeated doses are intended only for guidance purposes. This means that they are to be used as part of the weight of evidence approach, and to assist with decisions about classification. They are not intended as strict demarcation values. The guidance value for repeated dose effects refer to effects seen in a standard 90-day toxicity study conducted in rats. They can be used as a basis to extrapolate equivalent guidance values for toxicity studies of greater or lesser duration.
Aspiration Hazard
Aspiration toxicity includes severe acute effects such as chemical pneumonia, varying degrees of pulmonary injury or death following aspiration. Aspiration is the entry of a liquid or solid directly through the oral or nasal cavity, or indirectly from vomiting, into the trachea and lower respiratory system. Some hydrocarbons (petroleum distillates) and certain chlorinated hydrocarbons have been shown to pose an aspiration hazard in humans. Primary alcohols, and ketones have been shown to pose an aspiration hazard only in animal studies.
Table 3.16 Aspiration Toxicity
Category 1: Known (regarded) human
- human evidence
- hydrocarbons with kinematic viscosity ? 20.5 mm2/s at 40° C.
Category 2: Presumed human
- surface tension, water solubility, boiling point
- kinematic viscosity ? 14 mm2/s at 40°C & not Category 1
Substances and mixtures of this hazard class are assigned to one of two hazard categories this hazard class on the basis of viscosity.
Environmental Hazards
Hazardous to the Aquatic Environment
The harmonized criteria are considered suitable for packaged goods in both supply and use in multi-modal transport schemes. Elements of it may be used for bulk land transport and bulk marine transport under MARPOL (International Convention for the Prevention of Pollution from Ships) insofar as this uses aquatic toxicity. Two Guidance Documents (Annexes 8 and 9 of the GHS Document) cover issues such as data interpretation and the application of the criteria to special substances. Considering the complexity of this endpoint and the breadth of the application, the Guidance Annexes are important in the application of the harmonized criteria.
Acute Aquatic Toxicity
Acute aquatic toxicity means the intrinsic property of a material to cause injury to an aquatic organism in a short-term exposure. Substances and mixtures of this hazard class are assigned to one of three toxicity categories on the basis of acute toxicity data: LC50 (fish) or EC50 (crustacea) or ErC50 (for algae or other aquatic plants). In some regulatory systems these acute toxicity categories may be subdivided or extended for certain sectors.
Chronic Aquatic Toxicity
Chronic aquatic toxicity means the potential or actual properties of a material to cause adverse effects to aquatic organisms during exposures that are determined in relation to the lifecycle of the organism. Substances and mixtures in this hazard class are assigned to one of four toxicity categories on the basis of acute data and environmental fate data: LC50 (fish) or EC50 (crustacea) or ErC50 (for algae or other aquatic plants) and degradation/bioaccumulation.
While experimentally derived test data are preferred, where no experimental data are available, validated Quantitative Structure Activity Relationships (QSARs) for aquatic toxicity and log KOW may be used in the classification process. The log KOW is a surrogate for a measured Bioconcentration Factor (BCF), where such a measured BCF value would always take precedence.
Chronic Category IV is considered a "safety net" classification for use when the available data do not allow classification under the formal criteria, but there are some grounds for concern.
Table 3.17 Acute & Chronic Aquatic Toxicity
Acute Cat. I
Acute toxicity > 1.00 but ≤ 10.0 mg/l
Acute Cat. III
Acute toxicity ≤ 10.0 but < 100 mg/l
Chronic Cat. I
≤ 1.00 mg/l and lack of rapid degradability and log Kow ≥ 4 unless BCF < 500
Chronic Cat. II
Acute toxicity
> 1.00 but ≤ 10.0 mg/l and lack of rapid degradability and log Kow ≥ 4 unless BCF < 500 and unless chronic toxicity > 1 mg/l
Chronic Cat. III
Acute toxicity
> 10.0 but ≤ 100.0 mg/l and lack of rapid degradability and log Kow ≥ 4 unless BCF < 500 and unless chronic toxicity > 1 mg/l
Chronic Cat. IV
Acute toxicity
> 100 mg/l and lack of rapid degradability and log Kow ≥ 4 unless BCF < 500 and unless chronic toxicity > 1 mg/l
GHS Model MSDS
What is the GHS Safety Data Sheet (SDS)?
The (Material) Safety Data Sheet (SDS) provides comprehensive information for use in workplace chemical management. Employers and workers use the SDS as sources of information about hazards and to obtain advice on safety precautions. The SDS is product related and, usually, is not able to provide information that is specific for any given workplace where the product may be used. However, the SDS information enables the employer to develop an active program of worker protection measures, including training, which is specific to the individual workplace and to consider any measures that may be necessary to protect the environment. Information in a SDS also provides a source of information for other target audiences such as those involved with the transport of dangerous goods, emergency responders, poison centers, those involved with the professional use of pesticides and consumers.
The SDS should contain 16 headings (Figure 4.14). The GHS MSDS headings, sequence and content are similar to the ISO, EU and ANSI MSDS/SDS requirements, except that the order of sections 2 and 3 have been reversed. The SDS should provide a clear description of the data used to identify the hazards. Figure 4.14 and the GHS Purple Book provide the minimum information that is required in each section of the SDS. Examples of draft GHS SDSs are provided in Appendix B of this guidance document.
The revised Purple Book contains guidance on developing a GHS SDS (Annex 4). Other resources for SDSs include:
ILO Standard under the Recommendation 177 on Safety in the Use of Chemicals at Work,
International Standard 11014-1 (1994) of the International Standard Organization (ISO) and ISO Safety Data Sheet for Chemical Products 11014-1: 2003 DRAFT,
American National Standards Institute (ANSI) Standard Z400.1,
European Union SDS Directive 91/155/-EEC.
Figure 4.14 - Minimum information for an MSDS
1.
GHS Labeling Elements
The standardized label elements included in the GHS are:
Symbols (hazard pictograms): Convey health, physical and environmental hazard information, assigned to a GHS hazard class and category.
Signal Words: "Danger" or "Warning" are used to emphasize hazards and indicate the relative level of severity of the hazard, assigned to a GHS hazard class and category.
Hazard Statements: Standard phrases assigned to a hazard class and category that describe the nature of the hazard.
The symbols, signal words, and hazard statements have all been standardized and assigned to specific hazard categories and classes, as appropriate. This approach makes it easier for countries to implement the system and should make it easier for companies to comply with regulations based on the GHS. The prescribed symbols, signal words, and hazard statements can be readily selected from Annex 1 of the GHS Purple Book. These standardized elements are not subject to variation, and should appear on the GHS label as indicated in the GHS for each hazard category/class in the system. The use of symbols, signal words or hazard statements other than those that have been assigned to each of the GHS hazards would be contrary to harmonization.
Symbols/Pictograms
The GHS symbols have been incorporated into pictograms for use on the GHS label. Pictograms include the harmonized hazard symbols plus other graphic elements, such as borders, background patterns or colors which are intended to convey specific information. For transport, pictograms (Table 4.10) will have the background, symbol and colors currently used in the UN Recommendations on the Transport of Dangerous Goods, Model Regulations. For other sectors, pictograms (Table 4.9) will have a black symbol on a white background with a red diamond frame. A black frame may be used for shipments within one country. Where a transport pictogram appears, the GHS pictogram for the same hazard should not appear.
Signal Words
The signal word indicates the relative degree of severity a hazard. The signal words used in the GHS are
"Danger" for the more severe hazards, and
"Warning" for the less severe hazards.
Signal words are standardized and assigned to the hazard categories within endpoints. Some lower level hazard categories do not use signal words. Only one signal word corresponding to the class of the most severe hazard should be used on a label.
Hazard Statements
Hazard statements are standardized and assigned phrases that describe the hazard(s) as determined by hazard classification. An appropriate statement for each GHS hazard should be included on the label for products possessing more than one hazard. The assigned label elements are provided in each hazard chapter of the Purple Book as well as in Annexes 1 & 2. Figure 4-11 illustrates the assignment of standardized GHS label elements for the acute oral toxicity categories.
Other GHS label elements include:
Precautionary Statements and Pictograms: Measures to minimize or prevent adverse effects.
Product Identifier (ingredient disclosure): Name or number used for a hazardous product on a label or in the SDS.
Supplier identification: The name, address and telephone number should be provided on the label.
Supplemental information: non-harmonized information.
Precautionary Statements and Pictograms
Precautionary information supplements the hazard information by briefly providing measures to be taken to minimize or prevent adverse effects from physical, health or environmental hazards. First aid is included in precautionary information. The GHS label should include appropriate precautionary information. Figure 4.9-4.11 includes precautionary statements and pictograms that can be used on labels.
Figure 4.9
May be harmful if swallowed
Product Identifier (Ingredient Disclosure)
A product identifier should be used on a GHS label and it should match the product identifier used on the SDS. Where a substance or mixture is covered by the UN Model Regulations on the Transport of Dangerous Goods, the UN proper shipping name should also be used on the package.
The GHS label for a substance should include the chemical identity of the substance (name as determined by IUPAC, ISO, CAS or technical name). For mixtures/alloys, the label should include the chemical identities of all ingredients that contribute to acute toxicity, skin corrosion or serious eye damage, germ cell mutagenicity, carcinogenicity, reproductive toxicity, skin or respiratory sensitization, or Target Organ Systemic Toxicity (TOST), when these hazards appear on the label. Where a product is supplied exclusively for workplace use, the Competent Authority may give suppliers discretion to include chemical identities on the SDS, in lieu of including them on labels. The Competent Authority rules for confidential business information (CBI) take priority over the rules for product identification.
Supplier Identification
The name, address and telephone number of the manufacturer or supplier of the product should be provided on the label.
Supplemental Information
Supplemental label information is non-harmonized information on the container of a hazardous product that is not required or specified under the GHS. In some cases this information may be required by a Competent Authority or it may be additional information provided at the discretion of the manufacturer/distributor. The GHS provides guidance to ensure that supplemental information does not lead to wide variation in information or undermine the GHS information. Supplemental information may be used to provide further detail that does not contradict or cast doubt on the validity of the standardized hazard information. It also may be used to provide information about hazards not yet incorporated into the GHS. The labeler should have the option of providing supplementary information related to the hazard, such as physical state or route of exposure, with the hazard statement.
How are multiple hazards handled on labels?
Where a substance or mixture presents more than one GHS hazard, there is a GHS precedence scheme for pictograms and signal words. For substances and mixtures covered by the UN Recommendations on the Transport of Dangerous Goods, Model Regulations, the precedence of symbols for physical hazards should follow the rules of the UN Model Regulations. For health hazards the following principles of precedence apply for symbols:
(a) if the skull and crossbones applies, the exclamation mark should not appear;
(b) if the corrosive symbol applies, the exclamation mark should not appear where it is used for skin or eye irritation;
(c) if the health hazard symbol appears for respiratory sensitization, the exclamation mark should not appear where it is used for skin sensitization or for skin or eye irritation.
If the signal word 'Danger' applies, the signal word 'Warning' should not appear. All assigned hazard statements should appear on the label. The Competent Authority may choose to specify the order in which they appear.
Is there a specific GHS label format / layout?
The GHS hazard pictograms, signal word and hazard statements should be located together on the label. The actual label format or layout is not specified in the GHS. National authorities may choose to specify where information should appear on the label or allow supplier discretion.
Figure 4.12 shows an example of a GHS label for the fictional product 'ToxiFlam'. The core GHS label elements are expected to replace the need for the array of different labels shown earlier for ToxiFlam.
Figure 4.12 Example GHS Inner Container Label (e.g., bottle inside a shipping box) Toxiflam (Contains: XYZ)
Danger! Toxic If Swallowed, Flammable Liquid and Vapor
Do not eat, drink or use tobacco when using this product. Wash hands thoroughly after handling. Keep container tightly closed. Keep away from heat/sparks/open flame. - No smoking. Wear protective gloves and eye/face protection. Ground container and receiving equipment. Use explosion-proof electrical equipment. Take precautionary measures against static discharge.
Use only non-sparking tools. Store in cool/well-ventilated place.
IF SWALLOWED: Immediately call a POISON CONTROL CENTER or doctor/physician. Rinse mouth.
In case of fire, use water fog, dry chemical, CO2, or "alcohol" foam.
See Material Safety Data Sheet for further details regarding safe use of this product.
MyCompany, MyStreet, MyTown NJ 00000, Tel: 444 999 9999
There has been discussion about the size of GHS pictograms and that a GHS pictogram might be confused with a transport pictogram or "diamond". Transport pictograms (Table 4.10) are different in appearance than the GHS pictograms (Table 4.9). Generally the GHS pictograms would be smaller than the transport pictograms.
Figure 4.13 Combination packaging (Outer box with inner bottles)
Figure 4.13 shows an arrangement for a combination packaging with an outer shipping box and inner bottles. The shipping box has a transportation pictogram. The inner bottles have a GHS label with a GHS pictogram.
Figure 4.14 Single packaging (GHS label and required transport regulations pictograms.)
For a container such as a 55 gallon drum, the transport required markings and pictograms may be combined with the GHS label elements or presented separately. In Figure 4.14 a label arrangement for a single packaging such as a 55 gallon drum is shown. Pictograms and markings required by the transport regulations as well as GHS label and non-duplicative GHS pictogram are shown on the drum.
A label merging the transportation requirements and the GHS requirements into one label for the fictional product "ToxiFlam" is shown in Figure 4.15. This combined type label could also be used on a 55 gallon drum.
Figure 4.15 Example GHS Outer Container Label (55gallon/200 liter drum)
ToxiFlam
(contains XYZ)
UN 1992
Do not eat, drink or use tobacco when using this product. Wash hands thoroughly after handling. Keep container tightly closed. Keep away from heat/sparks/open flame. - No smoking. Wear protective gloves and eye/face protection. Ground container and receiving equipment. Use explosion-proof electrical equipment. Take precautionary measures against static discharge. Use only non-sparking tools. Store in cool/well-ventilated place
IF SWALLOWED: Immediately call a POISON CONTROL CENTER or doctor/physician. Rinse mouth.
In case of fire, use water fog, dry chemical, CO2, or "alcohol" foam.
See Material Safety Data Sheet for further details regarding safe use of this product.
MyCompany, MyStreet, MyTown NJ 00000, Tel: 444 999 9999
|
Mercury
|
The 1987 Montreal Protocol concerns specifically, and includes in its full title, substances that deplete what?
|
Metal - Vaccine Truth
Vaccine Truth
Metals as mutagens.
Flessel CP.
A number of metals are mutagenic in bacteria or phage. These include compounds of arsenic, chromium, copper, iron, manganese, molybdenum, platinum, and selenium. Compounds containing aluminum, antimony, arsenic, cadmium, copper, lead, mercury, nickel, and tellium have been shown to induce chromosomal aberrations or abnormal cell divisions in animal or plant cells. Genetic evidence suggests that arsenic, chromium, and molybdenum compounds may influence the accuracy of DNA repair processes in microorganisms.
Publication Types:
PMID: 415523 [PubMed - indexed for MEDLINE]
Effects of carcinogenic metals on gene expression.
Beyersmann D.
Department of Biology and Chemistry, University of Bremen, Germany.
[email protected]
Six metals and/or their compounds have been recognized as carcinogens: arsenic, beryllium, cadmium, chromium, cobalt and nickel. With the exception of arsenic, the main rote of exposure is inhalation and the main target organ is the lung. Arsenic is exceptional because it also produces tumors of skin and lung after oral uptake. With the exception of hexavalent chromium, carcinogenic metals are weak mutagens, if at all, and their mechanisms of carcinogenicity are still far from clear. A general feature of arsenic, cadmium, cobalt and nickel is their property to enhance the mutagenicity and carcinogenicity of directly acting genotoxic agents. These properties can be interpreted in terms of the ability of these metals to inhibit the repair of damaged DNA. However, because carcinogenic metals cause tumor development in experimental animals even under exclusion of further carcinogens, other mechanisms have to be envisaged, too. Evidence will be discussed that carcinogenic metal compounds alter patterns of gene expression leading to stimulated cell proliferation, either by activation of early genes (proto-oncogenes) or by interference with genes downregulating cell growth. Special reference will be devoted to the effects of cadmium and arsenic on gene expression, which have been studied extensively. Possible implications for occupational safety and health will be discussed.
PMID: 12052642 [PubMed - indexed for MEDLINE]
DENTAL AMALGAM MERCURY SYNDROME ............. www.amalgam.org DAMS, Inc.; P.O. Box 7249 ;Minneapolis, MN 55407-0249; local contact: see page 2
Cognitive and Behavioral Effects Linked to Toxic Metal Exposure and Resulting Metabolic Imbalances, including Learning Disabilities, ADD, Violent Prone and Sociopathic Behavior, Juvenile Delinquency, Criminality, and Mass Murder
1.Currently, 50% of U.S. pregnancies result in birth defects, neurological conditions such as ADD, dyslexia, autism, schizophrenia, or other learning disabilities; mood disorders, other developmental disorders; or chronically unhealthy children according to a recent report of the National Academy of Sciences. (1)
2. Peer-reviewed medical studies have documented that the majority of such conditions are caused by exposure to toxic substances, with the most common being the toxic metals: mercury, lead, arsenic, nickel, cadmium, copper, antimony, and aluminum. (2,4,8-12) Pesticide and organochlorine or organophosphate exposures can also cause such effects(3).
3. Much of the developmental effects of mercury(and other toxic metals) are due to prenatal and neonatal exposures damage to the developing endocrine(hormonal) system. (12)
4. Prenatal and neonatal toxic metal exposure as well as chronic exposures to mercury, lead, arsenic, cadmium, nickel, and aluminum have been documented in medical publications and medical texts to cause common and widespread neurological and psychological effects including depression, anxiety, obsessive compulsive disorders, social deficits, other mood disorders, schizophrenia, anorexia, cognitive impairments, ADHD, autism, seizures, etc. (9,11)
5. Exposure to toxic metals causes ADHD, dyslexia, autism, and other neurological and immune conditions as a result of their neurotoxicity, immunotoxicity, and endocrine disrupting effects, as well as by causing deficiencies and imbalances in essential minerals and essential fatty acids; blocking essential enzymatic processes such as those necessary for digestion and processing of milk casein, wheat gluten, amino acids, vitamin B-6 and B-12; and causing "leaky gut" and poor nutrient absorption(2,4,8-12). These enzymatic blockages and metabolic disorders prevent processing of necessary minerals and nutrients and result in neurotoxic metabolites in the blood. (2,4)
6. Metals toxicity and metabolic imbalances are major factors in behavioral disorders and problems of children- including violence, sociopathic behavior, juvenile delinquency, and criminality(2,5,6)..
7. A hair element analysis of 28 recent mass murderers or serial killers found that all had patterns of metals toxicity and mineral imbalances typical of violent prone/sociopathic behavior(5,6).
8. Metals detoxification and nutritional treatment that deals with the essential mineral and essential fatty acid imbalances result in significant improvements in most of these conditions, including violent and sociopathic behavior. (2,4,5,7,10-12)
9. Common exposures in children have been documented for mercury(vaccines, mother's amalgam fillings, dental work, fish), lead(paint,soil,water fixtures,etc.), arsenic(treated wood, pesticides, shellfish, other foods), aluminum(pans, processed food, medicines), cadmium(shellfish, paint, piping), antimony(Scotch guard), manganese(soy milk, welding, metal works) (2,4,6,10)
Toxic levels of such have been found in the majority of Pervasive Developmental Disorder(PDD) children tested. (2,4,5,10,11)
10. The majority of the referenced medical studies can be found in Medline at the National Institute of Health National Library of Medicine, www.nlm.nih.gov
References/Links
(1) National Academy of Sciences, National Research Council, Committee on Developmental Toxicology, Scientific Frontiers in Developmental Toxicology and Risk Assessment, June 1, 2000, 313 pages; & Evaluating Chemical and Other Agent Exposures for Reproductive and Developmental Toxicity Subcommittee on Reproductive and Developmental Toxicity, Committee on Toxicology, Board on Environmental Studies and Toxicology, National Research Council National Academy Press, 262 pages, 6 x 9, 2001.
(2) B. Windham, Cognitive and behavioral effects of toxic metals, 2001. (over 150 peer-reviewed references) www.home.earthlink.net/~berniew1/tmlbn.html
(3) B. Windham, Health effects of pesticide exposure, 2000. (over 100 medical study references)
www.home.earthlink.net/~berniew1/pesticid.html
& www.home.earthlink.net/~berniew1/endocrin.html
(4) B. Windham, Autism, Schizophrenia, ADD, Dyslexia, and Pervasive Developmental Disorders; the mercury and vaccine connection, 2001. (over 100 peer reviewed references)
www.home.earthlink.net/~berniew1/kidshg.html
www.home.earthlink.net/~berniew1/fetaln.html
(5) W.J. Walsh, Pfeiffer Treatment Clinic and Health Research Institute, www.hriptc.org
(6) B. Windham, The Toxic Metal connection to ADD, Aggressiveness, Impulsivity, Violence, Delinquency, Criminality, and Mass murderers/Serial killers. 2001.
www.home.earthlink.net/~berniew1/violence.html
(7) Great Smokies Diagnostic Lab, Depression, ADD & ADHD research web pages - click on: (by condition), research studies on causes and treatments, http:// www.gsdl.com; & ADD case study, http://www.gsdl.com/news/kidsdigest/index5.html &
Vitamin Research News(weekly journal), see issues on autism, ADD, etc. www.vrp.com
(8) ATSDR/EPA Priority List for 2001: Top 20 Hazardous Substances, Agency for Toxic Substances and Disease Registry,U.S. Department of Health and Human Services, www.atsdr.cdc.gov/clist.html;
(9) R.A.Goyer,"Toxic effects of metals"in: Caserett and Doull's Toxicology- TheBasic Science of Poisons, McGraw-Hill Inc., N.Y., 1993; &(b) Goodman, Gillman, The Pharmacological Basis of Therapeutics, Mac Millan Publishing Company, N.Y. 1985; &(c) Encyclopedia of Occumpational Health and Safety, International Labour Office, Geneva, Vol 2, 3rd Edition.;&(d) Arena, Drew, Poisoning. Fifth Edition. Toxicology-Symptoms-Treatment, Charles C. Thomas-Publisher, Springfield Il, 1986; & Merritt's Textbook of Neurology, 9th Ed., Williams and Wilkins, Baltimore, 1995, p668-, & Clinical Management of Poisoning, 3rd Ed.,(p753) Haddad, Shannon, and Winchester, W.B. Saunders and Company, Philadelphia, 1998; & U.S. EPA, Office of Health and Environmental Assessment, Mercury Health Effects, Update Health Issue Assessment, Final Report, 1984, EOA-600/8-84f.; & Cecil Textbook of Medicine, 20th Ed., Bennett & Plum, W.B. Saunders and Company, Philadelphia, 1996, p 69; & Comprehensive Psychiatry, 18(6), 1977, pp595-598, &Poisoning & Toxicology Compendium, Leikin and Palouchek, Lexi-Comp., Cleveland, 1998; & Harrison's Principles Of Internal Medicine, 14th Ed., McGraw-Hill, N.y., 1998; & Sunderman FW. Perils of mercury. Ann Clin Lab Sci 1988 Mar-Apr;18(2):89-101.
(10) B. Windham, Common exposure levels to mercury from amalgam fillings and mechanisms by which mercury from amalgam is a major factor in over 40 chronic health conditions. 2001. (over 1000 peer-reviewed medical studies and government agency studies, and documentation by doctors of 60,000 clinical cases of recovery after amalgam replacement).
www.home.earthlink.net/~berniew1/amalg6.html
(11) Psychiatric Disturbances and Toxic Metals, Townsend Letter for Doctor's & Patients April 2002; & Alternative & Complementary Therapies (a magazine for doctors), Aug 2002; & A. Holmes, Baton Rouge Autism/PDD Clinic, www.healing-arts.org/children/holmes.htm
(12) Developmental effects related to prenatal/neonatal mercury exposure and mercury's endocrine disruptive effects, B. Windham(Ed.) www.home.earthlink.net/~berniew1/endohg.html
Technical Contact: Bernard Windham, Chemical Engineer, 850-878-9024, [email protected]
http://www.vidyya.com/vol6/v6i47_7.htm
US scientists link exposure to lead in the womb and schizophrenia in adulthood
Dr. Ezra Susser, from Columbia University in New York and colleagues say they have found a link between exposure to lead in the womb and schizophrenia in adulthood. The discovery is based on a study of blood samples taken from pregnant American women in the 1960s when lead was still widely used in vehicle fuel. The information was prestned to the annual meeting of the American Association for the Advancement of Science in Washington State late last week.
People whose mothers were exposed to high levels of the metal in exhaust fumes were more than twice as likely to develop schizophrenia as adults. "It's the first time that any environmental toxin has been related to the later risk of schizophrenia," said Dr. Susser. "It's a preliminary finding, but an intriguing one. We think that people will now look at a variety of environmental toxins which can disrupt brain development, and see whether they are also related to the risk of schizophrenia."
Susser believes that lead may interfere with the growth of nerve cells in the baby's brain during a developmental period known as synaptogenesis, when brain cells make many connections to one another. The suggestion is that cells start to commit suicide when they should not. He believes lead may operate through the same mechanism which some researchers think gives rise to foetal alcohol syndrome.
In this, a baby's brain is damaged prenatally through the mother's consumption of significant amounts of alcohol. The search is now on for other samples collected during the era of leaded petrol which could confirm the finding. If it is confirmed, it would have huge implications for the study of schizophrenia, a condition whose origins have baffled researchers for decades.
Schizophrenia is the most chronic and disabling of the major mental illnesses. It is a highly complex condition, and scientists are not even sure if it is one disorder, or a range of disorders, with different causes. People with schizophrenia may hear internal voices not heard by others, or believe that other people are reading their minds, controlling their thoughts, or plotting to harm them.
This may make a person with schizophrenia feel anxious and confused. A sufferer may seem distant, detached, or preoccupied. Sometimes they may sit motionless and silent for hours.
If lead does disturb early brain development, then scientists will be able to focus on other factors which may do the same thing. The finding also adds extra weight to the arguments of organisations campaigning to have leaded petrol phased out everywhere in the world.
The dataset used in the research came from the Childhood Health and Development Study which ran between 1959 and 1966 in Oakland and enrolled almost 20,000 mothers. Dr Susser and his colleague's research is scheduled for publication in a forthcoming edition of the journal Environmental Health Perspectives.
© RAmEx Ars Medica, Inc.
RACHEL'S ENVIRONMENT & HEALTH NEWS #797
http://www.rachel.org
August 5, 2004
TOXIC LEAD AND VIOLENCE
The poisoning of children by the toxic metal, lead, was first reported in 1892.[1] By 1904 the cause of the poisoning was correctly identified as dust from lead-based paint, which was flaking off the walls inside homes.[1] Today, 100 years later, lead-based paint flaking off the walls of old buildings is still the main cause of childhood lead poisoning.[2]
As early as 1897 -- 107 years ago -- the paint industry acknowledged that its lead-based products were poisonous to children.[3] Today, after more than a century of poisoning children, the paint industry continues to sell lead-based paint, though its use inside homes was restricted in Australia
in 1920, in many European countries in 1923-24, and in the U.S. belatedly in 1972.[4]
5-Stage History of Childhood Lead Poisoning
The struggle to prevent the poisoning of children by toxic lead has gone through 4 stages and has now entered a 5th stage.[1] During stage 1, which lasted from 1892 to about 1914, the medical and public health communities simply refused to accept the mounting evidence that lead could harm children.
During stage two (1914 to 1943), medical authorities acknowledged that childhood lead poisoning was epidemic, but they assumed (incorrectly) that it led to only two possible outcomes: death or complete recovery.
During stage 3 (1944 to 1970), medical authorities acknowledged that children who recovered from gross lead poisoning were permanently affected: they had trouble thinking, concentrating and learning; they performed poorly in school; and they were prone to aggressive, violent behavior and explosive tempers.[1,5,6] However, during this stage, it was assumed that a child had to exhibit gross symptoms before permanent damage could occur. Gross symptoms of lead poisoning includes seizures, palsy, loss of control of the limbs, and impairment of hearing and sight.
Also during this stage, starting in 1950, medical authorities learned that lead was disproportionately harming African-American and Hispanic children and children of the poor. This remains true today, a central issue of environmental justice. See Rachel's #294.[7]
During stage 4 (1970 to 1994), medical authorities began to recognize that children could be permanently poisoned by lead even without showing gross symptoms such as seizures or palsy. The breakthrough study was Herbert Needleman's 1979 report in the New England Journal of Medicine, relating lead in children's baby teeth to diminished mental capacity.[8]
During this fourth stage, numerous studies focused narrowly on loss of mental capacity, especially IQ, confirming that lead permanently damages children's central nervous systems, even at exposure levels that produce no gross symptoms.[9,10,11,12,13] I reviewed many of these studies in Rachel's #529.[14]
In response to these studies, between 1970 and 1991 the U.S. government lowered the official "level of concern" for lead in children's blood from 60 micrograms of lead per deciliter of blood (mcg/deciliter) to 40 then to 30 then to 25 and finally to 10. (A deciliter is 1/10th of a liter and a liter is
approximately a quart. There are 28 grams in an ounce and a microgram is one millionth of a gram.)
Among medical authorities, the 10 mcg/deciliter "level of concern" is now widely taken to represent a threshold, a level below which lead is "safe." For example, the New Jersey Department of Environmental Protection says children with 20 mcg/deciliter lead in their blood are "poisoned" and children with more than 10 mcg/deciliter have "elevated" lead -- but below 10 is considered to be of no consequence.[15] Unfortunately, there is now a solid body of medical evidence showing that this assumption is dangerously false. At levels as low as 1 to 3 mcg/deciliter, lead reduces children's IQ,
diminishes math and reading skills, and changes behavior for the worse. [9,10,11,12,13] There is no known level of lead that is safe for young children.
If we assume the level of concern should be 5 mcg/deciliter of lead in blood (half the current "official" level of concern), we can see that lead remains an enormous problem among U.S. children.
There are about 19 million children in the U.S. between the ages of 1 and 5. Of these, 4.9 million (25.6%) have blood lead levels of 5 mcg/deciliter or higher. Among African-American children, 46.8% have 5 or more mcg/deciliter. Among Hispanic children, 27.9% have 5 mcg/deciliter or higher. Among whites, 18.7% have 5 mcg/deciliter or higher. These data were published in 2003, but they were gathered during the most recent available survey, 1988-1994.[16,17]
How does the current allowable level of lead in blood compare to natural background levels? The relationship between lead in blood and led in bone is understood. Careful measurements of the bones of preindustrial humans have revealed that the true "natural background" level of lead in human blood is 0.016 mcg/deciliter. Therefore the U.S. government's current "level of concern," 10 mcg/deciliter, is 625 times as high as the natural background level.[18]
The presence of a potent nerve poison in children at levels 625 times as high as normal (or even 300 times as high as normal) should set off loud alarm bells, but the U.S. government recently reaffirmed that it is keeping the "level of concern" at 10 mcg/deciliter because, "[T]here is no evidence of a threshold below which adverse effects are not experienced. Thus, any decision to establish a new level of concern would be arbitrary..."[19] The Mad hatter himself could not top that logic.
During Stage 4 of the history of lead, many studies showed that children exposed to lead not only had learning problems but also were distractible, disorganized, impulsive and restless -- the hallmarks of attention deficit disorder. In short, the mechanism that regulates attention and self-control is damaged by lead. It is now widely recognized that the symptoms of attention deficit hyperactivity disorder (ADHD) are shared by many children exposed to neurotoxicants such as PCBs
[polychlorinated biphenyls] and lead.[20,21,22]
In sum, during stage 4 scientists determined that lead, at levels as low as 1 to 3 micrograms of lead in blood diminishes a child's ability to think, concentrate, learn and achieve self-control.
Stage 5 of the struggle to protect children began around 1994 and is ongoing now. During this period, it is slowly dawning on medical authorities that exposing children to toxic lead -- even at levels below 10 mcg per deciliter -- causes some of them to become impulsive, aggressive, antisocial, delinquent and violent. The more lead, the worse the behavior. Herbert L. Needleman has recently suggested that this may turn out to be the most important effect of exposing children to lead.[1]
Violence in the U.S. is a huge problem. Despite a downward trend in recent years, 1.4 million violent crimes were committed during 2000, including 16,765 homicides, in addition to 29,350 suicides.[23]
In 1996 Herbert L. Needleman published a report in JAMA, the Journal of the American Medical Association, revealing a strong link between lead in children's bones and delinquent behavior.[24] Needleman's study was not the first to link lead to antisocial tendencies,[25] but it was one of the most carefully done. Several studies since 1996 have confirmed what Needleman found.[7,26,27,28,29]
Needleman's 1996 findings came as a surprise to many people, but they should not have. As I mentioned earlier, in 1943 Randolph Byers and Elizabeth Lord studied 20 children that had experienced mild lead poisoning during infancy. None of the 20 children had exhibited overt signs of lead poisoning, yet the growth and development of their nervous systems had been "seriously impaired." Among the 20 children examined, only one had progressed satisfactorily in school. Furthermore, many of the children were emotionally impaired as well. Byers and Lord characterized the behavior of many of the children as "unreliable impulsive behavior, cruel impulsive behavior, short attention span, and the like." Three of the 20 children were expelled from school, one for setting fires, another for repeatedly getting up and dancing on the desks, and a third for sticking a fork into another child's face.
In Rachel's #529 (Jan. 16, 1997) we had reported on the Byers and Lord study and on several subsequent studies linking lead exposure to violent and aggressive behavior.[30] Throughout the 1980s studies continued to link lead to violence.
What is different now is the improved quality of the studies, plus much better understanding of brain chemistry. In 2003, the American Chemical Society published a report called "A Recipe for Violence" which described current understanding of the links between brain chemistry, toxic lead, alcohol, and
impulsive, unplanned violence.[23]
One key is a chemical in the brain called serotonin (also known as 5-HT), which acts as a brake on impulsiveness. Individuals with normal levels of serotonin show restraint and think things through before they act. They have the ability to foresee the consequences of their actions. On the other hand, people with low serotonin levels are liable to act first and think later, which can get them into trouble.
Serotonin plays the same role in monkeys as it does in humans. Researchers who have spent 25 years studying a colony of 5000 free-ranging rhesus monkeys on an island in South Carolina report that monkeys with low serotonin levels end up with more scars and wounds than monkeys with normal serotonin levels. Human studies confirm the role of serotonin in violent behavior. Among a group of arsonists, those who set fires impulsively were the ones with low serotonin. A study of prisoners who had committed impulsive, violent crimes revealed that low serotonin levels were linked to more frequent aggressive behavior and greater violence.[23]
What's the connection to lead? Lead reduces serotonin levels. The more lead present, the less serotonin. Lead may contribute to aggressive and violent behavior in several ways. Exposure to lead reduces serotonin and simultaneously reduces a child's ability to succeed in school. This in turn leads to low self-esteem, irritability and frustration. People with low levels of serotonin cannot handle frustration as well as people with normal serotonin. Furthermore, when alcohol is available, rats and monkeys with low serotonin levels seek out alcohol more than animals with normal serotonin levels. Alcohol then makes the situation worse in several ways. First, alcohol metabolizes serotonin, further lowering serotonin levels. Simultaneously alcohol clouds an individual’s judgment and relaxes normal restraints on behavior. Among experimentally intoxicated monkeys on the island in South Carolina, the only ones who attack humans (six times their size) are those with the lowest serotonin levels. Among humans, about half of all violent crimes -- whether murders, rapes, or whatever --involve alcohol.
No one believes lead is responsible for all aggressive, violent, or delinquent behavior. Herbert L. Needleman believes lead may explain somewhere between 10% and 40% of such behaviors.[1] Furthermore, no one is arguing that the connection between lead and violence absolves individuals of responsibility for their behavior. People are ultimately responsible for their own actions, but no one can deny that the physical and psychological environment during the formative years can predispose an individual to aggressive and violent behavior.
Studies show that a tendency toward violence can be counteracted by good parenting and sometimes by medical interventions. Children who receive lots of love and nurturing can overcome some of the mental and emotional handicaps created by lead exposure. Some pharmaceutical products may help some people with low serotonin levels (Prozac, Zoloft, lithium, and others).[23] Furthermore, parents who cope with the normal irritations and frustrations of life without becoming violent themselves-- for example, parents who control their own impulsive anger -- can show children by example that violence is not necessary or desirable.
Still, parents and children should not have to work to overcome the artificial disadvantages created by exposure to lead. This is a matter of simple justice. Lead poisoning is entirely preventable, and numerous studies have shown that preventing it would pay society enormous monetary benefits.
By examining the relationship between lifetime earnings and IQ, and the relationship between IQ and lead in blood, researchers have shown that the current average lead level in the nation's 3.8 million 5-year-olds (2.7 mcg/deciliter) will reduce their cumulative lifetime earnings by $43.4 billion dollars. This will be true of next year's 5-year-olds as well, so lead in blood is costing us about $43 billion each year in lost earnings alone (not to mention the lead-related costs of medical care and violence).[31]
In 2000, the federal government estimated that it costs $9000 to fully remediate an average lead-contaminated home and that complete remediation of all pre-1960 housing would cost the nation $16.6 billion per year for 10 years.[2, pg. 5] With benefits of $43.3 billion each year, investing $16.6 billion per year in lead abatement would provide the nation an enormous gain (extending well beyond 10 years), and would serve our national goal of "justice for all." Unfortunately, President Bush has allocated only $139 million for lead abatement in 2005 -- 20% less than in 2004, and less than 1% of what's needed. At the current rate of federal spending, the lead paint problem will be with us for another 120 shameful years.[32]
===============
[1] Herbert Needleman, "Lead Poisoning," Annual Review of Medicine Vol. 55 (2004), pgs. 209-222. Available at http://www.rachel.org/library/getfile.cfm?ID=449
[2] President's Task Force on Environmental Health Risks and Safety Risks to Children, Eliminating Childhood Lead Poisoning; a Federal Strategy Targeting Lead Paint Hazards (Washington, D.C.: U.S. Environmental Protection Agency, Feb., 2000.)Available at http://www.epa.gov/lead/fedstrategy2000.pdf and at
http://www.rachel.org/library/getfile.cfm?ID=476
[3] See this advertisement from 1897 offering paint that "Is NOT made with lead and is non poisonous":http://www.rachel.org/library/getfile.cfm?ID=263
[4] Sven Hernberg, "Lead Poisoning in Historical Perspective,"American Journal of Industrial Medicine Vol. 38 (2000), pgs.244-254. Available at
http://www.rachel.org/library/getfile.cfm?ID=441
[5] David C. Bellinger, "Lead," Pediatrics Vol. 113, No. 4 (April 2004). Available at http://www.rachel.org/library/getfile.cfm?ID=445
[6] Randolph K. Byers and Elizabeth E. Lord, "Late Effects of Lead Poisoning on Mental Development," American Journal of Diseases of Children Vol. 66, No. 5 (November 1943), pgs.471-494. Available at http://www.rachel.org/library/getfile.cfm?ID=470
[7] See Rachel's #294 at
http://www.rachel.org/bulletin/index.cfm?issue_ID=839 and
Rachel's #689 at
http://www.rachel.org/bulletin/index.cfm?issue_ID=1713 and
[8] Herbert L. Needleman and others, "Deficits in Psychologic and Classroom Performance of Children with Elevated Dentine Lead Levels," New England Journal of Medicine Vol. 300, No. 13(March 29, 1979), pgs. 689-693. Available at http://www.rachel.org/library/getfile.cfm?ID=474
[9] Theodore I. Lidsky and Jay S. Schneider, "Lead neurotoxicity in children: basic mechanisms and clinical correlates," Brain Vol. 126 (2003), pgs. 5-19. Available at http://www.rachel.org/library/getfile.cfm?ID=438
[10] Lisa M. Chiodo and others, "Neurodevelopmental effects of postnatal lead exposure at very low levels," Neurotoxicology and Teratology Vol. 26 (2004), pgs. 359-371. Available at http://www.rachel.org/library/getfile.cfm?ID=440
[11] Joel Schwartz, "Low-Level Lead Exposure and Children's IQ: A Meta-Analysis and Search for a Threshold," Environmental Research Vol. 65 (1994), pgs. 42-55. Available at http://www.rachel.org/library/getfile.cfm?ID=447
[12] Bruce P. Lanphear and others, "Cognitive Deficits Associated with Blood Lead Concentrations Less Than 10 Micrograms per Deciliter in U.S. Children and Adolescents," Public Health Reports Vol. 115 (Nov.-Dec., 2000), pgs. 521-529. Available at http://www.rachel.org/library/getfile.cfm?ID=446
[13] Richard L. Canfield and others, "Intellectual Impairment in Children with Blood Lead Concentrations below 10 mcg per Deciliter," New England Journal of Medicine Vol. 348, No. 16 (April 17, 2003), pgs. 1517-1526. Available at http://www.rachel.org/library/getfile.cfm?ID=262
[14] See Rachel's #529 at
http://www.rachel.org/bulletin/index.cfm?issue_ID=594
[15] See pgs. 841-849 of Appendix 4 of the Final Report of the New Jersey Comparative Risk Project (Trenton, N.J.: N.J. Department of Environmental Protection, 2003) available at http://www.state.nj.us/dep/dsr/njcrp/Appendix4.pdf
[16] Susan M. Bernard, "Should the Center for Disease Control and Prevention's Childhood Lead Poisoning Intervention Level Be Lowered?" American Journal of Public Health Vol. 93, No. 8 (August 2003), pgs. 1253-1260. Available at http://www.rachel.org/library/getfile.cfm?ID=276
[17] Susan M. Bernard and Michael A. McGeehin, "Prevalence of Blood Lead Levels >= 5 mcg/deciliter Among U.S. Children 1 to 5 Years of Age...," Pediatrics Vol. 112, No. 6 (December 2003),pgs. 1308-1313. Available at http://www.rachel.org/library/getfile.cfm?ID=473
[18] A. Russell Flegal and Donald R. Smith, "Lead Levels in Preindustrial Humans," New England Journal of Medicine Vol. 326, No. 19 (May 7, 1992), pgs. 1293-1294. Available at http://www.rachel.org/library/getfile.cfm?ID=471
[19] Centers for Disease Control and Prevention, "Why not change the blood lead level of concern at this time?" Available at http://www.cdc.gov/nceh/lead/spotLights/changeBLL.htm ; accessed August 5, 2004; also available at http://www.rachel.org/library/getfile.cfm?ID=477
[20] Deborah C. Rice, "Parallels between Attention Deficit Hyperactivity Disorder and Behavioral Deficits Produced by Neurotoxic Exposure in Monkeys," Environmental Health Perspectives [Supplement 3] Vol. 108, No. S3 (June 2000), pgs. 405-408. Available at
http://www.rachel.org/library/getfile.cfm?ID=463
[21] Alan L. Mendelsohn and others, "Low-level Lead Exposure and Behavior in Early Childhood," Pediatrics Vol. 101, No. 3(March 1998), pg. E10. Available at
http://www.rachel.org/library/getfile.cfm?ID=448
[22] William G. Sciarillo and others, "Lead Exposure and Child Behavior," American Journal of Public Health Vol. 82, No. 10 (October 1992), pgs. 1356-1360. Available at
http://www.rachel.org/library/getfile.cfm?ID=469
[23] Sophie L. Wilkinson, "A Recipe for Violence," Chemical & Engineering News Vol. 81, No. 22 (June 2, 2003), pgs. 33-37. Available at http://www.rachel.org/library/getfile.cfm?ID=462
[24] Herbert L. Needleman and others, "Bone Lead Levels and Delinquent Behavior," JAMA Vol. 275, No. 5 (Feb. 7, 1996), pgs. 363-369. Available at
http://www.rachel.org/library/getfile.cfm?ID=464
[25] David Bellinger and others, "Pre- and Postnatal Lead exposure and Behavior Problems in School-Aged Children," Environmental Research Vol. 66 (1994), pgs. 12-30. Available at
http://www.rachel.org/library/getfile.cfm?ID=450
[26] Herbert L. Needleman and others, "Bone lead levels in adjudicated delinquents; a case control study," Neurotoxicology and Teratology Vol. 24 (2002), pgs. 711-717. Available at
http://www.rachel.org/library/getfile.cfm?ID=466
[27] Paul B. Stretsky and Michael J. Lynch, "The Relationship between Lead Exposure and Homicide," Archives of Pediatric and Adolescent Medicine Vol. 155 (May, 2001), pgs. 579-582.
Available at http://www.rachel.org/library/getfile.cfm?ID=439
[28] Kim N. Dietrich and others, "Early exposure to lead and juvenile delinquency," Neurotoxicology and Teratology Vol. 23 (2001), pgs. 511-518. Available at http://www.rachel.org/library/getfile.cfm?ID=443
[29] Deborah W. Denno, Biology and Violence (New York: Cambridge University Press, 1990); ISBN 0521362199. I have not seen this book. Denno reportedly followed 987 African-Americans from birth to age 22 years, finding that among the dozens of factors that correlated with delinquency, lead exposure was among the strongest for males.
[30] See Rachel's #529 at
http://www.rachel.org/bulletin/index.cfm?issue_ID=594 and the PDF version at
http://www.rachel.org/bulletin/pdf/Rachels_Environment_Health_N ews_594.pdf
[31] Philip J. Landrigan and others, "Environmental Pollutants and Disease in America's Children: Estimates of Morbidity, Mortality, and Costs of Lead Poisoning, Asthma, Cancer, and Developmental Disabilities," Environmental Health Perspectives Vol. 110, No. 7 (July 2002), pgs. 721-728. Available at http://www.rachel.org/library/getfile.cfm?ID=467
[32] Avram Goldstein, "Bush Budget Would Cut Lead Funds; Poison Prevention is Program's Aim," Washington Post April 11, 2004.
06/06/07 - News section The magical properties of Mercury, the metal the EU wants to ban
By MICHAEL HANLON Few substances on Earth are stranger. It shines like a mirror, conducts electricity and is as much of a metal as copper or iron. Yet this material is a liquid, one of only five naturally occurring elements that are liquid at room temperature. It is the stuff of legend, the key to alchemy and witchcraft, a deadly poison and yet also a potent medicine. We use it to weigh the air, generate reflections and also to measure our temperature. And now Brussels is banning it. Of course, not even the European Commission has the power to ban a chemical element, but what they have done is forbidden its use in traditionally made scientific instruments on health and safety and environmental grounds. Britain's traditional barometer makers now face closure, effectively bringing to an end more than 350 years of a unique craft. Mercury thermometers - every mother's godsend - are similarly under threat. Mercury is poisonous, rots the brain and is a general menace, Brussels says. Therefore, no more shiny quicksilver in your weather instruments. So what exactly is this mysterious substance that most of us have only glimpsed through the glass of a thermometer and which has so riled the bureaucrats of the EU? Quicksilver, the old name for mercury, is a heavy metallic element, 13.5 times denser than water. This density gives rise to some of mercury's most fascinating properties. If you built a bath of mercury and jumped in, you would break your bones. Once in, you would bob around on the surface like an insect on water, barely sinking in an inch. If you had the balance you could easily walk on mercury and it is possible to play billiards on a mercury bath - the balls would only sink a fraction of an inch. When I studied chemistry at school, mercury was most definitely not banned. We were encouraged to touch it, prod and poke the strange glacial metal. Once we even tried to suck a column of mercury through a tube - a nice illustration of how barometers work. Also a nice way of getting a mouth and lungs full of mercury vapour. Another time, a ceramic bowl of mercury was placed before the class. Our teacher called us up to investigate its strange properties. I remember taking a penny from my pocket and floating it on the surface of this silvery puddle. "Go on, try to push it under," I was urged. I pushed. The penny yielded, but only with difficulty. Such is the density of the metal. To touch cold mercury feels like, well, nothing else on Earth. Not liquid, not solid, but cold, clammy - like cold, fresh liver wrapped in clingfilm. A mercury fountain was constructed for the 1937 World's Fair in Paris, and in Islamic Spain large reflecting pools were filled with mercury to allow Caliphs to gaze at their reflections. Thanks to the fact that almost anything will float in mercury baths, they were traditionally used as a low-friction rotation mechanism for the giant mirrors in lighthouses. Historically, man has always treated quicksilver with a mixture of fear and respect. Fear because it is toxic, and respect both for its strange properties and its supposed medical uses. The vapours given off by this extraordinary element are highly toxic. In the 19th century, a process called "carroting" was used in the making of felt hats. Animal skins were dipped in a solution of mercuric nitrate which turned the fur into a matted felt. The fumes given off by this process poisoned the brains of anyone in the vicinity, causing an epidemic of psychiatric problems among workers in the hat industry, hence the phrase "as mad as a hatter". Mozart, who died aged just 35, was suspected to have been a victim of mercury poisoning, the rather worrying symptoms of which include memory loss, excessive salivation, emotional oversensitivity, forgetfulness, timidity and delirium.
The key symptom is wobbly handwriting. The composer would not have got his mercury poisoning from playing with thermometers or making hats, but from his notorious womanising. Syphilis, a venereal disease, was common in the 19th century, and the only treatment was copious doses of mercury - a sort of primitive anti-bacterial chemotherapy. The use of mercury to treat this disease gave rise to the saying "a night in the arms of Venus leads to a lifetime on Mercury". Though no proper studies were done to prove it, mercury may have been an effective, if rather brutal, way of treating syphilis. It was administered in multiple ways, including by mouth and by rubbing it on the skin. One of the more gruesome methods was fumigation, in which the patient/victim was placed in a closed box with their head sticking out. Mercury was placed in the box and a fire was started under the box which caused the metal to vapourise. Interestingly, it may have been the use of mercury to treat syphilis that gave rise to the whole nonsense that is homeopathy.
In the 18th century, the founder of modern homeopathy, Dr Samuel Hahnemann, noticed that the efficacy of mercuric cures for syphilis was increased if the compounds were ground into a fine paste. The idea that minute particles of a substance can make more effective medicine is ingrained in homeopathic doctrine, and to this day homeopaths recommend diluted mercury compounds to treat syphilis. Conventional medicine prefers to treat the disease with antibiotics. It may be dangerous, but mercury is also extremely useful. It has myriad uses - the "silvering" on the backs of mirrors, as a constituent in dental amalgam (despite its toxicity and a publicity campaign by "anti-mercury" dentists, there is little evidence that mercurybased fillings have ever done anyone any harm), and in countless electrical devices.
Mercury compounds have been used even in modern medicine, and mercury was also allegedly used as an extremely cunning weapon in World War II. Allied spies spread a paste of mercury on the wings and fuselages of German planes. Mercury dissolves aluminium, and the planes mysteriously fell apart in mid-air. Mercury's otherworldliness has always been recognised. In China, India and Tibet, mercury compounds were thought to prolong life (although they often had the opposite effect). The Hindi word for alchemy is "Rassayana", which means "the way of mercury". Alchemists thought mercury was a primordial element, the first matter from which all metals were formed. Mercury was thought to be the key to the transformation of base metals into gold (the holy grail of alchemy), perhaps because the noblest and most precious of metals actually dissolves in the stuff. Most of us these days will never experience this strange, dangerous metal. Brussels is undoubtedly right to try to reduce the amount of mercury in our environment, although banning barometers and thermometers seems like busybody overkill. It's a good job the bureaucrats of Brussels were not around when the Caliphs of Granada were filling their mercury baths and gazing at the shimmering reflections within.
---------------------------http://www.dailymail.co.uk/pages/live/articles/news/news.html?in_article_id=460406&in_page_id=1770------
Research Links Lead Exposure, Criminal Activity
Data May Undermine Giuliani's Claims
By Shankar Vedantam
Sunday, July 8, 2007; A02
http://www.washingtonpost.com/wp-dyn/content/article/2007/07/07/AR2007070701073.html?hpid=topnews
Rudy Giuliani never misses an opportunity to remind people about his track record in fighting crime as mayor of New York City from 1994 to 2001.
"I began with the city that was the crime capital of America," Giuliani, now a candidate for president, recently told Fox's Chris Wallace. "When I left, it was the safest large city in America. I reduced homicides by 67 percent. I reduced overall crime by 57 percent."
Although crime did fall dramatically in New York during Giuliani's tenure, a broad range of scientific research has emerged in recent years to show that the mayor deserves only a fraction of the credit that he claims. The most compelling information has come from an economist in Fairfax who has argued in a series of little-noticed papers that the "New York miracle" was caused by local and federal efforts decades earlier to reduce lead poisoning.
The theory offered by the economist, Rick Nevin, is that lead poisoning accounts for much of the variation in violent crime in the United States. It offers a unifying new neurochemical theory for fluctuations in the crime rate, and it is based on studies linking children's exposure to lead with violent behavior later in their lives. What makes Nevin's work persuasive is that he has shown an identical, decades-long association between lead poisoning and crime rates in nine countries. "It is stunning how strong the association is," Nevin said in an interview. "Sixty-five to ninety percent or more of the substantial variation in violent crime in all these countries was explained by lead."
Through much of the 20th century, lead in U.S. paint and gasoline fumes poisoned toddlers as they put contaminated hands in their mouths. The consequences on crime, Nevin found, occurred when poisoning victims became adolescents. Nevin does not say that lead is the only factor behind crime, but he says it is the biggest factor.
Giuliani's presidential campaign declined to address Nevin's contention that the mayor merely was at the right place at the right time. But William Bratton, who served as Giuliani's police commissioner and who initiated many of the policing techniques credited with reducing the crime rate, dismissed Nevin's theory as absurd. Bratton and Giuliani instituted harsh measures against quality-of-life offenses, based on the "broken windows" theory of addressing minor offenses to head off more serious crimes.
Many other theories have emerged to try to explain the crime decline. In the 2005 book "Freakonomics," Steven D. Levitt and Stephen J. Dubner said the legalization of abortion in 1973 had eliminated "unwanted babies" who would have become violent criminals. Other experts credited lengthy prison terms for violent offenders, or demographic changes, socioeconomic factors, and the fall of drug epidemics. New theories have emerged as crime rates have inched up in recent years. Most of the theories have been long on intuition and short on evidence. Nevin says his data not only explain the decline in crime in the 1990s, but the rise in crime in the 1980s and other fluctuations going back a century. His data from multiple countries, which have different abortion rates, police strategies, demographics and economic conditions, indicate that lead is the only explanation that can account for international trends.
Because the countries phased out lead at different points, they provide a rigorous test: In each instance, the violent crime rate tracks lead poisoning levels two decades earlier. "It is startling how much mileage has been given to the theory that abortion in the early 1970s was responsible for the decline in crime" in the 1990s, Nevin said. "But they legalized abortion in Britain, and the violent crime in Britain soared in the 1990s. The difference is our gasoline lead levels peaked in the early '70s and started falling in the late '70s, and fell very sharply through the early 1980s and was virtually eliminated by 1986 or '87.
"In Britain and most of Europe, they did not have meaningful constraints [on leaded gasoline] until the mid-1980s and even early 1990s," he said. "This is the reason you are seeing the crime rate soar in Mexico and Latin America, but [it] has fallen in the United States." Lead levels plummeted in New York in the early 1970s, driven by federal policies to eliminate lead from gasoline and local policies to reduce lead emissions from municipal incinerators. Between 1970 and 1974, the number of New York children heavily poisoned by lead fell by more than 80 percent, according to data from the New York City Department of Health.
Lead levels in New York have continued to fall. One analysis in the late 1990s found that children in New York had lower lead exposure than children in many other big U.S. cities, possibly because of a 1960 policy to replace old windows. That policy, meant to reduce deaths from falls, had an unforeseen benefit -- old windows are a source of lead poisoning, said Dave Jacobs of the National Center for Healthy Housing, an advocacy group that is publicizing Nevin's work. Nevin's research was not funded by the group.
The later drop in violent crime was dramatic. In 1990, 31 New Yorkers out of every 100,000 were murdered. In 2004, the rate was 7 per 100,000 -- lower than in most big cities. The lead theory also may explain why crime fell broadly across the United States in the 1990s, not just in New York.
The centerpiece of Nevin's research is an analysis of crime rates and lead poisoning levels across a century. The United States has had two spikes of lead poisoning: one at the turn of the 20th century, linked to lead in household paint, and one after World War II, when the use of leaded gasoline increased sharply. Both times, the violent crime rate went up and down in concert, with the violent crime peaks coming two decades after the lead poisoning peaks.
Other evidence has accumulated in recent years that lead is a neurotoxin that causes impulsivity and aggression, but these studies have also drawn little attention. In 2001, sociologist Paul B. Stretesky and criminologist Michael Lynch showed that U.S. counties with high lead levels had four times the murder rate of counties with low lead levels, after controlling for multiple environmental and socioeconomic factors.
In 2002, Herbert Needleman, a psychiatrist at the University of Pittsburgh, compared lead levels of 194 adolescents arrested in Pittsburgh with lead levels of 146 high school adolescents: The arrested youths had lead levels that were four times higher.
"Impulsivity means you ignore the consequences of what you do," said Needleman, one of the country's foremost experts on lead poisoning, explaining why Nevin's theory is plausible. Lead decreases the ability to tell yourself, "If I do this, I will go to jail." Nevin's work has been published mainly in the peer-reviewed journal Environmental Research. Within the field of neurotoxicology, Nevin's findings are unsurprising, said Ellen Silbergeld, professor of environmental health sciences at Johns Hopkins University and the editor of Environmental Research.
"There is a strong literature on lead and sociopathic behavior among adolescents and young adults with a previous history of lead exposure," she said.
Two new studies by criminologists Richard Rosenfeld and Steven F. Messner have looked at Giuliani's policing policies. They found that the mayor's zero-tolerance approach to crime was responsible for 10 percent, maybe 20 percent, at most, of the decline in violent crime in New York City.
Nevin acknowledges that crime rates are rising in some parts of the United States after years of decline, but he points out that crime is falling in other places and is still low overall by historical measures. Also, the biggest reductions in lead poisoning took place by the mid-1980s, which may explain why reductions in crime might have tapered off by 2005. Lastly, he argues that older, recidivist offenders -- who were exposed to lead as toddlers three or four decades ago -- are increasingly accounting for much of the violent crime.
Nevin's finding may even account for phenomena he did not set out to address. His theory addresses why rates of violent crime among black adolescents from inner-city neighborhoods have declined faster than the overall crime rate -- lead amelioration programs had the biggest impact on the urban poor. Children in inner-city neighborhoods were the ones most likely to be poisoned by lead, because they were more likely to live in substandard housing that had lead paint and because public housing projects were often situated near highways.
Chicago's Robert Taylor Homes, for example, were built over the Dan Ryan Expressway, with 150,000 cars going by each day. Eighteen years after the project opened in 1962, one study found that its residents were 22 times more likely to be murderers than people living elsewhere in Chicago.
Nevin's finding implies a double tragedy for America's inner cities: Thousands of children in these neighborhoods were poisoned by lead in the first three quarters of the last century. Large numbers of them then became the targets, in the last quarter, of Giuliani-style law enforcement policies.
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i don't know
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Carbon dioxide, methane, nitrous oxide, and sulphur/sulfur hexafluoride are widely referred to by what collective metaphorical term?
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CANTAAN YOUTH MARINE RESOURCE ANGELO KING ASSOCIATION (CYMRAKA) Sitio Kibila, Cantaan, Guinsiliban, Camiguin LEADERSHIP TRAINING DESIGN Theme: “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace and Progress) Objectives: Develop leadership skills among the children and youth members of CYMRAKA, along the vision and mission of marine resource conservation, protection and rehabilitation spearheaded by the Cantaan Centennial Multi Purpose Cooperative. Date/Time: October 30, 2011, 8:00 a.m. – 4:30 p.m. Venue: CCMPC Training Center, Sitio Kibila, Cantaan, Guinsiliban, Camiguin Estimated No. of Participants:20 members/beneficiaries Estimated No. of Training Facilitators: 3 CCMPC Officers Budgetary Requirements Collection of registration fee is not necessary as snacks (morning and afternoon) and lunch will be provided by CCMPC. Honorariums and allowances for lecturers and caterers will be shouldered by CCMPC, subject to budgetary constraints, and should be in accordance with accounting standards and audit policies and procedures. Materials for the training will be prepared and provided by CCMPC and training facilitators. Training kit will be provided to participants. Rationale The Cantaan Youth Marine Resource Angelo King Association is an organization of children and youth of Barangay Cantaan, Guinsiliban, Camiguin. Target participants are members/beneficiaries of Cantaan Centennial MultiPurpose Cooperative, the mother organization responsible for running the research project on Giant Clams Conservation and Coastal Reforestation in the same barangay. These children/youth have been trained on the various aspects of the giant clam project and have been the core group handling the Information, Education Campaign (IEC) of the area. While they have been very well-oriented on IEC regarding marine resource conservation and educational campaign, the need for leadership skills development has been observed and found necessary to further enhance their information dissemination abilities. This will develop these children/youth totally as individuals not only in the communication aspect but also in their capacity to lead and initiate activities related to the mission, vision and objectives of the research and educational facility where they exist. This one-day training will discuss the following areas: I. II. III. IV. V. VI. Overview on Leadership Qualities of a Good Leader Responsibilities of a Good Leader The Leader and the Team Leadership and the Environment Personal Development Tips Training Methods The training will be conducted through lectures, leadership activities, question-and-answer, team building activities as well as interactive games and talent show. Training Evaluation Evaluation sheets will be provided to participants before the closing program to collect feedback and comments/suggestions. The information collected will be used for future trainings and workshops to enhance and improve training procedures and methods. Prepared by: AHJ/CCMPC finance officer “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Leadership Training October 30, 2011 PROGRAM OF ACTIVITIES 8:00 a.m. – 8:15 a.m. 8:15 a.m. – 8:30 a.m. - Registration of Participants - Opening Program (Distribution of training materials, orientation, introduction and grouping of participants.) 8:30 a.m. – 9:30 a.m. - Lecture (Overview on Leadership) (Angustia H. Jadman, CCMPC Finance Officer) 9:30 a.m. – 12:00noon - Working Snacks, Team Building Activities, - Lecture (Qualities of a Good Leader, Responsibilities of a Good Leader, The Leader and the Team) - Lunch Break, Talent show, Learning of Theme Song (Listen Up) - Lecture (Leadership and the Environment) - Working Snacks - Ice breaker/Interactive Games - Activity Wrap-up - Lecture (Personality Development Tips) - Evaluation - Closing Program 12:00noon – 1:30 p.m. 1:30 p.m. – 2:30 p.m. 2:30 p.m. – 3:30 p.m. 3:30 p.m. – 4:00 p.m. 4:00 p.m. – 4:10 p.m. 4:10 p.m. – 4:30 p.m. “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Knowledge is information. • • • • • • • • • • • • • • • • • • • • • • • • • • Power; but you can’t have knowledge without What cities are most commonly known by these nicknames? City of Dreaming Spires - Oxford, UK. City of Magnificent Distances - Washington DC, USA. City of the Angels - Los Angeles, USA. City of Churches - Adelaide, Australia. City of Love - Paris, France; Rome, Italy; Calcutta, India. City of Peace and Justice - The Hague, The Netherlands. City of the Tribes/the Eternal City/City of Love - Rome, Italy. City of the Violated Treaty/Stab City - Limerick, Ireland. City of the Violet Crown - Athens, Greece. Crescent City - New Orleans, USA. Empire City - New York, USA. Fair City - Dublin, Ireland. (Also Perth, Scotland) Forbidden City - Beijing and Lhasa, China. Granite City - Aberdeen, Scotland. The Harbour City/Emerald City - Sydney, Australia; (Wichita, USA is also known as Emerald City). Monumental City/Charm City - Baltimore, USA. Mormon City - Salt Lake City, USA. Orchid City - Shah Alam, Malaysia. Quaker City - Philadelphia, USA. Soul City - Harlem, New York, USA. The Stampede City - Calgary, Canada. Windy City - Chicago, USA. Motor City - Detroit, USA. Music City - Nashville, USA. The River City - Brisbane, Australia; Edmonton, Canada; Wanganui, NZ. The Steel City - Sheffield, England. • The White City of the North - Helsinki, Finland. What is the only word in the English language that ends in 'mt'? Dreamt “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Environmental knowledge questions for sustainability and environmental learning: 1. According to a global study of wind power in 2005 what extent of the world's total energy usage could be satisfied if all viable wind power locations were exploited: 1%; 10%; 75%; or Five times? Five times (source: Evaluation of Global Wind Power by Archer & Jacobson) 2. What word, derived loosely from 'two oxygens', refers to a highly toxic group of pollutant chemicals produced typically as by-products from manufacturing processes? Dioxins (also interestingly in the USA, and no doubt elsewhere globally, produced mostly by 'backyard burning') 3. A photovoltaic module is more commonly known as what? Solar panel 4. Sulphur/sulfur dioxide and (various) nitrogen oxides are the main contributory factors in what unhelpful environmental effect: Acid rain; Landfill run-off; Global warming; or Pesticides?Acid rain 5. What structural modification of oxygen is an air pollutant in the lower atmosphere but beneficial in the upper atmosphere? Ozone 6. Used in various environmental terminology referring to organic life, what prefix derives from the original Greek meaning 'the course of human life'? Bio (from Greek, bios) 7. What is the climate change agreement aimed at stabilizing greenhouse gas levels in the atmosphere, named after the Japanese city in which participating nations agreed its framework in 1997? Kyoto Protocol 8. Photopollution is a technical alternative word for what sort of pollution? Light (specificallyartificial light - i.e., pollution of the natural light or darkness in the sky or environment, externally and potentially internally, by artificial light) 9. In excess of how many gallons of water are lost each day in the USA to leaks, equating to 14% of all 'withdrawals': Six million, Sixty million, Six hundred million; or Six billion? Six billion (According to the US EPA, Environmental Protection Agency, as at 2011) 10. The UN Stockholm Convention signed in 2001 seeks to limit the production and use of what, abbreviated to POPs? Persistent Organic Pollutants (or more loosely and notably,pesticides, for example DDT, extending to related chemicals such as herbicides) 11. What colourless/colorless, odourless/odorless, poisonous polluting gas is chiefly emitted by small engines typically used in lawn-mowers and chainsaws, etc? Carbon monoxide 12. What highly toxic element was traditionally used in thermometers, posing a substantial safety and disposal risk? Mercury 13. The 1987 Montreal Protocol concerns specifically, and includes in its full title, substances that deplete what? The Ozone Layer 14. Carbon dioxide, methane, nitrous oxide, and sulphur/sulfur hexafluoride are widely referred to by what collective metaphorical term? Greenhouse Gases 15. From the Greek root words for 'house' and 'study of' what term refers to the scientific study of the relationship between living things, and their natural environment? Ecology 16. An 'R number' identifies what sort of substance having potentially significant impact on global warming when used in heating/cooling applications? Refrigerant 17. If electricity costs say 5p (or 5 cents) per kilowatt/hour, how much does a conventional 100W light bulb cost to run in a year if it is left on permanently? £43.80 (or $43.80 - a 365-day year - the calculation is: 0.05p x 0.1kw x 24hrs x 365days = 43.80) 18. The DuPont trade name Freon has become an alternative name for which abbreviated compound name strongly associated with global warming? CFC (chlorofluorocarbon containing carbon, chlorine, and fluorine - used in refrigerants and aerosol propellants, and whose manufacture is being phased out by the Montreal Protocol) 19. The 'R-value' used in the building and construction industry is a measure of what quality of a materials: Life expectancy; Cost; Thermal resistance; or Tensile strength? Thermal resistance (meaning extent of heat insulation quality) 20. Which three of these waste products are safe and helpful to compost (and by exception which are not): Dairy products, Egg shells, Sawdust, Lard, Fish bones, Tea-bags, Pet waste? Egg shells, Sawdust, Tea-bags (so Dairy products, Lard, Fish bones, and Pet waste are not - this according to the US Environmental Protection Agency. “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Five Ways to Well-being A review of the most up-to-date evidence suggests that building the following five actions into our day-to-day lives is important for well-being: Connect… With the people around you. With family, friends, colleagues and neighbours. At home, work, school or in your local community. Think of these as the cornerstones of your life and invest time in developing them. Building these connections will support and enrich you every day. Be active… Go for a walk or run. Step outside. Cycle. Play a game. Garden. Dance. Exercising makes you feel good. Most importantly, discover a physical activity you enjoy and that suits your level of mobility and fitness. Take notice… Be curious. Catch sight of the beautiful. Remark on the unusual. Notice the changing seasons. Savour the moment, whether you are going to school, walking to work, eating lunch or talking to friends. Be aware of the world around you and what you are feeling. Reflecting on your experiences will help you appreciate what matters to you. Keep learning… Try something new. Rediscover an old interest. Sign up for that course. Take on a different responsibility at work. Fix a bike. Learn to play an instrument or how to cook your favourite food. Set a challenge you will enjoy achieving. Learning new things will make you more confident as well as being fun. Give… Do something nice for a friend, or a stranger. Thank someone. Smile. Volunteer your time. Join a community group. Look out, as well as in. Seeing yourself, and your happiness, linked to the wider community can be incredibly rewarding and creates connections with the people around you. Five Ways to Well-being Well-being Good feelings, day-to-day and overall happiness, satisfaction Conne ct Good Functioni ng Give Keep Learning Be active Take Notice Mental Capital Resilience, self-esteem, cognitive capacity, emotional intelligence As the evidence indicates, it is known that each action theme (connect, be active, take notice, keep learning, give) positively enhances personal wellbeing. The model suggests that following the advice of these interventions enhances personal well-being by making a person feel good and by bolstering his/her mental capital. The actions mainly influence well-being and mental capital by interacting at the level of ‘functioning’. They may not be sufficient to denote ‘good functioning’ in its entirety but, according to the evidence base to date, they play an essential role in satisfying needs for positive relationships, autonomy, competency and security. The action themes are designed to promote their own positive feedback loops so they reinforce similar and more frequent well-being-promoting behaviors. For example, ‘giving’ by doing something nice for someone will, in most cases, provoke a thank-you, which increases a feeling of satisfaction and the likelihood of doing something nice for someone again. Alternatively, learning something new (like how to cook your favorite food) may lead to a sense of achievement and, as a result, a greater sense of competence and autonomy, which, in turn, leads to feelings of contentment and self-worth. This is reflected in research findings showing that simply having positive emotions changes how people think and behave and enhances psychological resources like optimism and resilience. The feedback loop between well-being and mental capital operates in both directions and represents a multitude of possible relationships between the two. For example, it makes sense that feeling happy can lead to greater resilience or that higher self-esteem leads to greater feelings of satisfaction. As Huppert summarizes, ‘positive emotions can lead to positive cognitions which in turn contribute to further positive emotions’. The aim of this set of actions is to communicate behavior changes at the individual level. They have been formulated to be as accessible as possible to all individuals in the population, in trying to overcome both available resources and favorable external conditions (like school, work, home life and physical health). What this model does not explain is the role of enablers (infrastructure and motivators) at the societal level, which have the capacity to encourage and sustain individual behavior change. Critically, each action does not need to be practiced in parallel. For example, an individual could ‘be active’ by going for a walk while connecting’ by going for a walk with a friend. They are generic actions that purposefully appeal to as wide a number of people as possible. Yet, at the same time, they can be applied to specific life domains. For example, there is not an action specifically oriented around well-being at school, but an individual could incorporate the advice into their school life by cycling to school, by taking on a new responsibility at home or by investing some time in relationships at work. “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” MENTAL AGILITY TEST You have three minutes to complete the following test of mental agility. Read all the instructions before doing anything else. Instructions : 1. Write your initials in the top right hand corner of this sheet. 2. Write the total of 3 + 16 + 32 + 64 here : _________________ 3. Underline instruction 1 above. 4. Check the time by your watch with that of your neighbour’s. 5. Write down the difference in time between the two watches at the foot of this page. 6. Draw three circles in the left hand margin. 7. Put a tick in each of the circles mentioned in 6. 8. Sign your signature at the foot of the page. 9. On the back of the page, divide 50 by 12.5. 10. When you get to this point in the test, stand up, then sit down and continue with the next item. 11. If you have carefully followed all these instructions, call out ‘I have’. 12. On the reverse of this page, draw quickly what you think an upright bicycle looks like from overhead. 13. Check your answer to Item 9, multiply it by 5 and write the result in the left hand margin opposite this item. 14. In the space below write the 5th, 10th, 9th and 20th letters of the alphabet. ____________________________________________________________ 15. Punch three holes with your pen here : o o o 16. If you think you are the first person to get this far, call out ‘I’m in the lead’. 17. Underline all the even digits on the left hand side of the page. 18. Draw triangles round the holes you punched in Item 15. 19. Draw a circle around the number 10 wherever it occurs. 20. Now you’ve finished reading all the instructions, obey only 1, 2 and 20 LEADERSHIP - is a process that enables a person to influence others to achieve a goal; inspires the followers to set higher goals for themselves. 4 dimensions: - the leader - the followers; and - the demands of situation or the GOAL - communication Also note that the situation normally has a greater effect on a leader's action than his or her traits. This is because while traits may have an impressive stability over a period of time, they have little consistency across situations. Various forces will affect these four factors. Examples of forces are your relationship with your seniors, the skill of your followers, the informal leaders within your organization, and how your organization is organized. the Theories on Leadership: 1. Trait Theory – certain personality traits may lead people spontaneously roles. 2. Great Events Theory – A crisis or important event may cause a person to rise to the occasion, which brings out extraordinary leadership qualities in an ordinary person. 3. Transformational Leadership Theory – leadership skills can be mastered by people who wish to become leaders. Very Important Components of Effective Leadership - belief and confidence in leadership - effective communication by the leadership into leadership Leader You must have an honest understanding of who you are, what you know, and what you can do. Also, note that it is the followers, not the leader or someone else who determines if the leader is successful. If they do not trust or lack confidence in their leader, then they will be uninspired. To be successful you have to convince your followers, not yourself or your superiors, that you are worthy of being followed. Followers Different people require different styles of leadership. For example, a new hire requires more supervision than an experienced employee. A person who lacks motivation requires a different approach than one with a high degree of motivation. You must know your people! The fundamental starting point is having a good understanding of human nature, such as needs, emotions, and motivation. You must come to know your employees' be, know, and do attributes. Communication You lead through two-way communication. Much of it is nonverbal. For instance, when you “set the example,” that communicates to your people that you would not ask them to perform anything that you would not be willing to do. What and how you communicate either builds or harms the relationship between you and your employees. Situation All situations are different. What you do in one situation will not always work in another. You must use your judgment to decide the best course of action and the leadership style needed for each situation. For example, you may need to confront an employee for inappropriate behavior, but if the confrontation is too late or too early, too harsh or too weak, then the results may prove ineffective. Effective Leadership Checklist: • Able to handle top leaders or other leaders • Able to manage time wisely-can establish priorities and not get swamped down by minor details • Results-oriented; “I do not care how you do it. Just do it.” Able to read between the lines. People do not always tell you somethinghow they say something is often as important as what they say. • • are a tyrant, too little and you are a cream puff. Patient Good at handling stress. They must resist taking job-related stress at home since this can damage one’s family/social life. • • • A good example for followers. They cannot break the rules and expect followers to adhere to them. Motivated. They have to like being a leader in spite of all its problems and have the will to manage. • • Able to handle emergencies Firm, yet fair-a very difficult combination • Able to be close to followers and still be the boss- particularly difficult when managing friends and former peers. • Effective at handling problemfollowers. These tough cases will consume great even amounts in of supervisory time and energy. What is a LEADER? A coach..... A mentor..... A communicator..... A champion..... • Decisive ambiguous inaction highly Leaders lack of situations. to a should not be paralyzed into due information. • • Politically skilled Able to use authority wisely. Too much use of authority and you What is LEADERSHIP? A goal setter..... A motivator..... player..... achiever..... A team An Unleash the LEADER in YOU! Who is a LEADER? A powerful personality..... A self-confident person..... A charismatic individual..... An integrated human..... How? Recognize it..... Explore it..... it..... Nurture it..... Change your limiting beliefs..... Change your emotional state..... Make a decision now..... And take massive action..... Find Who charismatic YOU!!! is that individual? You are a charismatic LEADER. Whether downsizing, rightsizing, or outsourcing, or changing... YOU are not afraid...YOU have the potential! Learn..... Practice..... Grow..... Unleash potential, One idea, One skill, your It is your opportunity, your responsibility, and your commitment to action, One time. time..... day............ One at a Most things are difficult, before they are easy. Authority is a poor substitute for leadership. Honor people and they will honor you. Fail to honor people and they will fail to honor you. The more you say, the less they will remember. There is no better than NOW! *Q UALITIES OF L EADERSHIP * Never tell people how to do things. Tell them what to do and they will surprise you with their ingenuity. Never discourage anyone who continually makes progress, no matter how slow. Many people would rather you heard their story than granted their request. Real leaders are ordinary people with extraordinary determination. Leaders don’t force people to follow; they invite them on a journey. “If your actions inspire others to DREAM MORE..... LEARN MORE..... DO MORE..... and BECOME MORE..... YOU are a LEADER. One does not discover new lands without consenting to lose sight of the shore for a very long time. LEADERSHIP is action, not position. Don’t wait for your ship to come in, swim out to meet it. A leader is someone who believes in you, and gets you to believe in yourself. Leaders make the impossible possible. Leaders consider the past, evaluate the present, and create the future. We are what we repeatedly do. EXCELLENCE, then, is not an act but a HABIT. E M A TEAM – is a group of people with various complementary skills, WORKING TOGETHER towards a common VISION; a team is a group of people working to gether towards a common goal. - Members operate with a high degree of TRUST, accountability and interdependence. - Members share authority and RESPONSIBILITY for self-management. - Members create synergy with strong sense of mutual COMMITMENT. - generates performance GREATER than the sum of the performance of its INDIVIDUAL member. TEAMWORK – is the fuel that allows common people to attain uncommon RESULTS. - Members HELP one another, help OTHER team members REALIZE their TRUE POTENTIAL - Members create an environment that allows everyone to GO BEYOND their LIMITATIONS. - Separates the winners from the losers - Share center point values T TOGETHER EVERYONE MORE “Alone we can do so little, Together we can do so much.” = HELEN KELLER = ACHIEVES TEAMWORK – simply stated, it is less ME and more WE. Working in teams helps build synergy between its members and, as a result, the work, at hand, gets efficiently done. TEAM QUALITY COLLABORATION: - communication - coordination balance of contributions mutual support effort cohesion COMING TOGETHER IS A BEGINNING; KEEPING TOGETHER IS PROGRESS; WORKING TOGETHER IS SUCCESS!!! If everyone is moving forward together, then success takes care of itself. Let’s DO IT! Is more powerful than I DO IT! Or YOU DO IT! 6-Fold Approach to Team Building 1. PURPOSE People who had a clear purpose which gave meaning to their lives, were far more likely to survive, and retain some level of humanity during times of horror, than those who did not. If you are unsure of your why, your motivation levels will be low. And, when you know your purpose, you will discover the genius within you. The team also needs to know its greater purpose. Each individual needs to have clarity of personal purpose and meaning and share in the greater mission and vision of the team. 2. Instinctive ways of doing You have a natural way of doing things. An instinctive modus operandi that determines not what you are capable of doing, but what you will and won’t do. Each person is unique. If each team member draws on his or her instincts, performance will be high. Team building requires picking the right people with different instincts. 3. Relationship to others: • What is your attitude to people who are different to you? • How do you handle personality mismatches? • How are you treated and how do you treat others? • Why should you even care? People in your team are a mirror. An image of yourself. They reflect back to you parts of yourself that you deny, parts you hide from view, or parts you have lost. They show you the points that need healing. That is why the people who trigger or hurt you the most, offer you the greatest opportunity for growth and expansion. They also teach you assertiveness, patience, compassion, self respect. As the saying goes... ‘...We teach people how to treat us.’ 4. Teams develop roles: Team roles play off each other and create the ‘other’. Soon an ‘us/them’ conversation emerges. Yet although the roles are bigger than you, you are bigger than the role. If, for example, you hold the role of initiator very strongly, another role that holds back and wants to stay the same, must emerge to provide balance. This is called the law of polarity. one course simply isn’t enough. When you choose courses, be sure to look for ones that are highly experiential in nature. The more time to 17alling17 the easier it is to apply. 6. Embracing change and stress: If you learn to manage stress to flow with change, you will enjoy challenges and ride the waves of tough times. Your contribution to team will be dynamic, not stressful. 5. Interpersonal skill: • Setting healthy boundaries, • Listening and communication skills, • Being assertive, • Self expression, • Leadership, • Emotional intelligence, • Handling conflict are interpersonal skills that each member will develop over time. Skills take people a long way. Individuals and organizations don’t pay enough attention to this area. You need plenty of practice and patience. Attending and the the the KARANIWANG TAO (Joey Ayala) Ako po’y karaniwang tao lamang Kayod-kabayo, ‘yan ang alam Karaniwang hanap-buhay Karaniwan ang problema Pagkain, damit at tirahan ‘Di ko kabisado ‘yang siyensiya Ako’y nalilito sa maraming salita Alam ko lang na itong planeta’y Walang kapalit at dapat ingatan Kapag nasira, sino ang kawawa CHORUS Karaniwang tao, saan ka tatakbo Kapag nawasak iisang mundo Karaniwang tao, anong magagawa Upang bantayan ang kalikasan Karaniwang bagay ay ‘di pansin Kapag naipon ay nagiging suliranin Kaunting basura ngayo’y bundok Kotseng sira ay umuusok Sabong panlaba’y pumapatay sa ilog May lason na 18alling sa industriya Ibinubuga ng mga pabrika Ngunit ‘di lamang higante Ang nagkakalat ng dumi May kinalaman din ang tulad natin [Repeat CHORUS twice] Karaniwang tao [4x] [Repeat CHORUS] Karaniwang tao [Repeat till fade] To show the earth some love is all I ever ask cause What you don’t understand is I’m kind of afraid for ya, You think that this world is made for ya But who is gonna clean up for ya You know you must make a change for good, oh oh oh The earth goes thru all this pain Our pollutants they take the blame Yes, I would fight for earth today, but would you do the same, no no no Reduce, reuse, recycle- it’s good for the world You should really start today when you’re back to where you’re from Carpooling-it’s better-more people in the car Yeah less exhaust in the air now maybe you can see the stars If you want to get inspired- ooh—lower your carbon footprint yes That is your impact on the planet cause its neverever- ever too late. But darling I’m still kind of afraid for ya You think that this world is made for ya But who is gonna clean up for ya You know you must make a change for good The earth goes thru all this pain Our pollutants they take the blame Yes, I would fight for earth today, but would you do the same? Oh, will you do the same? We all could do the same. Together do the same Nah, nah nah LISTEN UP (Grenade-Bruno Mars) Here we come, so let’s go Let’s show you how you live Oh, take, take, take it all but you never give You should know that it’s trouble-leave the earth like this Mother Nature’s hopin’ your eyes are open **When you’re done with that, you toss it in the trash toss it in the trash, that’s it Highly Significant Leadership Qualities • integrity • • • • • • • • • • • • • honesty humility courage commitment sincerity passion confidence positivity wisdom determination compassion sensitivity • • • • • • • People with these sort of behaviors and attitudes tend to attract followers. Followers are naturally drawn to people who exhibit strength and can inspire belief in others. These qualities tend to produce a charismatic effect. Charisma tends to result from effective leadership and the qualities which enable effective leadership. Charisma is by itself no guarantee of effective leadership. Some people are born more naturally to leadership than others. Most people don't seek to be a leader, but many more people are able to lead, in one way or another and in one situation or another, than they realize. People who want to be a leader can develop leadership ability. Leadership is not the exclusive preserve of the wealthy and educated. Leadership is a matter of personal conviction and believing strongly in a cause or aim, whatever it is. Leadership sometimes comes to people later in life, and this is no bad thing. Humanity tends to be generational characteristic. There is no real obstacle to people who seek to become leaders if leadership is approached with proper integrity. Anyone can be a leader if he/she is suitably driven to a particular cause. And many qualities of effective leadership, like confidence and charisma, continue to grow from experience in the leadership role. Even initially surprised modest leaders can become great ones, and sometimes the greatest ones. Leadership can be performed with different styles. Some leaders have one style, which is right for certain situations and wrong for others. Some leaders can adapt and use different leadership styles for given situations. Adaptability of style is an increasingly significant aspect of leadership, because the world is increasingly complex and dynamic. Adaptability stems from objectivity, which in turn stems from emotional security and emotional maturity. Again these strengths are not dependent on wealth or education, or skills or processes. Leadership Principles There is only one way - the straight way. It sets the tone of the organization. Be open to the best of what everyone, everywhere, has to offer; transfer learning across your organization. 3. Get the right people in the right jobs - it is more important than developing a strategy. 4. An informal atmosphere is a competitive advantage. 5. Make sure everybody counts and everybody knows they count. 6. Legitimate self-confidence is a winner - the true test of self-confidence is the courage to be open. 7. Business has to be fun - celebrations energize and organization. 8. Never underestimate the other guy. 9. Understand where real value is added and put your best people there. 10. Know when to meddle and when to let go - this is pure instinct. 1. 2. As a leader, your main priority is to get the job done, whatever the job is. Leaders make things happen by: • knowing your objectives and having a plan how to achieve them • building a team committed to achieving the objectives • helping each team member to give their best efforts As a leader you must know yourself. Know your own strengths and weaknesses, so that you can build the best team around you. Plan carefully, with your people where appropriate, how you will achieve your aims. You may have to redefine or develop your own new aims and priorities. Build teams. Ensure you look after people and that communications and relationships are good. Communication is critical. Listen, consult, involve, explain why as well as what needs to be done. "... Praise loudly, blame softly." (Catherine the Great). Follow this maxim. Take time to listen to and really understand people. Walk the job. Ask and learn about what people do and think, and how they think improvements can be made. Accentuate the positive. Express things in terms of what should be done, not what should not be done. Have faith in people to do great things - given space and air and time, everyone can achieve more than they hope for. Provide people with relevant interesting opportunities, with proper measures and rewards and they will more than repay your faith. Take difficult decisions bravely, and be truthful and sensitive when you implement them. Constantly seek to learn from the people around you - they will teach you more about yourself than anything else. Embrace change. The Four Agreements Don Miguel Ruiz's Code for Life agreement 1 Be impeccable with your word. - Speak with integrity. Say only what you mean. Avoid using the word to speak against yourself or to gossip about others. Use the power of your word in the direction of truth and love. agreement 2 Don’t take anything personally. - Nothing others do is because of you. What others say and do is a projection of their own reality, their own dream. When you are immune to the opinions and actions of others, you won’t be the victim of needless suffering. agreement 3 Don’t make assumptions. - Find the courage to ask questions and to express what you really want. Communicate with others as clearly as you can to avoid misunderstandings, sadness and drama. With just this one agreement, you can completely transform your life. agreement 4 Always do your best. - Your best is going to change from moment to moment; it will be different when you are healthy as opposed to sick. Under any circumstance, simply do your best, and you will avoid self-judgment, self-abuse and regret. Cherie Carter-Scott's Rules of Life ('Rules for Being Human') "Life is a succession of lessons which must be lived to be understood." (Helen Keller) Rule One - You will receive a body. Whether you love it or hate it, it's yours for life, so accept it. What counts is what's inside. Rule Two - You will be presented with lessons. Life is a constant learning experience, which every day provides opportunities for you to learn more. These lessons specific to you, and learning them 'is the key to discovering and fulfilling the meaning and relevance of your own life'. Rule Three - There are no mistakes, only lessons. Your development towards wisdom is a process of experimentation, trial and error, so it's inevitable things will not always go to plan or turn out how you'd want. Compassion is the remedy for harsh judgment - of ourselves and others. Forgiveness is not only divine - it's also 'the act of erasing an emotional debt'. Behaving ethically, with integrity, and with humor - especially the ability to laugh at yourself and your own mishaps are central to the perspective that 'mistakes' are simply lessons we must learn. Rule Four - The lesson is repeated until learned. Lessons repeat until learned. What manifest as problems and challenges, irritations and frustrations are more lessons - they will repeat until you see them as such and learn from them. Your own awareness and your ability to change are requisites of executing this rule. Also fundamental is the acceptance that you are not a victim of fate or circumstance - 'causality' must be acknowledged; that is to say: things happen to you because of how you are and what you do. To blame anyone or anything else for your misfortunes is an escape and a denial; you yourself are responsible for you, and what happens to you. Patience is required - change doesn't happen overnight, so give change time to happen. Rule Five - Learning does not end. While you are alive there are always lessons to be learned. Surrender to the 'rhythm of life', don't struggle against it. Commit to the process of constant learning and change - be humble enough to always acknowledge your own weaknesses, and be flexible enough to adapt from what you may be accustomed to, because rigidity will deny you the freedom of new possibilities. Rule Six - "There" is no better than "here". The other side of the hill may be greener than your own, but being there is not the key to endless happiness. Be grateful for and enjoy what you have, and where you are on your journey. Appreciate the abundance of what's good in your life, rather than measure and amass things that do not actually lead to happiness. Living in the present helps you attain peace. Rule Seven - Others are only mirrors of you. You love or hate something about another person according to what love or hate about yourself. Be tolerant; accept others as they are, and strive for clarity of self-awareness; strive to truly understand and have an objective perception of your own self, your thoughts and feelings. Negative experiences are opportunities to heal the wounds that you carry. Support others, and by doing so you support yourself. Rule Eight - What you make of your life is up to you. You have all the tools and resources you need. What you do with them is up to you. Take responsibility for yourself. Learn to let go when you cannot change things. Don't get angry about things - bitter memories clutter your mind. Courage resides in all of us - use it when you need to do what's right for you. We all possess a strong natural power and adventurous spirit, which you should draw on to embrace what lies ahead. Rule Nine - Your answers lie inside of you. Trust your instincts and your innermost feelings, whether you hear them as a little voice or a flash of inspiration. Listen to feelings as well as sounds. Look, listen, and trust. Rule Ten - You will forget all this at birth. We are all born with all of these capabilities - our early experiences lead us into a physical world, away from our spiritual selves, so that we become doubtful, cynical and lacking belief and confidence. The ten Rules are not commandments; they are universal truths that apply to us all. When you lose your way, call upon them. Have faith in the strength of your spirit. Aspire to be wise - wisdom the ultimate path of your life, and it knows no limits other than those you impose on yourself. The Process of Great Leadership Challenge the process - First, find a process that you believe needs to be improved the most. Inspire a shared vision - Next, share your vision in words that can be understood by your followers. Enable others to act - Give them the tools and methods to solve the problem. Model the way - When the process gets tough, get your hands dirty. A boss tells others what to do, a leader shows that it can be done. Encourage the heart - Share the glory with your followers' hearts, while keeping the pains within your own.
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Greenhouse gas
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From the Greek root words for 'house' and 'study of' what term refers to the scientific study of the relationship between living things, and their natural environment?
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CANTAAN YOUTH MARINE RESOURCE ANGELO KING ASSOCIATION (CYMRAKA) Sitio Kibila, Cantaan, Guinsiliban, Camiguin LEADERSHIP TRAINING DESIGN Theme: “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace and Progress) Objectives: Develop leadership skills among the children and youth members of CYMRAKA, along the vision and mission of marine resource conservation, protection and rehabilitation spearheaded by the Cantaan Centennial Multi Purpose Cooperative. Date/Time: October 30, 2011, 8:00 a.m. – 4:30 p.m. Venue: CCMPC Training Center, Sitio Kibila, Cantaan, Guinsiliban, Camiguin Estimated No. of Participants:20 members/beneficiaries Estimated No. of Training Facilitators: 3 CCMPC Officers Budgetary Requirements Collection of registration fee is not necessary as snacks (morning and afternoon) and lunch will be provided by CCMPC. Honorariums and allowances for lecturers and caterers will be shouldered by CCMPC, subject to budgetary constraints, and should be in accordance with accounting standards and audit policies and procedures. Materials for the training will be prepared and provided by CCMPC and training facilitators. Training kit will be provided to participants. Rationale The Cantaan Youth Marine Resource Angelo King Association is an organization of children and youth of Barangay Cantaan, Guinsiliban, Camiguin. Target participants are members/beneficiaries of Cantaan Centennial MultiPurpose Cooperative, the mother organization responsible for running the research project on Giant Clams Conservation and Coastal Reforestation in the same barangay. These children/youth have been trained on the various aspects of the giant clam project and have been the core group handling the Information, Education Campaign (IEC) of the area. While they have been very well-oriented on IEC regarding marine resource conservation and educational campaign, the need for leadership skills development has been observed and found necessary to further enhance their information dissemination abilities. This will develop these children/youth totally as individuals not only in the communication aspect but also in their capacity to lead and initiate activities related to the mission, vision and objectives of the research and educational facility where they exist. This one-day training will discuss the following areas: I. II. III. IV. V. VI. Overview on Leadership Qualities of a Good Leader Responsibilities of a Good Leader The Leader and the Team Leadership and the Environment Personal Development Tips Training Methods The training will be conducted through lectures, leadership activities, question-and-answer, team building activities as well as interactive games and talent show. Training Evaluation Evaluation sheets will be provided to participants before the closing program to collect feedback and comments/suggestions. The information collected will be used for future trainings and workshops to enhance and improve training procedures and methods. Prepared by: AHJ/CCMPC finance officer “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Leadership Training October 30, 2011 PROGRAM OF ACTIVITIES 8:00 a.m. – 8:15 a.m. 8:15 a.m. – 8:30 a.m. - Registration of Participants - Opening Program (Distribution of training materials, orientation, introduction and grouping of participants.) 8:30 a.m. – 9:30 a.m. - Lecture (Overview on Leadership) (Angustia H. Jadman, CCMPC Finance Officer) 9:30 a.m. – 12:00noon - Working Snacks, Team Building Activities, - Lecture (Qualities of a Good Leader, Responsibilities of a Good Leader, The Leader and the Team) - Lunch Break, Talent show, Learning of Theme Song (Listen Up) - Lecture (Leadership and the Environment) - Working Snacks - Ice breaker/Interactive Games - Activity Wrap-up - Lecture (Personality Development Tips) - Evaluation - Closing Program 12:00noon – 1:30 p.m. 1:30 p.m. – 2:30 p.m. 2:30 p.m. – 3:30 p.m. 3:30 p.m. – 4:00 p.m. 4:00 p.m. – 4:10 p.m. 4:10 p.m. – 4:30 p.m. “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Knowledge is information. • • • • • • • • • • • • • • • • • • • • • • • • • • Power; but you can’t have knowledge without What cities are most commonly known by these nicknames? City of Dreaming Spires - Oxford, UK. City of Magnificent Distances - Washington DC, USA. City of the Angels - Los Angeles, USA. City of Churches - Adelaide, Australia. City of Love - Paris, France; Rome, Italy; Calcutta, India. City of Peace and Justice - The Hague, The Netherlands. City of the Tribes/the Eternal City/City of Love - Rome, Italy. City of the Violated Treaty/Stab City - Limerick, Ireland. City of the Violet Crown - Athens, Greece. Crescent City - New Orleans, USA. Empire City - New York, USA. Fair City - Dublin, Ireland. (Also Perth, Scotland) Forbidden City - Beijing and Lhasa, China. Granite City - Aberdeen, Scotland. The Harbour City/Emerald City - Sydney, Australia; (Wichita, USA is also known as Emerald City). Monumental City/Charm City - Baltimore, USA. Mormon City - Salt Lake City, USA. Orchid City - Shah Alam, Malaysia. Quaker City - Philadelphia, USA. Soul City - Harlem, New York, USA. The Stampede City - Calgary, Canada. Windy City - Chicago, USA. Motor City - Detroit, USA. Music City - Nashville, USA. The River City - Brisbane, Australia; Edmonton, Canada; Wanganui, NZ. The Steel City - Sheffield, England. • The White City of the North - Helsinki, Finland. What is the only word in the English language that ends in 'mt'? Dreamt “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Environmental knowledge questions for sustainability and environmental learning: 1. According to a global study of wind power in 2005 what extent of the world's total energy usage could be satisfied if all viable wind power locations were exploited: 1%; 10%; 75%; or Five times? Five times (source: Evaluation of Global Wind Power by Archer & Jacobson) 2. What word, derived loosely from 'two oxygens', refers to a highly toxic group of pollutant chemicals produced typically as by-products from manufacturing processes? Dioxins (also interestingly in the USA, and no doubt elsewhere globally, produced mostly by 'backyard burning') 3. A photovoltaic module is more commonly known as what? Solar panel 4. Sulphur/sulfur dioxide and (various) nitrogen oxides are the main contributory factors in what unhelpful environmental effect: Acid rain; Landfill run-off; Global warming; or Pesticides?Acid rain 5. What structural modification of oxygen is an air pollutant in the lower atmosphere but beneficial in the upper atmosphere? Ozone 6. Used in various environmental terminology referring to organic life, what prefix derives from the original Greek meaning 'the course of human life'? Bio (from Greek, bios) 7. What is the climate change agreement aimed at stabilizing greenhouse gas levels in the atmosphere, named after the Japanese city in which participating nations agreed its framework in 1997? Kyoto Protocol 8. Photopollution is a technical alternative word for what sort of pollution? Light (specificallyartificial light - i.e., pollution of the natural light or darkness in the sky or environment, externally and potentially internally, by artificial light) 9. In excess of how many gallons of water are lost each day in the USA to leaks, equating to 14% of all 'withdrawals': Six million, Sixty million, Six hundred million; or Six billion? Six billion (According to the US EPA, Environmental Protection Agency, as at 2011) 10. The UN Stockholm Convention signed in 2001 seeks to limit the production and use of what, abbreviated to POPs? Persistent Organic Pollutants (or more loosely and notably,pesticides, for example DDT, extending to related chemicals such as herbicides) 11. What colourless/colorless, odourless/odorless, poisonous polluting gas is chiefly emitted by small engines typically used in lawn-mowers and chainsaws, etc? Carbon monoxide 12. What highly toxic element was traditionally used in thermometers, posing a substantial safety and disposal risk? Mercury 13. The 1987 Montreal Protocol concerns specifically, and includes in its full title, substances that deplete what? The Ozone Layer 14. Carbon dioxide, methane, nitrous oxide, and sulphur/sulfur hexafluoride are widely referred to by what collective metaphorical term? Greenhouse Gases 15. From the Greek root words for 'house' and 'study of' what term refers to the scientific study of the relationship between living things, and their natural environment? Ecology 16. An 'R number' identifies what sort of substance having potentially significant impact on global warming when used in heating/cooling applications? Refrigerant 17. If electricity costs say 5p (or 5 cents) per kilowatt/hour, how much does a conventional 100W light bulb cost to run in a year if it is left on permanently? £43.80 (or $43.80 - a 365-day year - the calculation is: 0.05p x 0.1kw x 24hrs x 365days = 43.80) 18. The DuPont trade name Freon has become an alternative name for which abbreviated compound name strongly associated with global warming? CFC (chlorofluorocarbon containing carbon, chlorine, and fluorine - used in refrigerants and aerosol propellants, and whose manufacture is being phased out by the Montreal Protocol) 19. The 'R-value' used in the building and construction industry is a measure of what quality of a materials: Life expectancy; Cost; Thermal resistance; or Tensile strength? Thermal resistance (meaning extent of heat insulation quality) 20. Which three of these waste products are safe and helpful to compost (and by exception which are not): Dairy products, Egg shells, Sawdust, Lard, Fish bones, Tea-bags, Pet waste? Egg shells, Sawdust, Tea-bags (so Dairy products, Lard, Fish bones, and Pet waste are not - this according to the US Environmental Protection Agency. “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” Five Ways to Well-being A review of the most up-to-date evidence suggests that building the following five actions into our day-to-day lives is important for well-being: Connect… With the people around you. With family, friends, colleagues and neighbours. At home, work, school or in your local community. Think of these as the cornerstones of your life and invest time in developing them. Building these connections will support and enrich you every day. Be active… Go for a walk or run. Step outside. Cycle. Play a game. Garden. Dance. Exercising makes you feel good. Most importantly, discover a physical activity you enjoy and that suits your level of mobility and fitness. Take notice… Be curious. Catch sight of the beautiful. Remark on the unusual. Notice the changing seasons. Savour the moment, whether you are going to school, walking to work, eating lunch or talking to friends. Be aware of the world around you and what you are feeling. Reflecting on your experiences will help you appreciate what matters to you. Keep learning… Try something new. Rediscover an old interest. Sign up for that course. Take on a different responsibility at work. Fix a bike. Learn to play an instrument or how to cook your favourite food. Set a challenge you will enjoy achieving. Learning new things will make you more confident as well as being fun. Give… Do something nice for a friend, or a stranger. Thank someone. Smile. Volunteer your time. Join a community group. Look out, as well as in. Seeing yourself, and your happiness, linked to the wider community can be incredibly rewarding and creates connections with the people around you. Five Ways to Well-being Well-being Good feelings, day-to-day and overall happiness, satisfaction Conne ct Good Functioni ng Give Keep Learning Be active Take Notice Mental Capital Resilience, self-esteem, cognitive capacity, emotional intelligence As the evidence indicates, it is known that each action theme (connect, be active, take notice, keep learning, give) positively enhances personal wellbeing. The model suggests that following the advice of these interventions enhances personal well-being by making a person feel good and by bolstering his/her mental capital. The actions mainly influence well-being and mental capital by interacting at the level of ‘functioning’. They may not be sufficient to denote ‘good functioning’ in its entirety but, according to the evidence base to date, they play an essential role in satisfying needs for positive relationships, autonomy, competency and security. The action themes are designed to promote their own positive feedback loops so they reinforce similar and more frequent well-being-promoting behaviors. For example, ‘giving’ by doing something nice for someone will, in most cases, provoke a thank-you, which increases a feeling of satisfaction and the likelihood of doing something nice for someone again. Alternatively, learning something new (like how to cook your favorite food) may lead to a sense of achievement and, as a result, a greater sense of competence and autonomy, which, in turn, leads to feelings of contentment and self-worth. This is reflected in research findings showing that simply having positive emotions changes how people think and behave and enhances psychological resources like optimism and resilience. The feedback loop between well-being and mental capital operates in both directions and represents a multitude of possible relationships between the two. For example, it makes sense that feeling happy can lead to greater resilience or that higher self-esteem leads to greater feelings of satisfaction. As Huppert summarizes, ‘positive emotions can lead to positive cognitions which in turn contribute to further positive emotions’. The aim of this set of actions is to communicate behavior changes at the individual level. They have been formulated to be as accessible as possible to all individuals in the population, in trying to overcome both available resources and favorable external conditions (like school, work, home life and physical health). What this model does not explain is the role of enablers (infrastructure and motivators) at the societal level, which have the capacity to encourage and sustain individual behavior change. Critically, each action does not need to be practiced in parallel. For example, an individual could ‘be active’ by going for a walk while connecting’ by going for a walk with a friend. They are generic actions that purposefully appeal to as wide a number of people as possible. Yet, at the same time, they can be applied to specific life domains. For example, there is not an action specifically oriented around well-being at school, but an individual could incorporate the advice into their school life by cycling to school, by taking on a new responsibility at home or by investing some time in relationships at work. “CYMRAKA: Transformational Leadership Promoting the 4 P’s (Pilipino, Planet, Peace, and Progress)” MENTAL AGILITY TEST You have three minutes to complete the following test of mental agility. Read all the instructions before doing anything else. Instructions : 1. Write your initials in the top right hand corner of this sheet. 2. Write the total of 3 + 16 + 32 + 64 here : _________________ 3. Underline instruction 1 above. 4. Check the time by your watch with that of your neighbour’s. 5. Write down the difference in time between the two watches at the foot of this page. 6. Draw three circles in the left hand margin. 7. Put a tick in each of the circles mentioned in 6. 8. Sign your signature at the foot of the page. 9. On the back of the page, divide 50 by 12.5. 10. When you get to this point in the test, stand up, then sit down and continue with the next item. 11. If you have carefully followed all these instructions, call out ‘I have’. 12. On the reverse of this page, draw quickly what you think an upright bicycle looks like from overhead. 13. Check your answer to Item 9, multiply it by 5 and write the result in the left hand margin opposite this item. 14. In the space below write the 5th, 10th, 9th and 20th letters of the alphabet. ____________________________________________________________ 15. Punch three holes with your pen here : o o o 16. If you think you are the first person to get this far, call out ‘I’m in the lead’. 17. Underline all the even digits on the left hand side of the page. 18. Draw triangles round the holes you punched in Item 15. 19. Draw a circle around the number 10 wherever it occurs. 20. Now you’ve finished reading all the instructions, obey only 1, 2 and 20 LEADERSHIP - is a process that enables a person to influence others to achieve a goal; inspires the followers to set higher goals for themselves. 4 dimensions: - the leader - the followers; and - the demands of situation or the GOAL - communication Also note that the situation normally has a greater effect on a leader's action than his or her traits. This is because while traits may have an impressive stability over a period of time, they have little consistency across situations. Various forces will affect these four factors. Examples of forces are your relationship with your seniors, the skill of your followers, the informal leaders within your organization, and how your organization is organized. the Theories on Leadership: 1. Trait Theory – certain personality traits may lead people spontaneously roles. 2. Great Events Theory – A crisis or important event may cause a person to rise to the occasion, which brings out extraordinary leadership qualities in an ordinary person. 3. Transformational Leadership Theory – leadership skills can be mastered by people who wish to become leaders. Very Important Components of Effective Leadership - belief and confidence in leadership - effective communication by the leadership into leadership Leader You must have an honest understanding of who you are, what you know, and what you can do. Also, note that it is the followers, not the leader or someone else who determines if the leader is successful. If they do not trust or lack confidence in their leader, then they will be uninspired. To be successful you have to convince your followers, not yourself or your superiors, that you are worthy of being followed. Followers Different people require different styles of leadership. For example, a new hire requires more supervision than an experienced employee. A person who lacks motivation requires a different approach than one with a high degree of motivation. You must know your people! The fundamental starting point is having a good understanding of human nature, such as needs, emotions, and motivation. You must come to know your employees' be, know, and do attributes. Communication You lead through two-way communication. Much of it is nonverbal. For instance, when you “set the example,” that communicates to your people that you would not ask them to perform anything that you would not be willing to do. What and how you communicate either builds or harms the relationship between you and your employees. Situation All situations are different. What you do in one situation will not always work in another. You must use your judgment to decide the best course of action and the leadership style needed for each situation. For example, you may need to confront an employee for inappropriate behavior, but if the confrontation is too late or too early, too harsh or too weak, then the results may prove ineffective. Effective Leadership Checklist: • Able to handle top leaders or other leaders • Able to manage time wisely-can establish priorities and not get swamped down by minor details • Results-oriented; “I do not care how you do it. Just do it.” Able to read between the lines. People do not always tell you somethinghow they say something is often as important as what they say. • • are a tyrant, too little and you are a cream puff. Patient Good at handling stress. They must resist taking job-related stress at home since this can damage one’s family/social life. • • • A good example for followers. They cannot break the rules and expect followers to adhere to them. Motivated. They have to like being a leader in spite of all its problems and have the will to manage. • • Able to handle emergencies Firm, yet fair-a very difficult combination • Able to be close to followers and still be the boss- particularly difficult when managing friends and former peers. • Effective at handling problemfollowers. These tough cases will consume great even amounts in of supervisory time and energy. What is a LEADER? A coach..... A mentor..... A communicator..... A champion..... • Decisive ambiguous inaction highly Leaders lack of situations. to a should not be paralyzed into due information. • • Politically skilled Able to use authority wisely. Too much use of authority and you What is LEADERSHIP? A goal setter..... A motivator..... player..... achiever..... A team An Unleash the LEADER in YOU! Who is a LEADER? A powerful personality..... A self-confident person..... A charismatic individual..... An integrated human..... How? Recognize it..... Explore it..... it..... Nurture it..... Change your limiting beliefs..... Change your emotional state..... Make a decision now..... And take massive action..... Find Who charismatic YOU!!! is that individual? You are a charismatic LEADER. Whether downsizing, rightsizing, or outsourcing, or changing... YOU are not afraid...YOU have the potential! Learn..... Practice..... Grow..... Unleash potential, One idea, One skill, your It is your opportunity, your responsibility, and your commitment to action, One time. time..... day............ One at a Most things are difficult, before they are easy. Authority is a poor substitute for leadership. Honor people and they will honor you. Fail to honor people and they will fail to honor you. The more you say, the less they will remember. There is no better than NOW! *Q UALITIES OF L EADERSHIP * Never tell people how to do things. Tell them what to do and they will surprise you with their ingenuity. Never discourage anyone who continually makes progress, no matter how slow. Many people would rather you heard their story than granted their request. Real leaders are ordinary people with extraordinary determination. Leaders don’t force people to follow; they invite them on a journey. “If your actions inspire others to DREAM MORE..... LEARN MORE..... DO MORE..... and BECOME MORE..... YOU are a LEADER. One does not discover new lands without consenting to lose sight of the shore for a very long time. LEADERSHIP is action, not position. Don’t wait for your ship to come in, swim out to meet it. A leader is someone who believes in you, and gets you to believe in yourself. Leaders make the impossible possible. Leaders consider the past, evaluate the present, and create the future. We are what we repeatedly do. EXCELLENCE, then, is not an act but a HABIT. E M A TEAM – is a group of people with various complementary skills, WORKING TOGETHER towards a common VISION; a team is a group of people working to gether towards a common goal. - Members operate with a high degree of TRUST, accountability and interdependence. - Members share authority and RESPONSIBILITY for self-management. - Members create synergy with strong sense of mutual COMMITMENT. - generates performance GREATER than the sum of the performance of its INDIVIDUAL member. TEAMWORK – is the fuel that allows common people to attain uncommon RESULTS. - Members HELP one another, help OTHER team members REALIZE their TRUE POTENTIAL - Members create an environment that allows everyone to GO BEYOND their LIMITATIONS. - Separates the winners from the losers - Share center point values T TOGETHER EVERYONE MORE “Alone we can do so little, Together we can do so much.” = HELEN KELLER = ACHIEVES TEAMWORK – simply stated, it is less ME and more WE. Working in teams helps build synergy between its members and, as a result, the work, at hand, gets efficiently done. TEAM QUALITY COLLABORATION: - communication - coordination balance of contributions mutual support effort cohesion COMING TOGETHER IS A BEGINNING; KEEPING TOGETHER IS PROGRESS; WORKING TOGETHER IS SUCCESS!!! If everyone is moving forward together, then success takes care of itself. Let’s DO IT! Is more powerful than I DO IT! Or YOU DO IT! 6-Fold Approach to Team Building 1. PURPOSE People who had a clear purpose which gave meaning to their lives, were far more likely to survive, and retain some level of humanity during times of horror, than those who did not. If you are unsure of your why, your motivation levels will be low. And, when you know your purpose, you will discover the genius within you. The team also needs to know its greater purpose. Each individual needs to have clarity of personal purpose and meaning and share in the greater mission and vision of the team. 2. Instinctive ways of doing You have a natural way of doing things. An instinctive modus operandi that determines not what you are capable of doing, but what you will and won’t do. Each person is unique. If each team member draws on his or her instincts, performance will be high. Team building requires picking the right people with different instincts. 3. Relationship to others: • What is your attitude to people who are different to you? • How do you handle personality mismatches? • How are you treated and how do you treat others? • Why should you even care? People in your team are a mirror. An image of yourself. They reflect back to you parts of yourself that you deny, parts you hide from view, or parts you have lost. They show you the points that need healing. That is why the people who trigger or hurt you the most, offer you the greatest opportunity for growth and expansion. They also teach you assertiveness, patience, compassion, self respect. As the saying goes... ‘...We teach people how to treat us.’ 4. Teams develop roles: Team roles play off each other and create the ‘other’. Soon an ‘us/them’ conversation emerges. Yet although the roles are bigger than you, you are bigger than the role. If, for example, you hold the role of initiator very strongly, another role that holds back and wants to stay the same, must emerge to provide balance. This is called the law of polarity. one course simply isn’t enough. When you choose courses, be sure to look for ones that are highly experiential in nature. The more time to 17alling17 the easier it is to apply. 6. Embracing change and stress: If you learn to manage stress to flow with change, you will enjoy challenges and ride the waves of tough times. Your contribution to team will be dynamic, not stressful. 5. Interpersonal skill: • Setting healthy boundaries, • Listening and communication skills, • Being assertive, • Self expression, • Leadership, • Emotional intelligence, • Handling conflict are interpersonal skills that each member will develop over time. Skills take people a long way. Individuals and organizations don’t pay enough attention to this area. You need plenty of practice and patience. Attending and the the the KARANIWANG TAO (Joey Ayala) Ako po’y karaniwang tao lamang Kayod-kabayo, ‘yan ang alam Karaniwang hanap-buhay Karaniwan ang problema Pagkain, damit at tirahan ‘Di ko kabisado ‘yang siyensiya Ako’y nalilito sa maraming salita Alam ko lang na itong planeta’y Walang kapalit at dapat ingatan Kapag nasira, sino ang kawawa CHORUS Karaniwang tao, saan ka tatakbo Kapag nawasak iisang mundo Karaniwang tao, anong magagawa Upang bantayan ang kalikasan Karaniwang bagay ay ‘di pansin Kapag naipon ay nagiging suliranin Kaunting basura ngayo’y bundok Kotseng sira ay umuusok Sabong panlaba’y pumapatay sa ilog May lason na 18alling sa industriya Ibinubuga ng mga pabrika Ngunit ‘di lamang higante Ang nagkakalat ng dumi May kinalaman din ang tulad natin [Repeat CHORUS twice] Karaniwang tao [4x] [Repeat CHORUS] Karaniwang tao [Repeat till fade] To show the earth some love is all I ever ask cause What you don’t understand is I’m kind of afraid for ya, You think that this world is made for ya But who is gonna clean up for ya You know you must make a change for good, oh oh oh The earth goes thru all this pain Our pollutants they take the blame Yes, I would fight for earth today, but would you do the same, no no no Reduce, reuse, recycle- it’s good for the world You should really start today when you’re back to where you’re from Carpooling-it’s better-more people in the car Yeah less exhaust in the air now maybe you can see the stars If you want to get inspired- ooh—lower your carbon footprint yes That is your impact on the planet cause its neverever- ever too late. But darling I’m still kind of afraid for ya You think that this world is made for ya But who is gonna clean up for ya You know you must make a change for good The earth goes thru all this pain Our pollutants they take the blame Yes, I would fight for earth today, but would you do the same? Oh, will you do the same? We all could do the same. Together do the same Nah, nah nah LISTEN UP (Grenade-Bruno Mars) Here we come, so let’s go Let’s show you how you live Oh, take, take, take it all but you never give You should know that it’s trouble-leave the earth like this Mother Nature’s hopin’ your eyes are open **When you’re done with that, you toss it in the trash toss it in the trash, that’s it Highly Significant Leadership Qualities • integrity • • • • • • • • • • • • • honesty humility courage commitment sincerity passion confidence positivity wisdom determination compassion sensitivity • • • • • • • People with these sort of behaviors and attitudes tend to attract followers. Followers are naturally drawn to people who exhibit strength and can inspire belief in others. These qualities tend to produce a charismatic effect. Charisma tends to result from effective leadership and the qualities which enable effective leadership. Charisma is by itself no guarantee of effective leadership. Some people are born more naturally to leadership than others. Most people don't seek to be a leader, but many more people are able to lead, in one way or another and in one situation or another, than they realize. People who want to be a leader can develop leadership ability. Leadership is not the exclusive preserve of the wealthy and educated. Leadership is a matter of personal conviction and believing strongly in a cause or aim, whatever it is. Leadership sometimes comes to people later in life, and this is no bad thing. Humanity tends to be generational characteristic. There is no real obstacle to people who seek to become leaders if leadership is approached with proper integrity. Anyone can be a leader if he/she is suitably driven to a particular cause. And many qualities of effective leadership, like confidence and charisma, continue to grow from experience in the leadership role. Even initially surprised modest leaders can become great ones, and sometimes the greatest ones. Leadership can be performed with different styles. Some leaders have one style, which is right for certain situations and wrong for others. Some leaders can adapt and use different leadership styles for given situations. Adaptability of style is an increasingly significant aspect of leadership, because the world is increasingly complex and dynamic. Adaptability stems from objectivity, which in turn stems from emotional security and emotional maturity. Again these strengths are not dependent on wealth or education, or skills or processes. Leadership Principles There is only one way - the straight way. It sets the tone of the organization. Be open to the best of what everyone, everywhere, has to offer; transfer learning across your organization. 3. Get the right people in the right jobs - it is more important than developing a strategy. 4. An informal atmosphere is a competitive advantage. 5. Make sure everybody counts and everybody knows they count. 6. Legitimate self-confidence is a winner - the true test of self-confidence is the courage to be open. 7. Business has to be fun - celebrations energize and organization. 8. Never underestimate the other guy. 9. Understand where real value is added and put your best people there. 10. Know when to meddle and when to let go - this is pure instinct. 1. 2. As a leader, your main priority is to get the job done, whatever the job is. Leaders make things happen by: • knowing your objectives and having a plan how to achieve them • building a team committed to achieving the objectives • helping each team member to give their best efforts As a leader you must know yourself. Know your own strengths and weaknesses, so that you can build the best team around you. Plan carefully, with your people where appropriate, how you will achieve your aims. You may have to redefine or develop your own new aims and priorities. Build teams. Ensure you look after people and that communications and relationships are good. Communication is critical. Listen, consult, involve, explain why as well as what needs to be done. "... Praise loudly, blame softly." (Catherine the Great). Follow this maxim. Take time to listen to and really understand people. Walk the job. Ask and learn about what people do and think, and how they think improvements can be made. Accentuate the positive. Express things in terms of what should be done, not what should not be done. Have faith in people to do great things - given space and air and time, everyone can achieve more than they hope for. Provide people with relevant interesting opportunities, with proper measures and rewards and they will more than repay your faith. Take difficult decisions bravely, and be truthful and sensitive when you implement them. Constantly seek to learn from the people around you - they will teach you more about yourself than anything else. Embrace change. The Four Agreements Don Miguel Ruiz's Code for Life agreement 1 Be impeccable with your word. - Speak with integrity. Say only what you mean. Avoid using the word to speak against yourself or to gossip about others. Use the power of your word in the direction of truth and love. agreement 2 Don’t take anything personally. - Nothing others do is because of you. What others say and do is a projection of their own reality, their own dream. When you are immune to the opinions and actions of others, you won’t be the victim of needless suffering. agreement 3 Don’t make assumptions. - Find the courage to ask questions and to express what you really want. Communicate with others as clearly as you can to avoid misunderstandings, sadness and drama. With just this one agreement, you can completely transform your life. agreement 4 Always do your best. - Your best is going to change from moment to moment; it will be different when you are healthy as opposed to sick. Under any circumstance, simply do your best, and you will avoid self-judgment, self-abuse and regret. Cherie Carter-Scott's Rules of Life ('Rules for Being Human') "Life is a succession of lessons which must be lived to be understood." (Helen Keller) Rule One - You will receive a body. Whether you love it or hate it, it's yours for life, so accept it. What counts is what's inside. Rule Two - You will be presented with lessons. Life is a constant learning experience, which every day provides opportunities for you to learn more. These lessons specific to you, and learning them 'is the key to discovering and fulfilling the meaning and relevance of your own life'. Rule Three - There are no mistakes, only lessons. Your development towards wisdom is a process of experimentation, trial and error, so it's inevitable things will not always go to plan or turn out how you'd want. Compassion is the remedy for harsh judgment - of ourselves and others. Forgiveness is not only divine - it's also 'the act of erasing an emotional debt'. Behaving ethically, with integrity, and with humor - especially the ability to laugh at yourself and your own mishaps are central to the perspective that 'mistakes' are simply lessons we must learn. Rule Four - The lesson is repeated until learned. Lessons repeat until learned. What manifest as problems and challenges, irritations and frustrations are more lessons - they will repeat until you see them as such and learn from them. Your own awareness and your ability to change are requisites of executing this rule. Also fundamental is the acceptance that you are not a victim of fate or circumstance - 'causality' must be acknowledged; that is to say: things happen to you because of how you are and what you do. To blame anyone or anything else for your misfortunes is an escape and a denial; you yourself are responsible for you, and what happens to you. Patience is required - change doesn't happen overnight, so give change time to happen. Rule Five - Learning does not end. While you are alive there are always lessons to be learned. Surrender to the 'rhythm of life', don't struggle against it. Commit to the process of constant learning and change - be humble enough to always acknowledge your own weaknesses, and be flexible enough to adapt from what you may be accustomed to, because rigidity will deny you the freedom of new possibilities. Rule Six - "There" is no better than "here". The other side of the hill may be greener than your own, but being there is not the key to endless happiness. Be grateful for and enjoy what you have, and where you are on your journey. Appreciate the abundance of what's good in your life, rather than measure and amass things that do not actually lead to happiness. Living in the present helps you attain peace. Rule Seven - Others are only mirrors of you. You love or hate something about another person according to what love or hate about yourself. Be tolerant; accept others as they are, and strive for clarity of self-awareness; strive to truly understand and have an objective perception of your own self, your thoughts and feelings. Negative experiences are opportunities to heal the wounds that you carry. Support others, and by doing so you support yourself. Rule Eight - What you make of your life is up to you. You have all the tools and resources you need. What you do with them is up to you. Take responsibility for yourself. Learn to let go when you cannot change things. Don't get angry about things - bitter memories clutter your mind. Courage resides in all of us - use it when you need to do what's right for you. We all possess a strong natural power and adventurous spirit, which you should draw on to embrace what lies ahead. Rule Nine - Your answers lie inside of you. Trust your instincts and your innermost feelings, whether you hear them as a little voice or a flash of inspiration. Listen to feelings as well as sounds. Look, listen, and trust. Rule Ten - You will forget all this at birth. We are all born with all of these capabilities - our early experiences lead us into a physical world, away from our spiritual selves, so that we become doubtful, cynical and lacking belief and confidence. The ten Rules are not commandments; they are universal truths that apply to us all. When you lose your way, call upon them. Have faith in the strength of your spirit. Aspire to be wise - wisdom the ultimate path of your life, and it knows no limits other than those you impose on yourself. The Process of Great Leadership Challenge the process - First, find a process that you believe needs to be improved the most. Inspire a shared vision - Next, share your vision in words that can be understood by your followers. Enable others to act - Give them the tools and methods to solve the problem. Model the way - When the process gets tough, get your hands dirty. A boss tells others what to do, a leader shows that it can be done. Encourage the heart - Share the glory with your followers' hearts, while keeping the pains within your own.
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i don't know
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The DuPont trade name Freon has become an alternative name for which abbreviated compound name strongly associated with global warming?
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Pietro Tundo,*,a, b Fabio Aricòa,b, Con Robert McElroyb
a Interuniversity Consortium "Chemistry for the Environment"; Via della Industrie 21/8, 30175 Marghera Venice (Italy)
b Cà Foscari University; Dept. of Environmental Science, Dorsoduro 2137, 30123 Venice
Corresponding Author: Prof. Pietro Tundo
Dipartimento di Scienze Ambientali,
Università Cà Foscari di Venezia
Dorsoduro 2137, 30123 Venezia
E-mail: [email protected]
1. Introduction: The history of Green Chemistry
The first seeds of Green Chemistry were sown in the early 1960s when environmental statutes and
regulations began to proliferate at an exponential rate. These regulations established restrictions on
the use of chemicals, imposed toxicity tests of chemical substances and finally provided incentives
for industry to eventually find replacements, substitutes, or alternatives for polluting reagents. The
public’s demand for more information about chemicals had grown rapidly. In the United States, this
culminated with the establishment of the Emergency Planning and Community Right-to-Know Act
(EPCRA), which made public relevant data on chemicals being released to the air, water, and land
by industry (1980).1 As a consequence, industry was confronted by tremendous pressure, not only
to reduce the release of toxic chemicals into the environment, but also to reduce the use of
hazardous chemicals overall. Each of these incentives has combined to make the 1990s the decade
during which green chemistry was introduced and it has found implementation and
commercialization on a wide industrial scale. In particular, since 1990 in the USA, sustainable
chemistry has been a focus area by the Environmental Protection Agency (EPA),2 involving a great
deal of activity in research, symposia, and education.
At same time, the scientific community was also strongly involved in exploiting sustainable
chemistry. In 1993 P. T. Anastas and C.A. Farris published the first book of the ACS Symposium
1 For further information see http://www.ecy.wa.gov/epcra/
2 For further information see http://www.epa.gov/
2
series: Benign by Design, Alternative Synthetic Design for Pollution Prevention.3 The book was
based on the symposium “Physical Chemistry and the Environment” sponsored by the Division of
Environmental Chemistry at the 206th National Meeting of the American Chemical Society in
Chicago (22-27 August 1993, Illinois). The book provided a great opportunity for several chemists
who were pioneers in the field of benign by design chemistry to present their basic research in
addition to encouraging many scientists to become involved in environmentally responsible
chemistry. In the same year in Italy (1993), the Consorzio Interuniversitario Nazionale “La Chimica
per l’Ambiente”, INCA was established, with the aim to unite the academic groups concerned with
chemistry and the environment.4 One of its focus areas being pollution prevention through research
for cleaner reactions, products and processes with both academia and industrial applications.
Besides, INCA remains constantly involved in the dissemination of Green Chemistry as
demonstrated by the numerous book published (Green Chemistry Series)5, school awards for
undergraduate students6, publication of a magazine for young green chemists7 and the organization
of ten editions of the Summer School in Green Chemistry (Figure 2).8
Figure 1. Picture representing the chemistry at the service of the environment (picture taken from the cover
of “Introduzione alla Chimica Verde (Green Chemistry) "eds P. Tundo, S. Paganelli - Lara Clemenza. In
Italian).5
3 Anastas, P. T.; Farris C. A.; (Eds) Benign by Design: Alternative Synthetic Design for Pollution Prevention (Acs
Symposium Series), Washington: American Chemical Society, 1994.
4 See Interuniversity Consortium Chemistry for the Environment, http://www.incaweb.org/
5 For the full collection of Green Chemistry Series see http://www.incaweb.org/publications/gcseries.php
6 Further details on http://incaweb.org/green/pgsVed/index.htm (in Italian)
7 Further details on http://incaweb.org/green/index.php
8 For further details see http://www.incaweb.org/education/ssgc.php
3
Despite the continued involvement of the industrial and scientific community in the field of
sustainable chemistry, it was only between 1996 and 1997 that the term green chemistry was first
used. The definition “green chemistry” or “sustainable chemistry” has been, and still is, the subject
of long debate. The word “green” is brightly evocative but may assume unintended connotations,9
whereas “sustainable” can be paraphrased as “chemistry for a sustainable environment”, and may be
perceived as a less focused and less incisive description of the discipline. Other terms have been
proposed, such as “chemistry for the environment” but this combination of words does not capture
the economic and social implications of the concept of sustainability. Herein the term Green
Chemistry will be used according to the IUPAC definition (International Union of Pure and Applied
Chemistry) that states: “Green Chemistry includes the invention, design and application of chemical
products and processes to reduce or to eliminate the use and generation of hazardous substances”.10
This definition well represents the importance of fundamental research as a base for Green
Chemistry development.
Figure 2. Tenth Edition of the Summer school on Green chemistry Organized by INCA (Cà Dolfin, Cà
Foscari University, Venezia ,2008)
9 In many countries, the word “green” is associated with political parties primarily focused on environmental issues. In
the United States, green symbolizes the colour of money. Therefore, in areas that use the U.S. Dollar as currency, green
carries a connotation of money, wealth, and commerce. The flag of Libya is entirely green, currently the only national
flag of a single colour. Green is considered the traditional colour of Islam, likewise because of its association with
nature. Green is a symbol of Ireland, which is often referred to as "the Emerald Isle" (Green also represents St. Patrick's
Day). The colour is particularly identified with the republican and nationalist traditions in modern times in balance with
the Protestant orange. In Dante's Divine Comedy, green is the colour used to symbolize hope. In the Roman Catholic
church, green is a traditional colour symbolizing hope and the tree of life. The colour green is often used as a symbol of
sickness. In Japan, green indicates safety and luxury. In the Russian language green is synonymous with “not ripe”.
10 Tundo, P.; Anastas, P.; Black, D.; Breen, J.; Collins, T.; Memoli, S.; Miyamoto, J; Polyakoff, M.; Tumas W. Pure
and Applied Chemistry, 2000, 72, 7, 1210.
4
--------------------------------------------------------- Blue Box 1 -----------------------------------------------------------
- An Outstanding Father Figure of the Green Chemistry -
Joe Breen - born in Waterbury, Connecticut in 1942, Joe dedicated his entire life to public service:
he served in the Marine Corps during the Vietnam War, he then
moved into the Peace Corps, and finally he spent 20 years at the
U.S. Environmental Protection Agency.
Joe Breen played a major role in creating the “Design for the
Environment” and “Green Chemistry” Programs. Both these
programs were funded with the intent to reduce risk and protect
human health and the environment. After 20 years at the EPA, he
retired in 1997 and co-founded (and served as Executive Director
of) the Green Chemistry Institute (GCI), a nonprofit organization
in Rockville dedicated to research and education on
environmentally friendly chemical synthesis and processing. The
GCI promoted Green Chemistry through information and
dissemination; research and fellowships; participation in
conferences, workshops and symposia; international outreach;
awards and recognition; and education. The Green Chemistry
Institute now operates as an independent institute within the
American Chemical Society. The GCI also provides national recognition for outstanding student
contributions to furthering the goals of green chemistry. The most famous awards, in fact, are the
ones established in memory of Kenneth G. Hancock and Joseph Breen.
------------------------------------------------------------------------------------------------------------------------
In this context, Paul Anastas (EPA), and John C. Warner developed the twelve principles of Green
Chemistry,11 which illustrate the definition of this new field in a practical and easy to understand
sense. The principles cover the main concepts of the Green Chemistry that are still valid today: 1)
prevention, 2) atom economy, 3) hazard-free chemical syntheses, 4) safer chemicals and 5)
solvents, 6) energy efficiency, 7) renewable feedstocks, 8) reduce derivatives, 9) catalysis, 10)
degradation, 11) pollution prevention and 12) inherently safer chemistry.12
In August 1996 International Union of Pure and Applied Chemistry13 (IUPAC) began its
involvement in the Green Chemistry field by the foundation of the Working Party on Synthetic
Pathways and Processes in Green Chemistry.14 In September 1997 the First International
Conference on “Challenging Perspectives on Green Chemistry” was held in Venice (Figure 3).15
11 Anastas, P. T.; Warner, J. C. Eds. Green Chemistry: Theory and Practice, Oxford University Press: New York, 1998,
p. 30.
12 Anastas, P.; Eghbali N. Chem. Soc. Rev., 2010, 39, 301.
13 For further details see http://www.iupac.org/
14 In August 1996, IUPAC approved the formation of the Working Party on Green Chemistry under Commission III.2,
which provided the beginnings of this work, Seoul, Korea 1996.
15 The meeting was sponsored by IUPAC and co-sponsored by ACS, EPA and UNESCO and led to the publication of
P. Tundo and P. T. Anastas Eds. Green Chemistry: Challenging Perspectives, Oxford University Press, Oxford, 2000.
5
Since then IUPAC has been actively involved in several projects related to Green Chemistry.16 In
July 2001, IUPAC approved the establishment of the sub-Committee on Green Chemistry (Division
III). The committee's primary focus is to establish and carry out educational Green Chemistry
programs. Since its conception, the subcommittee has actively organized international workshops,
symposia and conferences, in addition to the preparation and dissemination of numerous books on
global topics related to green/sustainable chemistry specifically aimed at university students.17
Figure 3. Poster of the First International Conference on “Challenging Perspectives on Green Chemistry”
(Venezia 1997)
In 1997, after more than a year of planning by individuals from industry, government and academia,
the Green Chemistry Institute (GCI) was incorporated as a not-for-profit corporation devoted to
promoting and advancing green chemistry. In January 2001, GCI joined the American Chemical
16 Some examples are: ICOS 13, Mini Symposium on Green Organic Synthesis, Warsaw, Poland, 2000; Special Topic
Issue and Symposium-in Print on Green Chemistry, PAC, 2000, the CHEMRAWN (Chemistry Research Applied to
World Needs) conference organized by IUPAC in Boulder, Colorado, USA, June 2001, and entitled “Toward
Environmentally Benign Process and Products”, IUPAC 38th Congress (Environmental Chemistry and the Greening of
Industry), Brisbane, Australia, 2001; Workshop on Education in Green/Sustainable Chemistry, Venice, Italy, 2001;
ICOS 14 (Symposium on Green Chemistry) Christchurch, New Zealand, 2002, CHEMRAWN-XVII and ICCDU-IX
“Conference on Greenhouse Gases” Kingston (Ontario, Canada) 2007.
17 Projects and activities include: "Global Climate Change" - Translation and dissemination of a monograph for
secondary schools, a IUPAC-INCA joint project on the creation of a web page on Green/Sustainable Chemistry
(http://www.incaweb.org/transit/iupacgcdir/INDEX.htm), Green Chemistry in the Arab region.
6
Society (ACS) in an increased effort to address global issues at the cross road of chemistry and the
environment.
In the late nineties with the new millennium looming, interest in Green Chemistry became
widespread. In 1998 upon an EPA proposal, the Organization for Economic Co-operation and
Development (OECD), instituted a Directive Committee for the development of sustainable
chemistry and finalised a programme called “Sustainable Chemistry” that included chemistry aimed
at pollution prevention and better industrial performance. The activity commenced with a survey of
the Steering Group [USA, Italy, Japan, Germany, Belgium, Canada, Mexico, Sweden, UK, and
Business and Industry Advisory Committee to the OECD (BIAC)] on programs and initiatives on
Green Chemistry launched worldwide by governments, industries and academia. The USA and
Japan were nominated co-leaders in the field of research and development while Italy was
appointed leader of the Educational Act. In consideration of the survey results, the policy and
programmatic aspects of the sustainable chemistry activity were discussed at the Venice Workshop
(October 1998) in the presence of representatives from government, industry and academia from 22
countries and subsequently approved at the OECD meeting in Paris (June 6, 1999).
As a result of this meeting the following seven research areas in green/sustainable chemistry were
identified:
§ Use of Alternative Feedstocks: the use of feedstocks, which are renewable rather than
depleting and less toxic to human health and the environment.
§ Use of Innocuous Reagents: the use of reagents that are inherently less hazardous and are
catalytic whenever feasible.
§ Employing Natural Processes: use of biosynthesis, biocatalysis, and biotech-based chemical
transformations for efficiency and selectivity.
§ Use of Alternative Solvents: the design and utilization of solvents, which have reduced
potential for detriment to the environment and serve as alternatives to currently used volatile
organic solvents, chlorinated solvents, and solvents which damage the natural environment.
§ Design of Safer Chemicals: use of molecular structure design - and consideration of the
principles of toxicity and mechanism of action - to minimize the intrinsic toxicity of the
product while maintaining its efficiency of function.
§ Developing Alternative Reaction Conditions: the design of reaction conditions that increase
the selectivity of the product and allow for dematerialization of the product separation
process.
§ Minimizing Energy Consumption: the design of chemical transformations that reduce the
required energy input in terms of both mechanical and thermal inputs and the associated
7
environmental impacts of excessive energy usage. In order to achieve this purpose, the G8
Counties looked toward a reduction of energy consumption related to the need of each
individual Country. Thus, each Country requires green chemistry to be involved in solving
specific questions: Latin America to the exploitation of renewable resources, the Arab
Regions to water quality and treatment, the Far East Countries to anti- and de-pollution
issues. Adoption of the Green Chemistry principles is now possible because present
European technology has the capacity to build new protocols for manufacturing molecular
species.
Despite being issued in 1998, these areas of research are still current as they vividly represent the
main lines of development of green chemistry. In 1999, the Royal Society of Chemistry introduced
a new journal entirely dedicated to sustainable chemistry: Green Chemistry. This journal, as it is
stated on the RSC webpage, provides a unique forum for the publication of original and significant
cutting-edge research that reduces the environmental impact of the chemical enterprise by
developing alternative sustainable technologies. Since then several new journals dedicated to Green
Chemistry have appeared, such as: ChemSusChem18, Energy and Environmental Science19,
Environmental Chemistry20, Journal of Environmental Monitoring21 to mention but a few.
Figure 4. 1st, 2nd and 3rd International IUPAC conferences on Green Chemistry.13
18 http://www3.interscience.wiley.com/journal/114278546/home
In 2006 following the launch of the IUPAC Green Chemistry Subcommittee within the III Division,
the Consorzio INCA in collaboration with the German Chemical Society (GDCh) organized the
first International IUPAC Conference dedicated to Green-Sustainable Chemistry (ICGC-1),
currently in its 3rd edition (Figure 4).22
It is also important to mention the foundation of the Cost Action D29, which is a network
comprising of 26 COST (European Cooperation in Science and Technology) countries. This
network aims to develop sustainable industrial chemicals and chemical based consumer products
utilising sustainable and environmentally friendly processes and to establish a common
understanding of the current status and the future research, development, and educational needs of
Sustainable/Green Chemistry and Chemical Technology for Europe. The achievements of this
Action have been disseminated through Action workshops and Working Group meetings,
presentations in international conferences and the publication of many research articles in peer-
reviewed journals.
Finally it should be mention that another important step in the history of green chemistry has been
realised by the introduction of Registration, Evaluation and Authorisation of Chemicals Regulation
(REACH), which was formally adopted on the 18th of December 2006 by the European Council of
Environment Ministers. This new regulation aims to improve the protection of human health and
the environment through improved assessment of chemical substances.
This Regulation gives greater responsibility to industry as manufacturers and importers and
ultimately calls for progressive substitution of the most dangerous chemicals by greener
alternatives.23
- Chinese Circular Economy (CE) for Green Chemistry development-
The rapid growth of China's material consumption poses profound challenges to sustainable
development in the country and the rest of the world. China is now consuming about half of the
world's cement, over 30 per cent of its steel and more than 20 per cent of its aluminium. It is also
the leading consumer of fertilizers and the second largest importer of forest products in the world.
Because of such rapid growth, the natural resources of China are depleting very quickly. To solve
this problem, China’s leadership, inspired by Japanese and German Recycling Economy Laws,
formed a Circular Economy (CE) initiative that started 10 years ago and that has major strategic
22 The 2nd International IUPAC Conference on Green-Sustainable Chemistry (ICGC-2) was held in Moscow-S.
Petersburg in September 2008; the 3rd International IUPAC Conference on Green-Sustainable Chemistry was held in
Ottawa in August 2010.
importance worldwide.24 The Circular Economy approach to resource-use efficiency integrates
cleaner production and industrial ecology in a broader system encompassing industrial firms,
networks, eco-industrial parks, and regional infrastructure to support resource optimization.
The three basic levels of the Circular Economy action are:
§ At the individual firm level, managers must seek much higher efficiency through the three
Rs of CE: reduce consumption of resources and emission of pollutants and waste, reuse
resources, and recycle by-products.
§ The second level is to reuse and recycle resources within industrial parks and clustered or
chained industries, so that resources will circulate fully in the local production system. (The
Chinese use the term “eco-chains” for by-product exchanges.)
§ The third level is to integrate different production and consumption systems in a region so
the resources circulate among industries and urban systems.
Figure. A heart representing the Chinese Circular Economy. This image taken from the cover of Chemistry
International (Vol 29, 5, 2007) well represents the idea of the CE: a heart that recycle the waste into new
useful green products.
According to the principles of CE, state owned and private enterprises, government and private
infrastructure and even consumers all have a role to play in achieving CE. CE in many ways
resembles the concept of industrial metabolism. It focuses on the input-output analysis of material
flows transformed by production and consumption. In fact, the Circular Economy concept brings
together cleaner production and industrial ecology, with its application as eco-industrial
development.
The essence of the CE concept is the exchange of materials where one’s waste, including energy,
water, materials - as well as information - is another facility’s input.
Comparable to the Chinese concept of CE, is the idea of Green Economy, pursued in Europe and
America. Green Economy is a new economic development model born in contrast to the existing
24 Jun, B.; Jie, J.; Zengwei, Y.; Huang, J. Circular Economy: An Industrial Ecology Practice Under the New Development Strategy
in China. Center for Environmental Management & Policy, Nanjing University, 2000; Elizabeth C. Economy,2004. China's
Environmental Challenges.
workshop, March 17th-18th, 2010, Yong Xing Gordon Hotel, Beijing, China
10
black economic model based on fossil fuels. The Green Economy is based on ecological economics,
which consider the impact of human economic activities on climate change and global warming. In
the midst of the global economic crisis, the UNEP United Nations Environment Program called for
a global Green New Deal according to which governments were encouraged to support their
economic transformation into a greener economy. The Green economy supports green and
renewable energy as a replacement for fossil fuels and promotes energy conservation for efficient
energy use. The green economy aims to create green jobs, ensure real, sustainable economic
growth, and prevent environmental pollution, global warming, resource depletion, and
environmental degradation.25
- Forerunner of Green Chemistry -
Several Green Chemistry concepts, as well as, Green research fields were already investigated
before the term Green Chemistry came into use. This is because chemists have always pursued the
aim to be at the service of humankind. In this context, the Solvay process is one of the first
emblematic examples. In the 19th century, sodium carbonate was produced according to Nicolas
Leblanc’s process. In his methodology salt, limestone, sulphuric acid, and coal were used together
to produce soda ash (sodium carbonate). Leblanc process came to dominate alkali production in the
early 1800s, however the expense of its reagents and its polluting by-products (HCl, CaS) called for
the development of new processes. Thus, in 1860s Ernest Solvay developed the Solvay process. The
ingredients used for this process were readily available, inexpensive and green: salt brine (NaCl)
and limestone (CaCO3 from mines) to produce soda ash and as by-product calcium chloride (CaCl2)
in aqueous solution.
Figure. An example of Green Chemical industry.33
Other similar examples are:
25 Kennet, M. Introduction to Green Economics, in Harvard School Economics Review, 2008.
11
§ Alkyl polyglycosides for the synthesis of fatty alcohols. Fatty alcohols can be obtained either
from petrochemical sources (synthetic fatty alcohols) or from natural renewable resources
such as fats and oils. They have several applications as surfactants in hard surface cleaners
and laundry detergents. Since the 1980s the production of alkyl polyglycosides has relied
completely on sugars: renewable raw materials. The research and development work in this
field led to the solving of both chemical and performance and technical problems related to
the use of renewable materials. As a result alkyl polyglycosides became available in
industrial quantities (Henkel industries) and a multitude of patents, scientific papers and
articles appeared in specialist scientific journals.
§ Phase-transfer catalysis as a green approach to waste minimization in chemical industry.26
This key synthetic methodology was developed in the 1970s and it makes use of
heterogeneous two-phase systems i.e. water and organic solvent. Importantly it is applied
and applicable to a great variety of reactions (for more details see the paragraph on use of
alternative solvents – water) and it is a good example of the transfer of know-how from
academia to industry.
§ Paul J. Crutzen, Mario J. Molina, F. Sherwood Rowland, conducted investigations on the
ozone layer depletion for which they were jointly award the Nobel Price for Chemistry in
1995. Their work ultimately led to the chlorofluorocarbon (CFC) substitution. A CFC is an
organic compound that contains only carbon, chlorine, and fluorine, commonly known by
the DuPont trade name Freon. Many CFCs have been widely used as refrigerants,
propellants (in aerosol applications), and solvents, the most common being
dichlorodifluoromethane (Freon-12). However, since the late 1970s, the use of CFCs has
been heavily regulated after Paul J. Crutzen, Mario J. Molina, F. Sherwood Rowland
reported on their destructive effects on the ozone layer (due to the presence of chlorine in
these molecules). The manufacture of such compounds has been phased out by the Montreal
Protocol (1987). Work on alternatives for chlorofluorocarbons led to the use of
hydrochlorofluorocarbons (HCFCs) which are less stable in the lower atmosphere, enabling
them to break down before reaching the ozone layer. More recently alternatives lacking the
chlorine, the hydrofluorocarbons (HFCs) have demonstrated an even shorter lifetimes in the
lower atmosphere. A natural refrigerant (along with Ammonia and Carbon Dioxide),
hydrocarbons have negligible environmental impacts and are also used worldwide in
domestic and commercial refrigeration applications, and are becoming available in new split
system air conditioners.
- Green Chemistry Research Institution and Association -
Since 1996 when the term Green Chemistry was coined, several research centres and associations
supporting this new research area have formed. Some examples of national and international
organization in Green Chemistry are:
National/International Organizations
26 F. Montanari, P. Tundo, J. Org. Chem., 1981, 46, 2125.
12
IUPAC - Subcommittee on Green Chemistry
Organic and Biomolecular Chemistry Division (III)
Interuniversity National Consortium "Chemistry for the
Environment" (Italy)
Website hosted by the Royal Society of Chemistry (RSC)
Green & Sustainable
Website hosted by the Japan Chemical Innovation
Institute (JCII)
The US EPA's Green Chemistry Program
Green Chemistry Institute (USA)
Website hosted by the American Chemical Society (ACS)
Canadian Green Chemistry Network
A Canadian non-profit organization devoted to
dissemination of Green Chemistry
European Association for Chemical and Molecular
Science (EuCheMS) WP on Green and Sustainable
Chemistry27
§ Carnegie Mellon University (USA)Institute for Green Oxidation Chemistry
§ Centre for Green ChemistryUniversity of Monash (Australia)
§ Centre for Green ManufacturingUniversity of Alabama (USA)
§ Center for Green Chemistry at UMass Boston (US)
§ Center for Sustainable and Green Chemistry (DEN)
§ Chemical Process Engineering Research Institute Centre for Research & Technology
(Greece)
§ Göteborg University's Centre for Environment and Sustainability (SWE)
§ Green Chemistry Centre of Excellence (UK)
§ Green Chemistry Network Centre (Dehli Univ., India)
§ Greek network of Green Chemistry (Greece)
§ Institute of Applied Catalysis (UK)A research network for catalysis
§ Institute for a Sustainable Environment (USA)University of Oregon
27 http://euchems.org/
28 The list reports, in alphabetical order, only some of the numerous research institutions and organizations on Green
Chemistry due to the lack of space.
13
§ NSF Science and Technology Center for Environmentally Responsible Solvents and
ProcessesUniversity of North Carolina; Chapel Hill (USA)
§ Queen's University Ionic Liquid Laboratories (QUILL) Queen's University of Belfast (UK)
§ The Clean Technology Research Group University of Nottingham (UK)
§ The Green Chemistry Group (see below: now called centre of excellence)University of York
(UK)
§ University of Leicester (UK)Leicester Green Chemistry Group
§ University of Leeds (UK)Leeds Cleaner Synthesis Group
§ University of Notre Dame Energy Centre (USA)
------------------------------------------------------------------------------------------------------------------------
- Awards for Green Chemistry research -
Green Chemistry research is supported by several awards that incentivises innovation and
excellence in the Green Chemistry field. Some examples29 are:
The Presidential Green Chemistry Challenge
In the USA, The Presidential Green Chemistry Challenge was established by President Clinton in
1995 to recognise and promote fundamental and innovative chemical methods that accomplish
pollution prevention through reduction at source and that have broad applicability in industry. The
Presidential Green Chemistry Challenge Awards Program was established to recognise technologies
that incorporate the principles of green chemistry into chemical design, manufacture and use. The
evaluation of the new technology's impact include consideration of the health and environmental
effects throughout the technology's lifecycle with recognition that incremental improvements are
necessary.
Award for Green Products and Processes30
This awards was presented by INCA to Italian Companies that excelled in developing green
processes and products. Examples of companies that have received the award are: Enichem,
Polimeri Europa, Ausimont, Ilva Polimeri, Lamberti, Lonza Group, Mapei and Valagro.
The European Sustainable Chemistry Award31
EuCheMS (the European Association for Chemical and Molecular Sciences), with the backing of
the European Environment Agency (EEA) and the support of SusChem (European Platform for
Sustainable Chemistry) and CEFIC (European Chemical Industry Association), is launching the
European Sustainable Chemistry Award. The new European Sustainable Chemistry Award intends
to raise the profile of sustainable chemistry and to stimulate innovation and competitiveness. The
first Award, a prize of €10,000, was presented during the 3rd EuCheMS Chemistry Congress, on 29
August – 2 September 2010 in Nürnberg, Germany.
The Institution of Chemical Engineers Awards32
The IChemE awards is given for Innovation and Excellence in the Green chemical technology and
sustainability area.
29 For more details visit http://www.greenchemistrynetwork.org/awards.htm
30 Tundo, P.; Maggiorotti, P.; Cici, M. Awards for Green Products and Processes, 2002.
31 http://www.euchems.org/ESCA/index.asp
32 IChemE is a hub for chemical, biochemical and process engineering professionals worldwide promoting competence
and a commitment to sustainable development.
14
Green and Sustainable Chemistry Network Awards (Japan)
The Green & Sustainable Chemistry Network (see National/International Organizations in box 4)
was established in March, 2000 to promote research and development for the Environment and
Human Health and Safety through the innovation of Chemistry. One of the activities, GSCN
established in 2001 was the "GSC Awards". GSC Awards are to be granted to individuals, groups or
companies who greatly contributed to promote GSC through their research, development and their
industrialization in the fields of development of industrial technologies, reduction of environmental
bourdon (such as carbon dioxide, waste, landfill, harmful by-products etc.) and of establishing new
philosophy/methodology in research. The achievements are awarded either by the Minister of
Economy, Trade and Industry, or by the Minister of the Environment, or by the Minister of
Education, Sports, Culture, Science and technology, depending on their application.
RACI Green Chemistry Challenge Awards
The Royal Australian Chemical Institute Green Chemistry Challenge awards recognise and promote
fundamental and innovative chemical methods in Australia that accomplish pollution prevention
through reduction at source and that have broad applicability in industry. They also recognise
contributions to education in Green Chemistry. The Green Chemistry Challenge Awards are open to
all individuals, groups and organisations, both non-profit and for profit, including academia, and
industry.
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2. Areas of Green Chemistry
Despite the fact that more than ten years have passed since the seven research areas in
green/sustainable chemistry were identified by the OECD, these thematic spheres remain the
undisguised focus of Green Chemistry research.33 A short discussion on each thematic area
highlighting their advances and future research follows.
2.1 Alternative feedstocks
The synthesis and manufacture of any chemical substance begins with the selection of a starting
material. In many cases, the selection of a starting material can be the most significant factor in
determining the impact of the synthesis on the environment. Certainly, a first-level assessment of
any starting material must be whether or not the substance itself poses a hazard in terms of toxicity,
accident potential, possible ecosystem damage, or in another form. In this context, it is
understandable that the feasibility and benefits of using bio-based, as opposed to petroleum-based,
starting materials have been actively investigated in both academia and the chemical industry. To
ensure a high degree of product safety for consumers and the environment, renewable resources
have shown to have advantages when compared to petrochemical derived raw materials and can
therefore be regarded as being the preferred source of raw material in Green Chemistry. Besides,
the current high prices for petroleum and natural gas have spurred the chemical industry to examine
33 Jenck, J. F.; Agterberg, F.; Droescherc, M. J. Green Chem., 2004, 544.
15
alternative feedstock for the production of commodity chemicals. In this prospect, over the last 30
years, alternatives to conventional petroleum and natural gas feedstock have been developed, in
particular by the exploitation of biomass.
Biomass is biological material derived from living, or recently living organisms, such as wood (and
thus carbohydrates), waste, (hydrogen) gas, and alcohol fuels (Figure 5). Biomass energy is derived
from five distinct energy sources: garbage, wood, waste, landfill gases, and alcohol fuels.34 There
are a number of technological options available to make use of a wide variety of biomass types as a
renewable energy source. Conversion technologies may release the energy directly, in the form of
heat or electricity, or may convert it to another form, such as liquid biofuel or combustible biogas.35
The most conventional application of biomass still relies on direct incineration. Currently, the New
Hope Power Partnership is the largest biomass power plant in North America.36 The 140 MW
facility uses sugar cane fibre and recycled urban wood as fuel to generate enough power for its large
milling and refining operations as well as to supply renewable electricity to nearly 60,000 homes.
Figure 5. Biomass is biological material derived from living, or recently living organisms, such as wood,
animal waste etc.
The facility reduces dependence on oil by more than one million barrels per year, and by recycling
sugar cane and wood waste, preserves landfill space in urban communities in Florida. A biomass
power plant’s size is often determined by biomass availability in its close proximity as transport
costs of the (bulky) fuel plays a key factor in the plant's economics. However, biomass can be
converted to other usable forms of energy by turning the raw materials, or feedstocks, into a usable
34 Priyadarsan, S.; Annamalai, K.; Sweeten, J. M.; Holtzapple, M. T.; Muhktar S. Proceedings of the Combustion
Institute, 2005, 30, 2973-2980; Ragauskas, A. J.; Williams, C. K.; Davison, B. H.; Britovsek, G.; Caimey, J.; Eckert,
C. A.; Frederick, W. J. Jr.;. Hallet, J. P.; Leak, D. J.; Liotta, C. L.; Mielenz, J. R.; Murphy, R.; Templer, R.; Tschalpliski
T. Science, 2006, 311, 484.
35 Lynd, L. R.; Cushman, J. H.; Wyman C. E. Science 1991, 251, 1318; McKendry P. Bioresour. Technol. 2002, 83, 37;
Mosier, N.; Wyman, C.; Dale, B. E.; Elander, R.; Lee, Y. Y.; Holtzapple, M.; Ladisch, M. R. Bioresour. Technol. 2005,
96: 673.
36 Presentation of the plant http://www.psc.state.fl.us/utilities/electricgas/RenewableEnergy/Cepero-OCFC.pdf
16
form such as transportation fuels. These are made from biomass through biochemical or
thermochemical processes and they include ethanol, methanol, biodiesel, biocrude, and methane.
§ Ethanol is the most widely used biofuel today.37 Brazil has the largest and most successful
bio-fuel programs in the world, involving production of ethanol fuel from sugarcane, and it
is considered to have the world's first sustainable biofuels economy. In the United States
alone, more than 1.5 billion gallons are added yearly to gasoline as an oxygenate, to improve
vehicle performance and reduce air pollution. Ethanol is produced from the fermentation of
sugar by enzymes produced from specific varieties of yeast. Traditional fermentation
processes rely on yeasts that convert six-carbon sugars to ethanol using a process similar to
brewing beer. Ethanol made from cellulosic biomass materials (second generation biofuel)
or other agricultural feedstock is called bioethanol. Ethanol can be used in its pure form
(neat), as a blend with gasoline, or as a fuel for fuel cells.
§ Methanol also can be used as a transportation fuel. Currently methanol is produced using
natural gas, but it can also be produced from biomass through a two-step thermochemical
process. First, the biomass is gasified to produce hydrogen and carbon monoxide. These
gases are then reacted to produce methanol. Methanol can be used in its pure form (neat), as
a feedstock for the gasoline additive methyl tert-butyl ether (MTBE), or as fuel for fuel
cells.
§ Biodiesel is a renewable diesel fuel substitute that can be made by chemically combining
any natural oil or fat with an alcohol (usually methanol). Any vegetable oils, animal fats,
and recycled cooking greases can be transformed into biodiesel and there are many different
ways to do it. Biodiesel can be used neat or as a diesel additive and is typically used as a
fuel additive in 20% blends (B20) with petroleum diesel in compression ignition (diesel)
engines. Other blend levels can be used depending on the cost of the fuel and the desired
benefits.
§ Methane is the major component of compressed natural gas. Methane, in a blend of other
gases, can be produced from biomass by a biochemical process under anaerobic digestion
conditions.
37 Datar, R. P.; Shenkman, R. M.; Cateni, B. G.; Huhnke, R. L.; Lewis, R. S. Biotechnol Bioeng 2004, 86, 587; some
more details on “Towards Sustainable Production and Use of Resources: Assessing Biofuels, United Nations
Environment Programme, http://www.unep.fr/scp/rpanel/pdf/Assessing_Biofuels_Full_Report.pdf, October 2009
17
In particular, we should also consider that there are several issues in the replacement of petroleum
by biomass feedstocks that include impurities, variability of feedstock composition, distributed
supply, scalability and pathways for breakdown of cellulose. Although some large-scale chemical
production occurs as a by-product of fuel production, widespread use of biomass feedstocks for
commodity chemical manufacture will require sustained research and development in a variety of
fields such as plant science, microbiology, genomics, catalysis, and chemical separations
technologies.
--------------------------------------------------------- Blue Box 6 ----------------------------------------------------------
- Light as emerging feedstock -
Light is another emerging feedstock in a broad sense, a safe alternative to toxic catalysts in many
synthetic transformations. In addition to utilising UV light, the most renewable and environmentally
ideal energy source is sunlight. In this regard, the quote (given roughly a century ago during a
conference in New York) by Giacomo Ciamician - the founder of photochemistry - is particular
pertinent: ”On the arid lands there will spring up industrial colonies without smoke and without
smokestacks; forests of glass tubes will extend over the plants and glass buildings will rise
everywhere; inside of these will take place the photochemical processes that hitherto have been the
guarded secret of the plants, but that will have been mastered by human industry which will know
how to make them bear even more abundant fruit than nature, for nature is not in a hurry but
mankind is”.38
Although it appeared (and still is) futuristic, we now know that many of these former fictions can be
realized and applied. To address such enormous tasks, photocatalytic systems that are able to
operate effectively and efficiently not only under UV light but also under the most environmentally
ideal energy source, sunlight, must be established.
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2.2 Use of Innocuous Reagents
As in the selection of a starting material, the selection of a reagent must include an evaluation to
identify what the hazards associated with a particular reagent are. This evaluation should include an
analysis of the reagent itself, as well as an analysis of the synthetic transformation associated with
the use of that reagent (i.e., to determine product selectivity, reaction efficiency, separation needs,
etc.).
In order to evaluate the hazard inherent to the use of a certain reagent we need to address several
issues:
38 Ciamician, G. Science, 1912, 36, 385
18
Firstly, an investigation should be undertaken to determine if alternative reagents are available
that are either more environmentally benign themselves or are able to carrying out the necessary
synthetic transformation in a more environmentally benign way. In order to answer this question
alternative reagents must be identified and any hazardous properties that they possess must be
compared with those associated with the reagent originally selected. One example of an
innocuous reagent is dimethyl carbonate (DMC).39
DMC is an environmentally benign substitute of phosgene40 in carboxymethylation reactions
and of dimethyl sulphate (DMS)41 and methyl halides42 in methylation reactions. Reported
toxicity and ecotoxicity data classify DMC as both a non-toxic and environmental benign
chemical.43 DMC does not produce inorganic salts. In fact, the leaving group, methyl carbonate,
decomposes giving only methanol and CO2 as by products.
In this context, scheme 1 shows the methylation of phenol by methyl halide (CH3X) and DMS
to give anisole, and the alkoxycarbonylation of an alcohol by phosgene COCl2.
Scheme 1. Methylation and alkoxycarbonylation using DMS, CH3I and COCl2 (under batch
conditions)
39 Tundo, P.; Selva, M. M. Acc. Chem. Res. 2002, 35, 706; Selva, M.; Tundo, P. J. Org. Chem. 2006, 71, 1464; Tundo,
P.; Perosa, A.; Zecchini F. Eds. Methods and Reagents for Green Chemistry, 2007 Wiley; Tundo, P.; Esposito V.;
Green Chemical Reactions, Springer Ed. 2008.
40 In chemistry, phosgene is a very important building block able to provide the carbonyl function in many classes of
organic compounds. It is also a versatile reagent since it is employed in selective chlrocarbonylation, chlorination,
dehydration and carbonylation reactions. However, the handling of phosgene, which is a gas, needs special attention.
Due to its highly toxic nature (it was used as a chemical weapon during World War I), the use of phosgene gas, either
on small scale in the laboratory or on a large scale in the industry poses several risks due to both storage and
transportation issues. Besides, the need to replace phosgene also depends on the fact that its production involves large
amounts of chlorine as raw material and results in the production of halogenated by-products.
41 Dimethyl sulfate is extremely toxic compound, it is absorbed through the skin, mucous membranes, and
gastrointestinal tract. There is no strong odour or immediate irritation (apart from eye irritation) to warn of lethal
concentration in air. Delayed toxicity allows potentially fatal exposures to occur prior to development of any warning
symptoms. Symptoms may be delayed 6-24 hours. Besides, its hydrolysis products, monomethyl sulfate and methanol,
are environmentally hazardous. In water, the compound is ultimately hydrolyzed to sulfuric acid and methanol.
42 Methyl halides are generally toxic as well as possibly carcinogenic. Breathing methyl iodide fumes, for instance, can
cause lung, liver, kidney and central nervous system damage. It causes nausea, dizziness, coughing and vomiting.
Prolonged contact with skin causes burns. Massive inhalation causes pulmonary edema.
43 Tundo P.; Anastas P. Eds. Dimethylcarbonate: An Answer to the Need for Safe Chemicals, in Green Chemistry:
Challenging Perspectives, Rivetti, F. Oxford University Press, 2000, pp. 201; Sweet, D. V.; Ed. Registry of toxic effects
of chemical substances, 1986, Vol. 2, 186.
PhOH + (CH3)2SO4+ NaOH PhOCH3+ NaCH3SO4+ H2O
PhOH + CH3I + NaOH PhOCH3+ NaI + H2O
2ROH + COCl
+2NaOH ROCOOR + 2NaCl + 2H2O
19
DMC is able to perform the same reaction, using a catalytic amount of base and producing only
methanol and CO2 as by-product (scheme 2).
Scheme 2. Methylation and methoxycarbonylation using DMC (under continuous-flow conditions)
DMC is classified as a flammable liquid, does not smell (methanol-like odour) and does not
have irritating or mutagenic effects by either contact or inhalation. Therefore, it can be handled
safely without the special precautions required for the poisonous and mutagenic methyl halides
and DMS, and extremely toxic phosgene. DMC is also widely studied for its many potential
applications (Figure 6). In fact, recent research indicates DMC as an oxygenated fuel44 additive
(due to the high percentage of oxygen in the molecule) of gasoline or diesel oil to replace the
methyl-tert-butyl ether (MTBE). DMC can reduce the surface tension of diesel boiling range
fuels leading to an improved (diesel) fuel with better injection delivery and spray. This and other
application led to an enormous effort in the investigation of low-cost and not toxic synthesis of
DMC.
Besides these applications, DMC is considered green because:
1. It is produced according to a green synthesis (see blue box 7)
2. It is non toxic
3. It produces no inorganic waste
4. It led to unexpected and even surprising industrial pathways (see box 8 and box 9)
In synthesis, DMC has a very selective behaviour reacting with different nuclephiles (such as
amines, CH2 acidic compounds, phenols etc.) acting as alkylating or carboxymethylating agent.
In fact, DMC, as electrophile, has three reactive centres that can interact with nucleophiles: the
carbonyl, and two methyl groups. Such centres can be classified according to the Hard- Soft
Acid-Base (HSBA) principle45: the carbonyl group is the harder electrophile, as a result of its
polarized positive charge and sp2 hybridization (thus it reacts with harder nucleophiles); the two
methyl groups represent softer electrophiles, thanks to their sp3 orbital and their saturated
carbon atom, which has a weaker positive charge(thus it reacts with softer nucleophiles).
44 Petroleum Energy Center report 1999 http://www.pecj.or.jp/japanese/report/e-report/99F.2.1.1-e.pdf
45 Pearson, R. G. J. Am. Chem. Soc. 1963, 85, 3533; Pearson, R. G.; Songstad, J. J. Am. Chem. Soc. 1967, 89, 1827.
PhOH + CH3OCOOCH3PhOCH3+ CO2+ CH3OH
Many ambident nucleophiles are known, but few ambident electrophiles have been studied.
Many investigations verified the compliance of reactivity of ambident nucleophiles and
electrophiles with the HSAB theory.
Figure 6. Industrial applications of DMC chemistry.
As a results of its ambident electrophilic character DMC can be used for carboxymenthylation or
methylation reactions with high selectivity (up to 99.9%). In particular, it can act as an efficient
carboxymethylating agent (as phosgene substitute) for a wide string of nuclephiles. The areas in
which DMC is used as an actual or potential phosgene substitute correspond to the main areas of
phosgene industrial applications: urethane, aromatic polycarbonates and isocyanate.46
Figure 6 shows the many other applications of DMC chemistry. A relevant example of its
versatility is the carboxymethylation of amines to carbamates, which has great industrial
importance.47 Carbamates are very useful compounds widely used in the synthesis of pesticides,
fungicides and herbicides, pharmaceuticals, cosmetics and polyurethanes, in addition to be
employed as a protecting group.
DMC has also emerged as methylating agent in organic synthesis.48 Even though its reactivity is
lower than widely used methyl halides and dimethyl sulfate it has the great advantage of being
46 Anastas, P.; Black, D.; Breen, J.; Collins, T.; Memoli, S.; Miyamoto, J.; Polyakoff, M.; Tumas W. Pure Appl.
Chem. 2000, 72 (7), 1207; Tundo, P.; Rossi, L.; Loris A. J. Org. Chem. 2005, 70(6), 2219 ; Tundo, P.; Bressanello, S.;
Loris, A.; Sathicq G. Pure Appl. Chem 2005, 77 (10), 1719; Trotta, F.; Tundo, P.; Moraglio G. J. Org. Chem. 1987, 52,
1300;
47 Tundo, P.; Grego, S.; Rigo, M.; Paludetto R. EP 08172275.3; to DOW Chemical.
48 Selva, M.; Marques, C. A.; Tundo P. J. Chem. Soc., Perkin Trans. 1, 1994, 1323; Loosen, P.; Tundo, P.; Selva, M.
U.S. Patent 5,-278,533, 1994; Bomben, A.; Marques, C. A.; Selva, M.; Tundo, P. Tetrahedron, 1995, 51, 11573;
Bomben, A.; Selva, M.; Tundo, P. J. Chem. Res. Synop., 1997, 448; Tundo, P.; Trotta, F.; Moraglio, G. Italian Pat.
Coatings & Paints
Mercha nt
21
less toxic. Finally, in recent year DMC has been also used for intramolecular cyclisation for the
synthesis of heterocycles with applications in cosmetics and fragrances.49
--------------------------------------------------------- Blue Box 7 ----------------------------------------------------------
Green production of dimethyl carbonate – A case study -
DMC was, for long time, produced from phosgene and methanol. In this synthesis, HCl was an
unwanted side product. However, since the mid eighties DMC is no longer produced from a
phosgene pathway. Nowadays the industrial procedure to DMC - developed and recently
industrialized in China - does not use any chlorine, but consists of the cleavage of cyclic carbonates
(Scheme 2). Currently several catalysts are under investigation for the synthesis of the cyclic
carbonate which is an important green reagent and intermediate for the synthesis of DMC.50
Me
R
R
Scheme. Insertion of CO2 in to an epoxide and cleavage of the resultant cyclic carbonate. Step 1. Catalyst:
MgO, CaO. Step 2. Catalyst: zeolites exchanged with alkali and/or earth metal ions. R = H and CH3
Figure. Production of DMC in China compared with DMC world production.
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20159A/90C, 1990; Rahmathullah S., Hall, J. E.; Bender, B. C.; McCurdy, D. R.; Tidwell, R. R.; Boykin, D. W. J.
Med. Chem., 1999, 42, 3994
49 Bevinakatti H. S.; Newman, C. P.; Ellwood, S.; Tundo P., Aricò, F. WO2009010791 (A2), 2009; to Imperial
Chemical Industry, ICI (now to Givaudan and Croda).
50 Mélendez, J.; North, M.; Pasquale, R. Eur. J. Inorg. Chem. 2007, 3323; Clegg, W.; Harrington, R.; North, M.;
Pasquale, R. Chem. Eur. J. 2010, DOI:10.1002/chem.201000030; North, M.; Pasquale, R. Angew. Chem. Int. Ed. 2009,
48, 2946.
- Ambroxan and menthol: Green synthesis in cosmetics and fine chemicals -
(-)-Norlabdane oxide represents one of the preferred synthetic compounds with desirable ambergris-
type odour and it is commercially available under various trade names (notably as amberlyn,
ambroxan, ambrofix, ambrox or amberoxide). (-)-Norlabdane oxide is industrially synthesised by
cyclisation of the related diol, amberlyn diol, in acidic conditions. This reaction leads to a mixture
of ambroxan (ca 60%) and by–products deriving from the concurrent elimination reaction.51 Under
acidic condition this reaction is not environmentally friendly and leads to a racemic mixture of
products. Recently Tundo and co-workers demonstrated that DMC can be used for efficient
cyclisation of the amberlyn diol in a short time spam and quantitative yield (Scheme 1).
Noteworthy, the reaction maintains the chiral integrity of the starting material.49
Scheme 1. Green synthesis of Amborxan by DMC chemistry.
Scheme 2. Green synthesis of Amborxan by DMC chemistry.
51 Davey, P. N.; Payne, L.; Sidney; T. US 5821375, 1998; Barton, D. H.; Parekh, S. I.; Taylor, D. K.; Tse, C. US
Patent 5463089, 1994.
Another example of Green Chemistry applied to Fragrance is the synthesis of menthol. Menthol is
an organic compound made synthetically or obtained from peppermint or other mint oils. Menthol
has local anaesthetic and counterirritant qualities, and it is widely used to relieve minor throat
irritation, but it also has applications in perfumery and in some beauty products such as hair-
conditioners. As with many widely-used natural products, the demand for menthol greatly exceeds
the supply from natural sources thus most of the menthol used in industry is made synthetically. In
particular, menthol is manufactured as a single enantiomer (94% ee) on a scale of 3,000 tons per
year by Takasago International. This process involves an asymmetric synthesis reaction developed
by a team led by Ryoji Noyori and it is green and highly efficient.
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- Generate less waste
An important consideration and benefit associated with the use of a particular reagent is whether
it is responsible for the generation of more or less waste than other reagents. The amount of
waste either generated or eliminated, however, cannot be the only consideration. The type of
waste generated must also be assessed. Just as not all chemical products are equal in terms of
their hazard, neither are chemical waste streams. Waste streams therefore must also be assessed
for any hazard properties that they possess. The way the problem is approached obviously
includes recycling and reuse, but focuses mostly on prevention, and therefore reduction, of
waste production. The idea of high conversion efficiency in a chemical process is expressed in
the concept of atom economy (see metrics) postulated by Trost.52
These considerations explain why in chemistry, oxidation reactions involving oxygen and
hydrogen peroxide have been an outstanding priority in the last twenty years. For green
oxidation reactions we refer to oxidations that use atmospheric oxygen or molecular oxygen as
oxidant. They are considered green because they produce water as a by-product, they require the
use of nontoxic solvents (water or CO2) and mild reaction conditions. From these observations,
it is clear that oxygen is the ideal oxidant53 to be used due to the high active oxygen percentage
content (100%).54 However, oxidations using air as a reagent are difficult to control and
intrinsically nonselective when selectivity is very often a crucial parameter. Besides, very few
reactions have been found where both atoms of oxygen can be transferred to the substrate; more
often O2 acts as an oxidant with 50% of active oxygen content leading to the formation of 1
equivalent of water. For these reasons, hydrogen peroxide is a more practical oxidant (active
oxygen content 47%); it produces water as the only by-product, and a very high selectivity can
be obtained. However, hydrogen peroxide used for fine chemical production, can undergo
52 Trost, B. M. Angew. Chem. Int. Ed. Engl. 1995, 34 ,3, 259.
53 Tundo, P.; Esposito V.; Eds. Green Chemical reactions Goti, A.; Cordona F., 2008, 191-212.
54 The active oxygen content is the mass amount of oxygen transferred to the substrate with respect to the total mass of
oxidant. (i.e. H2O2 47 %; O3 33.3% etc.)
24
radical decomposition to water and oxygen (catalase reaction).55 Therefore, there is a great
effort to develop systems able to selectively activate oxygen and hydrogen peroxide for
oxidative transformations. In this context, both homogeneous and heterogeneous catalysis plays
a key role. Oxidation reactions are critical to pharmaceutical, petrochemical, and agricultural
industries. Several examples of how environmentally benign oxidants such as molecular
oxygen, hydrogen peroxide or nitrous oxide can be activated on heterogeneous catalysts have
been reported.56 Direct oxidation of isoprenol, β-picoline and benzene are chosen as examples
for continuous gas phase processes, and oxidation of cyclopentanone, limonene, pinene, and
propylene as examples for semi continuous or batchwise processes in the liquid phase.57
Another example of chemistry that produces less waste is represented by the development of
zeolites.58 Zeolites are crystalline aluminosilicates of group IA and group IIA elements, such as
sodium, potassium, magnesium and calciumare solids with an interesting molecular structure.
Zeolites are complex, crystalline inorganic polymers based on an infinitely extending three -
dimensional, framework of tetrahedra AlO4 and SiO4. Each AlO4 tetrahedron in the framework
bears a net negative charge, balanced by a cation. Some zeolites are found in nature as minerals,
others are synthesised by industry or in the laboratory. Zeolites have many applications. The
first major use for zeolites was in the purification of water.59 Water can be softened by passing it
through a zeolite, with pores that incorporate calcium and magnesium ions rending the water
softer. This same type of zeolite is being increasingly used in place of polluting phosphate
chemicals in laundry detergents.60 Zeolites are also used in agriculture,61 their pores can be
filled with potassium, ammonium ions, fertilizer or other micronutrients. The use of zeolite
catalysts in the production of organic (fine) chemicals has appeared as a major new direction62.
Nowadays, one the most important application of zeolites is as catalysts in chemistry.63 The
main advantage of these materials is that their pore size, shape and properties can be modelled
55 Fita, et al, J. Mol. Biol., 1985, 185, 21.
56 Hoelderich W. F.; Kollmer F. Pure Appl. Chem., 2000, 72, 7, 1273; Schuster, H.; Rios, L. A.; Weckes, P. P.;
Hoelderich W. F. Applied Catalysis A: General, 2008, 348 (2), 266; Laufer, M. C.; Hinze, R.; Hoelderich, W. F.;
Bonrath, W.; Netscher, T.Catalysis Today, 2009, 140, 105.
57 Hoelderich, W. F.; Kollmer, F. Pure Appl. Chem., 2000, 72,7, 1273.
58 Kulprathipanja, S. Zeolites in Industrial Separation and Catalysis, 2010, Wiley-VCH, Weinheim
59 Moreno, N.; Querol, X.; Ayora, C.; Pereira, C. F.; Janssen-Jurkovicova, M. Environmental Science & Technology,
2001 , 35, 3526.
60 Johnson, L. B. US6893632 B2, 2005; US2001/31220 A1; US6440415 B1; US2002/197247 A1; US6893632 B2;
Ebihara, F.; Watano, S. Chemical & Pharmaceutical Bulletin, 2003, 51, 6, 743.
61 Quimby, P. C.; Birdsall, J. L.; Caesar, A. J.; Connick, W. J.; Boyette, C. D.; Caesar, T. C.; Sands, D. C. to: The
United States of America as represented by the Secretary of the (Washington, DC) , Appl. No.: 08/039,679, 1994.
62 Ballini, R.; Bigi, F.; Gogni, E.; Maggi, R.; Sartori, G. Journal of Catalysis, 2000, 191, 348; Srivastava, R.; Iwasa,
N.; Fujita, S.-I.; Arai, M.; Chem. Eur. J, 2008, 14, 9507;
63 Hegedues, A.; Hell, Z.; Potor, A. Synthetic Communications, 2006, 36, 3625; Bonino, F.; Damin, A.; Bordiga, S.;
Selva, M.; Tundo, P.; Zecchina, A. Angew. Chem., International Edition, 2005, 44, 30, 4774; Kim, S.-S.; Pinnavaia, T.
J.; Damavarapu, R. Journal of Catalysis, 2008, 253, 2, 289; Tachikawa, T.; Yamashita, S.; Majima, T. Angew. Chem.,
International Edition, 2010, 49, 2, 432.
25
according to the needs of the reaction to be conducted, and to the substrate used. This improves
the energy-efficiency of many industrial processes, especially in the hydrocarbon industry. It
also removes the need to use other potentially polluting catalytic alternatives. This has led to
numerous applications and patents in the industry (i.e. production of phenol by alternative
process to the cumene process)64. For instance, the hydrogen form of zeolites (prepared by ion-
exchange) are powerful solid-state acids,65 and can facilitate a host of acid-catalyzed reactions,
such as isomerisation, alkylation, and cracking.
- High conversion and selectivity
Utilizing a reagent that is more selective means that more of the starting material is going to be
converted into the desired product. On the other hand, high product selectivity does not always
translate into high product yield (and less waste generated). As reported by Sheldon, both high
selectivity and high conversion must be achieved in order for a synthetic transformation to
generate little or no waste.66 Utilizing highly selective reagents can mean that separation,
isolation, and purification of the product will be significantly less difficult. Since a substantial
portion of the burden to the environment that chemical manufacturing processes incur often
results from separation and purification processes, highly selective reagents are very desirable in
green chemistry.
- Catalyst
One of the most important aspects in the use of benign reagent is the substitution of antiquated
stoichiometric methodologies with cleaner catalytic alternatives. Indeed, a major challenge in
chemicals manufacture in general is to develop processes based on H2, O2, H2O2, CO, CO2 and
NH3 as the direct sources of H, O, C and N. Catalytic hydrogenation, oxidation and
carbonylation are good examples of highly atom efficient, low-salt processes. The generation of
copious amounts of inorganic salts can similarly be largely circumvented by replacing
stoichiometric mineral acids, such as H2SO4, and Lewis acids and stoichiometric bases, such as
NaOH, KOH, with recyclable solid acids and bases, preferably in catalytic amounts. A large
number of industrial processes are based on the use of inorganic or minerals acids. While many
of these processes are catalytic, some require stoichiometric amounts of Lewis acid (e.g.,
acylation using AlCl3). Isolation of the product necessitates neutralization steps to remove the
acid, resulting in enormous quantities of hazardous waste, with the cost of disposal of this waste
64 Tanabe, K.; Hölderich W. F. Appl. Catal. A, 1999, 181, 399.
65 Gounder, R.; Iglesia, E.J. Am. Chem. Soc. 2009, 131 (5), 1958.
66 Sheldon, R. A. Pure Appl. Chem., 2000, 72, 7, 1233.
26
often outweighing the value of the product. One way to significantly reduce the amount of waste
is to substitute traditional acids and Lewis acids with recyclable solid acid catalysts (i.e.
heteropolyacids).67
In any case, it must be mention that if a catalyst can be used, it should be used in “catalytic
amount”. If a reagent can be utilized and yet not consumed in the process, it will require less
material to continuously effect the transformation. This implies that catalysis has to be as
efficient (not only effective) as possible, involving a high turnover.
Another example of attractive catalysts are heteropolyacids largely used for oxidation processes
due to their low toxicity and high acidity. Heteropolyacids have been used in a variety of acid-
catalyzed reactions such as esterification, etherification, hydration of olefins and dehydration of
alcohols.68 Recently, Keggin-type heteropolyacids have been used in multiphase conditions in a
range of processes i.e. preparation of heterocycles, protection/deprotection of organic
functional groups, and oxidation processes, as well as, conversion of 2,6-dimethylphenol to 2,6-
dimethyl-1,4-benzoquinone, and selective oxidation of sulfides to sulfoxides with hydrogen
peroxide.69
--------------------------------------------------------- Blue Box 10 --------------------------------------------------------
- Catalysis and Green Chemistry: The practical elegance in synthesis -
Professor Ryoji Noyori (born September 3, 1938) won the Nobel Prize in Chemistry in 2001 with
William S. Knowles for the study of chirally catalyzed hydrogenations and with K. Barry Sharpless
for his study in chirally catalyzed oxidation reactions (Sharpless epoxidation).
Noyori believes strongly in the power of catalysis and of green chemistry. In a recent article he
argues for the pursuit of “practical elegance in synthesis: that is chemical synthesis must be
intellectually logical and technically truly efficient”.70 According to Noyori every reaction in multi-
step synthesis should proceed with a high atom economy, and the overall synthesis must be
accomplished with a low E-factor. In fact he states that ”chemists today are asked to develop perfect
chemical reactions that proceed with 100% yield and 100% selectivity without forming any waste
67 Ratton, S. Chem Today, 1997, 33; Sheldon, R. A. Science, 2000, 287, 1636; Sheldon, R.A. Green Chemistry, 2005, 7,
267.
68 Simoes, M. M. Q.; Conceicao, C. M. M.; Gamelas, J. A. F.; Domingues, P. M. D. N.; Cavaleiro, A. M. V.; Cavaleiro,
J. A. S. ; Ferrer-Correia, A. J. V.; Johnstone, R. W. A. J. Mol. Cat. A: Chemical, 1999, 144, 461-468; Wang, J.; Yan,
L.; Li, G.; Wang, X.; Ding, Y.; Suo, J. Tetrahedron Lett. 2005, 46, 7023; Heravi, M. M.; Zadsirjan, V.; Bakhtiari, K.;
Oskooie, H. A.; Bamoharram, F. F. Catal. Commun., 2007, 8, 315; Nagaraju, P.; Pasha, N.; Sai P.; Prasad, S.; Lingaiah,
N. Green Chem., 2007, 9, 1126; Park, D. R.; Park, S.; Bang, Y.; Song, I. Applied Catal. A. General, 2010, 373, 201;
Rao, P. S. N.; Venkateswara K. T., Said Prasad, P. S.; Lingaiah, N.; Catal. Commun., 2010, 11, 547; Romanelli, G.;
Autino, J.; Vázquez, P.; Pizzio, L.; Blanco, M.; Cáceres, C. Applied Catal. A: General, 2009, 352, 208.
69 Romanelli, G.; Autino, J.; Vázquez, P.; Pizzio, L.; Blanco, M.; Cáceres, C. Applied Catal. A: General, 2009, 352,
208; Villabrille, P.; Romanelli, G.; Quaranta, N.; Vázquez, P. Applied Catal. B: Environmental, 2010, 96, 379 ;
Villabrille, P.; Romanelli, G.; Vázquez, P.; Cáceres, C. Applied Catal. A: General, 2008, 334, 374 .
70 Noyori, R. Chem. Comm., 2005, 14, 1807.
27
products. Molecular catalysis, together with traditional heterogeneous catalysis, significantly
contributes to the realization of this goal.”
Scheme. Green oxidation of cyclohexane for the synthesis of adipic acid
A clear example of practical elegance in synthesis is the green oxidation of cyclohexane for the
synthesis of adipic acid. Noyori proved that if a mixture of cyclohexene and H2O2 in the presence of
small amounts of Na2WO4 and methyl- (trioctyl)ammonium hydrogensulfate is stirred at 75–90 °C,
adipic acid is directly obtained as shiny, colorless, analytically pure crystals in a high yield. This
procedure is much more environmentally benign than the commonly used oxidation of a
cyclohexanol–cyclohexanone mixture with nitric acid.71
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Biocatalysis has emerged as an important tool in the industrial synthesis of bulk chemicals,72
pharmaceutical and agrochemical intermediates, active pharmaceuticals, and food ingredients.73 The
potential applications of biocatalysis for the synthesis of chemicals, is highlighted by several
industrial processes that are operational in several industries such as Merk,74 BASF,75 DSM,76
Lonza,77 Roquette78 and Cognis79. These industries employ enzymes for the synthesis of medium to
high priced compounds that cannot be produced equally well using chemical approach.
An example of biocatalysis employed for synthetic natural pathways is the bacterial fermentation to
produce lactic acid from corn starch or cane sugar. The lactic acid so obtained is then used as
starting material to achieve polylactic acid (PLA).80 PLA has a wide range of applications, such as
71 Sato, K.; Aoki, M.; Noyori, R. Science,1998, 281, 1646.
72 Fahrenkamp-Uppenbribk, J. Science, 2002, 297, 798.
73 Davies, I. W.; Welch, C. J. Science 2009, 325, 701
74 Shultz, C. S.; Krska S. W. Acc. Chem. Res., 2007, 40, 12, 1320
75 For more details on BASF biocatalysts see
http://www.basf.com/group/corporate/en/function/conversions:/publish/content/products-and-
76 For further details see http://www.dsm.com/en_US/downloads/dpp/DSM_PharmaChem_SP.pdf
77 Leresche, J. E.; Meyer H.-P. Organic Process Research & Development ,2006, published on line
78 http://www.roquette.com/delia-CMS/p2/article_id-3548/topic_id-1136/index.html
79 http://www.cognis.com/company/Businesses/Care+Chemicals/Green+Chemical+Solutions/
80 Martin, O.; Averous, L. Polymer, 2001, 42, 6209; Gruber, P. ; O’Brien, M. Biopolymer, 2001, 6, Chapter 8,
Polylactides:NatureWorks® PLA, June 2001.
woven shirts, microwavable trays, hot-fill applications and engineering plastics. PLA is currently
used in a number of biomedical applications, such as sutures, stents, dialysis media and drug
delivery devices. Because it is biodegradable, it can also be employed in the preparation of
bioplastic.
Figure 7. Examples of API manufactured using biocatalysts.81
In this sense, the use of biosynthesis, biocatalysis and biotech-based chemical transformations can
make an important contribution to green chemistry for both efficiency and selectivity. The range of
reactions that can be carried out with microorganisms and the range of microorganisms that have
been already isolated is enormous. Thus, much effort goes into the selection of new enzymatic
activities. The use of biotech-based chemical transformations have high efficiency and selectivity;
are carried out in water at ambient temperature and pressure; do not require tedious protection and
deprotection of functional groups; shorten reaction sequences with fewer steps and remove the need
for organic solvents. Besides, another great advantage of biocatalysis in industry is the reduction of
waste.
Enzymes often represent almost zero waste for companies as they can be reused, and once they
reach the end of their service life they can be discarded through conventional waste streams. The
chemical catalysts that enzymes often replace are heavy metals, which are tightly regulated and in
many cases hazardous to the environment and human health. On the other hand, a common problem
in biocatalysis is that many of the desired substrates have very low solubility in water, and the
catalytic activity for most enzymes is significantly reduced by the addition of even small quantities
of organic solvents.
Traditionally this has limited the use of biocatalysts, but now several examples have shown that
N
29
biocatalysts can be evolved to function in nonaqueous solvents, allowing for their use with water-
insoluble substrates. In fact, for a biocatalyst to be effective in an industrial process, it must be
subjected to improvement and optimization, and in this respect the directed evolution of enzymes
has emerged as a powerful enabling technology. Currently, large-scale industrial applications of
enzyme catalysis include the thermolysin-catalysed synthesis of the low-calorie sweetener
aspartame, the synthesis of semi-synthetic β-lactam antibiotics with the use of acylases, acrylamide
and nicotinamide.81 The enzymes most utilised include lipases and other esterases (for ester
formation including transesterification; aminolysis and hydrolysis of esters); proteases (ester and
amide hydrolysis, peptide synthesis); nitrilases and nitrile hydratases; hydrolases (hydrolysis of
epoxides, halogenated compounds, and phosphates;glycosylation) and oxidoreductases (e.g.
enantioselective reduction of ketones). However it is worth mentioning that another drawback of
biocatalysis is that enzymes are very specific, thus they can be only used for one reaction at a time.
In fact it is impossible at the moment to realize the synthesis of a natural product or of an Active
Pharmaceutical Ingredients and Intermediates (API) in one step.
--------------------------------------------------------- Blue Box 9 ----------------------------------------------------------
- Isosorbide: an example of Green Chemistry applied to renewable -
Cyclic ethers in the form of anhydro sugar alcohols have many applications in industry, in particular
in food industry and in the therapeutic field and are employed as monomers for polymers and
copolymers. Such anhydro sugar alcohols are derivatives of mannitol, iditol, and sorbitol. In
particular isosorbide, an anhydro sugar alcohol derived from sorbitol, is useful as a monomer in the
manufacture of polymers and copolymers, especially polyester polymers and copolymers.
Isosorbide is obtained by dehydration of sorbitol by an acid-catalyzed reaction that leads to different
anhydro-compounds, but also to polymer-like products. Due to the industrial relevance of this
substrate, the one-pot cyclisation of D-sorbitol to isosorbide has been greatly investigated.
Scheme. Synthesis of isosorbide by DMC chemistry
Recent studies demonstrated that DMC can be used as an efficient dehydrating agent in the
cyclisation of D-sorbitol to isosorbide in up to quantitative yield.49
Noteworthy, the synthesis of isosorbide represents a one-pot double cyclisation reaction.
Additionally, the chiral centres were not affected by the reaction.
----------------------------------------------------------------------------------------------------------------------------------------------------------------
81 Shoemake, H. E.; Mink, D.; Wubbolts, M. G. Science, 2003, 299, 1694.
O
30
2.4 Use of Alternative Solvents.
The use of solvents in every day laboratory work and in the chemical industry is ubiquitous.
Solvents are often supposed to disappear at the end of the reaction, nevertheless they are part of the
process and consequently they must be treated and disposed of. Nowadays, with increasing
regulatory pressure focusing on solvents, there is significant attention being paid to green
alternatives to traditional solvents which is perhaps the most active area of Green Chemistry
research.82 In fact, solvents account for the vast majority of mass wasted in syntheses and processes.
Besides, traditional solvents pose several serious issue to human health being toxic, flammable,
and/or corrosive, as well as to the environment due to their volatility and solubility, which has
caused enormous air, water and soil pollution over the years. Halogenated solvents such as carbon
tetrachloride, perchloroethylene, and chloroform have been implicated as potential and/or suspect
carcinogens, while other classes of solvents have demonstrated neurotoxicological effects.
However, the direct toxicity to humans is only one aspect of the hazards that solvents possess. The
use of certain volatile organic compounds (VOCs) as solvents and other uses has generated great
concern about their ability to elevate atmospheric ozone levels (see box 3).
Figure 8. An example of non-methane volatile organic compounds (NMVOc) reduction during the last 20
years in Europe83
Other substances used as solvents have also been found to possess significant global warming
potential and are thought to contribute to the overall greenhouse gas loading in the environment. In
an effort to address all these concerns for health and environment, chemists started to search for
safer solutions.
82 Marcus Y. Ed. The properties of Solvents, Wiley, John Wiley & Son, New York, 1999
83 Source EEAReport 2005 http://www.eea.europa.eu/publications/state_of_environment_report_2005_1
31
As an example, DMC-derivate solvents have recently been demonstrated as efficient alternative
solvents for varnishes. Noteworthy, the varnish containing the new DMC-based solvent showed to
have no toxicity and better filming performance (specifically 2(2methoxy-2ethoxy)ethyl methyl
carbonate).84
In this context, some of the main areas of research on alternative solvents include solventless
systems, aqueous applications, supercritical fluids, ionic liquids and reduced hazard organic
solvents.
- Solventless Reactions. Whenever feasible, the best solution would be to avoid the use of
solvent since including a supplementary element in a chemical reaction always require an
extra energy consumption to remove it at the end of the process.85
- Water. The increased focus on water in synthetic organic chemistry during the past few
decades has resulted in a large number of reactions that can now be performed successfully
in an aqueous medium.86 Among these reactions are allylation reactions, the aldol
condensation, the Michael addition, the Mannich reaction, indium-mediated allylation and
Grignard-type additions, and the benzoin condensation. In some reactions the properties of
water have even led to improved results thanks to the hydrophobic effect and easier
separation, as a lot of organic substances are not water soluble. An application of the use of
water in a chemical process is phase-transfer catalysis as a green approach to waste
minimization. This key synthetic methodology - used for the first time before the
development of the concept of Green Chemistry - utilises water as the solvent and is applied
in, and applicable to, a great variety of reactions in which inorganic and organic anions or
carbenes react with organic substrates.87 It makes use of a heterogeneous two-phase
system—one phase (water) being a reservoir of reacting anions or base for generation of
organic anions, whereas organic reactants and catalysts are located in the second, organic
phase. The reacting anions are continuously introduced into the organic phase in the form of
lipophilic ion-pairs with lipophilic cations supplied by the catalyst. Phase-transfer catalysis
can be carried out in liquid-liquid, solid-liquid, and gas-liquid conditions. The latter (gas-
liquid phase-transfer catalysis, GL-PTC) is of great importance in green chemistry because
84 Tundo, P.; Riva, L.; Mangano, R. PCT/IB2008/003409; IPN # WO 2009/147469 A1.
85 Kerton, F. M. Ed. Alternative Solvents for Green Chemistry, RSC Green Chemistry Book Series, Royal Society of
Chemistry, 2009, p. 23; Tanaka, K. Ed. Solvent-free Organic Synthesis, Wiley- VCH Verlag GmbH & Co KGaA,
Weinheim, Germany, 2003; Cave, G. W. V.; Raston C. L.; Scott, J. L. Chem. Commun., 2001, 2159.
86 Li C.-J.; Chan, T.-H. Comprehensive Organic Reactions in Aqueous Media, John Wiley & Sons, Inc., Hoboken, New
Jersey, 2nd edn, 2007; Kerton, F. M. Alternative Solvents for Green Chemistry, RSC Green Chemistry Book Series,
Royal Society of Chemistry, 2009.
32
it is performed under continuous-flow conditions.87 Transforming batch reactions into
continuous- flow processes is a challenge for chemical engineers, but results in harmful
reactions being avoided, easier reaction control and the volume in which the reaction takes
place being greatly reduced. Noteworthy, it must be mentioned that the use of water in an
industrial processes can also lead to water contamination, which is energy intensive to clean.
- Supercritical fluids (SCF). SFCs can be obtained from water, carbon dioxide, methane,
methanol, ethanol or acetone to mention but a few. They include substances which have
been simultaneously heated and compressed above their critical points. In particular in the
last twenty years, there has been incredible growth in research involving the use of carbon
dioxide as an environmentally benign solvent for chemical reactions and polymerizations
both in academia and in industry. CO2 is a nontoxic, nonflammable, and inexpensive
solvent.88 While CO2 is a gas at ambient conditions, its liquid and supercritical states are
easily attained by compression and heating. Both liquid and scCO2 have a tuneable density
(and dielectric constant) that increases with increasing pressure or decreasing temperature.
Many small molecules are soluble in CO2, including high-vapor-pressure solvents such as
methanol, acetone, and tetrahydrofuran, many vinyl monomers, and azo- and peroxy-
initiators. Water and ionic compounds are insoluble, as are most polymers. The two
methodologies described by Howdle for dissolving ionic/polar species in scCO2 led to a
broadening of the range of applications for supercritical solvents. ScCO2 has found a wide
range of industrial applications, the first and most cited being the decaffeination of coffee
beans.
- Ionic Liquids. Another class of solvents investigated for possible green solvents are ionic
liquids, which offer alternatives to conventional molecular solvents for many synthetic
transformations.89 These solvents are often fluid at room temperature, and consist entirely of
organic ionic species; they have no measurable vapour pressure, and hence can emit no
VOCs. Their uses and applications having been pioneered only recently by Seddon. An
interesting application of IL is in their use in cellulose processing.90 Making cellulosic fibres
87 Tundo. P. Ed. Continuous-Flow Methods in Organic Synthesis, E. Horwood Pub., Chichester, UK, 1991.
88 Arai, Y.; Sako T.; Takebayashi, Y. Supercritical Fluids, Springer series in materials processing, Springer, New
York, 2002.
89 Earle M. J.; Seddon, K. R. Eds. Clean Solvents: Alternative Media for Chemical Reactions and Processing—Ionic
liquids: green solvents for the future, ACS Symposium Series, American Chemical Society, 2002, 819; Plechkova, N.
V.; Seddon, K. R. Methods and Reagents for Green Chemistry - Ionic liquids: ‘‘designer’’ solvents for green chemistry,
John Wiley &Sons Inc, Hoboken, 2007, pp. 105; Chiappe, C.; Pieraccini D. Journal of Physical Organic Chemistry,
2004, 18, 4, 275.
90 Swatloski, R. P.; Spear, S. K.; Holbrey, J. D.; Rogers, R. D. J. Am. Chem. Soc., 2002, 124, 4974.
33
by dissolving the so-called pulp involves the use, and subsequent disposal, of great volumes
of various chemical auxiliaries. However, IL can greatly simplify these processes, serving as
solvents that are nearly entirely recyclable. BASF is currently investigating the properties of
fibres spun from an IL solution of cellulose in a pilot plant.91
In this sense green chemistry entails the use of alternative green solvents that are non-toxic while
preserving (or eventually improving) the efficiency of the synthesis in comparison to classical
organic solvents while maintaining the same reaction conditions.
2.5 Design of Safer Chemicals.
In the last twenty years, chemists have put enormous effort into designing chemicals with various
applications ranging from medicines and cosmetics to materials and molecular machines. However,
in the main, their work demonstrated a quite surprising lack of interest in taking hazards into
consideration in the design process. The design of safer chemicals is a process that utilises an
analysis of the chemical structure to of a molecule to identify what part is providing the
characteristic or property that is desired from the products and what part of the molecule is
responsible for the toxicity or hazard. Once this information has been ascertained, it is possible to
maintain efficiency of function while minimizing the hazard. The goal of designing safer chemicals
can be achieved through several different strategies (i.e. computational studies), the choice of which
is largely dependent on the amount of information that exists on the particular substance.
The greatest potential to design a safer chemical, in terms of toxicity or other hazards to human
health and the environment, is in cases where a mechanism of action is known. Simply stated, if the
pathway toward toxicity is known, and if any step within that pathway can be prevented from
occurring, then the toxic endpoint will be avoided.
Although mechanisms of action may be unknown, there are often detailed correlations, by way of
structure–activity relationships, that can be used to design a safer chemical. As an example, if the
methyl-substituted analogue of a substance is known to have a high toxicity, and that the toxicity
decreases as the substitution moves from ethyl to propyl, etc., it would be reasonable to increase the
alkyl chain length to design a safer chemical. Even when the reason for the influence of alkyl chain
length on toxicity is unknown, an empirical structure–activity relationship of this kind offers a
powerful design tool.
Another important approach for the design of safer molecules is the elimination of toxic functional
groups. If there is little information about the specific variations in a chemical’s toxicity with
91 Hermanutz, F.; Gähr, F.; Massonne, K.; Uerdingen, E. Oral presentation at the 45th Chemiefasertagung, Dornbirn,
Austria, September 20th – 22nd, 2006
34
structural modification or in the mechanism by which that toxicity is produced, the assumption that
certain reactive functional groups will react similarly within the body or in the environment is often
a good one. The assumption is especially good if there is data on other compounds in the chemical
class that demonstrate a common toxic effect. Here, the design of a safer chemical could possibly
proceed by removing the toxic functionality which defines the class. In some cases, this is not
possible because the functionality is intrinsic for the desired properties of the molecule. In such a
case, there are still options, such as masking the functional group as a nontoxic derivative form and
only releasing the parent functionality when necessary.
Finally, if through the above methods, the structural feature of the molecule that needs to be
modified in order to make it less hazardous cannot be identify, there is still the option of making the
substance less bioavailable. If the substance is unable, due to structural design, to reach the target of
toxicity, then it is in effect innocuous. This can be achieved through a manipulation of the water-
solubility/lipophilicity relationship that often control the ability of a substance to pass through
biological membranes such as skin, lungs, or the gastrointestinal tract. The same principle applies to
designing safer chemicals for the environment, such as replacement for ozone-depleting substances.
In the past, it was often the goal of the chemist to design substances which were robust and could
last as long as possible. This philosophy has resulted in a legacy of wastes, persistent toxic and bio-
accumulative substances, and lingering toxic waste sites. Nowadays it is known that it is more
desirable to avoid substances that persist indefinitely in the environment or in landfill, and to
replace them with those that are designed to degrade after use. Polymeric materials, for instance,
should have no negative effect on the environment during their production, utilisation or disposal.
Therefore, the design of safer chemicals cannot be limited to hazards associated with the
manufacture and use of the chemical, but also to its disposal, i.e. its full life cycle.
2.6 Developing Alternative Reaction Conditions
The use of alternative reaction conditions has experienced great development in the last twenty
years. Energy sources such as UV light, microwaves or ultrasound can be used in a controlled way
to increase the efficiency of a chemical reaction, thus making it more eco-friendly.
Microwave chemistry, the science of applying microwave irradiation to chemical reactions, for
instance, has been widely investigated since 1986. Microwaves will generally heat any material
containing mobile electric charges, such as polar molecules in a solvent or conducting ions in a
solid. As a results microwave heating has benefits over conventional ovens: i.e. reaction rate
acceleration, milder reaction conditions, higher chemical yield, lower energy usage and different
reaction selectivity. Microwave heating is very attractive for chemical applications and has become
35
a widely accepted non-conventional energy source for performing organic synthesis. A large
number of examples of reactions have been described in organic synthesis: solvent-free reactions,
cycloaddition reactions, the synthesis of radioisotopes, fullerene chemistry, polymers, heterocyclic
chemistry, carbohydrates, homogeneous and heterogeneous catalysis, medicinal and combinatorial
chemistry and green chemistry.92
Acoustic waves are also considered as alternative reaction conditions to mechanical milling. In
particular, acoustic milling is generated between 2 disks counter rotating at 30 000 rpm with a gap
as small as 200 mm. Materials are introduced in the centre of the disks, and transformed to
nanometric powders with no crushing. This process is considered to be energetically greener and
costs are claimed to be 10 times less.93
2.7 Minimizing Energy Consumption.
Chemistry and energy are two concepts that are strictly linked together. Thus, the design of
chemical transformations can reduce the required energy input in terms of mechanical, thermal, and
other energy inputs, and the associated environmental impacts of excessive energy usage. In many
aspects, design for energy minimization is inherently coupled with the design for material
efficiency. For instance, when utilising new solvents such as supercritical carbon dioxide, often the
ease of separation is also greatly increased, a processes which requires significant energy inputs.
Furthermore, if a synthetic transformation is developed using a catalytic system rather than a
stoichiometric process, the activation energy required for the conversion to occur is significantly
lowered.
Noteworthy, the chemical industry accounts for high energy consumption and CO2 emissions. The
industry typically consumes 25-30% of the total energy used annually by the entire manufacturing
sector. The two categories of plastic manufacturing and basic organic compounds represent more
that one half of chemical industry energy use. This energy relates to energy of the molecular bonds
and to some distinct manufacturing procedures, such as distillation, crystallization, separation, etc.
The potential energy savings in the chemical industry are enormous. Improving atom economy,
utilizing less powerful reagents, reducing waste, adopting intelligent energy activation
(sonochemistry, electrochemistry, photochemistry, microwave) and alternative separation
procedures will allow the relationishp between industry and energy to be reassessed.
92 De la Hoz, A.; Dıaz-Ortiz, A.; Moreno A. Chem. Soc. Rev., 2005, 34, 164–178; Strauss, C.; Trainor, R. Aust. J.
Chem., 1995, 48 1665; Varma R. S. Clean Products and Processes, 1999, 132; Varma, R. S. Advances in Green
Chemistry: Chemical Syntheses Using Microwave Irradiation, Astra Zeneca Research Foundation, Kavitha Printers,
Bangalore, India, 2002; Bose, A. K.; Manhas, M. S.; Ganguly, S. N.; Sharma, A. H.; Banik, B. K. Synthesis, 2002,
1578; Nuchter, M.; Ondruschka, B.; Bonrath, W.; Gum, A. Green Chem., 2004, 6, 128.
93 For further informations see http://www.globaltechnoscan.com/23rdApril-29thApril03/powder.htm.; L’Usine
Nouvelle nu2876, 19 June 2003, 42.
36
A convincing example is represented by the chlorine-based industry. Chlorine stands as “an iconic
molecule” for industrial production. Starting from a chlorine anion, Cl2 can be easily obtained by
electrolysis. Following, many intermediates are produced starting from Cl2 (AlCl3, SnCl4, SOCl2,
COCl2, TiCl4, POCl3, ZnCl2, SiCl4, PCl3, PCl5, etc.), which in turn are starting reagents and
catalysts for the production of numerous common everyday goods.
Figure 9. Total Global New Investment in Clean Energy, 2004-2008, US$ billions94
Through a chain of chemical derivatives and relatively easily obtained compounds and
intermediates, such molecules have utilised the intrinsic energy available through the use of
chlorine primarily produced via electrolysis. Each compound is the starting point of a chain leading
to essential chemical derivatives. More than 20 million tonnes of chlorine and co-products caustic
soda and hydrogen are produced each year at about 80 plants across Europe, mostly (about 95%)
via electrolysis-based techniques (chlor-alkali industry); the sector directly employs about 40,000
people in 20 countries. Chlorine production is extremely energy intensive; recent data reported a
decreasing consumption trend in Europe from 2001 to 2007; yet in 2007 ca. 3,350 kWh were
needed on average to produce one ton of chlorine. Estimates for the Global Warming Potential
(GWP) resulting from chlorine use and the primary energy consumed by the chlorine industry in
Europe are 0.29% of the total GWP and 0.45% primary energy consumption.95
94 Source World Economic Forum January 2009 “ http://www.weforum.org/pdf/climate/Green.pdf
95 For data and more details see www.eurochlor.org
37
Figure 10. Synthesis of chlorine derivatives by electrolysis
So, besides their (eco-)toxicity, a major concern with chlorine derivatives is the large amount of
energy necessary for their production. This is why chlorinated molecules may have both a direct (as
greenhouse gases) and indirect (energy production) impact on climate change at a global level.
The substitution of compounds where “chlorine is used in the making”, means that Cl2 can be avoid
as a primary energetic source; this however makes chemistry “without chlorine” considerably more
difficult and illustrates why it has never been take on before. However, the search for chlorine-free
chemistry will not imply a drastic change in the industrial chemical processes, it is more an
evolution of production pathways driven by industrial needs related to the modern market.
Besides, reduced dependence on chlorine electrolysis will increase energy saving and will produce a
smaller CO2 footprint. Decreasing CO2 emissions is a crucial step for containing industrial
environmental pollution. Figure 11 clearly shows the impact of the chemical industry on CO2
production. As stated, estimates of the Global Warming Potential (GWP) resulting from chlorine
use and the primary energy consumed by the chlorine industry in Europe are 0.29% and 0.45% of
the total GWP and primary energy consumption respectively. To calculate these numbers, the
European production of chlorine and oxygen are set in relation to the overall emission/ consumption
figures of the European Union.
38
Figure 11. CO2 Emissions by sector (Shares of total CO2 Emissions: 2007)
The whole of Europe produces 5.21 trillion t CO2eq per year and has a primary energy consumption
of about 55 trillion GJ per year. In the following table the primary energy consumption and GWP of
three different materials are shown.
In relation to other materials, with a 0.45% GWP share and 0.29% primary energy share, chlorine
has an important and significant environmental effect in Europe. This becomes more apparent when
comparing the mass of the materials produced. Therefore, even small reductions of chlorine use in
the chemical industry could result in a significant reduction in the environmental impact.
Table 1. Comparing CO2 emissions in cement, iron, steel and chloro alkali production
Chloro-Alkali
China 21Mtons
2.3 Btons 1.2 Btons
An approximate estimate of the share of environmental impact caused by the use of chlorine in the
State-of-the-Art production ranges between 20 – 55% of the whole production chain, beginning
from the extraction of the raw materials down to the manufacturing of the chlorine-derived
products. This environmental impact potential can be reduced by the development of chlorine-free
production routes.
3. Metrics in Green Chemistry
Metrics in Green Chemistry are very important indicators of environmental issues and pollution
associated with chemicals manufacturing. Metrics evaluation is often required for the assessment of
the operations of a process plant, as they indicate human toxicity, toxicity pathway and ecotoxicity.
The most common green metrics for the evaluation of a chemical process are:
39
- the effective mass yield defined as the percentage of the mass of desired product relative to
the mass of all non-benign materials used in a synthesis96;
- the E Factor defined as total waste per product97;
- the atom economy (AE)98 describes the conversion efficiency of a chemical process in terms
of atoms involved. In an ideal chemical process, the amount of starting materials or reactants
equals the amount of all products generated and no atom is wasted. Thus atom economy can
be written as: % atom economy = (molecular weigh of desired product/molecular weight of
all reactants) x 100
- the mass index (MI) that is the total mass used in a process per mass of product.
Green metrics provide information already in the design phase of a chemical process and indicate
consumptions measured as material and energy flows, waste or toxic release emissions. Thus, by
their application, chemists can improve their awareness of environmental issues related to new
products as well as to existing ones. Utilizing these metrics, some comparative evaluations have
been carried out to define the “greener” methylating agent among dimethyl carbonate, dimethyl
sulphate and methyl iodide. The data collected demonstrated that DMC was the more eco-friendly
reagent.99
§ As evidence of the important role played by these green indicators, in 1998 an
ECOMETRICS workshop was held in Switzerland with the participation of academia,
industry and decisions makers in order to discuss the need of metrics for the environment
and to evaluate the best indices to address environmental issues100. The key role of the
metrics was confirmed during the First International Conference on Green & Sustainable
Chemistry held in Japan in 2003. During this meeting life cycle approach101 was also
recognized as a method to be taken into account in the environmental assessment of a
material.
In 2005 Andraos proposed a formalism to unify the metrics used for chemical reactions and
introduced the stoichiometric factor (SF), making use of algorithms to calculate reaction metrics
and to compare the green performances.102 In this context, in order to identify a sustainable
96 Hudlicky, T.; Frey, D. A.; Koroniak, L.; Claeboe, C. D.; Brammer Jr., L. E.; Green Chem. , 1999, 57.
97 Sheldon, R. A. Chem. Ind. (London), 1997, 12.
98 Trost, B. M. Science, 1991, 254, 1471
99 Selva, M.; Perosa, A. Green Chem., 2008, 10, 457.
100 Biswas, G.; Clift, R.; Davis, G.; Ehrenfeld, J.; Förster, R.; Jolliet, O.; Knoepfel, I.; Luterbacher, U.; Russell, D.;
Hunkeler, D. Int. J. LCA, 1998, 3 (4) 184.
101 Yasui, I. Conference report, Green Chem. October 2003
102 Andraos, J. Organic process research & development, 2005, 9, 149.
40
threshold. Andraos also proposed that reactions considered to be green are characterized by a
minimum atom economy of 61.8% coupled with high yield and high solvent recovery and run under
stoichiometric conditions.103
A method enabling the comparison of different chemical reactions in terms of potential
environmental impact and to identify the critical phases of a synthesis process was developed by
Metzeger and Eissen. This method, called EATOS (Environmental Assessment Tool for Organic
Synthesis), envisages two metrics as tools:
- the mass index S-1, which is an input oriented indicator, defined as the mass of all raw
materials used for the synthesis per mass unit of the purified product ( ∑raw materials [kg] /
product [kg] )
- and the E factor, which is an output oriented indicator, defined as waste per mass unit of
the product ( ∑waste [kg] / product [kg] ).
By the mean of EATOS software other environmental indices are calculated that also consider the
weighting factors104 which are for input material prices, for risk of the R-phrases and for output
materials toxicity and ecotoxicity. The same authors have also introduced in the EATOS tool the
cost index. This tool has been utilized by various researchers to evaluate, the “greenness” of
pyrazole derivates105, of photochemistry106 and of functionalization of heterocyclics.107 This
software, elaborating data relative to reagents, solvents, auxiliary materials, products and secondary
products, provides an evaluation graph, useful for the understanding of which phase has more
environmental impact and to compare different processes. Finally, it must be mention that despite
all the work so far conducted in the field of green metric, due to the complexity of a chemical
process, the debate on the best metrics to be used and the threshold for deciding the “greenness”
reactions still remains open.
--------------------------------------------------------- Blue Box 11 --------------------------------------------------------
- Metrics for industry application the case of GlaxoSmithKline -
As metrics are a valuable approach for the assessment of the “greenness” of a process, their main
area of application is the chemical industry. Recently, the GlaxoSmithKline company has carried
103 Andraos, J. Organic process research & development, 2005, 9, 404.
104 Eissen, M.; Metzger, J. O. Chem. Eur. J., 2002, 8, 16, 3580.
105 Corradi, A.; Leonelli, C.; Rizzuti, A.; Rosa, R.; Veronesi, P.; Grandi, R.; Baldassari, S.; Villa, C. Molecules, 2007,
12, 1482.
106 Protti, S.; Dondi, D.; Fagnoni, M.; Albini, A. Green Chem., 2009, 11, 239.
107 Ravelli, D.; Dondi, D.; Fagnoni, M.; Albini, A. Applied catalysis B, Environmental, 2008, 79, 4, 368.
41
out a metrics-based approach to evaluate the “greenness” of their synthetic processes, applying
metrics and implementing an expert system to evaluate reactions. As a result of this approach the
company suggested that the atom economy alone will not deliver “cleaner” processes and also other
metrics should be used.108
Thus, it has developed and explored another metric the carbon efficiency (CE) defined as the
percentage of carbon in the reactants that remain in the final product and the reaction mass
efficiency (RME) which is the percentage of the mass of the reactants that remain in the product.109
------------------------------------------------------------------------------------------------------------------------
4. Conclusions and Future perspectives
Since 1990, Green Chemistry has gained ever increasing importance in organic synthesis, inspiring
scientists in academia, industry, and research institutes around the world. The results so far
achieved are encouraging: a new “generation” of reactions that avoid the use of toxic and
dangerous chemicals and/or waste have been developed, new eco-compatible solvents have been
discovered, compounds that perform comparably or better than those already in existence, but that
are biodegradable have been produced and energy requirements have been reduced. However, the
road is still open and big challenges for scientist remain around the corner.
In this prospect the future of Green Chemistry relies upon three open roads: new renewable
feedstock, new synthetic pathways and new products.
Regarding the field of renewable feedstock, the recent BP oil drilling disaster which began on the
night of April 20, 2010 with a tragic explosion that claimed 11 lives, and that now has become the
largest environmental disaster in US history, teaches us a hard lesson: fossil fuel utilisation has
several dangerous repercussions. Besides, their constant depletion leads to a continuous prospecting
for oil and their use results in large amount of CO2 emission and environmental damage. In this
prospect, the use of renewable feedstocks is a necessity that chemist must work on to both ensure
the energy needs of future generations and most importantly to preserve a green future for our
children and grandchildren.
New synthetic pathways is also a field with high competition that will employ the talents of many
of the next generation of organic and inorganic chemists. It is important to emphasize the huge
efforts needed in pursuing synthetic pathways that mimic natural processes in order to avoid
emissions into the atmosphere of products that nature is not able to take in and degrade. As
108 Curzons A. D.; Constable, D. J. C.; Mortimer, D. N.; Cunningham, V. L. Green Chem., 2001, 3,
1.
109 Constable, D. J. C.; Curzons, A. D.; Cunningham, V. L. Green Chem. 2002, 4, 521.
42
chemistry is fast advancing, the sooner more chemists start working in this direction the better it
will be for human kind.
Finally, new products should also be kept in account. In fact, the modification of existing products
according to human needs should be achieved using Green Chemistry as focal reference point. The
new products must be intrinsically secure since they are made for consumers i.e. for us. In this
context solvents surely have great importance. Chemist must use solvents that not only are
environmental friendly but that also aid the efficiency of the reaction being worked on.
In this sense, Green Chemistry has several essential targets to achieve in the near future, targets that
can be achieved only by a strong connection between fundamental research and industry. Nowadays
industry has the skills to work for the welfare of people and to ultimately demonstrate that
chemistry is an essential support for the development and evolution of humankind.
CitationsCitations1
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At AGU, NASA says CFC reduction is not shrinking the ozone hole – yet | Watts Up With That?
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Anthony Watts / December 11, 2013
NASA Reveals New Results From Inside the Ozone Hole – Dec. 11, 2013
The area of the ozone hole, such as in October 2013 (above), is one way to view the ozone hole from year to year. However, the classic metrics have limitations.Image Credit: NASA/Ozone Hole Watch
NASA scientists have revealed the inner workings of the ozone hole that forms annually over Antarctica and found that declining chlorine in the stratosphere has not yet caused a recovery of the ozone hole.
More than 20 years after the Montreal Protocol agreement limited human emissions of ozone-depleting substances, satellites have monitored the area of the annual ozone hole and watched it essentially stabilize, ceasing to grow substantially larger. However, two new studies show that signs of recovery are not yet present, and that temperature and winds are still driving any annual changes in ozone hole size.
“Ozone holes with smaller areas and a larger total amount of ozone are not necessarily evidence of recovery attributable to the expected chlorine decline,” said Susan Strahan of NASA’s Goddard Space Flight Center in Greenbelt, Md. “That assumption is like trying to understand what’s wrong with your car’s engine without lifting the hood.”
To find out what’s been happening under the ozone hole’s hood, Strahan and Natalya Kramarova, also of NASA Goddard, used satellite data to peer inside the hole. The research was presented Wednesday at the annual meeting of the American Geophysical Union in San Francisco.
Kramarova tackled the 2012 ozone hole, the second-smallest hole since the mid 1980s. To find out what caused the hole’s diminutive area, she turned to data from the NASA-NOAA Suomi National Polar-orbiting Partnership satellite, and gained the first look inside the hole with the satellite’s Ozone Mapper and Profiler Suite’s Limb Profiler. Next, data were converted into a map that shows how the amount of ozone differed with altitude throughout the stratosphere in the center of the hole during the 2012 season, from September through November.
The map revealed that the 2012 ozone hole was more complex than previously thought. Increases of ozone at upper altitudes in early October, carried there by winds, occurred above the ozone destruction in the lower stratosphere.
“Our work shows that the classic metrics based on the total ozone values have limitations – they don’t tell us the whole story,” Kramarova said.
A look inside the 2012 ozone hole with the Ozone Mapper and Profiler Suite shows how the build-up of ozone (parts per million by volume) in the middle stratosphere masks the ozone loss in the lower stratosphere. Image Credit:NASA
The classic metrics create the impression that the ozone hole has improved as a result of the Montreal protocol. In reality, meteorology was responsible for the increased ozone and resulting smaller hole, as ozone-depleting substances that year were still elevated. The study has been submitted to the journal of Atmospheric Chemistry and Physics.
Separate research led by Strahan tackled the holes of 2006 and 2011 – two of the largest and deepest holes in the past decade. Despite their similar area, however, Strahan shows that they became that way for very different reasons.
Strahan used data from the NASA Aura satellite’s Microwave Limb Sounder to track the amount of nitrous oxide, a tracer gas inversely related to the amount of ozone depleting chlorine. The researchers were surprised to find that the holes of 2006 and 2011 contained different amounts of ozone-depleting chlorine. Given that fact, how could the two holes be equally severe?
The researchers next used a model to simulate the chemistry and winds of the atmosphere. Then they re-ran the simulation with the ozone-destroying reactions turned off to understand the role that the winds played in bringing ozone to the Antarctic. Results showed that in 2011, there was less ozone destruction than in 2006 because the winds transported less ozone to the Antarctic – so there was less ozone to lose. This was a meteorological, not chemical effect. In contrast, wind blew more ozone to the Antarctic in 2006 and thus there was more ozone destruction. The research has been submitted to the journal Geophysical Research Letters.
This work shows that the severity of the ozone hole as measured by the classic total column measurements does not reveal the significant year-to-year variations in the two factors that control ozone: the winds that bring ozone to the Antarctic and the chemical loss due to chlorine.
Until chlorine levels in the lower stratosphere decline below the early 1990s level – expected sometime after 2015 but likely by 2030 – temperature and winds will continue to dictate the variable area of the hole in any given year. Not until after the mid 2030s will the decline stratospheric chlorine be the primary factor in the decline of ozone hole area.
“We are still in the period where small changes in chlorine do not affect the area of the ozone hole, which is why it’s too soon to say the ozone hole is recovering,” Strahan said. “We’re going into a period of large variability and there will be bumps in the road before we can identify a clear recovery.”
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176 thoughts on “At AGU, NASA says CFC reduction is not shrinking the ozone hole – yet”
DirkH
“That assumption is like trying to understand what’s wrong with your car’s engine without lifting the hood.”
In other words the Montreal Protocol was a hoax? Oh.
NASA, did the UN even authorize you to admit that?
James Ard
The researchers next used a model to simulate the chemistry and winds of the atmosphere.
————————————
December 11, 2013 at 3:29 pm
Or CFCs were not the primary driver of the OBSERVED ozone hole: meaning that even without CFCs, there would still be a significantly large hole in the ozone layer. CFCs could make an ozone hole worse, but no-CFCs won’t make the hole completely collapse.
Like CO2 and the thermal regulation of the planet, the assumption is that CFCs control the size of the Antarctic ozone hole. Why? Because “we” don’t have any other idea about what might cause large variations in its size.
The obsessive drive for a Unique Solution is everywhere politicians, scientists and laymen want or need simple solutions easily and cheaply put in-place.
el gordo
There was a multinational that did very well out of this scam, but its name eludes me.
Chris @NJSnowFan
I do not read anything about a huge factor with the decline in sun spot activity in last two cycles and #24 being the lowest in some 200 years.
High sunspot activity and CME’s destroyes Ozone cooling the stratosphere.
Ozone layer has been getting a break since 2008 with the quiet sun but ozone destroying CFC’s are still in lots of older products snd are leaking out the CFC’s.
I have see in the past few years people will punch a hole in old AC unit containing CFC’s so they do not have to pay for propper removal of the cfc’s in the unit.
scarletmacaw
Chlorine in the atmosphere has natural sources. The ocean releases far more chlorine into the atmosphere than CFCs. It was always about control, never about science.
Otter (ClimateOtter on Twitter)
I seem to recall several studies about bromides(?) being produced off of ocean waves and fresh Arctic snow…. or do those affect ozone at the wrong places?
Mike Maguire
“That assumption is like trying to understand what’s wrong with your car’s engine without lifting the hood.”
“In other words the Montreal Protocol was a hoax?”
Hoax? Of course not. The new climate rule, as outlined by the latest IPCC report, states that science should increase certainty of an atmospheric process as time goes on………..up to 95% when empirical data contradicts your expectations.
After all, real climate scientists are never wrong, the data just needs to be interpreted the right way.
Al Gore, not being a real climate scientist, jumped the gun in 2006 by stating “The science is settled”. The IPCC needed another 7 years, using their unique interpretation of contradictory empirical data to come to that conclusion.
Brian H
All based on another failed presumption of attribution.
GeologyJim
December 11, 2013 at 3:49 pm
Sheesh! Another instance of quack science layered on top of a bogus hypothesis, sprinkled with predictions of doom and destruction.
Anyone want to want to recall DDT? Never had any connection with raptor eggshells or mortality or survivability. Another perfectly good chemical (for killing malaria-bearing mosquitos) was eliminated from the human arsenal of promoting better living standards. Rachel Carson may rot in Hell for her role in the preventable deaths of millions of poor children.
As a chronic asthmatic, I need a rescue inhaler that used to be charged with a very effective propellant of halogenated-hydrocarbons. Got sacked by the “Montreal Protocol” and the replacement propellant ain’t worth sh*t.
This is not “Better living through chemistry”, as the old ad slogan stated
David Ball
December 11, 2013 at 3:53 pm
Correct me if I am wrong, but didn’t the ozone hole exist in the first satellite records, and it was concluded that the hole was unnatural (hence the Montreal Protocol)? Was there ever any non-satellite evidence that stratospheric ozone was being depleted before the satellites reported the “hole”?
I’m of the impression that the answer is “no”, but I cannot find a reference to back my hypothesis.
Dodgy Geezer
December 11, 2013 at 3:54 pm
As I recall, the proposal that CFCs were the main drivers for the loss of ozone was made on lab experiments and models alone, with little or no sampling and understanding of what was actually going on. This is not surprising – a full sampling program of the polar stratosphere in the 1980s would have been tricky and costly.
I had heard that the main reason that the Protocol was agreed was that DuPont suddenly changed their minds and supported it. And that this was because their patents on CFCs were about to run out, and they were going to lose a valuable part of their product list. If CFCs could be made illegal, people would have to use second-best substitutes, which DuPont had been inventing (in a vain attempt to make a better CFC), and which DuPont still had patents on…
I guess we’ll never know…
brantc
NASA scientists have revealed the inner workings of the ozone hole that forms annually over Antarctica and found that declining chlorine in the stratosphere has not yet caused a recovery of the ozone hole.
Is it just possible that the Ozone hole has always been there?
Janice Moore
December 11, 2013 at 4:03 pm
@ Geology Jim — re: Rachel Carson, regardless of where she ended up, you are right about one thing: she was a main cause of the deaths of millions.
I’m very sorry to hear that you have to deal with such a lousy inhaler situation. It’s one thing for the Envirostalinists to force us to use detergents and household cleaners that aren’t worth a rat’s squeak, but, it is just plain ev1l that they deny you effective medicine. Take care, WUWT ally for truth.
********************************
“… wind blew more ozone to the Antarctic in 2006 and thus there was more ozone destruction.”
And more people live along the beaches, so more people die in hurricanes (“Hurricanes More Deadly Now! Story at 11”), and…. on and on — ad nauseum.
Way to get the truth out, all you fine commenters of WUWT!!
HURRAH FOR AN-THO-NY WATTS! A shining light for truth in the darkness of l1es and corruption that is the “science community.”
Maybe they shouldn’t assume the chemistry model is correct if the real results don’t match the model. Wait, we believe models and not our lying eyes.
Quinn
December 11, 2013 at 4:21 pm
DocattheAutopsy:
The first satellites that specifically went looking for ozone depletion found the hole, but for all we know the hole has been there for hundreds, thousands, or millions of years or longer. As far as I know, there is no conclusive data indicating that the hole was not there prior to the widespread use of CFC’s.
John Littlehale
December 11, 2013 at 4:23 pm
My daughters inhaler went from a $5 copay to a $35 copay due to the new degraded but now patent protected version of the propellant. Blame Dupont for lobbying to change it as well as our avaricious incompetent legislators who saw the campaign dollars.
Jimbo
December 11, 2013 at 4:29 pm
The Ozone hole scare looks just like Catastrophic Runaway Man-Made Global Warming. It’s a pile of horse manure fit for the very best kept gardens. The ozone hole is most probably made a little bigger by man’s CFS but some argue that the ozone hole has always been there.
Apparently there is a North Pole ozone hole as well as a Tibetan hole. How many more holes can I take?
Bill_W
December 11, 2013 at 4:30 pm
I have my doubts about the DDT story as well, but pelicans have definitely come back in LA and I think elsewhere. Has anyone seen explanations of this that do not involve DDT? I have not looked into the papers that linked DDT to weak shells, but have been meaning to.
William Mason
December 11, 2013 at 4:30 pm
If you suspect that something is causing a problem and you apply the fix for that but somehow it doesn’t cause a recovery would you at some point conclude that you were mistaken about the cause in the first place? Why do they stick to their original theories so adamantly? I think it’s time to reevaluate.
December 11, 2013 at 4:38 pm
How about mankind just let the Earth get on with what it does and not worry about trying to pin the blame on anyone or anything.
Not one of the doomsayers has ever gotten anything right. They squawk and strut and tear their hair and look for billion dollar handouts (you’d think that’s enough to make anyone twig to what’s going on). After centuries of repeated shenanigans, is it too much to suppose that one day – ooh, maybe in a couple more millennium – human beings might pull themselves together, give each and every doomsayer that pops up a swift kick in the pants (or mandatory jail time), and get on with living and enjoying life?
How peaceful life would be, and what marvels could we learn, if each and every generation were not taught guilt just for being alive? Too much to hope for? Oh, well.
December 11, 2013 at 4:55 pm
As I understand it the Antarctic ozone hole grows in the winter and shrinks in the summer – lending one to suspect that the hole has more to do with the extremely cold temperatures, and the total lack of sunlight – sunlight which is needed to generate ozone in the first place. However I’m no expert, just an interested bystander who tries to think about issues.
Questions I’d like to ask include – what is the wind pattern in the upper atmosphere over the South Pole in the winter? Does this pattern change in the summer? Are there any older scientific records from Antarctica which could possibly give us a history of the ozone hole prior to the satellites?
December 11, 2013 at 5:13 pm
I think the Ozone just gets moved out of the polar vortex at the end of the winter, to the sides of the polar vortex.
Some of the highest readings of Ozone in the atmosphere anywhere are at the edges of the polar vortex when the hole has formed.
For example, Ozone on October 20, 2013 from the new OMI instrument. Yes, there is a big hole but there are also areas on the edge of the (misshapen at this time) vortex which are the highest numbers in the atmosphere. Polar view first, global second.
December 11, 2013 at 3:53 pm
—————————————–
Doc,
I will have to search for the reference as it is in 1950’s hardcopy book on space science. I recall that early results from Russian sub-orbital sound rockets led them to conclude that ozone would be naturally thin if not non existent over the poles. This was well before Sputnik.
OssQss
December 11, 2013 at 5:41 pm
Quote↘
“Not until after the mid 2030s will the decline stratospheric chlorine be the primary factor in the decline of ozone hole area.”
OK, so WT* did he say?
This study is almost complete speculation based on a science that we obviously don’t even understand yet.
Reminds me of something I heard in a song once!
“Money for nothin and your checks for free”
Video redacted ▶
December 11, 2013 at 5:54 pm
20 years ago Dixy Lee Ray in “Environmental Overkill: Whatever Happened to Common Sense?” pointed out that the ozone layer is in fact created by UV dissociating O2 and that , having a finite half life , it’s not surprising that it is depleted during the course of the sunless polar winters . Additional chlorine may speed that depletion , but it always has and always will occur . Further , it has no consequence for surface life because it happens literally where the sun don’t shine .
The extremism of the eco-statists on this topic is displayed by their undoubtedly killing at least some asthma sufferers by criminalizing the most effective affordable inhaler , Primatine Mist , for the gram or so of propellant each contains .They even have refused to permit the sales of already created inventory despite their being no simple way to dispose of them without releasing their CFCs . ( I laid in a supply before the ban , which given my infrequent need , should last a number of years . )
I consider these people criminal misanthropes .
nevket240
December 11, 2013 at 6:10 pm
For the back story look at Dow Corning’s patent on Freon that when it was about to expire and south american factories were ready to start producing it much cheaper “research” came out about how CFCs were destroying ozone and with some well coordinated manoeuverings the Montreal protocol was set in motion. The damning research… well that just happened to come from Dow Corning who was ready to save the day with a much less effective but delightfully more expensive replacement that they had the patent on. Follow the money. You will also find some of the names behind the Montreal Protocol hanging around Kyoto. Best show in town.
December 11, 2013 at 6:29 pm
Bill Illis says: December 11, 2013 at 5:13 pm
I think the Ozone just gets moved out of the polar vortex at the end of the winter, to the sides of the polar vortex.
Yes, the “ozone hole” is likely a result of the dynamical effect of the stratospheric polar vortex, i.e.:
“The ozone hole is in the center of a spiraling mass of air over the Antarctic that is called the polar vortex. The vortex is not stationary and sometimes moves as far north as the southern half of South America, taking the ozone hole with it.”
http://www.nasa.gov/centers/langley/news/factsheets/HALOE-Ozone.html
And there are other “holes” along with the ozone one, i.e.
“The walls of the polar vortex act as the boundaries for the extraordinary changes in chemical concentrations. Now the polar vortex can be considered a sealed chemical reactor bowl, containing a water vapor hole, a nitrogen oxide hole and an ozone hole, all occurring simultaneously (Labitzke and Kunze 2005)”
http://www.space.com/16520-saturn-s-moon-titan-sports-polar-vortex-video.html
Long-term vortices are a frequent phenomenon in the atmospheres of fast rotating planets, like Jupiter and Saturn, for example. Venus rotates slowly, yet it has permanent vortices in its atmosphere at both poles. What is more, the rotation speed of the atmosphere is much greater than that of the planet. “We’ve known for a long time that the atmosphere of Venus rotates 60 times faster than the planet itself, but we didn’t know why. The difference is huge; that is why it’s called super-rotation. And we’ve no idea how it started or how it keeps going.”
The permanence of the Venus vortices contrasts with the case of the Earth. “On the Earth there are seasonal effects and temperature differences between the continental zones and the oceans that create suitable conditions for the formation and dispersal of polar vortices. On Venus there are no oceans or seasons, and so the polar atmosphere behaves very differently,” says Garate-Lopez. http://phys.org/news/2013-03-south-polar-vortex-venus-atmosphere.html#jCp
However, it is not really “at the end of the winter”, but the second half. The Southern Hemisphere Polar Vortex usually occurs from May to December;
NOAA – National Weather Service – Climate Prediction Center – Click the pic to view at source
and the Southern Hemisphere Ozone “Hole” from August to December:
NOAA – National Weather Service – Climate Prediction Center – Click the pic to view at source
December 11, 2013 at 6:31 pm
There never was an ozone hole, the area of thinning is on average one third the average level of ozone measured in Dobson units. The term is, like the greenhouse effect, another PR term that underscores the political nature of the claims.
I pointed out to the Canadian Parliamentary Hearing on the matter that ozone is created by a photodisdassociation of oxygen by a portion of the ultraviolet section of sunlight. The assumption was, like with the greenhouse effect, that sunlight was constant. This meant you had no choice but to blame another agent for measured variations. They wanted a human agent and they had one already prepared from the lab experiments of Rowland and Molina. Like the IPCC they got a Nobel prize even though, as I understand, they did did not duplicate the temperature and pressure conditions high over Antarctica. Indeed, at that time they did not even know of the existence of Polar Stratospheric Clouds (PSC).
One human link between the ozone scam and the CO2 scam because of deep involvement with both was Susan Solomon.
http://en.wikipedia.org/wiki/Susan_Solomon
As Wikipedia notes; “Solomon was the first to propose the chlorofluorocarbon free radical reaction mechanism that is the cause of the Antarctic ozone hole.”
It also notes; “Solomon served as a contributing author for the Third Assessment Report[6] and Co-Chair of Working Group 1 for the Fourth Assessment Report[7] of the Intergovernmental Panel on Climate Change.[2]”
The Montreal Protocol was touted as proof the Kyoto Protocol could work, but as I pointed out to the Parliamentary committee neither China nor India were willing or required to participate.
Yes, the Ozone issue was a template for the greenhouse issue and just as falsely based and manipulated.
December 11, 2013 at 6:35 pm
James Ard says: December 11, 2013 at 3:20 pm
The ozone hole hoax was good practice for becoming a climate skeptic. All of the same ingredients; media hype, end of the world predictions and a boogieman that actually benefited mankind.
Yep, a strong sense of Déjà vu, i.e.:
Time – Feb 17, 1992
“What does it mean to redefine one’s relationship to the sky? What will it do to our children’s outlook on life we have to teach them to be afraid to look up?
–Senator Al Gore, Earth in the Balance
The world now knows that danger is shining through the sky. The evidence is overwhelming that the earth’s stratospheric ozone layer–our shield against the sun’s hazardous ultraviolet rays–is being eaten away by man-made chemicals far faster than any scientist had predicted. No longer is the threat just to our future; the threat is here and now. Ground zero is not just the South Pole anymore; ozone holes could soon open over heavily populated regions in the northern hemisphere as well as the southern. This unprecedented assault on the planet’s life-support system could have horrendous long-term effects on human health, animal life, the plants that support the food chain and just about every other strand that makes up the delicate web of nature. And it is too late to prevent the damage, which will worsen for years to come. The best the world can hope for is to stabilize ozone loss soon after the turn of the century.
If any doubters remain, their ranks dwindled last week. The National Aeronautics and Space Administration, along with scientists from several institutions, announced startling findings from atmospheric studies done by a modified spy-plane and an orbiting satellite. As the two craft crossed the northern skies last month, they discovered record-high concentrations of chlorine monoxide (CIO), a chemical by-product of the chlorofluoro-carbons (CFCs) known to be the chief agents of ozone destruction.
Although the results were preliminary, they were so disturbing that NASA went public a month earlier than planned, well before the investigation could be completed Previous studies had already shown that ozone levels have declined 4% to 8% over the northern hemisphere in the past decade. But the latest data imply that the ozone layer over some regions, including the northernmost parts of the U.S., Canada, Europe and Russia, could be temporarily depleted in the late winter and early spring by as much as 40%. That would be almost as bad as the 50% ozone loss recorded over Antarctica. If a huge northern ozone hole does not in fact open up in 1992, it could easily do so a year or two later. Says Michael Kurylo, NASA’s manager of upper-atmosphere research: “Everybody should be alarmed about this. It’s far worse than we thought.” http://faculty.washington.edu/djaffe/GEI/w3a.pdf
December 11, 2013 at 6:44 pm
I may be wrong about this, but it seems like I read that Freon (R-22) was too heavy to make it to the ozone hole and therefore unable to destroy the ozone hole. I do know this cheap refrigerant was banned and replaced by Puron (R-410a) which, by the way, is not pure because it is a very potent greenhouse gas.
I do know this, soon after Freon was banned I read about studies which showed how the ozone hole was affected by the angle of the sun. Then I believe I read something here on WUWT that how the ozone hole was only discovered when satellites started monitoring it and the assumption was the hole was man-made.
December 11, 2013 at 6:57 pm
This might explain the rather strange statement the IPCC team members made, that they have a problem communicating “the science”.
They do sound bewildered and frustrated, as their methods worked so well in the ozone scare, perhaps they do not understand why the CO2 scare is failing so miserably.
The longer the ozone hole persists the more it looks to me that we the public were stampeded into the Montreal Protocol on emotion not science.
For the personal gain of a few agitators.
Same methods with CO2, no baseline measurements, imaginary effects and extending verification timelines into the future, every time nothing changes.
Kind of like trying to compare land survey measurement where the measurements, old and new, have no benchmarks nor any common, i.e. joint benchmark system by which to make a comparison. Therefore the old and the new are equally rubbish.
Not to worry.
CFC’s like CO2 have nothing to do with the physics of the problem.
btw: Luuza from luuzaville Hansen showed his face today for the Fart-iers of UgoFysics but behind massive security and quarantine. I did not attend. Heard from others he was slurring and miss-pronouncing words and otherwise showing his majesty navy ship a garbage scow of ill repute. Serves ’em right. Costing the AGU the entire top floor of the Marriott, tickets to the Seahawks-49ers game, [trimmed uncalled for] and demanding Exec-level Fed pay scale per hour and health benefits and 401(k) and 403(l) retirement entitlements.
Likely our dues will increase to $100 in 2014 to cover the scandal.
One day the membership will wake up and realize that the AGU President can’t blame Vietnam and agent orange for her “disabilities” any more.
[Yes, you’re angry. Watch your language nevertheless. Mod]
Mark Hladik
Occam’s Razor at work:
We have two competing hypotheses:
1) Most of the “ozone-depleting” chemicals are produced in the Northern Hemisphere. They would have to travel almost half-way around the Earth to get to the stratosphere above Antarctica, where they do their dastardly deed (but not until they arrive in the vicinity of the South Pole).
2) In his epic work on natural climate and natural climate change, the late Marcel Leroux wondered about Mt. Erebus. It would seem that this volcano has been in almost continuous eruption, for at least several hundred years (spanning the time humans have known about the existence of Antarctica). Now, Mt. Erebus is almost directly under the center of the south polar ozone “hole”.
Last time I checked, various compounds of Chlorine were constituents of volcanic gasses.
So, which is the simpler hypothesis?
observa
It begins (Fair use excerpt for discussion purposes):
Who holds the trade marks and patents for Fr eon?
We know that the registration for the trade mark “Fr eon” was filed on December 8, 1931 and registered May 10, 1932. It was issued for “Fluor
inated Hydrocarbons Used As Refrigerants, Propellants and Fire Extinguishing Preparations,” and was first used in commerce December 1, 1931.
The registrant was Kinetic Chemicals, Inc. of Wilmington, Delaware, which became E I d Pont De Ne mours and Company.
… After a series of fatal accidents in the 1920s when methyl chloride leaked out of refrigerators, a search for a less toxic replacement
begun as a collaborative effort of three American corporations – Frigid aire, General Motors, and Du Pont. C FCs were first synthesized in 1928
by Thomas Midgley, Jr. of General Motors, as safer chemicals for refrigerators used in large commercial applications.
Frigid aire was issued the first patent, number 1,886,339, for the formula for C FCs on December 31, 1928. In 1930, General Motors and Du Pont
formed the Kinetic Chemical Company to produce Fr eon (a Du Pont trade name for C FCs) in large quantities. By 1935 Frigidaire and its
competitors had sold 8 million new refrigerators in the United States using Fr eon-12 (C FC-12) made by the Kinetic Chemical Company and those
companies that were licensed to manufacture this compound.
So, worst case, take the 1935 date and add 20 years (patent lifetime) and the result is 1955. The patent, if valid in 1935, would have expired
in 1955 (if not before because of an earlier patent filing/grant date).
.
December 11, 2013 at 7:49 pm
ALLRIGHT ! Let’s bring back R-22 ( . .or do I have that wrong, is it R-12) instead of R-134, for our automobiles, and get the price back donw to $1 per can or so . . .
. .geeez, I remembering looking into this, having to go to the Library to pull articles on the ozone over Antarctica, research by Dr. Dobson, who if I recall correctly, the ‘Dobson Units’ of ozone were named after, realizing this CFC scare was total BS.
Then with the Global warming, thinking that the ozone scare was a ‘warm-up’ to the CAGW garbage ( . .and an article by W. Happer of Princeton seemed to confirm that ( . .I KNOW i saved it as a link somewhere – just can’t find it now . . ).
WE’ve got to put an end to all this alarmism real soon . . .
December 11, 2013 at 7:53 pm
and the last part:
… After a series of fatal accidents in the 1920s when methyl chloride leaked out of refrigerators, a search for a less toxic replacement begun as a collaborative effort of three American corp orations – Frigid aire, General Motors, and Du P ont. C FCs were first synthesized in 1928 by Thomas M idgley, Jr. of General Motors, as safer chemicals for refrigerators used in large commercial applications.
Frigid aire was issued the first patent, number 1,886,339, for the formula for C FCs on December 31, 1928. In 1930, General Motors and Du P ont formed the Kinetic Chemical Company to produce Fr eon (a Du P ont trade name for C FCs) in large quantities. By 1935 Frigidaire and its competitors had sold 8 million new refrigerators in the United States using Fr eon-12 (C FC-12) made by the Kinetic Chemical Company and those companies that were licensed to manufacture this compound.
So, worst case, take the 1935 date and add 20 years (patent lifetime) and the result is 1955. The patent, if valid in 1935, would have expired
in 1955 (if not before because of an earlier patent filing/grant date).
.
December 11, 2013 at 8:00 pm
The CFC caused Ozone depletion scare was brought to us by the same people that created the DDT scare and then went on to create the CO2 / AGW scare. People with NO scientific ability and an agenda to STOP the progress of western civilization.
The thinning of bird egg shells was caused by Lead ( mostly Tetra ethyl lead ) contamination.
The Ozone hole is a feature of polar circulation and has always existed.
Man made Global Warming is caused by manipulation of the local environment and test regimes by man. CO2 has nothing to do with it.
Science has been overrun by agenda driven propagandists. GIGO pg
December 11, 2013 at 8:01 pm
I’m still trying to figure out how Freon that is heavier than air was able to climb into the sky and continue to climb through less and less dense air and then travel from the northern hemispere to the South Pole.
[Reply: Two words: Brownian motion. ~mod]
Owen in GA
December 11, 2013 at 8:06 pm
This is the same problem over and over again. Make short term measurements of complex long term phenomena and extrapolate to disaster. It would be like a one dimensional being attempting to describe a three dimensional apple – completely ludicrous but we see these “experts” do it time and again.
On DDT, it is little wonder that pelicans had problems with it and have now recovered – people were dumping it everywhere in the post war (WWII) era. All that really needed to happen with DDT is a tightening up of label usage instructions, education of the user populations, and harsh penalties for off-label usage. As it stands now, an awful lot of preventable malaria cases occur that could have been stopped with a very targeted use of DDT.
u.k.(us)
TalentKeyHole Mole says:
December 11, 2013 at 7:09 pm
Kind of like trying to compare land survey measurement where the measurements, old and new, have no benchmarks nor any common, i.e. joint benchmark system by which to make a comparison. Therefore the old and the new are equally rubbish.
==============
It was never about the measurements, only the intent of the lands borders as described.
Surveyors are good at measuring, land title(s) are a whole other matter.
“Good fences make good neighbors.” (Robert Frost)
Care to try for another analogy, cus this one hits a nerve.
(benchmark is a term used in determining elevations, not boundaries).
Why rubbish ?, how precise do you want your measures , of the imprecise legal descriptions of the property transferred ?
John McKerral
December 11, 2013 at 8:39 pm
Does anyone remember that the UV was supposed to reach the earth via that ozone hole over the Arctic. If you think about it that is impossible. Radiation from the sun is passing that area at a tangent and would have to do a 90 degree turn to reach even Tasmania. I don’t believe that is possible. The hole in the ozone layer was a hoax like AGW. It was just practice, getting their act together for the main event.
JPM
Bill_W says:
December 11, 2013 at 4:30 pm
I have my doubts about the DDT story as well, but pelicans have definitely come back in LA and I think elsewhere. Has anyone seen explanations of this that do not involve DDT? I have not looked into the papers that linked DDT to weak shells, but have been meaning to.
———————-
Hi Bill,
The problem with Rachel Carson’s construction of the pesticide problem is that DDT was not the only pesticide being used. Also introduced after the Second World War were a whole class of pesticides based on the nerve gases (organophosphate-derivatives) invented by IG Farben’s scientists around the time the war was beginning. Modifications of these led to pesticides like Aldrin (dieldrin), malathion, parathion and several others.
These were sprayed with great enthusiasm across the cotton fields of the south, and have been documented to have poisoned agricultural workers. Men flying crop dusters tended to have life-ending accidents with a much higher frequency than men piloting other airplanes. Even a light breeze can carry pesticide aerosols up to 15 miles away.
With such a cocktail of toxins being flung around the countryside, I cannot understand why Carson became fixated on DDT when there were so many possible culprits the the disappearance of birds. Probably researchers looking for DDT traces in raptor eggs did not bother controlling for other pesticides because they already knew the source of the problem.
Billyjack says:
December 11, 2013 at 8:01 pm
I’m still trying to figure out how Freon that is heavier than air was able to climb into the sky and continue to climb through less and less dense air and then travel from the northern hemisphere to the South Pole.
Individual gas molecules are not affected by buoyancy forces like a stone or a tree in water. By diffusion, gas molecules emitted in one place on Earth can end up anywhere, given enough time. It is not as if Freon somehow decides to go from the northern hemisphere to the southern hemisphere. It is just that it diffuses all over the place, but when it encounters ozone and extremely low temperatures, it may cause reactions that do not occur in warmer places.
If gases were to react to buoyancy, then an ozone molecule of O3 would promptly fall to Earth since its mass of 48 is higher than the average mass of air molecules which is 29 since it is composed of 78% N2 (mass 28) and 21% O2 (mass 32).
scarletmacaw
Bill_W says:
December 11, 2013 at 4:30 pm
I have my doubts about the DDT story as well, but pelicans have definitely come back in LA and I think elsewhere. Has anyone seen explanations of this that do not involve DDT? I have not looked into the papers that linked DDT to weak shells, but have been meaning to.
Perhaps laws and tightened enforcement against hunting them? The US started taking species protection a lot more seriously beginning in the 1960s.
Pelicans fly in straight lines, sit still on the water, and I imagine they would be very easy to shoot.
tom0mason
December 11, 2013 at 10:08 pm
Ozone holes come and go. There are, as far as I understand it, almost entirely a natural event. Certainly there has been scientists that supposedly researched this as a man-made phenomena, but as usual with modern versions of science, they mostly had an agenda to satisfy.
scarletmacaw
Werner Brozek says:
December 11, 2013 at 9:55 pm
Individual gas molecules are not affected by buoyancy forces like a stone or a tree in water. By diffusion, gas molecules emitted in one place on Earth can end up anywhere, given enough time. It is not as if Freon somehow decides to go from the northern hemisphere to the southern hemisphere. It is just that it diffuses all over the place, but when it encounters ozone and extremely low temperatures, it may cause reactions that do not occur in warmer places.
If gases were to react to buoyancy, then an ozone molecule of O3 would promptly fall to Earth since its mass of 48 is higher than the average mass of air molecules which is 29 since it is composed of 78% N2 (mass 28) and 21% O2 (mass 32).
Yes, molecular collisions will keep differently-massed molecules well mixed until the air is much more rarefied. But molecular weight does play a role, especially with heavier molecules like Freon-12 (molecular weight 133). Getting such heavy molecules into the stratosphere requires a lot of anti-gravitational diffusion.
Also, look at this video of the movement of carbon monoxide, with sources locations in populated areas similar to those of CFCs. Not much crosses the equator, much less gets to the Antarctic.
u.k.(us) says:
December 11, 2013 at 10:19 pm
Get us a close up (shootable) shot of a pelican in the wild, and we’ll talk :)
I’ve been within 3-400 yards of a flock in a nature preserve, the shot might skip off the water even if it was low :)
Is there a way to post a personal picture here? I have a photo of a pelican sitting on the water about 20 ft. away. Of course that one was probably used to people and maybe even got a free fish every now and then. No doubt pelicans would have been a lot harder to get close to in the days when they were hunted.
Patrick
December 11, 2013 at 10:31 pm
I remember Ronald Reagan signing Montreal Protocol in the 80’s. Then the theory, or scare du jour, was that CFC’s emitted in the northern hemisphere were accumulating over the southern pole. Given ozone is created and destroyed constantly and is diamagnetic I found the claim to be very dubious.
But here in Australia he is being praised as some accidental climate change warrior.
December 11, 2013 at 8:48 pm
Bill_W says:
December 11, 2013 at 4:30 pm
I have my doubts about the DDT story as well, but pelicans have definitely come back in LA and I think elsewhere. Has anyone seen explanations of this that do not involve DDT? I have not looked into the papers that linked DDT to weak shells, but have been meaning to.
———————-
Hi Bill,
The problem with Rachel Carson’s construction of the pesticide problem is that DDT was not the only pesticide being used. Also introduced after the Second World War were a whole class of pesticides based on the nerve gases (organophosphate-derivatives) invented by IG Farben’s scientists around the time the war was beginning. Modifications of these led to pesticides like Aldrin (dieldrin), malathion, parathion and several others.
+++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++++
Interesting how people focused on DDT. It probably was a focus In Rachel Carson’s “Silent Spring”. However when I read it in the mid 60’s and wrote an engineering term paper on it, my ‘Take Away’ was concern over organophosphates. I got the bit on DDT and birds eggs, but when I read the book, did some research, I ended up focussing on the potential damage from the misuse or overuse of organophosphates. In addition, the interaction between organochlorines and organophosphates was thought to be a possible big problem (that is still being researched: http://www.sciencedirect.com/science/article/pii/S0300483X12002260 ) The combination of the two chemicals is thought to enhance neuro disruption, emulate estrogens, endocrine and other hormonal issues along with our old friend cancer and lung problems. It’s 46 years since I wrote that term paper and they are still studying. It’s why I look like an astronaut when I go out to spray fields. I guess it’s like Ozone depletion and AGW – we don’t really know except we have to appear to be doing something. Isn’t that what they told us in management school? “Lead, follow, or get out of the way.” Politicians have to appear to be taking action as they only have 3 to 5 years to convince us that we should re-elect them.
Wow, this thread is making me cynical.
Well, off to bed to rest up to shovel some more AGW tomorrow.
Bertram Felden
December 12, 2013 at 12:38 am
I have in the back of my mind the memory of reading an article wherein one of the originators of the ban CFC campaign, a chemist, admitted that actually the reactions proposed as the method for ozone destruction simply could not take place. Alas, it was one of those articles that I failed to archive or bookmark – it was some time ago now. Does anyone else remember this, or am I mistaken?
Mike Tremblay
December 12, 2013 at 1:14 am
This issue is an example of the complete ignorance displayed by many people from both sides of the AGW argument.
I have been involved in studying this for over 20 years, right from the time I was told I couldn’t use the common refrigerants that I was used to using, to today where people assert that the whole thing was a hoax, and the Montreal Protocol was unnecessary.
I consider myself an amateur historian and when I was first confronted with the problem of the Ozone hole, I had my doubts about its cause and origin so I began researching the history. I learned that the first time it was known about was during the International Geophysical Year (IGY) of 1957-58. At the time it was not known what caused it or even how significant it was. Although the presence of the ozone hole was known about, it wasn’t until a study published by Farman, Gardiner and Shanklin in Nature, 1985, that the so-called ‘discovery’ of the hole was acknowledged. One interesting thing about that study was that data of the actual measurements of the Ozone layer began in 1978 with the Total Ozone Mapping Spectrometer (TOMS). So, the seven years from 1978 to 1985, when the study came out, showed that the hole was increasing in size. Subsequent data from TOMS showed that the hole continued to increase in each subsequent year.
Hypothesis’ abounded about what the cause could be. Examination of the atmospheric chemistry showed that, while ozone is created on a continual basis by the photochemical reaction of oxygen with UV light, chlorine acted as a catalyst in the destruction of ozone and as a limiting factor in the amount of ozone in the atmosphere. A catalyst acts by continuing a chemical process without being destroyed or removed by the reaction, so as long as chlorine was present in the atmosphere, the destruction of ozone would continue, and would increase if the amount of chlorine in the atmosphere increased. As several people pointed out, chlorine is present in large quantities due to the presence of sodium chloride in the oceans, as well as in volcanic emissions. That accounts for the ‘natural’ presence of chlorine and demonstrates that the hole was probably always present. The problem is that the hole increased in size, which would indicate that the amount of chlorine in the atmosphere increased beyond what was natural. What was the cause of this increase?
In this case the most obvious source for the increase of chlorine was anthropogenic in origin – specifically Chlorinated Fluoro Carbons – (CFCs). CFCs are doubly implicated, because, not only are they a source of chlorine, but they are very stable molecules, with a long residence time in the atmosphere, where, due to mixing, they can reach the stratosphere to interact with ozone on a long term basis.
At this point, I have to state that I was originally very skeptical about the role of CFCs in the Ozone hole – for exactly the same reasons as many of the people responding to this article have stated. The evidence of the chemical reactions involved changed my opinion about the role of CFCs, and I became convinced that they were contributing to the decrease in the ozone layer. I was still not convinced (and remain that way) of the total effect that CFCs have on the size of the hole, because, it was subsequently learned that the lower temperatures at the south polar regions were the reason that the ozone hole in Antarctica was always larger than the one in the Arctic.
This becomes the point where we talk about the Montreal Protocol. Since CFCs are clearly a contributor to the decrease in ozone, it now becomes about what to do with CFCs. At this point I have to say that the typical overreaction to threats occurred. The Montreal Protocol took an extreme point of view that CFCs should be banned. Although I don’t agree with their conclusion, I am forced to go along with their decision. To this end, the results of their decision are correct – CFC concentrations have reduced and ozone concentrations have increased. The big thing is, that because of the residence time of CFCs in the atmosphere, and the contributing factor of low temperatures, the absolute results of the Montreal Protocol will not be seen in the size of the ozone hole in Antarctica until 2030.
Much like the current global warming ‘hiatus’ – actual results from this will not be known immediately and must wait until a good proportion of the current subscribers to this blog are dead.
I’m sorry it this doesn’t agree with some people’s prejudged opinions about the ozone hole and the Montreal Protocol, but the information is freely available on the internet if you are willing to spend the time to investigate. The final thing is that the Montreal Protocol, despite its incorrect analysis, was a success in halting the increase in the size of the hole. Whether the hole will decrease in size to its natural limits remains to be seen.
December 12, 2013 at 6:02 pm
Thanks for your review of the path leading to the Montreal statist extreme overreaction . I think the banning of asthma inhalers for a gram or two of CFCs is misanthropic tyranny .
Particularly because , whatever rate of destruction or removal of O3 , it remains the case that it is the dissociation of O2 which is the reaction which absorbs the sun’s UV . The depletion only occurs , or ever will occur over the sunless winter poles . It will never affect human populations — or even penguins .
And as Barrie Sellers , December 12, 2013 at 8:00 am
“ozone is an unstable substance with a half life dependent on the temperature: at -30 degrees C the half life is 3 months. And there’s your ozone hole. Always has been there always will be there CFCs or no CFCs.”
johnmarshall
Owen in GA says:
December 11, 2013 at 8:06 pm
“As it stands now, an awful lot of preventable malaria cases occur that could have been stopped with a very targeted use of DDT.”
I’ve recently read about an African farmer complaining that he can’t sell his organic Sesame as organic to European organic food importers if he uses DDT indoors to protect his family.
Maybe the hidden goal of the European Greens is really to wipe out excess population. European Greens claim they have nothing against indoor usage of DDT for Malaria protection but at the same time do everything they can to stop its usage.
Alan the Brit
December 12, 2013 at 3:18 am
As I understand it, & I am only a humble Chartered Structural Engineer, the hole is nothing of the kind, that it is actually merely a “thinning”, & that there are several of them but the “lesser spotted variety” don’t get a look in! Also as several of you guys have mentioned none of the “holers” have answered the basic question, & I repeat ad nauseum, how do they know that it has not always been there? The answer is that they simply don’t know, we are applying the fabled “Precautionary Principle”!
ROM
December 12, 2013 at 3:59 am
What is coming through loud and clear right across the blog world is the destruction of the century old respect for science as modern science’s ‘blatant corruption which is being created by the desire of opportunists in science to both gather fame and recognition to themselves as well as wealth and influence and power to their own persons and the small and usually quite incestuous scientist insider groups they are a part of and hang out with.
The corruption of basic science is mostly limited to a few specialized science disciplines so far. Science disciplines such as climate science being by far the worst, although the social sciences such as psychology with it’s Lewendownskys is closer to quackery even than even much of climate science and thats not saying much for the integrity of climate science and it’s practitioners.
The increasing disillusionment with science by a very considerable and increasing section of science layman followers is becoming like water on a stone. It doesn’t seem to be having any effect but over time that water will wear away and destroy that hard stone.
So it is with the reputation and respect for science and not just the most corrupt disciplines in science but the cynicism about scientists and their, increasingly obvious [ thanks to the internet,] ulterior and in some cases apparent nefarious motives that has become a highly visible characteristic of much of some specific disciplines in science today is destroying the image and respect for all of science as well as for scientists of all persuasions.
This reduction in respect and in some examples an outright contempt for some science disciplines and the scientists in those disciplines is now filtering down from the interested science aficionado’s to the tax paying public.
And the politicals will follow as the opinions amongst the public harden as more and more totally bogus and outright lies by scientists on some supposed future catastrophic event are shown for what they are, just a beat up by some third rate self opinionated little upstart who has got himself / herself a few letters after their name, called themselves scientists and now believe they are of a status and a level of superior intelligence that gives them the rights to instruct everybody else on what dictates they are to follow,
The public are increasingly awake to those self promoting opportunists who are now starting to create some serious credibility problems right across science of all disciplines
That increasing contempt for much, [ not all as some scientists are deeply respected and most definitely should be held in deep respect ] of today’s science can be very clearly seen in all the posts above and right back through the posts of numerous other science based blogs regardless of which side of a scientific fence the commenter is seated.
On the so called Ozone hole which is not a hole but a reduced region of stratospheric ozone which despite the hoo haa about UV effects is the equivalent of the changes in the amount of UV an American would get in NY compared to a the amount of UV they would get in say Florida or a bit further north of there.
There is a comment way back in time somewhere from a source I can no longer recall, [ a lousy recommendation I know, ] that the Japanese prior to WW2 knew from their radio propagation work in the South Pacific as they prepared for a future naval war in the Pacific, that there was something unusual occurring at high atmospheric levels [ HF radio propagation ] over the almost completely unexplored Antarctic continent of those times.
The Japanese unlike the Germans who kept a lot of their records intact right through to the surrender, destroyed a great deal of their research and documentation to try and minimise any war crime trials and to deny the victors any grounds on which the highest levels of the Japanese military could be made accountable for and so this information if it existed was quite likely destroyed towards the end of WW2.
As to the corruption in the science surrounding the Ozone Hole affair , perhaps Proff James Lovelock of Gaia fame and also the inventor of an instrument to measure ozone levels from the ground so is well qualified to comment on the Ozone Hole science should have a final say.
This interview was with The Guardian;
James Lovelock on the value of sceptics and why Copenhagen was doomed
[ quoted ]
Lovelock’s reaction to first reading about the stolen CRU emails [he later clarified that he hadn’t read the originals, saying: “Oddly, I felt reluctant to pry”:
[ Lovelock ]
I was utterly disgusted. My second thought was that it was inevitable. It was bound to happen. Science, not so very long ago, pre-1960s, was largely vocational. Back when I was young, I didn’t want to do anything else other than be a scientist. They’re not like that nowadays. They don’t give a damn. They go to these massive, mass-produced universities and churn them out. They say: “Science is a good career. You can get a job for life doing government work.” That’s no way to do science.
I have seen this happen before, of course. We should have been warned by the CFC/ozone affair because the corruption of science in that was so bad that something like 80% of the measurements being made during that time were either faked, or incompetently done.
Fudging the data in any way whatsoever is quite literally a sin against the holy ghost of science. I’m not religious, but I put it that way because I feel so strongly. It’s the one thing you do not ever do. You’ve got to have standards.
[ end of quote ]
December 12, 2013 at 4:15 am
So the ozone hole “crisis” wasn’t. The claims of a dangerous ozone hole were false. The policies to deal with it were a waste of billions of dollars. Hmmmm….that sounds like something else the environmentalists are doing to us. What can that be?
Bob Layson
December 12, 2013 at 4:17 am
The crucial point is not whether DuPont’s patent for Freon had expired but whether the gas for which they certainly had a living patent could have its cheaper and more effective rival eliminated by political fiat. It required only some convenient scare to come along.
ROM
December 12, 2013 at 4:29 am
On DDT and the enviro loons role in forcing not only DDT off the market but also for their role on preventing the life saving Golden Rice from being released since it’s development in 2000.
All because it was a GMO using genes from corn, one of the world’s largest crops as well as from a very common soil, bacteria to create Beta Carotene which the body uses in Vitamin A production which itself is an essential in the retaining the vitality of the human immune system.
The consequences of preventing the release of Golden Rice are that around 10 million mostly little kids die each year from preventable diseases in the Asian rice eating regions.
With the UN’s estimate of 40 to 50 million preventable deaths from malaria since the banning of DDT, a ban now ignored as numerous countries have given the finger to the western elitist greenpeaces of this world, plus another 30 million preventable deaths due to the all out political campaign by the enviro killers against the release of Golden Rice has arguably caused as many as 70 to 100 million preventable deaths amongst the most vulnerable on this earth over the last 40 years.
Add to this the tens of thousands of the poor and elderly in Europe who are dying each recent harsh winter from the effects of cold due to them no longer able to both eat and heat. Due again to the cost of renewable energy and the all out drive by the enviro-loons to force western civilisation off of reliable fossil fueled energy onto the totally useless, grossly inefficient and unreliable and increasingly unaffordable renewable wind and solar energy and with NO perceivable reduction in CO2 or effects on the climate.
Greenpeace, the WWF and all their other leech like enviro NGO’s are arguable the greatest mass destroyers of human life this planet has ever seen.
And they couldn’t give a damn!
For the DDT story
For the Golden Rice project ; http://www.goldenrice.org/
Mickey Reno
December 12, 2013 at 4:49 am
The ozone ‘hole’ was a scientific horror to many people, from the moment it was discovered by satellites. They didn’t give a crap that it’s a natural and persistent annual phenomenon. They didn’t give a damn that they had zero understanding of it’s mechanisms. The sky was falling, and they weren’t about to waste an opportunity to declare a crisis, and then to proscribe equally imaginary mitigations.
Len Marks
Mickey Reno says:
December 12, 2013 at 4:49 am
The ozone ‘hole’ was a scientific horror to many people, from the moment it was discovered by satellites.
=========
It was not discovered by satellites. It was discovered by a man named Dobson in 1956 with an instrument made by him. That is why it is measured in Dobson units.
Gary Pearse
December 12, 2013 at 6:03 am
I promised myself I would give preaching my alternate to CFCs as ozone hole creaters as it doesn’t seem to even get read. Anyway here goes: the only gas in the atmosphere that is magnetic is O2 (strongly paramagnetic) – it is attracted to the poles. ALL OTHER GASES ARE DIAMAGNETIC – REPULSED BY A MAGNETIC FIELD. If I am correct that this explains the ozone hole, then there should also be an N2 hole, CO2 hole and a Noble Elements hole at the poles (north pole is confounded by busier outside weather incursions). As a corollary, we should find the atmosphere at the equator somewhat impoverished in O2 and enriched in all the others. Probably biological activity confounds this simple picture but we could use noble gases as a tracer and some atmospheric analysis of the ozone hole to see if it is richer in O2 and impoverished in all other gases, of course including ozone. Any physicists out their to comment? Perhaps they could even calculate the effect. Another test is to see if the ozone hole fluctuates with the earth’s magnetic field strength. Also, I believe ozone has been separated from O2 using magnetics.
MarkW
December 11, 2013 at 3:39 pm
——————–
The article states that chlorine levels in the atmosphere are falling.
Jeff
December 12, 2013 at 6:15 am
With regard to the “Ozone Hole” and CFCs (as well as other refrigerants), it seems that there is a money trail similar to CAGW. The fact that almost all of the replacement refrigerants are terribly flammable, poisonous, inefficient, or all three just makes the situation worse. The automakers here in Europe have been going round and round with France and the European Union because the latest proposed refrigerant can create (or result in) hydrogen fluoride in an accident where fire is involved. Rescue workers would have to don Hazmat equipment before approaching the wreck(age).
Ironically, CO2 is being proposed as a replacement, although there are some technical hurdles left to resolve before a solution can hit the market. It’s being described as a safe alternative, which contradicts the suggestion that CO2 is a pollutant.
Somehow I think that in cases like these, the solution is worse than the problem.
For an interesting look at refrigeration technology, and rapid Barbecue ignition
(see the Dave Barry column) have a look at George Gobel here
http://en.wikipedia.org/wiki/George_H._Goble …he’s done a lot of interesting research.
ozspeaksup
At AGU, NASA says CFC reduction is not shrinking the ozone hole – yet
==============
The ozone must be hiding in the deep oceans along with the warming.
The reality is that scientists need to get out of the lab more often and have a look around. We see a polar vortex on other planets and it has nothing to do with man made CFC or chlorine.
What you are seeing is water going down the drain. Cold air is sinking a the poles, combined with the rotation of the planet sets up a vortex that scrubs the atmosphere at the poles. You end up with a “hole” at the poles, depending on the temperature gradient, with a collar of increased concentrations surrounding the hole.
Bill_W says:
December 11, 2013 at 4:30 pm
I have my doubts about the DDT story as well, but pelicans have definitely come back in LA and I think elsewhere. Has anyone seen explanations of this that do not involve DDT? I have not looked into the papers that linked DDT to weak shells, but have been meaning to.
Maybe a change in their food supply also.
“The Pacific Sardine stocks began to disappear in the late 1940s due to
the compounding impacts of natural oceanographic cycles and fishing pressures.
Fossil evidence going back 1,700 years suggests that Pacific Sardine abundance
naturally fluctuates over time. These cycles average about 60 years, with a
period of recovery lasting on average 30 years. The most recent period of
abundance began in the late 1970s.”
So CO2, CFCs, and DDT are all controlled by conspiracy plots? I’m not sure skeptics will ever be more than a fringe opinion with this line of thinking.
Owen in GA
December 12, 2013 at 8:53 am
DD More: I think the LA that Bill_W was referring to is the US State of Louisiana. I am not sure the Pacific sardine would have had much impact on Gulf of Mexico feeding birds – though I leave open the fact that I can be – and have been in the past – very wrong. The waters of Louisiana were very polluted prior to the clean water act, which did almost all of its good in the first 5 years of its existence and has since turned into a bureaucracy job creation bill and economy killing regulation machine. DDT probably had very little to do with Louisiana wildlife problems as it was just one of thousands of chemicals available to wreak havoc due to very little controls placed on the Louisiana petrochemical refining industries’ waste streams prior to the 1970s.
scarletmacaw
December 12, 2013 at 1:14 am
You present a very good summary.
The correlation between CFC production and the decrease in ozone levels at the south pole do provide evidence that CFCs are the cause. But we don’t have any measurements before CFCs were introduced into the atmosphere, so there’s no definitive proof.
There is one other comment I’d like to make. As far as I know, no one has ever actually detected CFCs in the stratosphere. I remember reading that a satellite was launched to measure CFCs in the stratosphere, but got a null result and the results were then suppressed. I don’t know whether or not that story is true.
December 12, 2013 at 6:46 am
“Where did all the ozone go? these pictures tell the tale:
The hole is not a result of ozone being destroyed. It is a result of ozone being transported from the poles to lower latitudes.”
ferd berple, you have come closest to recognizing an element of my hypothesis (my post of 603 am):
” the only gas in the atmosphere that is magnetic is O2 (strongly paramagnetic) – it is attracted to the poles. ALL OTHER GASES ARE DIAMAGNETIC – REPULSED BY A MAGNETIC FIELD. If I am correct that this explains the ozone hole, then there should also be an N2 hole, CO2 hole and a Noble Elements hole at the poles (north pole is confounded by busier outside weather incursions). As a corollary, we should find the atmosphere at the equator somewhat impoverished in O2 and enriched in all the others. Probably biological activity confounds this simple picture but we could use noble gases as a tracer and some atmospheric analysis of the ozone hole to see if it is richer in O2 and impoverished in all other gases, of course including ozone.”
It has to have some effect and it is measurable and testable.
Brian
ROM says December 12, 2013 at 3:59 am
…
There is a comment way back in time somewhere from a source I can no longer recall, [ a lousy recommendation I know, ] that the Japanese prior to WW2 knew from their radio propagation work in the South Pacific as they prepared for a future naval war in the Pacific, that there was something unusual occurring at high atmospheric levels [ HF radio propagation ] over the almost completely unexplored Antarctic continent of those times.
Upon which empire was it said that ‘the sun never set’? Perhaps it was the desire to communicate with her majesty’s fleet ’round the world which spurred this research:
“On the Diurnal Variations of the Electric Waves Occurring in Nature, and on the Propagation of Electric Waves Round the Bend of the Earth”
By W. H. Eccles, D.Sc, A.RC.Sc
Proceedings of the Royal Society, vol. 87A, pp. 79-99; August 13, (1912).
Barrie Sellers says:
December 12, 2013 at 8:00 am
I’ve pointed this out before – and maybe others have too – ozone is an unstable substance with a half life dependent on the temperature: at -30 degrees C the half life is 3 months. And there’s your ozone hole. Always has been there always will be there CFCs or no CFCs.
Not to mention that the abundance of ozone is inversely proportional to the amount of incident UV radiation (that is the touted purpose of ozone after all, isn’t it…to protect us from harmful UV radiation?). Having said that, don’t the polar regions experience long periods of either complete darkness or long periods of sunlight? Wouldn’t those changes in incident UV radiation also have a direct impact on the abundance of atmospheric ozone present? No CFC mechanism required to explain variations in ozone concentrations.
Werner Brozek
Gary Pearse says:
December 12, 2013 at 9:33 am
the only gas in the atmosphere that is magnetic is O2 (strongly paramagnetic) – it is attracted to the poles
I could be wrong, but that does not sound right to me. Consider a compass for example. The needle orientates itself to point to the magnetic north pole, but the compass as a whole does not move.
Now suppose we have lots of extremely tiny magnetized iron filings that we disperse into the air. They would orientate themselves, but any net attraction to the north pole would be minimal. Yes, the one side is closer to the north pole than the other and due to the inverse square law, attraction would in theory be stronger than repulsion, but air currents and Brownian motion would be way stronger in my opinion. And gas molecules of O2 are even smaller, so I do not believe that it would make a difference, even if O2 were ferromagnetic.
Climatologist
December 12, 2013 at 11:10 am
Gary Pearse says:
December 12, 2013 at 9:33 am
the only gas in the atmosphere that is magnetic is O2 (strongly paramagnetic) – it is attracted to the poles
“I could be wrong, but that does not sound right to me.”:
I believe you are wrong; from wiki on the mag field:
“The intensity of the magnetic field is greatest near the magnetic poles[1] where it is vertical. The intensity of the field is weakest near the equator where it is horizontal.”
And regarding separating O2 from diamagnetic gases:
http://pe.org.pl/articles/2012/7b/11.pdf
“he data indicate that the gas species O2 and NO are strongly paramagnetic; this is in contrast to most other gases, which are weakly diamagnetic, and to a few ones that are weakly paramagnetic. Hence, O2 and NO might be economically separated from gas mixtures, such as air or flue gases, by passing the mixture through a magnetic field having a strong gradient.”
Note that diamagnetic materials are inert; they are actively repelled by the magnetic field. Also, Brownian movements are random and air currents away from the poles will move the other gases away faster and toward the poles will further retard O2.
_Jim says:
December 12, 2013 at 10:33 am
Gary Pearse says December 12, 2013 at 9:33 am
…
” the only gas in the atmosphere that is magnetic is O2 (strongly paramagnetic) – it is attracted to the poles. ALL OTHER GASES ARE DIAMAGNETIC –
I thought you were going to work out the ‘forces’ exerted on these molecules, then compare that force with the force that the winds exert?”
Jim, I already noted that the arctic has much more intrusive weather from the outside and so it would confound the results somewhat. Such a tossing off of the outside-the-box thinking of mine is not much of a contribution. I have also provided the tests for falsifying this. How else would you explain an N2 hole, noble gases hole and CO2 hole if there is one. Also, although the equatorial region would have biological effects on CO2, look for higher N2 and noble gases there and explain it to me in some other way. Then you have made a contribution.
Gary Pearse
Just think you’re paying for every single government employee spammage of this drivel laced with voodoo passed off as “Maybe I’m wrong but you, shut up.”
After all what do you know about science. Didn’t the government tell you pot is heroin?
Well: since you don’t understand climate and you don’t know pot from heroin I think it’s best if the government goes ahead and takes over all your medications.
After all your track record is so terrible you can’t be trusted. The government’s going to run your life, and you’re going to pay government employees to do it. If you don’t the full weight of government is going to come down on you,
until you realize who is here,
to serve whom.
wbrozek says December 12, 2013 at 11:10 am
…
I could be wrong, but that does not sound right to me. Consider a compass for example. The needle orientates itself to point to the magnetic north pole, but the compass as a whole does not move.
Perhaps at the equator; near one or the other poles it could ‘move’ were it not for the friction of the ‘mount’ normally enclosing the compass. Also recall that iron filings will attach themselves to a magnet if allowed to (say, if the attractive force is allowed to overcome the force of gravity)
Also bear in mind this factor is operative:
THE INCLINATION OF THE NEEDLE, OR DIP as it it technically called, is caused through the terrestrial megnetism exerting a pull downwards of one of the ends of the compass needle. In the northern hemisphere the north end of the needle would be depressed, whilst in the southern hemisphere the south end would “dip”.
At the North Magnetic Pole the north end of the needle would point directly downwards, and at the South Pole the south end would point likewise. At the time of manufacture the needle of the compass is so balanced that it will revolve in a horizontal plane where it is used; for instance, a compass made in London for New Zealand would have the needle made heavy at the north end, so that on arriving at its destination the needle would be horizontal. The needles of the best surveying compasses have a sliding weight for the correction of the dip.
Possibly this falls In the category of ‘things I never knew” (and didn’t need to!)
.
dbstealey says: “Obviously you are not a scientific skeptic [the alternative is a True Believer].”
Brian says December 12, 2013 at 9:43 am:
There is another alternative: conspiracy theorist. I am not a “True Believer” or a conspiracy theorist.
How do you mentally go about simply turning a ” can you show me your work* ” request into ” you’re just engaging in con spiracy theories ” meme? Is there a handbook available to do this sort of thing?
.
.
.
* Since these governments are bound and determined to taxing the living daylights out of us BASED on that work by those so-called scientists! I wanna see their work before forking over my hard-earned wages! Perhaps, you don’t …
.
scarletmacaw says:
December 12, 2013 at 9:00 am
There is one other comment I’d like to make. As far as I know, no one has ever actually detected CFCs in the stratosphere. I remember reading that a satellite was launched to measure CFCs in the stratosphere, but got a null result and the results were then suppressed. I don’t know whether or not that story is true.
Very interesting point.
It is known that low temperature are causing “ozone holes”. There has been one recently in the north due to very cold temperatures in the Arctic:
“The ozone layer has seen unprecedented damage in the Arctic this winter due to cold weather in the upper atmosphere,”
With the Antarctic colder it is simply logical the “hole” is there bigger in winter:
“Usually in cold winters we observe that about 25% of the ozone disappears, but this winter was really a record – 40% of the column has disappeared,” said Dr Florence Goutail from the French National Centre for Scientific Research.
The alarmism was great at the time:
So, there might something to debunk with the “ozone hole” story even if the chemistry of CFC might fit, I think that some CFC’s should be discovered in the stratosphere to confirm the theory, else…
higley7
December 12, 2013 at 4:38 pm
A couple of years ago, it was finally admitted that the “science” that claimed that CFCs caused ozone destruction in the upper atmosphere over Antarctica was false and fabricated by DuPont to promote an expensive replacement they had lined up already under patent. Now, a bit over 17 years later, they say, “We bad. We were wrong.”
The ozone hole is driven by the solar irradiance interacting with nitrogen in the atmosphere. It’s totally unrelated to CFCs.
Khwarizmi
December 12, 2013 at 4:49 pm
_Jim,
the article you cited claiming that the patent for CFCs expired in the 50s appears to be wrong and misleading. Wikipedia appears to have it right:
In 1978 the United States banned the use of CFCs such as Freon in aerosol cans, the beginning of a long series of regulatory actions against their use. The critical DuPont manufacturing patent for Freon (“Process for Fluorinating Halohydrocarbons”, U.S. Patent #3258500) was set to expire in 1979
December 12, 2013 at 5:16 pm
Khwarizmi says December 12, 2013 at 4:49 pm
the article you cited claiming that the patent for CFCs expired in the 50s appears to be wrong and misleading.
As I stated above, that was “An attempt by somebody to ‘debunk’ this aspect;” … I haven’t been able to nail or confirm everything as to ‘fact or fiction’, but, if R-12 was being manufactured in 1935 as claimed (and it would have to have been patented then or prior to 1935) THEN in 1955 that patent would have expired (20 some years after the 1935 date) … does that make sense? This is simple logic – patents ‘run’ (are effective, if paid up) for a period of time (IOW they have an ‘expiration’ date, if you will.)
You’ll also notice, per Wiki’s own words: “The critical DuPont manufacturing patent ” which is a patent titled “Process for fluorinating halohydro-carbons“, and NOT a patent for R12 or Freon (Freon appears to be a trademark, a different entity) per se. Does that make sense? IOW it’s a patent on how a particular process is performed, to wit, fluorinating halohydro-carbons – a manufacturing process that is covered by patent acting to protect Du Pont’s intellectual property as a manufacturer, as it says.
Wiki, BTW, needs cross-checking just as any other source up to the original documents (like the patent cite.)
Are things completely cleared up? I don’t think so, not yet … certain dates need to be verified yet.
.
Gary Pearse says:
December 12, 2013 at 9:33 am
ferd berple, you have come closest to recognizing an element of my hypothesis (my post of 603 am):
==========
Gary you may well be onto something. When I first read you post it didn’t register at all. How can air be magnetic? It isn’t something you learn in school.
But one of things that has really bugged me about arctic warming is the rapid shift in the earth’s north magnetic pole. It is easy to dismiss this as coincidence, but on what basis?
I had thought it might be an interaction of the magnetic field with the solar wind, but now you have given us another previously unrecognize mechansim. A paramagnetic material (O2) moving in a magnetic field may well separate the O2.
re: Khwarizmi says December 12, 2013 at 4:49 pm
I think this is the patent you seek (note: in the following CCl2Fl2* represents Freon R-12):
– – – – – – – – –
Title: Manufacture of halo-fluoro derivative of aliphatic hydrocarbons, US 2007208 A
Publication date . . Jul 9, 1935
Filing date . . . . . Feb 24, 1931
Priority date . . . . Feb 24, 1931
Inventors . . . . . . . Henne Albert L, Midgley Jr Thomas, Reed Mcnary Robert
Original Assignee . . Gen Motors Corp
5 Claims.
…
Our present invention differs from the former methods in that its objects are to fluorate an allphatic hydrocarbon derivative in which all the halogen atoms desired in the final product are not present before fluoration, and to add the missing halogen atoms, during or after fluoration.
As a specific example, CC12F2, can be obtained, according to our present invention by fluorating dichloromethane, CHzCl-z to difluoromethane, CHzFz and by subsequently or at the same time chlorinating the CHzFz to dichlorodifiuoromethane CClzFz.
.
ferd berple says:
December 12, 2013 at 5:31 pm
my fridge magnets have a stronger magnetic field locally, but they don’t deflect compasses all over the earth.
True, but if you held your fridge magnet near a compass on your kitchen table, the compass would move according to your fridge magnet. So if Earth’s magnetic field is expected to attract O2 molecules, the fridge magnet should do so much more. But if the fridge magnet cannot do so locally (unless you have proof to the contrary) then why should Earth be expected to do so globally?
Khwarizmi
December 12, 2013 at 7:14 pm
Thanks _Jim,
I’ll have a look at that later today. It was the method of manufacture, not the product, that was subject to the patent.
Meanwhile, here’s a brief summary of Sagan’s weird and interesting version of the history:
Just to tie a ribbon on it, the announcement of dichlorodifiuoromethane (R-12) in a white paper in 1930:
“Organic Fluorides as Refrigerants”
Thomas Midgley Jr., Albert L. Henne
Ind. Eng. Chem., 1930, 22 (5), pp 542–545
The more or less ‘formal’ incorporation of dichlorodifiuoromethane as a constituent part of an ‘invention'” via this patent:
– – – – – – – – – – – – – –
Title: “Heat transfer” US 1833847 A
Publication number US1833847 A
Publication date . . . Nov 24, 1931
Filing date . . . . . . . Feb 8, 1930
Priority date . . . . . . Feb 8, 1930
Inventors . . . . . . . . Henne Albert L, Mcnary Robert R, Midgley Jr Thomas
Original Assignee . . Frigidaire Corp
We find the ‘meat of the nut’ in the claims section:
We claim :-
1. The process of refrigeration which comprises condensing a halogen derivative of
an aliphatic mono fluoride and then evaporating the said derivative in the vicinity of a body to be cooled.
…
6. The process of refrigeration which comprises condensing diÍluoro-dichloromethane
and then evaporating it in the vicinity of a body to be cooled.
I got there in a roundabout way using these works:
re: Khwarizmi says December 12, 2013 at 7:14 pm
This might be of interest, too, given your last:
THOMAS MIDGLEY, JR., AND THE INVENTION OF CHLOROFLUOROCARBON
REFRIGERANTS: IT AIN’T NECESSARILY SO
By Carmen J. Giunta, Le Moyne College
http://www.scs.illinois.edu/~mainzv/HIST/bulletin_open_access/v31-2/v31-2%20p66-74.pdf
This generally applicable paragraph buried towards the end of the above document particularly caught my eye:
Getting the facts correct would seem to be an uncontroversial prerequisite for writing history, whether for a scholarly or a general audience. Without factual accuracy, judgments and interpretations will be suspect; and even factual accuracy does not guarantee correct interpretation. What is one to do when the facts are complicated or uncertain? Many writers for a general audience are not expert historical researchers. They have little choice but to rely on the most reliable products of such researchers, distilling and condensing as appropriate.
The above cited doc also has a rich ‘references and notes’ section.
.
(This is getting old .. second submission of this particular post since the first ‘bounced’)
re: Khwarizmi says December 12, 2013 at 7:14 pm
This might be of interest, too, given your last:
THOMAS MIDGLEY, JR., AND THE INVENTION OF CHLORO FLUORO CARBON
REFRIG ER ANTS: IT AIN’T NECESSARILY SO
By Carmen J. Giunta, Le Moyne College
http://www.scs.illinois.edu/~mainzv/HIST/bulletin_open_access/v31-2/v31-2%20p66-74.pdf
This generally applicable paragraph buried towards the end of the above document particularly caught my eye:
Getting the facts correct would seem to be an uncontroversial prerequisite for writing history, whether for a scholarly or a general audience. Without factual accuracy, judgments and interpretations will be suspect; and even factual accuracy does not guarantee correct interpretation. What is one to do when the facts are complicated or uncertain? Many writers for a general audience are not expert historical researchers. They have little choice but to rely on the most reliable products of such researchers, distilling and condensing as appropriate.
The above cited doc also has a rich ‘references and notes’ section.
.
December 12, 2013 at 8:41 pm
(Try a 2nd post on this one too as the 1st disappeared right promptly into lala-land)
Just to tie a ribbon on it, the announcement of di chloro di fluoro methane (R-12) in a white paper in 1930:
“Organic Fluorides as Refrig erants”
Thomas Mi dgley Jr., Albert L. Henne
Ind. Eng. Chem., 1930, 22 (5), pp 542–545
The more or less ‘formal’ incorporation of di chloro di fluoro methane as a constituent part of an ‘invention'” via this patent:
– – – – – – – – – – – – – –
Title: “Heat transfer” US 1833847 A
Publication number US 1833847 A
Publication type . . . Grant
Publication date . . . Nov 24, 1931
Filing date . . . . . . . Feb 8, 1930
Priority date . . . . . . Feb 8, 1930
Inventors . . . . . . . . Henne Albert L, Mcnary Robert R, Midgley Jr Thomas
Original Assignee . . Frigidaire Corp
We find the ‘meat of the nut’ in the claims section:
We claim :-
1. The process of re frige ration which comprises condensing a halogen derivative of
an aliphatic mono fluoride and then evaporating the said derivative in the vicinity of a body to be cooled.
…
6. The process of refrigeration which comprises condensing di fluoro-di chloro methane
and then evaporating it in the vicinity of a body to be cooled.
I got there in a roundabout way using these works:
john robertson says:
December 11, 2013 at 6:57 pm
They do sound bewildered and frustrated, as their methods worked so well in the ozone scare, perhaps they do not understand why the CO2 scare is failing so miserably.
There is something that might explain it. Civilization can get along without CFCs, but not without fossil fuels.
ROM says:
December 12, 2013 at 3:59 am
The corruption of the natural sciences was preceded and foreshadowed by the corruption of economics. We used to think that, short of outright dictatorship, the physical sciences were immune to such manipulation. We were wrong.
u.k.(us) says:
Good fences make good neighbors.” (Robert Frost)
Frost only quoted this saying, and not with approval. Read the poem.
sophocles
December 12, 2013 at 1:15 pm
Gary Pearse says:
http://en.wikipedia.org/wiki/Earth's_magnetic_field
“Earth’s surface ranges from 25 to 65 micro Tesla”
“In your Table 2, the range is from 25 to 750,000 milliT. So the lowest number here is about 1000 times stronger than Earth’s magnetic field. Is that right? And the ”
Werner, It is not a strong field, but please lets agree that there is an effect. Happily I found a demonstration on You Tube by a Harvard prof. The only thing is the prof doesn’t appear to understand the diamagnetic aspect. N2 is not just unattracted to the magnet, it is REPELLED by the magnet. So if you have molecules attracted to the magnet AND molecules repulsed by a magnet, there will be some degree of separation.
Also, you may or may not be aware of a phenomenon known as a ferro fluid:
“In a gradient field the whole fluid responds as a homogeneous magnetic liquid which moves to the region of highest flux. This means that ferrofluids can be precisely positioned and controlled by an external magnetic field. The forces holding the magnetic fluid in place are proportional to the gradient of the external field and the magnetization value of the fluid. This means that the retention force of a ferrofluid can be adjusted by changing either the magnetization of the fluid or the magnetic field in the region.”
https://www.ferrotec.com/technology/ferrofluid/
It causes the particles (read oxygen) to align and they too become a magnetic body that further repels its diamagnetic friends. I found this effect occurring when trying to separate fine ferromagnetic grains from very fine grained paramagnetic rare earth mineral grains in a liquid. The ferromagnetic grains immediately magnetized the liquid and a captured its neighboring weaker paramagnetic grains and removed them from the suspension with them, even though the rare earth minerals were too weakly magnetic to be attracted to the outside field applied.
December 13, 2013 at 6:57 am
re: Gary Pearse says December 13, 2013 at 5:54 am
I got no ‘bite’ on this comment linked below the first time (5 days ago?) regarding gas ‘reaction’ to magnetic fields, so I point back to it now:
In particular, the paper below which used a really strong magnetic field to affect the sublimation of CO2 from a block of dry ice:
. . Effects of Gradient Magnetic Fields on CO2 Sublimation in Dry Ice
. . http://iopscience.iop.org/1742-6596/156/1/012029/pdf/1742-6596_156_1_012029.pdf
Also note the other paper was looking at the mixing ratio between O2 and N2 and at heights above 100km where some ‘separation’ or settling out (stratification) may occur as opposed to lower altitudes where turbulent vertical mixing keeps the two well mixed:
December 13, 2013 at 6:57 am
re: Gary Pearse says December 13, 2013 at 5:54 am
“I got no ‘bite’ on this comment linked below the first time (5 days ago?) regarding gas ‘reaction’ to magnetic fields, so I point back to it now:”
Thanks Jim and sorry I seem to have missed it. Yes, I accept that the idea should be fleshed out with other data and, indeed, some calculations. Although I have used ferro, para and diamagnetic phenomena in the mineral processing field, I am someway out of my depth to present calculations of this effect in the atmosphere – a medium that seems to be even giving physicists a lot of trouble. I proposed a long time ago that given uranium’s significant paramagnetism, it could be cleaned out of affected water using a high gradient “mesh” or steel wool magnetic filter. I was told the idea should be tried and possibly patented – but like the atmospheric situation, I didn’t have the resources to do much about it, except to mention on as thread somewhere when Fukushima reactors were breached that the water could be pumped from the site through a magnetic filter.
Regarding data, the first round should be devoted to see if there is difference in gas species content around the south pole, the temperate and equatorial regions. I didn’t know that NO is also paramagnetic before some small research I did in response to questions. Maybe it is more abundant at the South Pole, too. Ive mentioned confounding aspects or weather and biology in the equatorial zone wrt CO2 and O2 but one should find elevated N2 and noble gases there and a hole for all atmospheric gases except O2 and NO at the south polar region. Once again, I would be obliged to defer such research to someone else. It would be nice if someone reading this could put there hands on whatever data there is. After that, I would also have to rely on a physicist or engineer familiar with the details of magnetic behavior in such a setting to get a “measure” of the effect – tiny or significant.
Thanks for your interest and links.
Matt G
December 13, 2013 at 10:02 am
The ozone hole over Antarctica has always had too large seasonal changes for it to be anything other than mainly natural cycle. What, if any human affect on it by CFC’s, is too small to even notice.
I’m betting there has always been a ozone hole (area of weak concentration) and we cant distinguish any natural changes with unnatural.
Phil.
December 12, 2013 at 9:00 am
Mike Tremblay says:
December 12, 2013 at 1:14 am
You present a very good summary.
The correlation between CFC production and the decrease in ozone levels at the south pole do provide evidence that CFCs are the cause. But we don’t have any measurements before CFCs were introduced into the atmosphere, so there’s no definitive proof.
There is one other comment I’d like to make. As far as I know, no one has ever actually detected CFCs in the stratosphere. I remember reading that a satellite was launched to measure CFCs in the stratosphere, but got a null result and the results were then suppressed. I don’t know whether or not that story is true.
CFCs are routinely measured in the stratosphere, here’s a graph.
This paper describes measurements made as early as 1975!
Gary Pearse says: December 12, 2013 at 9:33 am
ferd berple says: December 12, 2013 at 6:46 am
“Where did all the ozone go? these pictures tell the tale:
The hole is not a result of ozone being destroyed. It is a result of ozone being transported from the poles to lower latitudes.”
Yes and yes. Here is helpful image that shows how the Northern Polar Vortex formed and created a Northern “Ozone Hole” in 2011:
For reference the images above are:
Northern hemisphere total column ozone, potential vorticity on the 460 K potential temperature surface, and temperature on the 50 hPa pressure surface for 22 February 2011. The white lines with arrows on the PV image are streamlines, where the thickness of the streamlines and the size of the arrows indicate the strength of the local flow.
And this:
“image shows temperature on the 50 hPa pressure surface (about 20 km in altitude). The highest values of the total ozone column are found near and just outside the polar vortex edge or near the polar night jet.”
NOAA – National Aeronautics and Space Administration (NASA) Goddard Space Flight Center (GSFC) – Click the pic to view at source
The source of this images, this NASA page on Polar Vortices;
NOAA – National Aeronautics and Space Administration (NASA) Goddard Space Flight Center (GSFC) – Click the pic to view at source
is very informative, however it is confounding that they demonstrate the mechanics of the natural formation of “Ozone Holes” within Polar Vortices and then claim on this page;
http://ozonewatch.gsfc.nasa.gov/facts/NH.html
that:
Increased levels of human-produced gases such as CFCs (chlorofluorocarbons) have led to increased rates of ozone destruction, upsetting the natural balance of ozone and leading to reduced stratospheric ozone levels.
If there is a physical process that adequately explains the existence of Ozone Holes, why do we need a supplemental CFC based chemical process? How big would the ozone hole be if CFCs didn’t exist? It would be the same size, as ozone hold size depends on how big the Polar Vortex is and how deep it penetrates into the atmosphere.
December 13, 2013 at 6:02 pm
There is also another important physical process in play within the Polar Vortex, is that
in the center of the Antarctic vortex. Air from very high altitudes descends vertically through the center of the vortex, moving air to lower altitudes over several months.”
http://www.nasa.gov/centers/langley/news/factsheets/HALOE-Ozone.html
Air towards the top of the stratosphere has lower concentrations of ozone;
NOAA – National Aeronautics and Space Administration (NASA) Goddard Space Flight Center (GSFC) – Click the pic to view at source
As such, when this “air from very high altitudes descends vertically through the center of the vortex” it displaces the air below it, decreasing the concentration of ozone within the Polar Vortex. The combination of the low pressure area formed by the centrifugal force of the Polar Vortex and the air from very high altitudes with lower concentrations of ozone that descends vertically through the center of the vortex, creates the “Ozone Hole”.
December 13, 2013 at 6:15 pm
“Alan the Brit says: December 12, 2013 at 3:18 am
As I understand it, & I am only a humble Chartered Structural Engineer, the hole is nothing of the kind, that it is actually merely a “thinning”,
Yes:
“The word hole isn’t literal; no place is empty of ozone. Scientists use the word hole as a metaphor for the area in which ozone concentrations drop below the historical threshold of 220 Dobson Units.”
& that there are several of them but the “lesser spotted variety” don’t get a look in!
Yes, NASA refers to them as “Ozone Mini-Holes”;
http://ozonewatch.gsfc.nasa.gov/facts/miniholes_NH.html
“The term “mini-hole” is derived from a comparison to the Antarctic ozone hole. However, a mini-hole is quite a bit different from the ozone hole in fundamental ways. First, mini-holes are much smaller in area coverage than the Antarctic ozone hole (as the name suggests). Second, while the Antarctic ozone hole is caused by high concentrations of chlorine and bromine derived from man-made chemicals, a mini-hole is a natural phenomena that is caused by particular weather patterns. Third, ozone is irreversibly depleted by man-made chemicals in the Antarctic ozone hole. In a mini-hole, ozone is rearranged by the weather systems and the ozone returns to its initial levels after the these weather systems pass.”
“he flow around this low PV is in a clockwise direction. This push of low PV air northward creates what is known as an anticyclonic flow, and low PV air generally coincides with the ozone mini-hole. The middle center panel shows that the location of the mini-hole is near the edge of the polar vortex. Column ozone is low for two reasons. First, midlatitude air at 420 K has low values of ozone. Second, the low PV values (blue color) at 420 K push below the higher value PV at 500 K (green and orange) and creates a lifting circulation. This lifting motion decreases ozone density in the lower stratosphere. The combined effects of a push northward of low ozone values with a density decrease by the lifting motion acts to dramatically decrease the total column ozone. This movement of weather systems at 420 K (18 km) and 500 K (22.5 km) creates the mini-hole.
An “anti” mini-hole of total ozone (high ozone) can be found to the west of the mini-hole on 31 January, indicated by the black “Y”. In this situation, high PV values at 420 K push down from the polar region and under-ride low PV values at 500 K. This creates a sinking motion that increases total column ozone, exactly the opposite motion from what creates the mini-hole. In the rightmost images, the weather systems are drifting off and dissipating, so the ozone levels return back to their normal state.
NOAA – National Aeronautics and Space Administration (NASA) Goddard Space Flight Center (GSFC) – Click the pic to view at source
Above are:
Northern hemisphere images for 24 January, 31 January, and 4 February of 2012. Top row: total column ozone; middle row: potential vorticity on the 500 K potential temperature surface; bottom row: potential vorticity on the 420 K potential temperature surface. The mini-hole is the prominent dark blue area in the top middle image, indicated with a black “X”. A corresponding area of high ozone values is inidcated with a “Y”.
December 13, 2013 at 8:22 pm
Most CFCs were generated in the Northern Hemisphere with its much larger population and industry. So you’d expect a larger hole over the NORTH pole. But by some magical process not yet modelled, or identified by the UN, most of the CFCs generated in the northern hemisphere have filtered downhill, past the equator and down to the south pole where they have wreaked havoc on the south pole ozone.
Is there a new phenomenon where CFC compounds are repelled by the earth’s north pole and attracted to the earth’s south pole?
http://earthobservatory.nasa.gov/Features/Nimbus/nimbus2.php
In support of this assertion they offer these globes that:
show ozone concentrations over Antarctica in selected Octobers from 1979-85 and 2000-2003. Nimbus observations began to point to a drop in ozone (blue areas) as early as 1980, with more extreme decreases developing in 1985.
NASA – Earth Observatory – Click the pic to view at source
“In 1956, the British Antarctic Survey set up the Halley Bay Observatory on Antarctica in preparation for the International Geophysical Year (IGY) of 1957. In that year, ozone measurements using a Dobson Spectrophotometer began.”
“Instruments on the ground (at Halley) and high above Antarctica (the Total Ozone Mapping Spectrometer [TOMS] and Ozone Monitoring Instrument [OMI]) measured an acute drop in total atmospheric ozone during October in the early and middle 1980s.”
NOAA – National Aeronautics and Space Administration (NASA) Goddard Space Flight Center (GSFC) – Click the pic to view at source
Here’s:
Annual average ozone trend between 1979-2000 for 65°S to 65°N (global avg.) as predicted by an ensemble of ten 2-D ozone models: trends compared to 1979-1997 TOMS measured data for validation
The Center for Coastal Physical Oceanography at Old Dominion Universityy – Click the pic to view at source
Also, not satellite, but:
In 1984 British Antarctic Survey scientists, Joesph Farman , Brian Gardiner, and Jonathan Shanklin, discovered a recurring springtime Antarctic ozone hole .Their paper was published in Nature , May 1985, the study summarized data that had been collected by the British Antarctic Survey showing that ozone levels had dropped to 10% below normal January levels for Antarctica.
The Center for Coastal Physical Oceanography at Old Dominion Universityy – Click the pic to view at source
Phil.
December 13, 2013 at 11:31 am
re: Phil. says December 13, 2013 at 10:45 am
Post was kinda thin on specifics there Phil .. one resource is sitting behind a paywall.
Unlike all the the posts on here that erroneously assert that no such measurements have been made with no cites to back them up!
scarletmacaw says:
December 13, 2013 at 3:06 pm
Phil. says:
December 13, 2013 at 10:45 am
Thanks for the links. I’m curious as to what they actually say since the first link is an undescribed graph and the second is just an abstract. How were the measurements made in 1975?
The first link appears too smooth to be a graph of actual measurements, so I suspect it is a model.
You’d be wrong.
http://www.epa.gov/ozone/science/myths/heavier.html
“Source: World Meteorological Organization, Scientific Assessment of Ozone Depletion: 1998, WMO Global Ozone Research and Monitoring Project – Report No. 44, Geneva, 1998.”
The paper was not behind a paywall for me but there are these things called libraries where you can access the papers without paying.
As it says in the paper the measurements were made using GC with electron capture detection.
Here’s another paper discussing more recent satellite measurements (figs 6 and 7):
dsystem says:
December 13, 2013 at 8:22 pm
Most CFCs were generated in the Northern Hemisphere with its much larger population and industry. So you’d expect a larger hole over the NORTH pole. But by some magical process not yet modelled, or identified by the UN, most of the CFCs generated in the northern hemisphere have filtered downhill, past the equator and down to the south pole where they have wreaked havoc on the south pole ozone.
Is there a new phenomenon where CFC compounds are repelled by the earth’s north pole and attracted to the earth’s south pole?
If you actually took the trouble to read about the subject you’d learn that due to the colder air PSCs form above the antarctic but not often over the arctic and the heterogeneous reaction with ozone takes place on those. That is why the hole over the antarctic is more significant.
Phil.
December 14, 2013 at 10:03 am
_Jim says December 13, 2013 at 11:31 am
Post was kinda thin on specifics there Phil .. one resource is sitting behind a paywall.
Phil. says December 14, 2013 at 6:40 am
Unlike all the the posts on here that erroneously assert that no such measurements have been made with no cites to back them up!
‘Thin’ is still thin, Phil, no matter your assertions to the contrary, and adds little to nothing to the discussion; failure to ‘make your case’ with very thin soup is a reflection on Phil, not _Jim.
Actually I’ve added a website and two papers to the discussion, _Jim has added nothing but two content free comments.
Eve
December 14, 2013 at 8:12 pm
I remeber in the last solar minimum in 2008, there was a huge ozone hole over the Arctic and probably the Antarctic as well. At that time, it was suggested that cosmic rays were the cause. The Montreal Protocol was just a hoax played on the world by Dupont. No need to ban Freon except that Dupont’s patent had run out.
December 14, 2013 at 9:29 pm
@_Jim, my meaning is in the second paragraph, not the first.
“But the same people [making the claims against DuPont] cannot understand how AGW falsehoods allow countless companies peddling worthless wares – such as CFLs and wind turbines – to sell unwanted garbage to unwilling customers.”
Mickey Reno
December 15, 2013 at 6:25 am
MKelly, thanks for the correction. Dobson, of course discovered the annual (and natural) diminishing ozone levels in the polar regions during their respective sunless winters.
But it’s also fair to say that when the TOMS satellite measured the extent and level of ozone depletion in the 70s, there was little common understanding of the scope. Because of the large extent of depletion, there was a wave of popularization and alarmism that did NOT occur when Dobson observed ozone depletion in the 1950s. This is the phenomenon I was describing as ‘discovery.’ Perhaps it was an unfortunate choice of words.
Ironically, when the satellite era “discovery” of the ozone hole became part of the pop culture, pop science almost universally ignored the lessons of Dobson’s research. They immediately began to manufacture an anthropogenic attribution as the cause. Had most atmospheric scientists properly internalized Dobson’s work, at the time of the satellite measurements the so-called “ozone hole” would have been immediately explained to the world as a completely natural, annual event, perhaps somewhat larger than previously thought. The objective process would have been front and center, and policy makers would have been told that ozone levels fall rapidly when ozone is not refreshed by solar UV interactions in the atmosphere. We would not now be stuck with the current sad and stupid state we’re in, in which the CFC myth is still accepted by many people as the cause for the ozone hole.
dsystem
December 15, 2013 at 1:15 pm
Phil. says: December 14, 2013 at 2:15 pm
“If you actually took the trouble to read about the subject you’d learn that due to the colder air PSCs form above the antarctic but not often over the arctic and the heterogeneous reaction with ozone takes place on those. That is why the hole over the antarctic is more significant.”
Good news then. We only need to ban CFCs in the Southern hemisphere.
Phil.
December 15, 2013 at 1:15 pm
Phil. says: December 14, 2013 at 2:15 pm
“If you actually took the trouble to read about the subject you’d learn that due to the colder air PSCs form above the antarctic but not often over the arctic and the heterogeneous reaction with ozone takes place on those. That is why the hole over the antarctic is more significant.”
Good news then. We only need to ban CFCs in the Southern hemisphere.
As long as you can build a barrier to prevent the N hemisphere air crossing the equator, that might prove to be tricky as well as having unforeseen consequences!
Phil.
Mickey Reno says:
December 15, 2013 at 6:25 am
MKelly, thanks for the correction. Dobson, of course discovered the annual (and natural) diminishing ozone levels in the polar regions during their respective sunless winters.
But it’s also fair to say that when the TOMS satellite measured the extent and level of ozone depletion in the 70s, there was little common understanding of the scope. Because of the large extent of depletion, there was a wave of popularization and alarmism that did NOT occur when Dobson observed ozone depletion in the 1950s. This is the phenomenon I was describing as ‘discovery.’ Perhaps it was an unfortunate choice of words.
It was the discovery of the increasing depth of the ozone hole starting around 1977 by Dobson’s colleagues led by Farman (using Dobson’s instruments), which was published in 1984 which showed the progressive ‘expansion’ of the ozone hole. NASA the went back and looked at their data and corroborated the British Antarctic Survey results.
Ironically, when the satellite era “discovery” of the ozone hole became part of the pop culture, pop science almost universally ignored the lessons of Dobson’s research. They immediately began to manufacture an anthropogenic attribution as the cause. Had most atmospheric scientists properly internalized Dobson’s work, at the time of the satellite measurements the so-called “ozone hole” would have been immediately explained to the world as a completely natural, annual event, perhaps somewhat larger than previously thought.
Completely wrong, Dobson’s research was taken on board and it was well known that there was a seasonal natural fluctuation, it was the amplification of the seasonal decline that needed to be explained.
The objective process would have been front and center, and policy makers would have been told that ozone levels fall rapidly when ozone is not refreshed by solar UV interactions in the atmosphere. We would not now be stuck with the current sad and stupid state we’re in, in which the CFC myth is still accepted by many people as the cause for the ozone hole.
No after how much you would like it to be it’s not a myth. There are several myths propagated in this thread though, such as: ‘no one has ever actually detected CFCs in the stratosphere’, ‘depletion only occurs , or ever will occur over the sunless winter poles’ (no, it’s in the spring), ‘Proff James Lovelock of Gaia fame and also the inventor of an instrument to measure ozone levels from the ground’, (he didn’t, that was Dobson, Lovelock invented the EC detector, which was used to measure stratospheric ozone), ‘I read that Freon (R-22) was too heavy to make it to the ozone hole and therefore unable to destroy the ozone hole’, and DuPont’s patents ran out!
Mickey Reno
December 17, 2013 at 8:11 am
Phil writes: … Completely wrong, Dobson’s research was taken on board and it was well known that there was a seasonal natural fluctuation, it was the amplification of the seasonal decline that needed to be explained.
You’re essentially saying that based on 20-30 years of limited research from the pre-satellite era, scientists understood all possible natural variations in the extent of the ozone hole. And any change from that level of understanding must be anthropogenically caused. Thank you for so nicely equating ozone hole alarmism with climate change alarmism, generally.
I use the word myth advisedly. I’m not claiming chemical reactions between CFCs and ozone don’t happen. I’m saying the evidence that anthropogenic releases of CFCs CAUSE the polar ozone holes are speculative and weak, and that natural variation in the ozone hole’s extent is not well understood. Yet, pop science continues to make the claim that CFCs significantly affect the polar ozone holes without clear evidence that shows clear connections between CFC levels (pre and post Montreal), and the size of the annual ‘holes.’ And, just as in climate change alarmism, future predictions of mitigation are vague, far off, and unmeasurable. Recent research and advocacy on ozone and CFCs offer two mutually exclusive results, on the one hand saying that CFCs will not be eliminated from the atmosphere until 2070, with measurable results probably not possible until 2025, and on the other hand, the Antarctic ozone hole has shrunk drastically in that last couple of years, likely as a result of CFC bans.
“I don’t know” is a perfectly acceptable scientific answer and I suggest ozone hole researchers start practicing saying it. But then, there’s far less research grant money when no crisis exists. Correlations between CFC alarmism and grant money are excellent.
Phil.
Mickey Reno says:
December 17, 2013 at 8:11 am
Phil writes: … “Completely wrong, Dobson’s research was taken on board and it was well known that there was a seasonal natural fluctuation, it was the amplification of the seasonal decline that needed to be explained.”
You’re essentially saying that based on 20-30 years of limited research from the pre-satellite era, scientists understood all possible natural variations in the extent of the ozone hole. And any change from that level of understanding must be anthropogenically caused. Thank you for so nicely equating ozone hole alarmism with climate change alarmism, generally.
You’re showing you bias here, nowhere did I imply that. The observation of the seasonal decline needed to be explained, there was no requirement that it be due to anthropogenic causes. Subsequent measurements showed a negative correlation between CiO and ozone and the chemical reactions whereby CiO acts as a catalyst in the destruction of ozone were identified. So both a mechanism and a correlation have been experimentally determined. Only about 100,000 tonnes of CFC-11 were produced prior to Farman’s measurements starting in 1956 whereas over 8,000,000 tonnes were produced afterwards prior to 1992, and slightly higher values for CFC-12. So contrary to your assertion there is plenty of evidence of a direct connection between the release of CFCs and the loss of ozone over Antarctica.
Mickey Reno
December 18, 2013 at 12:58 pm
Phil, your statement clearly implies what I inferred.
Nowhere is this implied: “And any change from that level of understanding must be anthropogenically caused.”, that is your imagination.
And I am biased. I’m biased against assumptions of causality, when only correlations are in evidence.
There are more than correlations in evidence, there is a proven mechanism too.
Thank you for so nicely equating ozone hole alarmism with climate change alarmism, generally.
This is a fabrication by you, I presented scientific facts concerning the observations of Antarctic ozone depletion and made no reference to climate change!
Mickey Reno
December 19, 2013 at 8:00 am
Phil, I don’t dispute that a chemical mechanism exists, which I’ve already stipulated. I don’t even dispute that the mechanism MIGHT be in play over the polar regions. I’m saying that the existence of this process over the polar regions is not proven by a correlation.between the size of the hole and anthropogenic production of CFCs.
You’re dismissing ALL CAUSES of natural variations in the size of the ozone hole, when you don’t know the scope of natural (pre-CFC) variation. Some of those causes may be unknown to us. Some may depend on regional or local wind/weather patterns, some of which are also poorly understood. You have no evidence that makes it scientifically valid to do that. What you have is a hypothesis, ready for actual experiment and testing, and subject to falsification.
As for my claim that CFC alarmism mirrors global warming alarmism, I’ll stand by my statement. The full scope of natural variation is also dismissed far too casually in CAGW (ie. agenda based) science.
Phil.
Mickey Reno says:
December 19, 2013 at 8:00 am
Phil, I don’t dispute that a chemical mechanism exists, which I’ve already stipulated. I don’t even dispute that the mechanism MIGHT be in play over the polar regions. I’m saying that the existence of this process over the polar regions is not proven by a correlation.between the size of the hole and anthropogenic production of CFCs.
There is far more corroborative evidence than that as outlined above.
You’re dismissing ALL CAUSES of natural variations in the size of the ozone hole, when you don’t know the scope of natural (pre-CFC) variation. Some of those causes may be unknown to us. Some may depend on regional or local wind/weather patterns, some of which are also poorly understood. You have no evidence that makes it scientifically valid to do that. What you have is a hypothesis, ready for actual experiment and testing, and subject to falsification.
On the contrary I have not done that, that’s your assumption. Winds, for example, are known to have an effect. Part of the chemical mechanism is that chlorine radicals are the catalytic agent and that ClO would be expected to be generated as the ozone is depleted. This is exactly what is observed, no ‘natural’ mechanism would do so.
As for my claim that CFC alarmism mirrors global warming alarmism, I’ll stand by my statement. The full scope of natural variation is also dismissed far too casually in CAGW (ie. agenda based) science.
That’s not what you said, you said “Thank you for so nicely equating ozone hole alarmism with climate change alarmism, generally”, thank you for confirming that it was your claim!.
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i don't know
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Where do you want to go today?
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Where Do You Want To Go Today? / Microsoft Windows 98 - YouTube
Where Do You Want To Go Today? / Microsoft Windows 98
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Published on Feb 14, 2013
Commercial and introduction movie to Windows '98 from Microsoft's 1998 advertising campaign around the "Where do you want to go today?" tagline. The Wieden+Kennedy agency was in charge of these campaigns from 1995 to 1999.
Even though the commercials might not have gathered much response from the wide audience, some videos [like this one] have marked the memories of many who installed the system back in the days.
Source: [WIN98CD]:\CDSAMPLE\VIDEOS\INTRO.AVI
Category
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Microsoft
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Omnia Omnibus Ubique. (All Things, For All People, Everywhere.)
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Where Do You Want To Go Today?
Where Do You Want To Go Today?
Where Do You Want To Go Today?
Remember this as one of one of Microsoft’s many slogans? – I think this was when Bill was launching Windows 95, with a whole host of new, cool stuff. Radical, dude.
Yes, it was a whole new interface – with the menu bar at the bottom. Yes, it would require retraining. Yes, it was “plug and play” when you plugged something in, it would magically appear on the desktop (Macs had done this for years so Bill was just catching up at the time)
I distinctly remember the Windows 95 launch event in Las Vegas at Comdex that year, when Bill did the presentation and seemed to be sweating bullets while he waited for that little drive icon to show up on the desktop after he had plugged one in. The room was filled with thousands of mostly bald, mostly men, waiting with baited breath the words of the most holy of holies, Bill Gates.
There was only a little cult of Mac back then, real geeks used Windows. Well, real geeks used UNIX, but if you were a real geek with a business sense, you followed Bill around.
But the thing which interested me more at the time was the slogan, “Where do you want to go today?” It was a question. It rose above the fray of – I want to create a document or I want to do a search or I want do a presentation. It was different. It asked a different question, which unfortunately the software wasn’t able to answer at the time. In fact, even today, any software is rarely able to answer that question.
What’s so special about that phrase? Think about it for a second. What is it asking you?
Where do you want to go today?
It’s asking for your intent. Its saying “tell me what you want” – the inferred promise being if you just tell me what you want, I can get it for you. Software of that day couldn’t do it, and neither software nor web services of today can do it either, although they try.
Intention (or wonder)
What is my intent? What am I wondering about? An example: I realize that my old car is a pile of you know what and decide “I’m going to buy a new car” Sure, this might come out as “I want to buy a new car” or “scooter” or “motorcycle” or whatever. My initial thought is that since I currently own a car, and it’s not meeting my needs, I need to replace it. Of course, my mind is set on a car, because that is what Ithink I need. From a higher level, however, my intent is to obtain and use some kind of thing which can transport me, and whatever else I need to transport, be it stuff, people or whatever, from point A to point B, and to do it in a fashion of my choosing. Sounds reasonable, right?
So let’s say that you have made the decision to begin researching those options. My assertion is that despite the advances that we have made since the internet was born as the semi-friendly location which it is today, we still have to do about as much legwork (and in some cases much more) as some dude back in the mid-80s buying that nice Reliant automobile.
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Hope you enjoyed this sample chapter from my latest book, Wonder Man Machine
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i don't know
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Citius, Altius, Fortius. (Faster, Higher, Stronger.)
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CITIUS! ALTIUS! FORTIUS!
CITIUS! ALTIUS! FORTIUS!
Baseball
CITIUS! ALTIUS! FORTIUS!
'Faster-Higher-Stronger' reads the urgent Olympic standard, and in Rome last week the best track and field athletes in the world responded superbly to the challenge. A fair share of the glory was won by Americans
This is an article from the Sept. 12, 1960 issue Original Layout
He had a faintly comic-opera air about him and a look of pure amazement, and somehow he seemed to epitomize these Roman Olympic Games in which so many things have gone so dramatically wrong—at least for the United States.
He was applauding—ecstatically—the victory of Italy's Livio Berruti in the 200 meters, an event traditionally American. Berruti is a dark, handsome man who runs, in the poetic words of his coach, like "a lovely, bounding impala." In this race he tied the world record (20.5) and soundly whipped the three American finalists—Les Carney, Stone Johnson and Ray Norton. The day before, the well-drilled and numerous German partisans at the Stadio Olimpico had barked, "Hary, Hary, Hary," in unison to hail the victory of Armin Hary over Norton, Dave Sime and Prank Budd in the 100 meters.
Indeed, after four days of track and field competition, this Olympic meet seemed likely to be the worst for the U.S. in modern history. The mighty fell regularly: John Thomas, the nonpareil in the high jump, finished third to two Russians; Norton, the world's fastest—nearly—human, finished last in the finals of both the 100 and 200 meters; Harold Connolly, the world record holder in the hammer throw, could do no better than eighth.
There were reasons, and they were advanced eagerly by athletes, officials and the press. The U.S. team had been sent to the Games tourist class. There was a 14-hour trip on a propeller-driven plane from New York to Bern, a track meet in Bern, then a 15-hour train ride to Rome on a crowded, hot train, with the tired athletes jammed six to a compartment. In Rome a good 90% of the U.S. team succumbed to the "Roman skitters," a virulent variety of diarrhea. A smaller, but significant, percentage suffered from an overweening sense of superiority which led them to relax training. One unidentified official was said to have said that he saw a cabload of athletes arrive at the Olympic Village at 2 a.m., in defiance of an 11 p.m. curfew. But the most cogent reason for the American disappointments was the immense improvement in athletic ability in the rest of the world. The two sprint winners—Hary and Berruti—are dramatic examples of this.
Hary set a world record in the 100 meters in Zurich on June 21. He is a small, compactly built man with a large ego, a quick temper, and a singularly uningratiating arrogance. Most track experts, who know and dislike him, were prone to think that the record was the result of his jumping the gun. Hary is, indeed, apt to jump the gun whenever he can. But he is also the best sprinter in the world.
Asked about his penchant for gun-jumping before the 100-meter final, Hary said, "Rudolph Valentino was called the Thief of Hearts. As far as I know, he was never in prison. So what I do is not a crime. I am the thief of starts. It goes back to the rules of the game, and I'm a born player."
The very competent starter assigned to the 100-meter final kept a tight hold on the six-man field. There was one jump in which both Dave Sime and Hary went. But neither was charged with a false start. Then Hary alone anticipated the gun, left his blocks early, and the field was again recalled. Hary was charged with a false start. (Two false starts would have automatically put him out of the competition.)
The six finalists went to the blocks again, and the 70,000-odd people in the stands were deathly still. Sime set his feet, saw a rough patch in his lane and reached out and patted it down, hard. The hollow plop, plop, plop of his hand against the dusty red track sounded clearly throughout the stadium. The starter said "via," and the runners raised in their blocks. The quiet hung on. Then, at the shockingly sudden crack of the gun, they were away.
Hary, Sime and Norton left the blocks in the same wink of an eye. At three yards, Hary had established a narrow but noticeable margin. At 10 yards, he led by a full pace, and at 20 yards he was two steps ahead of Sime, more than that ahead of the rest of the field.
Hary's strength as a sprinter lies in the first 50 meters of a race. He has, easily, the fastest acceleration that any sprinter has ever had; if he were to run 50-yard sprints indoors no one would ever be near him. This whippet-fast acceleration gave him a three-yard cushion over Sime at 50 meters. For the last 50 meters it was a question whether or not the wonderful gliding top speed that is Sime's could overcome this margin.
Sime came very close. He ran a beautiful race; ordinarily a poor starter, he started better than anyone but Hary this time. He closed very quickly in the final 20 meters, running in the odd, straight-up style which is peculiarly his, and he lunged so desperately at the tape that he sprawled full length in the red dust of the track as the race ended. But he was still a big inch short of victory.
Hary accepted his gold medal and the booming "Hary, Hary, Hary" of the German rooters with his usual gracelessness. Said he, "The start was excellent. I wanted to run through all three of them, damn 'em [the Americans]. Before the race, they kept on looking at each other, shaking hands and assuring each other they would win, black or white. I lost a tenth of a second on the start. I waited. By then I was as nervous as a woman."
Hary dropped out of the 200 meters the next day. He said it was because he wanted to concentrate on preparing for the 400-meter relay, which the Germans hoped to win. He is not a very good 200-meter runner, because the impetus of that explosive start dies rapidly.
Berruti, who won the 200 meters, starts very poorly. Oddly, he started well enough in the finals. He was nervous and had one false start, but he was away quickly. So were Norton and Johnson, but Berruti, running with that impala-sleek stride of his, picked up a lead on them around the turn. He came into the straight three yards ahead and held on to that lead smoothly as the crowd began a rolling, booming roar. Suddenly Les Carney, the No. 3 American 200-meter runner, began to close quickly down the outside lane. Like Sime, Carney dived for the tape and, again like Sime, he was too late. Berruti won the most satisfying victory of the Games.
All of the Italians gave him their hands, voice and heart. When the three young girls who carry out the gold, silver and bronze medals on silver trays walked out for the presentation in the 200 meters, the one who carried Berruti's medal wept unashamedly. When the band played the jaunty Italian national anthem, more Italians wept. It was a very emotional moment, and a very pleasant one for all.
Psych job in a straw hat
On the first day of track and field competition the U.S. had a very pleasant moment of its own. Bill Nieder, Parry O'Brien and Dallas Long placed one-two-three in the shotput. Nieder, the world record holder, set an Olympic record at 64 feet 6¾ inches. He came out on the field wearing a ridiculous straw cowboy hat. "It was part of my psych job on O'Brien," he said later. "I wanted him to think this was just another meet for me. But I was really churning inside. My first put, the crowd yelled at a race and ruined my balance. The second one I fouled. The third, they hollered again, and on the fourth I fouled. Then I figured, I got to make it on the fifth. O'Brien was ahead, and I knew if I had only one put left the pressure would be too much. I kept saying to myself, 'O'Brien says old Nieder can't come through in the big ones; he's a cow pasture performer.' I got off a good one. The only one I used the finger flip on." (See right.)
O'Brien, watching from the sidelines, threw his towel in the air in disgusted resignation when he saw Nieder's put. He said nothing to Nieder or Long until the three stepped on the platform to accept their medals and turned to watch the three American flags run up over the Olympic flame. Then, in his state voice that sounds as though he were reciting words chiseled in marble, he leaned over and said, "Gentlemen, this is the ultimate."
This was on the first day of track and field competition. The second was gloomy Thursday. Norton, a lackluster replica of the Norton of the Olympic trials, finished sixth in the 100 meters. ("He's not right," said Bud Winter, an Olympic coach and Norton's coach at San Jose State. "He was ready four days ago. But he hasn't got that sparkle in his eye and the bounce in his step. He's flat.") None of the American 800-meter runners (Tom Murphy, Jerry Siebert and Ernie Cunliffe) qualified for the finals. The best of the three, Siebert, who ran with a 101° fever, managed fourth in the semifinals in 1:48.
The biggest disappointment of the day came late in the evening, with the Roman dusk pouring into the stadium and the lights creating an aura of brightness around the high-jump pit. John Thomas, the best high jumper in the history of mankind, faced three methodical, competent Russians.
John Thomas is 19 years old and never, before this mild, pleasant Roman evening, had he competed against anything like his equals. Here he faced three near-equals, and he could not match them. Early in the week Thomas had worked out for the benefit of the Russians. He jumped 6 feet 10 eight of nine times, with the Russians watching. Then he easily cleared seven feet twice. Some of the Russians were awed. One, a mustachioed student named Robert Shavlakadze, watched impassively. Asked what he thought about Thomas' performance, Shavlakadze said quietly, "I am very consistent at seven feet."
On the night of the competition Shavlakadze was very consistent. He went clean—missed no jumps—until the bar reached 7 feet 2 and Thomas had been eliminated. He won, and Valeri Brumel, his teammate, placed second. Thomas, so nervous that his legs trembled between jumps, placed third. In a moment of youthful bravado, he passed at 6 feet 11¼, and while he waited for the other jumpers to clear that height he went back into the dressing rooms and drank a soft drink. "I always pass 6 feet 11," he said later. "It's unlucky for me." So were the Russians.
He made seven feet and a fraction on his second jump. By then it was Thomas and three Russians, and Thomas was jumping last. Faced with competition which cleared these heights with the regularity of a metronome, Thomas felt unaccustomed pressure. ("He is not used to competition," one of the Russians said later. "He is too young.") When the bar was raised to 7 feet 1, Thomas missed. On Thomas' last jump at that height, with the stadium dark but for the lights on the high-jump pit and with the quiet of 70,000 people a palpable thing, you knew that he would not make it. No 19-year-old could, with the weight of the world on his shoulders.
"His form was not good," said Shavlakadze later. "His trailing leg was not clearing the bar." Shavlakadze should know. He is a graduate student in physical education in Russia. His thesis is on "Stability in Results in the High Jump."
After that disastrous day, U.S. fortunes turned dramatically. In the 400-meter hurdles Glenn Davis, Cliff Cushman and Dick Howard placed one-two-three. ("You feel like you're being led to the slaughter," Howard said. "The pressure out there is unbelievable.")
Then a tall, lissome young lady from Tennessee State, the home of most of America's female track talent, won the women's 100 meters by four full strides. Wilma Rudolph, a delightfully graceful, pretty girl, virtually walked away from the field in her event, breaking the world record by three-tenths of a second (11 fiat) and winning superbly. The record was disallowed because of a light following wind. Two days later she became the first American woman ever to win the 200 meters, thus scoring our first double in track.
Next Ralph Boston, a thin, calm young man from Wilma's alma mater, broke the Olympic record and won the broad jump with a fine jump of 26 feet 7¾ inches. Oddly, it was not the most dramatic jump of this competition. Boston's great effort came on his third try. He was first, and America's Bo Roberson was second until the final round of jumping. Then Russia's Ter-Ovanesian returned 26 feet 4‚Öù inches to move ahead of Roberson for second. Roberson, the last jumper in the finals, hesitated a long time at the head of the runway. He stood for a still moment, arms dangling, head low, tape on his thigh showing white in the late dark, then came down the runway very fast. He jumped, reaching for the last fraction of an inch in the doubled bend of a good broad jumper, and the crowd roared because it could see he had gone over the 26-foot mark. He made 26 feet 7‚Öú inches, three-eighths of an inch behind Boston, well ahead of Ter-Ovanesian and the best broad jump of his life.
"He hated Ter-Ovanesian enough," said a teammate. "He didn't hate Boston. But when the Russian went ahead, he hated it, and he jumped that far. You got to hate the guys you want to beat."
On the day of America's resurgence two New Zealanders nearly stole the spotlight. One of them was a complete surprise, the other was expected to win. Peter Snell, a burly, strong and completely unknown half-miler, whipped the world record holder (Roger Moens of Belgium) and the popular favorite (George Kerr of Jamaica) in the 800 meters. Murray Halberg was the favorite in the 5,000 meters, and he won quite easily with a cleverly run, beautifully executed race.
Gold medal four years early
Snell had a plan for the finals in the 800 meters, but the closely packed, somewhat unruly field negated it. "I wanted to get right out front," he said. "Away from the traffic, you know. But they didn't run by my rules. I was boxed a bit on the back-stretch of the first lap, then I was knocked over by the rail at the head of the last turn and I had to run on in from there. I wanted to go all-out with 250 meters left, but I had to wait a bit. I'm really preparing for the 1964 Olympics. I thought if I reached the semis here it would be fine experience. Then I reached the semis, and I thought, well, why not, I'll give it a go in the finals. And I was relaxed, you know. I'm really very pleased." Snell is 21, a quantity surveyor ("I figure how many bricks go in a building") in Auckland, New Zealand. New Zealanders consider him the next Herb Elliott.
Halberg has been running since 1949. He took it up because his left shoulder was badly damaged in a Rugby game. "I like to have a lash at all sports," he said. "You know, I travel with chaps who like sports. Then I was bunged up in the Rugby game and I had to find a sport that used only my lower body. That's running, isn't it? So I trained a while with a local chap until I got too good for him, and he introduced me to John Lydiard, my coach now. I doubt that any coach has ever been as close to an athlete as Lydiard is to me. I talked to Cerutty once, because I like to learn as much as I can and I thought he might have something for me. I've been called one of Cerutty's—but Lydiard is my coach. He's a wonderful man. I've not been as close to him recently as I was at first, but he's taught me everything. I've absorbed most of it, so I only see him now and then to plan how to attack a race, but we have changed the whole textbook of training. Me and Lydiard. No interval work, you know. Long, slow, over distance, then short sprints. All designed to make the body produce its maximum over whatever distance necessary. Take Snell. We had the same program until 10 weeks before the Olympics. We have a 22-mile test course over the hills in New Zealand. Snell and I and two of our marathon runners ran a test over it. The marathon runners beat me by a second, I beat Snell by a second. He'll be the greatest runner in the world in a few years."
Halberg, a slight, red-haired man who runs with his left arm tucked in closely to his side because of the impairment, ran an extraordinarily wise race in the 5,000 meters.
"I knew there were three chaps who could run a fast last quarter," he said, "Grodotzki of Germany, Thomas of Australia and Iharos of Hungary. I thought I might be able to stay, but I wasn't sure. So I sprinted with three laps to go and opened a gap. Then I broke all the textbook rules by looking over my shoulder to see how far back they were so I could keep my lead. When you're running in front like that it's like driving on a dark street at night with the lights out. If you don't watch, all at once all the traffic goes by before you can accelerate. But if you look back, you can adjust to meet that."
Halberg's surprising and unorthodox early sprint opened a 30-yard gap for him. Grodotzki, running second, seemed confused. He started to match Halberg's sprint, then abandoned the effort. But this compromise cost him the strength for a closing drive and left him too far behind Halberg, who has no real finishing kick.
Watching was Roger Bannister, the first man in the world to break the four-minute barrier in the mile.
"A good deal of running is mental," mused Bannister. "You must use your head, you know. It's very necessary."
PHOTO
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Olympic Games
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Nation Shall Speak Peace Unto Nation.
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CITIUS! ALTIUS! FORTIUS!
CITIUS! ALTIUS! FORTIUS!
Baseball
CITIUS! ALTIUS! FORTIUS!
'Faster-Higher-Stronger' reads the urgent Olympic standard, and in Rome last week the best track and field athletes in the world responded superbly to the challenge. A fair share of the glory was won by Americans
This is an article from the Sept. 12, 1960 issue Original Layout
He had a faintly comic-opera air about him and a look of pure amazement, and somehow he seemed to epitomize these Roman Olympic Games in which so many things have gone so dramatically wrong—at least for the United States.
He was applauding—ecstatically—the victory of Italy's Livio Berruti in the 200 meters, an event traditionally American. Berruti is a dark, handsome man who runs, in the poetic words of his coach, like "a lovely, bounding impala." In this race he tied the world record (20.5) and soundly whipped the three American finalists—Les Carney, Stone Johnson and Ray Norton. The day before, the well-drilled and numerous German partisans at the Stadio Olimpico had barked, "Hary, Hary, Hary," in unison to hail the victory of Armin Hary over Norton, Dave Sime and Prank Budd in the 100 meters.
Indeed, after four days of track and field competition, this Olympic meet seemed likely to be the worst for the U.S. in modern history. The mighty fell regularly: John Thomas, the nonpareil in the high jump, finished third to two Russians; Norton, the world's fastest—nearly—human, finished last in the finals of both the 100 and 200 meters; Harold Connolly, the world record holder in the hammer throw, could do no better than eighth.
There were reasons, and they were advanced eagerly by athletes, officials and the press. The U.S. team had been sent to the Games tourist class. There was a 14-hour trip on a propeller-driven plane from New York to Bern, a track meet in Bern, then a 15-hour train ride to Rome on a crowded, hot train, with the tired athletes jammed six to a compartment. In Rome a good 90% of the U.S. team succumbed to the "Roman skitters," a virulent variety of diarrhea. A smaller, but significant, percentage suffered from an overweening sense of superiority which led them to relax training. One unidentified official was said to have said that he saw a cabload of athletes arrive at the Olympic Village at 2 a.m., in defiance of an 11 p.m. curfew. But the most cogent reason for the American disappointments was the immense improvement in athletic ability in the rest of the world. The two sprint winners—Hary and Berruti—are dramatic examples of this.
Hary set a world record in the 100 meters in Zurich on June 21. He is a small, compactly built man with a large ego, a quick temper, and a singularly uningratiating arrogance. Most track experts, who know and dislike him, were prone to think that the record was the result of his jumping the gun. Hary is, indeed, apt to jump the gun whenever he can. But he is also the best sprinter in the world.
Asked about his penchant for gun-jumping before the 100-meter final, Hary said, "Rudolph Valentino was called the Thief of Hearts. As far as I know, he was never in prison. So what I do is not a crime. I am the thief of starts. It goes back to the rules of the game, and I'm a born player."
The very competent starter assigned to the 100-meter final kept a tight hold on the six-man field. There was one jump in which both Dave Sime and Hary went. But neither was charged with a false start. Then Hary alone anticipated the gun, left his blocks early, and the field was again recalled. Hary was charged with a false start. (Two false starts would have automatically put him out of the competition.)
The six finalists went to the blocks again, and the 70,000-odd people in the stands were deathly still. Sime set his feet, saw a rough patch in his lane and reached out and patted it down, hard. The hollow plop, plop, plop of his hand against the dusty red track sounded clearly throughout the stadium. The starter said "via," and the runners raised in their blocks. The quiet hung on. Then, at the shockingly sudden crack of the gun, they were away.
Hary, Sime and Norton left the blocks in the same wink of an eye. At three yards, Hary had established a narrow but noticeable margin. At 10 yards, he led by a full pace, and at 20 yards he was two steps ahead of Sime, more than that ahead of the rest of the field.
Hary's strength as a sprinter lies in the first 50 meters of a race. He has, easily, the fastest acceleration that any sprinter has ever had; if he were to run 50-yard sprints indoors no one would ever be near him. This whippet-fast acceleration gave him a three-yard cushion over Sime at 50 meters. For the last 50 meters it was a question whether or not the wonderful gliding top speed that is Sime's could overcome this margin.
Sime came very close. He ran a beautiful race; ordinarily a poor starter, he started better than anyone but Hary this time. He closed very quickly in the final 20 meters, running in the odd, straight-up style which is peculiarly his, and he lunged so desperately at the tape that he sprawled full length in the red dust of the track as the race ended. But he was still a big inch short of victory.
Hary accepted his gold medal and the booming "Hary, Hary, Hary" of the German rooters with his usual gracelessness. Said he, "The start was excellent. I wanted to run through all three of them, damn 'em [the Americans]. Before the race, they kept on looking at each other, shaking hands and assuring each other they would win, black or white. I lost a tenth of a second on the start. I waited. By then I was as nervous as a woman."
Hary dropped out of the 200 meters the next day. He said it was because he wanted to concentrate on preparing for the 400-meter relay, which the Germans hoped to win. He is not a very good 200-meter runner, because the impetus of that explosive start dies rapidly.
Berruti, who won the 200 meters, starts very poorly. Oddly, he started well enough in the finals. He was nervous and had one false start, but he was away quickly. So were Norton and Johnson, but Berruti, running with that impala-sleek stride of his, picked up a lead on them around the turn. He came into the straight three yards ahead and held on to that lead smoothly as the crowd began a rolling, booming roar. Suddenly Les Carney, the No. 3 American 200-meter runner, began to close quickly down the outside lane. Like Sime, Carney dived for the tape and, again like Sime, he was too late. Berruti won the most satisfying victory of the Games.
All of the Italians gave him their hands, voice and heart. When the three young girls who carry out the gold, silver and bronze medals on silver trays walked out for the presentation in the 200 meters, the one who carried Berruti's medal wept unashamedly. When the band played the jaunty Italian national anthem, more Italians wept. It was a very emotional moment, and a very pleasant one for all.
Psych job in a straw hat
On the first day of track and field competition the U.S. had a very pleasant moment of its own. Bill Nieder, Parry O'Brien and Dallas Long placed one-two-three in the shotput. Nieder, the world record holder, set an Olympic record at 64 feet 6¾ inches. He came out on the field wearing a ridiculous straw cowboy hat. "It was part of my psych job on O'Brien," he said later. "I wanted him to think this was just another meet for me. But I was really churning inside. My first put, the crowd yelled at a race and ruined my balance. The second one I fouled. The third, they hollered again, and on the fourth I fouled. Then I figured, I got to make it on the fifth. O'Brien was ahead, and I knew if I had only one put left the pressure would be too much. I kept saying to myself, 'O'Brien says old Nieder can't come through in the big ones; he's a cow pasture performer.' I got off a good one. The only one I used the finger flip on." (See right.)
O'Brien, watching from the sidelines, threw his towel in the air in disgusted resignation when he saw Nieder's put. He said nothing to Nieder or Long until the three stepped on the platform to accept their medals and turned to watch the three American flags run up over the Olympic flame. Then, in his state voice that sounds as though he were reciting words chiseled in marble, he leaned over and said, "Gentlemen, this is the ultimate."
This was on the first day of track and field competition. The second was gloomy Thursday. Norton, a lackluster replica of the Norton of the Olympic trials, finished sixth in the 100 meters. ("He's not right," said Bud Winter, an Olympic coach and Norton's coach at San Jose State. "He was ready four days ago. But he hasn't got that sparkle in his eye and the bounce in his step. He's flat.") None of the American 800-meter runners (Tom Murphy, Jerry Siebert and Ernie Cunliffe) qualified for the finals. The best of the three, Siebert, who ran with a 101° fever, managed fourth in the semifinals in 1:48.
The biggest disappointment of the day came late in the evening, with the Roman dusk pouring into the stadium and the lights creating an aura of brightness around the high-jump pit. John Thomas, the best high jumper in the history of mankind, faced three methodical, competent Russians.
John Thomas is 19 years old and never, before this mild, pleasant Roman evening, had he competed against anything like his equals. Here he faced three near-equals, and he could not match them. Early in the week Thomas had worked out for the benefit of the Russians. He jumped 6 feet 10 eight of nine times, with the Russians watching. Then he easily cleared seven feet twice. Some of the Russians were awed. One, a mustachioed student named Robert Shavlakadze, watched impassively. Asked what he thought about Thomas' performance, Shavlakadze said quietly, "I am very consistent at seven feet."
On the night of the competition Shavlakadze was very consistent. He went clean—missed no jumps—until the bar reached 7 feet 2 and Thomas had been eliminated. He won, and Valeri Brumel, his teammate, placed second. Thomas, so nervous that his legs trembled between jumps, placed third. In a moment of youthful bravado, he passed at 6 feet 11¼, and while he waited for the other jumpers to clear that height he went back into the dressing rooms and drank a soft drink. "I always pass 6 feet 11," he said later. "It's unlucky for me." So were the Russians.
He made seven feet and a fraction on his second jump. By then it was Thomas and three Russians, and Thomas was jumping last. Faced with competition which cleared these heights with the regularity of a metronome, Thomas felt unaccustomed pressure. ("He is not used to competition," one of the Russians said later. "He is too young.") When the bar was raised to 7 feet 1, Thomas missed. On Thomas' last jump at that height, with the stadium dark but for the lights on the high-jump pit and with the quiet of 70,000 people a palpable thing, you knew that he would not make it. No 19-year-old could, with the weight of the world on his shoulders.
"His form was not good," said Shavlakadze later. "His trailing leg was not clearing the bar." Shavlakadze should know. He is a graduate student in physical education in Russia. His thesis is on "Stability in Results in the High Jump."
After that disastrous day, U.S. fortunes turned dramatically. In the 400-meter hurdles Glenn Davis, Cliff Cushman and Dick Howard placed one-two-three. ("You feel like you're being led to the slaughter," Howard said. "The pressure out there is unbelievable.")
Then a tall, lissome young lady from Tennessee State, the home of most of America's female track talent, won the women's 100 meters by four full strides. Wilma Rudolph, a delightfully graceful, pretty girl, virtually walked away from the field in her event, breaking the world record by three-tenths of a second (11 fiat) and winning superbly. The record was disallowed because of a light following wind. Two days later she became the first American woman ever to win the 200 meters, thus scoring our first double in track.
Next Ralph Boston, a thin, calm young man from Wilma's alma mater, broke the Olympic record and won the broad jump with a fine jump of 26 feet 7¾ inches. Oddly, it was not the most dramatic jump of this competition. Boston's great effort came on his third try. He was first, and America's Bo Roberson was second until the final round of jumping. Then Russia's Ter-Ovanesian returned 26 feet 4‚Öù inches to move ahead of Roberson for second. Roberson, the last jumper in the finals, hesitated a long time at the head of the runway. He stood for a still moment, arms dangling, head low, tape on his thigh showing white in the late dark, then came down the runway very fast. He jumped, reaching for the last fraction of an inch in the doubled bend of a good broad jumper, and the crowd roared because it could see he had gone over the 26-foot mark. He made 26 feet 7‚Öú inches, three-eighths of an inch behind Boston, well ahead of Ter-Ovanesian and the best broad jump of his life.
"He hated Ter-Ovanesian enough," said a teammate. "He didn't hate Boston. But when the Russian went ahead, he hated it, and he jumped that far. You got to hate the guys you want to beat."
On the day of America's resurgence two New Zealanders nearly stole the spotlight. One of them was a complete surprise, the other was expected to win. Peter Snell, a burly, strong and completely unknown half-miler, whipped the world record holder (Roger Moens of Belgium) and the popular favorite (George Kerr of Jamaica) in the 800 meters. Murray Halberg was the favorite in the 5,000 meters, and he won quite easily with a cleverly run, beautifully executed race.
Gold medal four years early
Snell had a plan for the finals in the 800 meters, but the closely packed, somewhat unruly field negated it. "I wanted to get right out front," he said. "Away from the traffic, you know. But they didn't run by my rules. I was boxed a bit on the back-stretch of the first lap, then I was knocked over by the rail at the head of the last turn and I had to run on in from there. I wanted to go all-out with 250 meters left, but I had to wait a bit. I'm really preparing for the 1964 Olympics. I thought if I reached the semis here it would be fine experience. Then I reached the semis, and I thought, well, why not, I'll give it a go in the finals. And I was relaxed, you know. I'm really very pleased." Snell is 21, a quantity surveyor ("I figure how many bricks go in a building") in Auckland, New Zealand. New Zealanders consider him the next Herb Elliott.
Halberg has been running since 1949. He took it up because his left shoulder was badly damaged in a Rugby game. "I like to have a lash at all sports," he said. "You know, I travel with chaps who like sports. Then I was bunged up in the Rugby game and I had to find a sport that used only my lower body. That's running, isn't it? So I trained a while with a local chap until I got too good for him, and he introduced me to John Lydiard, my coach now. I doubt that any coach has ever been as close to an athlete as Lydiard is to me. I talked to Cerutty once, because I like to learn as much as I can and I thought he might have something for me. I've been called one of Cerutty's—but Lydiard is my coach. He's a wonderful man. I've not been as close to him recently as I was at first, but he's taught me everything. I've absorbed most of it, so I only see him now and then to plan how to attack a race, but we have changed the whole textbook of training. Me and Lydiard. No interval work, you know. Long, slow, over distance, then short sprints. All designed to make the body produce its maximum over whatever distance necessary. Take Snell. We had the same program until 10 weeks before the Olympics. We have a 22-mile test course over the hills in New Zealand. Snell and I and two of our marathon runners ran a test over it. The marathon runners beat me by a second, I beat Snell by a second. He'll be the greatest runner in the world in a few years."
Halberg, a slight, red-haired man who runs with his left arm tucked in closely to his side because of the impairment, ran an extraordinarily wise race in the 5,000 meters.
"I knew there were three chaps who could run a fast last quarter," he said, "Grodotzki of Germany, Thomas of Australia and Iharos of Hungary. I thought I might be able to stay, but I wasn't sure. So I sprinted with three laps to go and opened a gap. Then I broke all the textbook rules by looking over my shoulder to see how far back they were so I could keep my lead. When you're running in front like that it's like driving on a dark street at night with the lights out. If you don't watch, all at once all the traffic goes by before you can accelerate. But if you look back, you can adjust to meet that."
Halberg's surprising and unorthodox early sprint opened a 30-yard gap for him. Grodotzki, running second, seemed confused. He started to match Halberg's sprint, then abandoned the effort. But this compromise cost him the strength for a closing drive and left him too far behind Halberg, who has no real finishing kick.
Watching was Roger Bannister, the first man in the world to break the four-minute barrier in the mile.
"A good deal of running is mental," mused Bannister. "You must use your head, you know. It's very necessary."
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i don't know
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Nullius in verba. (On the word of no one.)
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Nullius in Verba | Climate Etc.
Nullius in Verba
The motto of the Royal Society is:
Nullius in verba: on the word of no one
“…it is an established rule of the Society, to which they will always adhere, never to give their opinion as a Body upon any subject either of Nature or Art, that comes before them.”
The ‘advertisement’ to The Philosophical Transactions, 1753.
Andrew Montford’s new report provides a lucid account of the transformation of the UK Royal Society.
GWPF has issued a news release :
The Global Warming Policy Foundation (GWPF) is calling on the Royal Society to restore a culture of open-mindedness and balanced assessment of climate science and climate policy.
In a new GWPF report, written by science author Andrew Montford, the Royal Society is urged to ensure that genuine controversies are reflected in its public debates and reports and that the full range of reputable scientific views are being considered.
“As the Society’s independence has disappeared, so has its former adherence to hard-nosed empirical science and a sober detachment from the political process. Gone are the doubts and uncertainties that afflict any real scientist, to be replaced with the dull certainties of the politician and the public relations man,” said Andrew Montford, author of the new report.
In his report, Andrew Montford describes the development of the Royal Society’s role in the climate debates since the 1980s. He shows the Society’s gradual closing of critical scrutiny and scientific impartiality and the emergence of an almost dogmatic confidence that climate science is all but settled.
In recent years, the Society has issued a series of highly political statements demanding drastic action on energy and climate policies from policy makers and governments. On the issue of climate change, it has adopted an increasingly political rather than scientific tone. Instead of being an open forum for informed scientific debate, the Society is at risk of turning into a quasi-political campaign group.
The GWPF report criticises the Society for being too narrow minded in its assessment of climate change and for failing to take into account views of eminent scientists and policy experts that do not accord with its own position.
In his foreword to the report, Professor Richard Lindzen (MIT), one of the world’s most eminent atmospheric scientists, warns that “the legitimate role of science as a powerful mode of inquiry has been replaced by the pretence of science to a position of political authority.”
The report can be found [ here ]. Discussions are already underway at BishopHill and ClimateAudit . Read the whole report, it isn’t long. The conclusions are reproduced here in full:
Conclusions
As the Society’s independence has disappeared, so has its former adherence to hard-nosed empirical science and a sober detachment from the political process. Gone is its former focus on natural philosophy as a way to solve the world’s problems and in its place is a new science that seeks to conjure up, in the words of Mencken, ‘an endless series of hobgoblins’ – a stream of apocalyptic visions with which to assail the public. Gone are the doubts and uncertainties that afflict any real scientist, to be replaced with the dull certainties of the politician and the public relations man. As one of the fellows interviewed in the wake of the rebellion of the 43 said:
“I can understand why this has happened – there is so much politically and economically riding on climate science that the Society would find it very hard to say ‘well, we are still fairly sure that greenhouse gases are changing the climate’ but the politicians simply wouldn’t accept that level of honest doubt.”
The ability to speak scientific truth to the powers that be is the Society’s only raison d’etre, but even this has now been usurped: there is nowadays a network of science advisers throughout the government machine – if the government and the bureaucracy already have scientists’ advice on tap, why should they need the Royal Society? The answer is, of course, that the Royal Society is an independent voice – or at least it was until swamped with taxpayers’ money, when it became something more akin to a government department. Without its independence, there is no point in the Royal Society.
The reputation of the Society is now on the line – the fellows and much of the general public know that there is something seriously amiss and that the leadership do not speak for everyone within the organisation. Each year that temperatures refuse to rise in line with the nightmare scenarios trumpeted by one president after another, the risk grows that the Society becomes a laughing stock. If government money is a drug of which the Society cannot or will not rid itself, its leadership could at least remind itself of those words of Lord Adrian over 50 years ago:
“It is neither necessary nor desirable for the Society to give an official ruling on scientific issues, for these are settled far more conclusively in the laboratory than in the committee room.”
JC comments: In my recent presentation to the IAC, discussed on the thread Questions on Research Integrity and Scientific Responsibility , I stated that I felt that issues of institutional integrity and responsibility were arguably issues of greater concern than the ethics and behavior of individual scientists. Montford has lucidly described the “what.” I am trying to understand the “why.” I have an idea why individual and groups of climate scientists have been behaving this way (see my previous essay reversing the positive feedback loop ), but why the Royal Society?
I encountered Lord May at the Royal Society Uncertainty Workshop , and I liked his presentation Science as Organized Skepticism . However at the end, or in the questions, he dismissed climate change skepticism. Lord May is a biologist, where does his conviction on climate change science come from? I am trying to understand this.
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Royal Society
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Ursa Major and Ursa Minor are constellations known respectively more commonly as Great and Little what?
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Latin: Nullius in verba, latin motto, national academy of science
what does �Nullius in verba� mean?
Thank you for any help you can provide.
Best,
Answer
Hi Jeremy,
�Nullius in verba�, which is the Latin motto of the Royal Society of London, the UK�s national academy of science, means literally :"On the words of no one" , as NULLIUS(genitive case) corresponds to 'of no one� and IN VERBA to �on the words�.
In fact the motto of the Royal society points out that we must believe in the words of nobody, but we have to use science to establish �the truth of scientific matters through experiment rather than through citation of authority�.
This motto is an adaptation of a quote from Horace, Epistles, book I, epistle 1, line 14, where the Roman poet (First Century BC ) points out that no one is bound to believe in the words of any master (Latin, �Nullius addictus iurare in verba magistri� meaning �I am not bound to believe in the word of any master�), that is to say that we must have individual experience and reason in the constitution of our knowledge, without depending upon the citation of authority.
Hope all is clear now.
Best regards,
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i don't know
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What common name is given to medial tibial stress syndrome (MTSS)?
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Medial Tibial Stress Syndrome | Lifescript.com
Osteoporosis Articles
Medial Tibial Stress Syndrome
(MTSS; Shin Splints; Medial Distal Tibial Syndrome, MDTS; Medial Tibial Syndrome; Stress-Related Anterior Lower Leg Pain; Spike Soreness)
by Patricia Griffin Kellicker, BSN
Should You Dump Dairy?
Definition
Medial tibial stress syndrome (MTSS) is exercise-related pain in the shins. It may be caused by an irritation of the tendons and muscles near the shin bones. MTSS is commonly known as shin splints. This injury is most often seen among runners.
Muscle and Bones of Lower Leg
Copyright © Nucleus Medical Media, Inc.
MTSS may be a treatable condition. Contact your doctor if you think you may have MTSS.
Causes
The exact cause is unknown. MTSS is called an overuse injury. It most commonly occurs from repetitive motion or stress at the shins. Causes may include:
Repetitive activity like running, tennis, basketball
Bone strain
Poor footwear
Risk Factors
These factors increase your chance of MTSS. Tell your doctor if you have any of these risk factors:
Participate in high-impact sports
Female runners with amenorrhea (absent menstruation) and osteoporosis
Pronation of feet (feet turn inwards)
Poor running surfaces
Recent increase in workout or miles run
Heel cord tightness
Symptoms
If you have any of these symptoms do not assume it is due to MTSS. These symptoms may be caused by other conditions. Tell your doctor if you have any of these:
Shin pain at a very specific point
Pain when running
Pain when bearing weight on the leg
Pain after changing workout intensity or running surface
Symptoms do not go away with rest
Swelling
Diagnosis
Your doctor will ask about your symptoms and medical history. A physical exam will be done. You may be referred to a specialist. For example, a sports medicine physician focuses on sport injuries.
The following test may be administered:
X-ray —test that uses radiation to take picture of structures in body, may be used to rule out a fracture
Bone scan —test that uses tiny amounts of radioactive material and a camera to take pictures of bones; used to look for bone abnormalities; more sensitive than an x-ray
Treatment
Crutches may be given for severe pain
Arch supports and shock-absorbing insoles may be recommended
When you feel better, slowly return to normal activities. Increase your activity level over several weeks.
Your doctor may suggest a different pair of shoes . A brace or walking boot may also be needed.
Prevention
To help reduce your chance of getting MTSS, you may try the following steps:
Wear shock-absorbing insoles when running or during other high-impact exercise.
Stretch before and after exercising.
When starting a new sport or increasing your workout, do so gradually.
Choose footwear that is best for the activity and your foot.
RESOURCES:
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Shin splints
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What ancient name applies to the 'days' of hot summer, derived from belief that the star Sirius caused them?
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Shin Splints - Elite Sports Therapy - Calgary Physiotherapy
By Dr. Murray Heber, DC, BSc(Kin), CSCS, CCSS(C) resident
Head Chiropractor – Performance Enhancement Team – Bobsleigh Canada Skeleton
What exactly are “Shin Splints”?
The term “shin splints” is a common diagnosis given when someone is suffering from pain in the front of their legs and is often associated with running. There are two main types of shin splints. They both have very similar symptoms but are significantly different in their actual diagnosis and treatment. So how can you tell them apart? Let’s start with a description of both and then compare them…
FIRST TYPE
Medial Tibial Stress Syndrome (MTSS), as the name describes, is caused by pain along the medial (inside) part of the tibia (shin bone). The pain typically develops over a steady time while running and can be painful enough to make you want to stop. The pain is sharp and it decreases significantly once you stop running and after about 15 minutes is almost completely gone. You will also find that your shins are tender or painful to the touch along the middle third of the inside of the tibia. This type of shin splint usually begins with the onset of a new running activity and/or a sudden or rapid increase in mileage. An increase in body weight and running on hard surfaces has also been known to lead to this type of shin pain.
So what causes this pain? It is caused by the Soleus Muscle that attaches to the tibia along its inside border.
This muscle lies deep to the Gastrocnemius (bigger, bulkier muscle on the back of the leg) and together they form the “calf muscles”. The Soleus is composed of slow twitch muscle fibers, which means it is involved in endurance activities such as running, walking and even maintaining your standing posture. Once this muscle gets tight and/or overworked from sudden increases in running mileage or when starting a new activity, the muscle begins to tug at the attachment along the medial border of the tibia. This is what ends up causing the pain on the inside of the shin. The body naturally wants to try to stop the painful tugging, so it lays down scar tissue along the attachment to help reinforce it. However this only causes the muscle to become more tight and places even more stress along the attachment at the shin. This creates a viscious cycle of pain and tightening that will continue either until you get treatment, stop the activity, or modify the activity to provide enough time for proper healing.
SECOND TYPE
The second type of shin splints is also associated with a sudden increase in running mileage, and/or the beginning of a new running activity. The pain in with this type of shin splint is often worse running down hill, the pain is a deeper, achy pain and can lead to a slapping foot while running. Once you stop running the pain does not go away immediately and can still be very painful at rest 15 minutes after stopping. This time the pain is lateral (on the outside) of the tibia and is often described as a fullness or pressure feeling in the leg and is called an Exertional Compartment Syndrome.
The cause of the pain in this scenario is an increase in pressure in the anterior compartment of the leg. This compartment is formed between the tibia and fibula (the two bones in the lower leg) and a thick layer of fascia around the front. In this compartment lies the Tibialis Anterior muscle as well as the muscles that extend your toes. When you are running, these muscles help to lift (dorsiflex) your foot and toes to allow ground clearance while in the swing phase of running. They also help to slowly lower your foot and toes to the ground after heel strike at the beginning of the stance phase of running. When you contract a muscle, there is an increased need for blood to supply enough nutrients to keep it working. This increased blood supply to the muscle in turn increases the size of the muscle. This process is normal and usually goes unnoticed, however if the size or volume of the muscle increases too much, especially when the muscle is held tight like in the anterior compartment, it results in an increase in pressure and this causes pain. The pressure in the anterior compartment can get high enough that it affects the muscles ability to work, and this is why you may experience your foot slapping the ground while running. This results because the muscles can no longer lower your foot and toes slowly to the ground once you have heel contact so they just slap down uncontrollably. If the pressure continues to go up, it can even shut off the sensory nerve contribution to the skin between your first two toes.
Treatment Options
In order to decrease the pain associated with MTSS, the amount of pulling that the Soleus muscle exerts on the tibia must be decreased. This can be accomplished in several ways. The first is by treating the Soleus with muscle soft tissue techniques such as ART® and Graston . These techniques have been developed to help break up scar tissue, release adhesions between muscles and restore normal muscle tone. By using these techniques, the tension on the tibial attachment of the Soleus is lowered thereby decreasing the pain at that area. More treatment options include walking/running biomechanical analysis. Performed properly, this can reveal functional mechanics that may be predisposing to MTSS. Some predisposing factors include overpronation, rearfoot varus deformity and leg length discrepancy. If these areas are addressed, the time to recovery and recurrence rates can be greatly decreased. Footwear and training program analysis should also be performed to make sure they are tailored to your specific needs. It is recommended that you do not increase mileage by more then 10% per week in order to decrease the likelihood of developing MTSS.
The treatment options for ECS are similar to those for MTSS since poor running mechanics, improper footwear, and tight muscles can predispose you to being susceptible to this type of injury. More specifically, performing ART®, Graston , Medical Acupuncture , and other soft tissue techniques over the Tibialis Anterior, Calf Muscles, foot and toe extensors as well as the compartment fascia can help lower the pressure in the compartment and therefore decrease the pain associated with it.
Considerations
Two serious conditions can also be associated with common “Shin Splints”. The first results if a MTSS goes untreated for a long time and the activity is not modified appropriately. Then there is a chance of developing a tibial stress reaction. This Stress Reaction can lead to a visible stress fracture on X-ray which, if present, requires about 6-8 weeks of restricted physical activity and significant rehabilitation.
A more severe condition that may develop is called an Acute Anterior Compartment syndrome. This is a medical emergency since the pressure in the compartment can go so high that it cuts off blood and nerve supply to the muscles, ligaments, and bones in the lower leg and foot. The treatment is a surgical procedure called a fasciotomy. A fasciotomy involves cutting open a 4-6 inch section of the anterior compartment to decrease the pressure. Symptoms of this condition are extreme pain, swelling, numbness and lack of muscle control in the foot. These symptoms are similar to those of ECS except they are more intense and DO NOT decrease in intensity – they only INCREASE with time!
Summary
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i don't know
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Of these sedimentary rocks, which one is not organic, being instead 'clastic'?
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Sedimentary Structures
Mineral Composition
Mudrocks %
Sandstones % Clay minerals 60 5 Quartz 30 65 Feldspar 4 10 - 15 Carbonate minerals 3 <1 Organic matter, hematite, & others <3 <1
The longer a mineral is in the weathering and transportation cycles of sedimentary rock forming processes, the more likely it is to break down to a more stable mineral or disappear altogether. Thus, we can classify sediments on the basis to which they have achieved mineralogical maturity.
Mineralogically mature sediments and sedimentary rocks consist entirely of minerals that are stable near the surface. Such sediment is considered to have been in the weathering and transportation cycle for a long amount of time.
Mineralogically immature sediments and sedimentary rocks consist of a high proportion of unstable minerals. Because such minerals will not survive for a long time in the weathering and transportation cycles, sediments and rocks with high proportions of these minerals must not have been in the weathering/transportation cycle for long periods of time.
Grain Size
Clastic sediments and sedimentary rocks are classified on the basis of the predominant grain size of clasts in the rock. The table below shows the common classification used based on grain size.
Name of Particle
Claystone, Mudstone, Shale
Grain sorting
Sorting refers to the uniformity of grain size in a sediment or sedimentary rock. Particles become sorted on the basis of density because of the energy of the transporting medium. High energy (high velocity) currents can carry larger fragments. As the energy or velocity decreases, heavier particles are deposited and lighter fragments continue to be transported. This results in sorting due to density. If the particles have the same density, such as all grains of quartz, then the heavier particles will also be larger, so the sorting will take place on the basis of size. We can classify this size sorting on a relative basis: well-sorted to poorly-sorted.
Beach sands and dune sands tend to be well-sorted because the energy of the waves or wind is usually rather constant. The coarser grained sediment is not carried in because the wave or wind velocity is too low to carry such large fragments, and the finer grained sediment is kept in suspension by the waves or wind.
Mountain streams, because they have many turbulent eddies where the velocity of the stream changes suddenly usually show poorly-sorted sediment on the bottom of the stream channel. Similarly, glacial till, because it is deposited in place as glacial ice melts, and is not transported by water, tends to show poor sorting.
Rounding
During the transportation process, grains may be reduced in size due to abrasion. Random abrasion results in the eventual rounding off of the sharp corners and edges of grains. Thus, the degree of rounding of grains gives us clues to the amount of time a sediment has been in the transportation cycle. Rounding is classified on relative terms as well. Note that rounding is not the same a sphericity. Sphericity is controlled by the original shape of the grain. The longer the sediment is transported, the more time is available for grains to lose their rough edges and corners by abrasion.
Structures of Sedimentary Rocks
The process of deposition usually imparts variations in layering, bedforms, or other structures that give clues to environment in which deposition occurs. Such things as water depth, current velocity, and current direction can be sometimes be determined from sedimentary structures. Thus, it is important to recognize various sedimentary structures so that we can interpret the clues that they offer to these conditions. Also, because sedimentary rocks can be deformed by folding and faulting long after the deposition process has ended, it is important to be able to determine which was up in the rock when it was originally deposited, especially if one is going to use the rocks to determine the sequence of events that occurred or interpret the geologic history of an area. Features that tell us which way was up are often referred to as top and bottom indicators.
Stratification and Bedding
1) Layering (bedding)
One of the most obvious features of sedimentary rocks and sediment is the layered structure which they exhibit. The layers are evident because of differences in mineralogy, clast size, degree of sorting, or color of the different layers. In rocks, these differences may be made more prominent by the differences in resistance to weathering or color changes brought out by weathering.
Layering is usually described on the basis of layer thickness as per the table below. Other distinctive types of layering are described below.
Layer Thickness
Thinly laminated
2) Cross Bedding
Consists of sets of beds that are inclined relative to one another. The beds are inclined in the direction that the wind or water was moving at the time of deposition. Boundaries between sets of cross beds usually represent an erosional surface. Cross bedding is very common in beach deposits, sand dunes, and river deposited sediment. Individual beds within cross-bedded strata are useful indicators of current direction and tops and bottoms. Note how the beds become asymptotic to the lower boundary on which they were deposited.
3) Graded Bedding
As current velocity decreases, the larger or more dense particles are deposited first, followed by smaller particles. This results in bedding showing a decrease in grain size from the bottom of the bed to the top of the bed. This gives us a method for determining tops and bottoms of beds, since reverse grading will not be expected unless deposition occurs under unusual circumstances. Note that reverse graded bedding cannot occur as current velocity increases, because each layer will simply be removed as the current achieves a velocity high enough to carry sediment of a particular size.
Surface Features
These Sedimentary structures tell us about water currents, wind direction, and climate conditions.
1) Ripple Marks
Ripple marks are characteristic of shallow water deposition. They are caused by waves or winds piling up the sediment into long ridges.
Asymmetrical ripple marks can give an indication of current direction when formed in water, and when formed by wind, give wind direction.
Symmetrical ripples form when the water moves back and forth. Symmetrical ripple marks occur in environments where there is a steady back and forth movement of the water, such as tidal action.
2)Mudcracks
These structures result from the drying out of wet sediment at the surface of the Earth. The cracks form due to shrinkage of the sediment as it dries. In cross section the mudcracks tend to curl up, thus becoming a good top/bottom indicator. The presence of mudcracks indicates that the sediment was exposed at the surface shortly after deposition, since drying of the sediment would not occur beneath a body of water.
Casts and Molds
Any depression formed on the bottom of a body of water may become a mold for any sediment that later gets deposited into the depression. The body of sediment that takes on the shape of the mold is referred to as a cast.
Load Casts - These are bulbous protrusions that are formed when compaction causes sediment to be pushed downward into softer sediment.
Flute Casts (Sole Marks) - Flutes are elongated depressions that form on the bottom of a body water as the current erodes. The flutes may form a mold into which new sediment is deposited. Preservation of the overlying sediment as a cast result in flute casts, which are sometimes referred to as sole marks. Flute casts are excellent indicators of current direction and tops/bottoms of beds.
Tracks and Trails
These features result from organisms moving across the sediment as they walk, crawl, or drag their body parts through the sediment.
Burrow Marks
Any organism that burrows into soft sediment can disturb the sediment and destroy many of the structures discussed above. If burrowing is not extensive, the holes made by such organisms can later become filled with water that deposits new sediment in the holes. Such burrow marks can be excellent top and bottom indicators.
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Shale
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"On the Beaufort Scale of wind force what wind name is given to number 8, which ""...Breaks twigs off trees and impedes progress...""?"
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USGS Geology and Geophysics
Sedimentary rocks
Sedimentary rocks are formed from pre-existing rocks or pieces of once-living organisms. They form from deposits that accumulate on the Earth's surface. Sedimentary rocks often have distinctive layering or bedding. Many of the picturesque views of the desert southwest show mesas and arches made of layered sedimentary rock.
Clastic sedimentary rock
Clastic sedimentary rocks are the group of rocks most people think of when they think of sedimentary rocks. Clastic sedimentary rocks are made up of pieces (clasts) of pre-existing rocks. Pieces of rock are loosened by weathering , then transported to some basin or depression where sediment is trapped. If the sediment is buried deeply, it becomes compacted and cemented , forming sedimentary rock.
Clastic sedimentary rocks may have particles ranging in size from microscopic clay to huge boulders. Their names are based on their clast or grain size. The smallest grains are called clay , then silt , then sand . Grains larger that 2 millimeters are called pebbles. Shale is a rock made mostly of clay, siltstone is made up of silt-sized grains, sandstone is made of sand-sized clasts, and conglomerate is made of pebbles surrounded by a matrix of sand or mud.
Biologic sedimentary rock
Biologic sedimentary rocks form when large numbers of living things die, pile up, and are compressed and cemented to form rock. Accumulated carbon-rich plant material may form coal. Deposits made mostly of animal shells may form limestone, coquina, or chert.
Chemical sedimentary rock
Chemical sedimentary rocks are formed by chemical precipitation. The stalactites and stalagmites you see in caves form this way, so does the rock salt that table salt comes from. This process begins when water traveling through rock dissolves some of the minerals, carrying them away from their source. Eventually these minerals can be redeposited, or precipitated, when the water evaporates away or when the water becomes over- saturated with minerals.
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i don't know
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What notable leader was born in Ranshofen, near Braunau, Austria, in 1889?
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Adolf Hitler Visits Austria
Adolf Hitler Visits His Homeland
Hitler visited Austria immediately following the Anschlu�, or union of Germany with Austria, on 12 March 1938. Although the Anschlu� has gone down in history (through hindsight) as being largely unpopular with the Austrian people, this is somewhat of a misconception. It is true that the Austrian government of 1938 opposed the union, but the people of Austria had been in favor of union with Germany since 1919, when the Austria-Hungarian Empire was dissolved by the victorious Allies following World War I. Even the Austrian government supported a customs union, and eventual complete Anschlu�, between the two countries in 1931. This government support cooled after Adolf Hitler became chancellor of Germany in 1933, but the popular support for Anschlu� never waned. Certainly, Hitler and the Germans were greeted by huge crowds in places such as Braunau, Linz, Salzburg, and Vienna, all apparently happy to celebrate the Anschlu�.
Adolf Hitler's Birthplace -- Braunau , Austria
Adolf Hitler was born in this house in Braunau am Inn, Austria, on 20 April 1889. In 1889 the building was the Gasthof Dafner, and the address was Vorstadt 219 (at some point, when this photo was taken, it was apparently a gas station). (from Heinrich Hoffmann, Hitler, wie ihn keiner kennt (Hitler, As No-one Knows Him), Berlin, 1932) ( MapQuest Map Link )
The house itself is unmarked today, but a rock memorial stands on the sidewalk in front. For the curious, the address now is Salzburger Vorstadt 15. According to a 1939-dated postcard in the author's collection, Hitler was born in the room third from the left on the upper floor (with the open window in the modern photo).
The U.S. Army CIC (Counterintelligence Corps) had a field office in Hitler's birth house from 1945-1952 (thanks to Martin Nelson for this info).
In late 2016 the Austrian government seized the house from its owner, and the future of the house is unclear. It may be demolished, or the front face may be so changed as to make it unrecognizable from the appearance shown here.
This view shows the house as it appeared during much of the Third Reich period, decorated with garlands and swastikas. (from "Adolf Hitler," Cigaretten-Bilderdienst, 1936)
This colorized period photo shows an SA parade past the house, which is labeled "Adolf Hitlers Geburtshaus." ( TimePics collection )
(from Ich k�mpfe, Munich, 1943)
Hitler's birthplace inspired several Third Reich artists, whose works were often displayed at the Haus der Deutschen Kunst in Munich. "Das Geburtshaus des F�hrers in Braunau am Inn - Hofseite" by Paul Gei�ler, 1943 (from Kunst der Volk, Vienna, Hoffmann, 1943).
These photos show the front and back of the house as it appeared during the period following the Anschlu�, 1938-1945. (from "Wie die Ostmark ihre Befreiung erlebte - Adolf Hitler und sein Weg zu Gro�deutschland," Heinrich Hoffmann, 1938)
View looking down Adolf Hitler Stra�e toward the main square in Braunau.
Hitler's birth house is on the right. (period postcard in author's collection)
Another period painting -- "Braunau am Inn" by F. X. Weidinger, 1943 (from Kunst der Volk, Vienna, Hoffmann, 1943), with a similar view today, taken from the Inn River bridge.
On 12 March 1938, following the Austrian Anschlu�, Hitler returned to Braunau, to a thunderous welcome from the people of his hometown. His car is seen here just at the Braunau end of the Inn River bridge. The original iron bridge between Simbach (Germany) and Braunau (Austria) has been replaced by a modern concrete span, but the Braunau buildings in the background retain their original appearance. In the period view below, looking the other direction (back toward Germany), a swastika flag can be seen draped over the Austrian Doppeladler (Double Eagle) at the bridgehead. (from Heinrich Hoffmann, "Hitler in seiner Heimat," (Munich, 1938)
Although Hitler was photographed riding down the main street of Braunau, in the direction of his birth house, no photos show him actually visiting the place of his birth. (Hoffmann, "Hitler in seiner Heimat")
From Braunau, Hitler travelled to Linz, passing sites from his youth, such as the school he had attended in Fischlham near Lambach, and the house where his family lived in Leonding, near Linz (Hitler would later return to visit some of these sites as well).
Adolf Hitler attended his first two years of school in Fischlham, near Lambach, a town southwest of Linz. The period scene (on the left) is a sketch by artist Paul Gei�ler, part of a special showing of artwork on Hitler's youth at the Haus der Deutschen Kunst 1943 exhibition (from Heinrich Hoffmann, Kunst dem Volk, Vienna, 1943 (author's collection). The school was the low building at left, with three windows.
Front of the Fischlham school, from a period postcard.
The school building today (it is no longer a school).
Fischlham school building in the 1930s (seen from the other side)
(from "Wie die Ostmark ihre Befreiung erlebte - Adolf Hitler und sein Weg zu Gro�deutschland,"
Heinrich Hoffmann, 1938 (author's collection)
This marker was placed on the former school building in 2000. It reads, "In Memoriam;
Adolf Hitler learned to read and write here, 1895-1897; Not Heil - Unheil - He brought
destruction and death to millions of people." On the other side is a piece of granite
from the Stairway of Death at Mauthausen concentration camp.
Click here for a MapQuest map link to Fischlham .
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After Hitler's father retired from the Austrian customs service, he moved his family to Leonding, a suburb of Linz. Adolf Hitler always looked back on his early years in Leonding as the happiest of his life, and he always thought of Linz as his home town. The painting on the left was by F. X. Weidinger, another of the special 1943 exhibition (Hoffmann, Kunst dem Volk, 1943). The Hitler house is in the left center of the view, in front of the church. Other houses hide a duplicate view today, but this modern view shows the church from the side yard of the former Hitler house.
The former Hitler house is located today at Michaelsbergstra�e 16 in Leonding. The building was in disrepair for several years, but in 2002 it was refurbished and now serves as an office for the cemetery across the street. The period view is from Rudolf Lenk, Oberdonau, die Heimat des F�hrers ("Upper Danube, the Homeland of the F�hrer"), Munich, Bruckmann Verlag, 1940.
Hitler visits his parents' house in Leonding, 13 March 1938. (period photos from Heinrich Hoffmann, Hitler in seiner Heimat, Munich, 1938)
While in Leonding, Hitler visited the cemetery across the street from his former house, to decorate the grave of his parents Alois and Klara. The grave was still well maintained and decorated until 2012, but in March 2012 the grave marker was removed at the insistence of Austrian politicians. (Hoffmann, Hitler in seiner Heimat; period postcard)
These photos show the grave location in relation to the church -- the grave is under a large fir tree against the dividing wall at the left of the photos. ("Unser F�hrer," special edition of the "Illustrierter Beobachter" for Hitler's 50th birthday, 20 April 1939, Munich, Franz Eher Verlag)
Hitler's father Alois died in 1903 during a morning visit to his favorite pub, the Gasthof Wiesinger, down the street from his house on Michaelsbergstra�e. He collapsed and died while seated at the couch shown below, which still exists in the Gasthof. (postcard dated 1950)
Click here for a Google Maps link to Leonding .
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Hitler arrived in Linz, driving through the main city square, which immediately bore his name as Adolf-Hitler-Platz. The famous Dreifaltigkeitss�ule statue of 1723 commemorates Linz's delivery from three dangers in the early 18th century -- war in 1704, fire in 1712, and plague in 1713. The period photo at the bottom shows a parade in the Linz Hauptplatz in honor of Hitler's birthday on 20 April 1938 (above - Hoffmann, Hitler in seiner Heimat; below - period postcard; bottom - Lenk, Oberdonau, die Heimat des F�hrers).
On the evening of 12 March 1938, in an emotional speech from the balcony of the Linz town hall, Hitler declared Germany and Austria (Ostmark) united as one entity, the beginning of the Gro�deutsches Reich (Greater German Empire). (Henrich Hansen, "Volk will zu Volk," 1938)
Jubilant crowds in the Linz Hauptplatz, some climbing on the Dreifaltigkeitss�ule, greet Hitler's speech. (from Hoffmann, Hitler in seiner Heimat)
Sometime during the period following the Anschlu�, perhaps for a visit by Hitler, the Burschenschafterturm, part of the 19th century fortifications of the city of Linz, was decorated with a swastika banner and the Nazi slogan "Ein Volk, Ein Reich, Ein F�hrer" (One People, One Country, One Leader). The tower stands today as a monument to war dead and a museum of the students association. (courtesy Ralf Hornberger)
On his way to Vienna on 14 March 1938, Hitler passed by the famous Benedictine Abbey at Melk, overlooking the Danube. In the modern photo, trees block the view of the river to the left. (Heinrich Hoffmann, "Wie die Ostmark ihre Befreiung erlebte - Adolf Hitler und sein Weg zu Gro�deutschland," 1938 (author's collection)
The F�hrer's motorcade passed directly through the center of Melk, beneath the Abbey on the hill to the left. The view remains practically unchanged today. (Heinrich Hoffmann, "Hitler in seiner Heimat," Munich, 1938 (author's collection) MapQuest Map Link
Forces of the German Wehrmacht entered Salzburg, Austria, on the morning of 12 March 1938. The soldiers crossed the Staatsbr�cke bridge into the Old City of Salzburg, with the Festung Hohensalzburg fortress seen on the hill in the background. (above - Heinrich Hoffmann, "Hitler baut Grossdeutschland," ( Munich, 1938); below - "Illustrierter Beobachter," 20 March 1938)
Above - Maximum use was made of these images for propaganda purposes. A photo taken at nearly the same moment as that on the left above was used to produce the poster on the right.
Below - A view from a different angle on the Staatsbr�cke showing the same mountain howitzer battery with mule transport. (above - Bundesarchiv; below- Hoffmann, "Hitler baut Grossdeutschland")
Hitler visited Salzburg on 6 April 1938, crossing the Staatsbr�cke as had his troops the previous month. A rally was held in the Residenzplatz, with the famous Residenzbrunnen fountain seen in the foreground. (Hoffmann, "Hitler baut Grossdeutschland")
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Adolf Hitler
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Somalia is in the region known as the what of Africa?
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World War 2 Stories for Sheffield
World War 2 Stories for Sheffield
Sourced from Spartacus Educational
Grofaz: GROeSSTE FELDHERN ALLE ZEIT = Greatest Field General of All Time
German soldiers' derogatory acronym for Größter Feldherr aller Zeiten, a title initially publicized by Nazi propaganda to refer to Adolf Hitler during the early war years; literally, the "Greatest Field Commander of all Time".
If the international Jewish financiers outside Europe should succeed in plunging the nations once more into a world war, then the result will not be the bolshevisation of the earth, and thus the victory of Jewry, but the annihilation of the Jewish race in Europe!
— Adolf Hitler, address to German parliament, 30 January 1939
HITLER Adolph
Adolf Hitler was born on 20th April, 1889, in the small Austrian town of Braunau near the German border. Both Hitler's parents had come from poor peasant families. His father Alois Hitler, the illegitimate son of a housemaid, was an intelligent and ambitious man and later became a senior customs official.
Klara Hitler was Alois' third wife. Alois was twenty-three years older than Klara and already had two children from his previous marriages. Klara and Alois had five children but only Adolf and a younger sister, Paula, survived to become adults.
Adolf Hitler as an infant (c. 1889/1890)
Alois, who was fifty-one when Adolf was born, was extremely keen for his son to do well in life. Alois did have another son by an earlier marriage but he had been a big disappointment to him and eventually ended up in prison for theft. Alois was a strict father and savagely beat his son if he did not do as he was told.Hitler did extremely well at primary school and it appeared he had a bright academic future in front of him. He was also popular with other pupils and was much admired for his leadership qualities. He was also a deeply religious child and for a while considered the possibility of becoming a monk.
On 30 April 1945, after intense street-to-street combat, when Soviet troops were within a block or two of the Reich Chancellery, Hitler committed suicide, shooting himself with his Walther PPK 7.65 mm pistol. Hitler had at various times in the past contemplated suicide, and the Walther was the same pistol that his niece, Geli Raubal had used in her suicide.
Hitler's body and that of Eva Braun were carried up the stairs to ground level and through the bunker's emergency exit to the bombed-out garden behind the Chancellery where they were placed in a bomb crater and doused with petrol. The corpses were set on fire as the Red Army advanced and the shelling continued.
The Berghof - Hitler's Home
To befit the head of state of a rapidly emerging world power country, plans were made to remodel Haus Wachenfeld in 1935. The 1936 work actually involved a total conversion, with large masonry additions of a main house and added wing, and an enlarged garage. Further work took place in 1938.
After the initial 1936 reconstruction was finished, the eastward extension of the house was only about half as long as it eventually became. This part of the Berghof housed the kitchen, dining hall, and quarters and working areas for the staff. The view on the right shows the 1939 completed extension, with its auxiliary driveway allowing deliveries direct to the kitchen area.
This period color postcard shows how Haus Wachenfeld with its small terrace (on the left) was incorporated into the Berghof, with its enlarged terrace added to the front and side, over the larger garage. Hitler's native Austria is visible in the middle distance, through the cleft in the mountains.
These two U.S. Army photos show the Bormann Tree in 1945. On the left, GIs from the 3rd Infantry Division capture the Berghof on 4 May 1945 - the blasted remains of the Bormann Tree can be seen at the left. On the right, GIs touring the ruins in the summer of 1945 pass near the Bormann Tree, stripped bare of its leaves. (US National Archives, RG 111-SC, left - #204347-S)
The Berghof was heavily damaged during the RAF bombing raid on 25 April 1945. This photo, taken
from a Lancaster bomber during the raid, shows most of the main Obersalzberg complex. The Berghof
appears at the bottom, showing at least two direct bomb hits. (Royal Air Force photo, Hotel zum Türken)
Adolf Hitler ; (20 April 1889 – 30 April 1945) was an Austrian-born German politician and the leader of the National Socialist German Workers Party (German: Nationalsozialistische Deutsche Arbeiterpartei (NSDAP), commonly referred to as the Nazi Party). He was chancellor of Germany from 1933 to 1945, and dictator of Nazi Germany (as Führer und Reichskanzler) from 1934 to 1945. Hitler is commonly associated with the rise of fascism in Europe, World War II, and the Holocaust.
A decorated veteran of World War I, Hitler joined the German Workers' Party, precursor of the Nazi Party, in 1919, and became leader of the NSDAP in 1921. In 1923 he attempted a coup d'état, known as the Beer Hall Putsch, in Munich. The failed coup resulted in Hitler's imprisonment, during which time he wrote his memoir, Mein Kampf (My Struggle). After his release in 1924, Hitler gained support by promoting Pan-Germanism, antisemitism, and anticommunism with charismatic oratory and Nazi propaganda. He was appointed chancellor in 1933 and transformed the Weimar Republic into the Third Reich, a single-party dictatorship based on the totalitarian and autocratic ideology of Nazism. His avowed aim was to establish a New Order of absolute Nazi German hegemony in continental Europe.
Hitler's foreign and domestic policies had the goal of seizing Lebensraum ("living space") for the Germanic people. He oversaw the rearmament of Germany and the invasion of Poland by the Wehrmacht in September 1939, which led to the outbreak of World War II in Europe. Under Hitler's direction, in 1941 German forces and their European allies occupied most of Europe and North Africa. These gains were gradually reversed after 1941, and in 1945 the Allied armies defeated the German army. Hitler's supremacist and racially motivated policies resulted in the systematic murder of eleven to fourteen million people, including an estimated six million Jews.
In the final days of the war, during the Battle of Berlin in 1945, Hitler married his long-time mistress, Eva Braun. On 30 April 1945—less than two days later—the two committed suicide to avoid capture by the Red Army, and their corpses were burned.
Ancestry
Hitler's father, Alois Hitler (1837–1903), was the illegitimate child of Maria Anna Schicklgruber. Alois's birth certificate did not list the name of the father, and the child bore his mother's surname. In 1842 Johann Georg Hiedler married Maria, and in 1876 Johann testified before a notary and three witnesses that he was the father of Alois. Nazi official Hans Frank suggested the existence of letters claiming that Alois' mother was employed as a housekeeper for a Jewish family in Graz and that the family's 19-year-old son, Leopold Frankenberger, had fathered Alois. However, no Frankenberger, Jewish or otherwise, is registered in Graz for that period. Historians now doubt the claim that Alois' father was Jewish; all Jews had been expelled from Graz under Maximilian I in the 15th century, and were not allowed to settle in Styria until the Basic Laws were passed in 1849.
At age 39 Alois assumed the surname "Hitler", also spelled as "Hiedler", "Hüttler", or "Huettler"; the name was probably regularised to its final spelling by a clerk. The origin of the name is either "one who lives in a hut" (Standard German Hütte), "shepherd" (Standard German hüten "to guard", English "heed"), or is from the Slavic words Hidlar and Hidlarcek.
Childhood
Adolf Hitler was born on 20 April 1889 at around 6:30 pm at the Gasthof zum Pommer, an inn in Ranshofen, a village annexed in 1938 to the municipality of Braunau am Inn, Upper Austria. He was the fourth of six children to Alois Hitler and Klara Pölzl (1860–1907). Adolf's older siblings – Gustav, Ida, and Otto – died in infancy. When Hitler was three, the family moved to Passau, Germany. There he would acquire the distinctive lower Bavarian dialect, rather than Austrian German, which marked his speech all of his life. In 1894, the family relocated to Leonding near Linz, and in June 1895, Alois retired to a small landholding at Hafeld near Lambach, where he tried his hand at farming and beekeeping. Adolf attended school in nearby Fischlham, and in his free time played Cowboys and Indians. Hitler became fixated on warfare after finding a picture book about the Franco-Prussian War among his father's belongings.
The move to Hafeld appears to have coincided with the onset of intense father-son conflicts, caused by Adolf's refusal to conform to the strict discipline of his school. Alois Hitler's farming efforts at Hafeld ended in failure, and in 1897 the family moved to Lambach.
Hitler attended a Catholic school in an 11th-century Benedictine cloister, the walls of which bore engravings and crests that contained the swastika symbol. In Lambach the eight-year-old Hitler took singing lessons, sang in the church choir, and even entertained thoughts of becoming a priest. In 1898 the family returned permanently to Leonding.
Adolf's mother, Klara
The death of his younger brother Edmund from measles on 2 February 1900 deeply affected Hitler. He changed from being confident and outgoing and an excellent student, to a morose, detached, and sullen boy who constantly fought with his father and teachers.
Alois had made a successful career in the customs bureau and wanted his son to follow in his footsteps. Hitler later dramatised an episode from this period when his father took him to visit a customs office, depicting it as an event that gave rise to a unforgiving antagonism between father and son who were both equally strong-willed. Ignoring his son's desire to attend a classical high school and become an artist, in September 1900 Alois sent Adolf to the Realschule in Linz, a technical high school of about 300 students. (This was the same high school that Adolf Eichmann would attend some 17 years later.) Hitler rebelled against this decision, and in Mein Kampf revealed that he did poorly in school, hoping that once his father saw "what little progress I was making at the technical school he would let me devote myself to my dream."
Hitler started to become obsessed with German nationalism from a young age as a way of rebelling against his father, who was proudly serving the Austrian government. Although many Austrians considered themselves Germans, they were loyal to Austria. Hitler expressed loyalty only to Germany, despising the declining Habsburg Monarchy and its rule over an ethnically variegated empire. Hitler and his friends used the German greeting "Heil", and sang the German anthem "Deutschland Über Alles" instead of the Austrian Imperial anthem.
After Alois' sudden death on 3 January 1903, Hitler's behaviour at the technical school became even more disruptive, and he was asked to leave in 1904. He enrolled at the Realschule in Steyr in September 1904, but upon completing his second year, he and his friends went out for a night of celebration and drinking. While drunk, Hitler tore up his school certificate and used the pieces as toilet paper. The stained certificate was brought to the attention of the school's principal, who "... gave him such a dressing-down that the boy was reduced to shivering jelly. It was probably the most painful and humiliating experience of his life." Hitler was expelled, never to return to school again.
Early adulthood in Vienna and Munich
From 1905, Hitler lived a bohemian life in Vienna financed by orphan's benefits and support from his mother. The Academy of Fine Arts Vienna rejected him twice, in 1907 and 1908, because of his "unfitness for painting", and the director recommended that he study architecture. However, he lacked the academic credentials required for architecture school. He would later write:
In a few days I myself knew that I should some day become an architect. To be sure, it was an incredibly hard road; for the studies I had neglected out of spite at the Realschule were sorely needed. One could not attend the Academy's architectural school without having attended the building school at the Technik, and the latter required a high-school degree. I had none of all this. The fulfillment of my artistic dream seemed physically impossible.
The Courtyard of the Old Residency in Munich. Adolf Hitler, 1914
On 21 December 1907, Hitler's mother died at age 47. He worked as a casual labourer and eventually as a painter, selling watercolours. After being rejected a second time by the Academy of Arts, Hitler ran out of money. In 1909, he lived in a shelter for the homeless, and by 1910, he had settled into a house for poor working men on Meldemannstraße.
Hitler stated that he first became an antisemite in Vienna, which had a large Jewish community, including Orthodox Jews who had fled the pogroms in Russia.
There were few Jews in Linz. In the course of centuries their outward appearance had become Europeanised and had taken on a human look; in fact, I even took them for Germans. The absurdity of this idea did not dawn on me because I saw no distinguishing feature but the strange religion. The fact that they had, as I believed, been persecuted on this account sometimes almost turned my distaste at unfavorable remarks about them into horror. Thus far I did not so much as suspect the existence of an organized opposition to the Jews. Then I came to Vienna.
Once, as I was strolling through the Inner City, I suddenly encountered an apparition in a black caftan and black hair locks. Is this a Jew? was my first thought. For, to be sure, they had not looked like that in Linz. I observed the man furtively and cautiously, but the longer I stared at this foreign face, scrutinizing feature for feature, the more my first question assumed a new form: Is this a German?
Hitler's account has been questioned by his childhood friend, August Kubizek, who suggested that Hitler was already a "confirmed antisemite" before he left Linz for Vienna. Brigitte Hamann has challenged Kubizek's account, writing that "of all those early witnesses who can be taken seriously Kubizek is the only one to portray young Hitler as an anti-Semite and precisely in this respect he is not trustworthy." If Hitler was an antisemite even before settling in Vienna, apparently he did not act on his views. He was a frequent dinner guest in a wealthy Jewish home; he interacted well with Jewish merchants and sold his paintings almost exclusively to Jewish dealers.
At the time Hitler lived there, Vienna was a hotbed of traditional religious prejudice and 19th-century racism. Fears of being overrun by immigrants from the East were widespread, and the populist mayor, Karl Lueger, was adept at exploiting the rhetoric of virulent antisemitism for political effect. Georg Schönerer's pangermanic ethnic antisemitism had a strong following and base in the Mariahilf district, where Hitler lived. Local newspapers such as the Deutsches Volksblatt, which Hitler read, fanned prejudices, as did Rudolf Vrba's writings, which played on Christian fears of being swamped by an influx of eastern Jews. He probably read occult writings, such as the antisemitic magazine Ostara, published by Lanz von Liebenfels. Hostile to what he saw as Catholic "Germanophobia", he developed an admiration for Martin Luther. Luther's antisemitic writings were to play a role in later Nazi propaganda.
Hitler received the final part of his father's estate in May 1913 and moved to Munich. He wrote in Mein Kampf that he had always longed to live in a "real" German city. In Munich, he further pursued his interest in architecture and studied the writings of Houston Stewart Chamberlain, who, a decade later, was to become the first person of national—and even international—repute to align himself with Hitler and the Nazi movement. Hitler also may have left Vienna to avoid conscription into the Austrian army; he was disinclined to serve the Habsburg state and was repulsed by what he perceived as a mixture of "races" in the Austrian army. After a physical exam on 5 February 1914, he was deemed unfit for service and returned to Munich. When Germany entered World War I in August 1914, he successfully petitioned King Ludwig III of Bavaria for permission to serve in a Bavarian regiment.
Adolf Hitler as a soldier during the First World War (1914–1918)
World War I
Main article: Military career of Adolf Hitler
Hitler served as a runner on the Western Front in France and Belgium in the Bavarian Reserve Infantry Regiment 16. He experienced major combat, including the First Battle of Ypres, the Battle of the Somme, the Battle of Arras, and the Battle of Passchendaele.
He was decorated for bravery, receiving the Iron Cross, Second Class, in 1914. Recommended by Hugo Gutmann, he received the Iron Cross, First Class, on 4 August 1918, a decoration rarely awarded to one of Hitler's rank (Gefreiter). Hitler's post at regimental headquarters, where he had frequent interactions with senior officers, may have helped him receive this decoration. The regimental staff, however, thought Hitler lacked leadership skills, and he was never promoted. He also received the Wound Badge on 18 May 1918.
During his service at the headquarters, Hitler pursued his artwork, drawing cartoons and instructions for an army newspaper. During the Battle of the Somme in October 1916, he was wounded either in the groin area or the left thigh by a shell that had exploded in the dispatch runners' dugout.
Hitler spent almost two months in the Red Cross hospital at Beelitz, returning to his regiment on 5 March 1917. On 15 October 1918, Hitler was temporarily blinded by a mustard gas attack and was hospitalised in Pasewalk. It has been suggested that his blindness may have been the result of conversion disorder brought on by Hitler's realisation of the reversal of Germany's war fortunes.
Hitler became embittered over the collapse of the war effort, and his ideological development began to firmly take shape. He described the war as "the greatest of all experiences", and was praised by his commanding officers for his bravery. The experience made Hitler a passionate German patriot, and he was shocked by Germany's capitulation in November 1918. Like other German nationalists, he believed in the Dolchstoßlegende (Stab-in-the-back legend), which claimed that the German army, "undefeated in the field," had been "stabbed in the back" on the home front by civilian leaders and Marxists, later dubbed the "November Criminals".
The Treaty of Versailles stipulated that Germany must relinquish several of its territories and demilitarise the Rhineland. The treaty imposed economic sanctions and levied heavy reparations on the country. Many Germans perceived the treaty—especially Article 231, which declared Germany responsible for the war—as a humiliation. The economic, social, and political conditions in Germany affected by the war and the Versailles treaty were later exploited by Hitler for political gains.
Entry into politics
After World War I, Hitler remained in the army and returned to Munich. In July 1919 he was appointed Verbindungsmann (intelligence agent) of an Aufklärungskommando (reconnaissance commando) of the Reichswehr, both to influence other soldiers and to infiltrate the German Workers' Party (DAP). While he studied the activities of the DAP, Hitler became impressed with founder Anton Drexler's antisemitic, nationalist, anti-capitalist, and anti-Marxist ideas. Drexler favoured a strong active government, a "non-Jewish" version of socialism, and solidarity among all members of society. Impressed with Hitler's oratory skills, Drexler invited him to join the DAP. Hitler accepted on 12 September 1919, becoming the party's 55th member.
A copy of Adolf Hitler's German Workers' Party (DAP) membership card
At the DAP, Hitler met Dietrich Eckart, one of its early founders and a member of the occult Thule Society. Eckart became Hitler's mentor, exchanging ideas with him and introducing him to a wide range of people in Munich society. Hitler thanked Eckart and paid tribute to him in the second volume of Mein Kampf. To increase its appeal, the party changed its name to the Nationalsozialistische Deutsche Arbeiterpartei (National Socialist German Workers Party – NSDAP). Hitler designed the party's banner of a swastika in a white circle on a red background.
After his discharge from the army in March 1920, Hitler began working full time for the party. In February 1921—already highly effective at speaking to large audiences-
he spoke to a crowd of over six thousand in Munich. To publicise the meeting, two truckloads of party supporters drove around town waving swastika flags and throwing leaflets.
Hitler soon gained notoriety for his rowdy, polemic speeches against the Treaty of Versailles, rival politicians, and especially against Marxists and Jews. At the time, the NSDAP was centred in Munich, a major hotbed of anti-government German nationalists determined to crush Marxism and undermine the Weimar Republic.
In June 1921, while Hitler and Eckart were on a fundraising trip to Berlin, a mutiny broke out within the DAP in Munich. Members of the DAP's executive committee, some of whom considered Hitler to be too overbearing, wanted to merge with the rival German Socialist Party (DSP). Hitler returned to Munich on 11 July 1921 and angrily tendered his resignation from the DAP. The committee members realised that his resignation would mean the end of the party. Hitler announced he would rejoin on the condition that he would replace Drexler as party chairman, and that the party headquarters would remain in Munich. The committee agreed; he rejoined the party as member 3,680. He still faced some opposition within the DAP: Hermann Esser and his allies printed 3,000 copies of a pamphlet attacking Hitler as a traitor to the party. In the following days, Hitler spoke to several packed houses and defended himself to thunderous applause. His strategy proved successful: at a general DAP membership meeting, he was granted absolute powers as party chairman, with only one nay vote cast.
Hitler's vitriolic beer hall speeches began attracting regular audiences. Early followers included Rudolf Hess, the former air force pilot Hermann Göring, and the army captain Ernst Röhm. The latter became head of the Nazis' paramilitary organisation, the Sturmabteilung (SA, "Storm Division"), which protected meetings and frequently attacked political opponents. A critical influence on his thinking during this period was the Aufbau Vereinigung, a conspiratorial group formed of White Russian exiles and early National Socialists. The group, financed with funds channelled from wealthy industrialists like Henry Ford, introduced him to the idea of a Jewish conspiracy, linking international finance with Bolshevism.
Beer Hall Putsch
Hitler enlisted the help of World War I General Erich Ludendorff for an attempted coup known as the "Beer Hall Putsch" (also known as the "Hitler Putsch" or "Munich Putsch"). The Nazi Party had used Italian Fascism as a model for their appearance and policies, and in 1923, Hitler wanted to emulate Benito Mussolini's "March on Rome" by staging his own "Campaign in Berlin". Hitler and Ludendorff sought the support of Staatskommissar (state commissioner) Gustav von Kahr, Bavaria's de facto ruler. However, Kahr, along with Police Chief Hans Ritter von Seisser (Seißer) and Reichswehr General Otto von Lossow, wanted to install a nationalist dictatorship without Hitler.
Hitler wanted to seize a critical moment for successful popular agitation and support. On 8 November 1923, he and the SA stormed a public meeting of 3,000 people that had been organised by Kahr in the Bürgerbräukeller, a large beer hall in Munich. Hitler interrupted Kahr's speech and announced that the national revolution had begun, declaring the formation of a new government with Ludendorff. With his handgun drawn, Hitler demanded and got the support of Kahr, Seisser, and Lossow. Hitler's forces initially succeeded in occupying the local Reichswehr and police headquarters; however, neither the army nor the state police joined forces with him. Kahr and his consorts quickly withdrew their support and fled to join Hitler's opposition. The next day, Hitler and his followers marched from the beer hall to the Bavarian War Ministry to overthrow the Bavarian government on their "March on Berlin", but the police dispersed them. Sixteen NSDAP members and four police officers were killed in the failed coup.
Hitler fled to the home of Ernst Hanfstaengl, and by some accounts he contemplated suicide. He was depressed but calm when he was arrested on 11 November 1923 for high treason. His trial began in February 1924 before the special People's Court in Munich, and Alfred Rosenberg became temporary leader of the NSDAP. On 1 April Hitler was sentenced to five years' imprisonment at Landsberg Prison. He received friendly treatment from the guards and a lot of mail from supporters. The Bavarian Supreme Court issued a pardon and he was released from jail on 20 December 1924, against the state prosecutor's objections. Including time on remand, Hitler had served just over one year in prison.
Hitler (left), standing behind Hermann Göring at a Nazi rally in Nuremberg (c. 1928)
Dust jacket of Mein Kampf (1926–1927)
While at Landsberg, Hitler dictated most of the first volume of Mein Kampf (My Struggle; originally entitled Four and a Half Years of Struggle against Lies, Stupidity, and Cowardice) to his deputy, Rudolf Hess. The book, dedicated to Thule Society member Dietrich Eckart, was an autobiography and an exposition of his ideology. Mein Kampf was influenced by The Passing of the Great Race by Madison Grant, which Hitler called "my Bible".Published in two volumes in 1925 and 1926, it sold 228,000 copies between 1925 and 1932. One million copies were sold in 1933, Hitler's first year in office.
The book laid out Hitler's plans for transforming German society into one based on race by means of genocide.
Rebuilding the NSDAP
At the time of Hitler's release from prison, politics in Germany had become less combative, and the economy had improved. This limited Hitler's opportunities for political agitation. As a result of the failed Beer Hall Putsch, the NSDAP and its affiliated organisations were banned in Bavaria. In a meeting with Prime Minister of Bavaria Heinrich Held on 4 January 1925, Hitler agreed to respect the authority of the state: he would only seek political power through the democratic process. The meeting paved the way for the ban on the NSDAP to be lifted. However, Hitler was barred from public speaking, a ban that remained in place until 1927. To advance his political ambitions in spite of the ban, Hitler appointed Gregor Strasser, Otto Strasser, and Joseph Goebbels to organise and grow the NSDAP in northern Germany. A superb organiser, Gregor Strasser steered a more independent political course, emphasising the socialist element of the party's programme.
Hitler ruled the NSDAP autocratically by asserting the Führerprinzip ("Leader principle"). Rank in the party was not determined by elections—positions were filled through appointment by those of higher rank, who demanded unquestioning obedience to the will of the leader.
The stock market in the United States crashed on 24 October 1929. The impact in Germany was dire: millions were thrown out of work and several major banks collapsed. Hitler and the NSDAP prepared to take advantage of the emergency to gain support for their party. They promised to repudiate the Versailles treaty, strengthen the economy, and provide jobs.
Date Total Votes Votes Reichstag Notes
Percentage Seats
During Hitler's term as chancellor of Germany
Paul von Hindenburg and Adolf Hitler, 21 March 1933
Brüning administration
The Great Depression in Germany in 1930 provided a political opportunity for Hitler. Germans were ambivalent to the parliamentary republic, which faced strong challenges from right- and left-wing extremists. The moderate political parties were increasingly unable to stem the tide of extremism, and the German referendum of 1929 had helped to elevate Nazi ideology. The elections of September 1930 resulted in the break-up of a grand coalition and its replacement by a minority cabinet. Its leader, chancellor Heinrich Brüning of the Centre Party, governed through emergency decrees from the president, Paul von Hindenburg. Governance by decree would become the new norm and paved the way for authoritarian forms of government. The NSDAP rose from obscurity to win 18.3% of the vote and 107 parliamentary seats in the 1930 election, becoming the second-largest party in parliament.
Hitler made a prominent appearance at the trial of two Reichswehr officers, Lieutenants Richard Scheringer and Hans Ludin, in the autumn of 1930. Both were charged with membership of the NSDAP, at that time illegal for Reichswehr personnel. The prosecution argued that the NSDAP was an extremist party, prompting defence lawyer Hans Frank to call on Hitler to testify in court. While testifying on 25 September 1930, Hitler stated that his party would pursue political power solely through democratic elections. Hitler's testimony won him many supporters in the officer corps.
Brüning's austerity measures brought little economic improvement and were extremely unpopular.[110] Hitler exploited this weakness by targeting his political messages specifically to the segments of the population that had been affected by the inflation of the 1920s and the Depression, such as farmers, war veterans, and the middle class.
Hitler formally renounced his Austrian citizenship on 7 April 1925, but at the time did not acquire German citizenship. For almost seven years Hitler was stateless, unable to run for public office, and faced the risk of deportation. On 25 February 1932 the interior minister of Brunswick, who was a member of the NSDAP, appointed Hitler as administrator for the state's delegation to the Reichsrat in Berlin, making Hitler a citizen of Brunswick, and thus of Germany.
In 1932 Hitler ran against von Hindenburg in the presidential elections. The viability of his candidacy was underscored by a 27 January 1932 speech to the Industry Club in Düsseldorf, which won him support from many of Germany's most powerful industrialists.[115] However, Hindenburg had support from various nationalist, monarchist, Catholic, and republican parties and some social democrats. Hitler used the campaign slogan "Hitler über Deutschland" ("Hitler over Germany"), a reference to both his political ambitions and to his campaigning by aircraft. Hitler came in second in both rounds of the election, garnering more than 35% of the vote in the final election. Although he lost to Hindenburg, this election established Hitler as a strong force in German politics.
Hitler, at the window of the Reich Chancellery, receives an ovation on the evening of his inauguration as chancellor, 30 January 1933
Appointment as chancellor
The absence of an effective government prompted two influential politicians, Franz von Papen and Alfred Hugenberg, along with several other industrialists and businessmen, to write a letter to von Hindenburg. The signers urged Hindenburg to appoint Hitler as leader of a government "independent from parliamentary parties", which could turn into a movement that would "enrapture millions of people".
Hindenburg eventually reluctantly agreed to appoint Hitler as chancellor after two further parliamentary elections—in July and November 1932—had not resulted in the formation of a majority government. Hitler was to head a short-lived coalition government formed by the NSDAP and Hugenberg's party, the German National People's Party (DNVP). On 30 January 1933 the new cabinet was sworn in during a brief and simple ceremony in Hindenburg's office. The NSDAP held three of the eleven posts: Hitler was named chancellor, Hermann Göring was named minister without portfolio, and Wilhelm Frick was appointed minister of the interior.
Reichstag fire and March elections
As chancellor, Hitler worked against attempts by the NSDAP's opponents to build a majority government. Because of the political stalemate, Hitler asked President Hindenburg to again dissolve the Reichstag, and elections were scheduled for early March. On 27 February 1933, the Reichstag building was set on fire. Göring blamed a communist plot, because Dutch communist Marinus van der Lubbe was found in incriminating circumstances inside the burning building. At Hitler's urging, Hindenburg responded with the Reichstag Fire Decree of 28 February, which suspended basic rights, including habeas corpus. Activities of the German Communist Party were suppressed, and some 4,000 communist party members were arrested. Researchers, including William L. Shirer and Alan Bullock, are of the opinion that the NSDAP itself was responsible for starting the fire.
In addition to political campaigning, the NSDAP engaged in paramilitary violence and the spread of anti-communist propaganda in the days preceding the election. On election day, 6 March 1933, the NSDAP's share of the vote increased to 43.9%, and the party acquired the largest number of seats in parliament. However, Hitler's party failed to secure an absolute majority, necessitating another coalition with the DNVP.
Day of Potsdam and the Enabling Act
On 21 March 1933, the new Reichstag was constituted with an opening ceremony at the Garrison Church in Potsdam. This "Day of Potsdam" was held to demonstrate unity between the Nazi movement and the old Prussian elite and military. Hitler appeared in a morning coat and humbly greeted President von Hindenburg.
To achieve full political control despite not having an absolute majority in parliament, Hitler's government brought the Ermächtigungsgesetz (Enabling Act) to a vote in the newly elected Reichstag. The legislation gave Hitler's cabinet full legislative powers for a period of four years and (with certain exceptions) allowed deviations from the constitution. Since the bill required a two-thirds majority to pass, it needed very broad support. Leaving nothing to chance, the Nazis used the provisions of the Reichstag Fire Decree to keep several Social Democratic deputies from attending; the Communists had already been banned.
On 23 March, the Reichstag assembled at the Kroll Opera House under turbulent circumstances. Ranks of SA men served as guards inside the building, while large groups outside opposing the proposed legislation shouted slogans and threats toward the arriving members of parliament. The position of the Centre Party, the third largest party in the Reichstag, turned out to be decisive. After Hitler verbally promised party leader Ludwig Kaas that President von Hindenburg would retain his power of veto, Kaas announced the Centre Party would support the Enabling Act. Ultimately, the Enabling Act passed by a vote of 441–84, with all parties except the Social Democrats voting in favour. The Enabling Act, along with the Reichstag Fire Decree, transformed Hitler's government into a de facto legal dictatorship.
Removal of remaining limits
At the risk of appearing to talk nonsense I tell you that the National Socialist movement will go on for 1,000 years! ... Don't forget how people laughed at me 15 years ago when I declared that one day I would govern Germany. They laugh now, just as foolishly, when I declare that I shall remain in power!
— Adolf Hitler to a British correspondent in Berlin, June 1934.
Having achieved full control over the legislative and executive branches of government, Hitler and his political allies embarked on systematic suppression of the remaining political opposition. After the dissolution of the Communist Party, the Social Democratic Party was also banned and all its assets seized. While many trade union delegates were in Berlin for May Day activities, SA stormtroopers demolished trade union offices around the country. On 2 May 1933 all trade unions were forced to dissolve and their leaders were arrested; some were sent to concentration camps. The German Labour Front was formed to represent all workers, administrators, and company owners together as one group. This new trade union reflected the concept of national socialism in the spirit of Hitler's "Volksgemeinschaft" (community of all German people).
In 1934, Hitler became Germany's president under the title of Führer und Reichskanzler (leader and chancellor of the Reich).
By the end of June, the other parties had "voluntarily" dissolved, and with the help of the SA, Hitler pressured his nominal coalition partner, Hugenberg, into resigning from cabinet. On 14 July 1933 Hitler's Nazi Party was declared the only legal political party in Germany. The demands of the SA for more political and military power caused much anxiety among military, industrial, and political leaders. Hitler responded by purging the entire SA leadership in what became known as the Night of the Long Knives, which took place from 30 June to 2 July 1934. Hitler targeted Ernst Röhm and other political adversaries (such as Gregor Strasser and former chancellor Kurt von Schleicher). Röhm and other SA leaders, along with a number of Hitler's political enemies, were rounded up, arrested, and shot.[137] While some Germans were shocked by the murders, many saw Hitler as the one who restored order to the country.
On 2 August 1934 President von Hindenburg died. The previous day, the cabinet had enacted a law to take effect upon Hindenburg's death which abolished the office of president and combined its powers with those of the chancellor. Hitler thus became head of state as well as head of government, and was formally named as Führer und Reichskanzler (leader and chancellor). This law violated the Enabling Act as well as the constitution: the Enabling Act specifically barred Hitler from passing any law that tampered with the presidency, and in 1932, the constitution had been amended to make the president of the High Court of Justice, not the chancellor, acting president pending new elections. With this law, Hitler removed the last legal remedy by which he could be removed from office.
As head of state, Hitler became Supreme Commander of the armed forces. The traditional loyalty oath of soldiers and sailors was altered to affirm loyalty directly to Hitler, rather than to the office of supreme commander. On 19 August, the merger of the presidency with the chancellorship was approved by a plebiscite with support of 90% of the electorate.
In early 1938, Hitler forced his War Minister, Field Marshal Werner von Blomberg, to resign when a police dossier was discovered showing that Blomberg's new wife had a record for prostitution.[143][144] Hitler removed army commander Colonel-General Werner von Fritsch after the Schutzstaffel (SS) produced allegations that he had taken part in a homosexual relationship. Both men had already fallen into disfavour when they objected to his demand that they have the Wehrmacht ready to go to war as early as 1938. Hitler used this incident, known as the Blomberg–Fritsch Affair, to consolidate his hold over the military—the only force left in the country with enough power to remove him. He assumed Blomberg's old title of Commander-in-Chief, thus taking personal command of the armed forces. He also replaced the Ministry of War with the Oberkommando der Wehrmacht (High Command of the Armed Forces, or OKW), headed by General Wilhelm Keitel. On the same day, sixteen generals were stripped of their commands and 44 more were transferred; all were suspected of not being pro-Nazi enough. By early February 1938, twelve other generals had been removed.
Having consolidated his political powers, Hitler suppressed or eliminated his opposition by a process termed Gleichschaltung ("bringing into line"). He attempted to gain additional public support by vowing to reverse the effects of the Depression and the Versailles treaty.
In 1934, Hitler became Germany's president under the title of Führer und Reichskanzler (leader and chancellor of the Reich).
Third Reich
Economy and culture
In 1935 Hitler appointed Hjalmar Schacht as Plenipotentiary for War Economy, in charge of preparing the economy for war. Reconstruction and rearmament were financed through Mefo bills, printing money, and seizing the assets of people arrested as enemies of the State, including Jews. Unemployment fell substantially, from six million in 1932 to one million in 1936. Hitler oversaw one of the largest infrastructure improvement campaigns in German history, leading to the construction of dams, autobahns, railroads, and other civil works. Wages were slightly reduced in the pre–World War II years over those of the Weimar Republic, while the cost of living increased by 25%.
Hitler's government sponsored architecture on an immense scale. Albert Speer, instrumental in implementing Hitler's classicist reinterpretation of German culture, was placed in charge of the proposed architectural renovations of Berlin. In 1936 Hitler opened the summer Olympic games in Berlin.
Rearmament and new alliances
Main articles: Axis powers, Tripartite Pact, and German re-armament.
In a meeting with German military leaders on 3 February 1933, Hitler spoke of "conquest for Lebensraum in the East and its ruthless Germanisation" as his ultimate foreign policy objectives.
In March, Prince Bernhard Wilhelm von Bülow, secretary at the Auswärtiges Amt (Foreign Office), issued a major statement of German foreign policy aims: Anschluss with Austria, the restoration of Germany's national borders of 1914, rejection of Part V of the Treaty of Versailles, the return of the former German colonies in Africa, and a German zone of influence in Eastern Europe. Hitler found Bülow's goals to be too modest. In his speeches of this period, he stressed the peaceful goals of his policies and willingness to work within international agreements. At the first meeting of his Cabinet in 1933, Hitler prioritised military spending over unemployment relief.
On 25 October 1936 an Axis was declared between Italy and Germany.
Germany withdrew from the League of Nations and the World Disarmament Conference in October 1933.[157] In March 1935 Hitler announced an expansion of the German army to 600,000 members—six times the number stipulated in Part V of the Versailles treaty—including development of an Air Force (Luftwaffe) and increasing the size of the Navy (Kriegsmarine). Britain, France, Italy, and the League of Nations condemned these plans as violations of the Versailles treaty. The Anglo-German Naval Agreement (AGNA) of 18 June 1935 allowed German tonnage to increase to 35% of that of the British navy. Hitler called the signing of the AGNA "the happiest day of his life" as he believed the agreement marked the beginning of the Anglo-German alliance he had predicted in Mein Kampf. France and Italy were not consulted before the signing, directly undermining the League of Nations and putting the Treaty of Versailles on the path towards irrelevance.
Hitler with Arthur Seyss-Inquart, Heinrich Himmler, and Reinhard Heydrich in Vienna, 1938
Germany reoccupied the demilitarised zone in the Rhineland in March 1936, in violation the Versailles treaty. Hitler sent troops to Spain to support General Franco after receiving an appeal for help in July 1936. At the same time, Hitler continued his efforts to create an Anglo-German alliance. In response to a growing economic crisis caused by his rearmament efforts, Hitler issued a memorandum ordering Hermann Göring to carry out a Four Year Plan to have Germany ready for war within the next four years. The "Four-Year Plan Memorandum" of August 1936 laid out an imminent all-out struggle between "Judeo-Bolshevism" and German national socialism, which in Hitler's view required a committed effort of rearmament regardless of the economic costs.
Count Galeazzo Ciano, foreign minister of Benito Mussolini's government, declared an axis between Germany and Italy, and on 25 November, Germany signed the Anti-Comintern Pact with Japan. Britain, China, Italy, and Poland were also invited to join the Anti-Comintern Pact, but only Italy signed in 1937. Hitler abandoned his dream of an Anglo-German alliance, blaming "inadequate" British leadership. He held a secret meeting at the Reich Chancellery with his war and foreign ministers and military chiefs that November. As recorded in the Hossbach Memorandum, Hitler stated his intention of acquiring Lebensraum ("living space") for the German people, and ordered preparations for war in the east, which would commence as early as 1938 and no later than 1943. He stated that the conference minutes were to be regarded as his "political testament" in the event of his death.
He felt the German economic crisis had reached a point that a severe decline in living standards in Germany could only be stopped by a policy of military aggression—seizing Austria and Czechoslovakia. Hitler urged quick action, before Britain and France obtained a permanent lead in the arms race. In early 1938, in the wake of the Blomberg–Fritsch Affair, Hitler asserted control of the military-foreign policy apparatus. Dismissing Neurath as Foreign Minister, he assumed the role and title of the Oberster Befehlshaber der Wehrmacht (supreme commander of the armed forces). From early 1938 onwards, Hitler was carrying out a foreign policy that had war as its ultimate aim.
On 25 October 1036, an Axis was declared between Italy and Germany.
The Holocaust
One of Hitler's central and most controversial ideologies was the concept of what he and his followers termed racial hygiene. On 15 September 1935 he presented two laws—known as the Nuremberg Laws—to the Reichstag. The laws banned marriage between non-Jewish and Jewish Germans, and forbade the employment of non-Jewish women under the age of 45 in Jewish households. The laws deprived so-called "non-Aryans" of the benefits of German citizenship.
Hitler's early eugenic policies targeted children with physical and developmental disabilities in a programme dubbed Action T4.
Hitler's idea of Lebensraum, espoused in Mein Kampf, focused on acquiring new territory for German settlement in Eastern Europe. The Generalplan Ost ("General Plan for the East") called for the population of occupied Eastern Europe and the Soviet Union to be deported to West Siberia, used as slave labour, or murdered; the conquered territories were to be colonised by German or "Germanised" settlers. The original plan called for this process to begin after the conquest of the Soviet Union, but when that failed to happen, Hitler moved the plans forward. By January 1942 the decision had been taken to kill the Jews and other deportees that were considered undesirable.
The Holocaust (the "Endlösung der jüdischen Frage" or "Final Solution of the Jewish Question") was organised and executed by Heinrich Himmler and Reinhard Heydrich. The records of the Wannsee Conference—held on 20 January 1942 and led by Reinhard Heydrich, with fifteen senior Nazi officials (including Adolf Eichmann) participating—provide the clearest evidence of systematic planning for the Holocaust.
On 22 February Hitler was recorded saying to his associates, "we shall regain our health only by eliminating the Jews". Approximately thirty Nazi concentration camps and extermination camps were used for this purpose. By summer 1942 the facility at Auschwitz concentration camp was modified to accept large numbers of deportees for killing or enslavement.
An American soldier stands near a wagon piled high with corpses outside the crematorium in the newly liberated Buchenwald concentration camp (April 1945)
Although no specific order from Hitler authorising the mass killings has surfaced, he approved the Einsatzgruppen, killing squads that followed the German army through Poland and Russia, and he was well informed about their activities. During interrogations by Soviet intelligence officers, the records of which were declassified over fifty years later, Hitler's valet, Heinz Linge, and his adjutant, Otto Günsche, stated that Hitler had a direct interest in the development of gas chambers.
Between 1939 and 1945, the SS, assisted by collaborationist governments and recruits from occupied countries, were responsible for the deaths of eleven to fourteen million people, including about six million Jews, representing two-thirds of the Jewish population in Europe, and between 500,000 and 1,500,000 Roma. Deaths took place in concentration and extermination camps, ghettos, and through mass executions. Many victims of the Holocaust were gassed to death, whereas others died of starvation or disease while working as slave labourers.
Hitler's policies also resulted in the killings of Poles and Soviet prisoners of war, communists and other political opponents, homosexuals, the physically and mentally disabled,Jehovah's Witnesses, Adventists, and trade unionists. Hitler never appeared to have visited the concentration camps and did not speak publicly about the killings.
Hitler and the Japanese Foreign Minister, Yōsuke Matsuoka, at a meeting in Berlin in March 1941. In the background is Joachim von Ribbentrop.
October 1938: Hitler (standing in Mercedes) drives through the crowd in Cheb (German: Eger), part of the German-populated Sudetenland region of Czechoslovakia, which was annexed to Nazi Germany due to the Munich Agreement
Early diplomatic successes
Alliance with Japan
In February 1938, on the advice of his newly appointed Foreign Minister, the strongly pro-Japanese Joachim von Ribbentrop, Hitler ended the Sino-German alliance with the Republic of China to instead enter into an alliance with the more modern and powerful Japan. Hitler announced German recognition of Manchukuo, the Japanese-occupied state in Manchuria, and renounced German claims to their former colonies in the Pacific held by Japan.
Hitler ordered an end to arms shipments to China, and recalled all German officers working with the Chinese Army. In retaliation, Chinese General Chiang Kai-shek cancelled all Sino-German economic agreements, depriving the Germans of many Chinese raw materials, though they did continue to ship tungsten, a key metal in armaments production, through to 1939.
Austria and Czechoslovakia
On 12 March 1938 Hitler declared unification of Austria with Nazi Germany in the Anschluss. Hitler then turned his attention to the ethnic German population of the Sudetenland district of Czechoslovakia.
On 28–29 March 1938 Hitler held a series of secret meetings in Berlin with Konrad Henlein of the Sudeten Heimfront (Home Front), the largest of the ethnic German parties of the Sudetenland. Both men agreed that Henlein would demand increased autonomy for Sudeten Germans from the Czechoslovakian government, thus providing a pretext for German military action against Czechoslovakia. In April 1938 Henlein told the foreign minister of Hungary that "whatever the Czech government might offer, he would always raise still higher demands ... he wanted to sabotage an understanding by all means because this was the only method to blow up Czechoslovakia quickly". In private, Hitler considered the Sudeten issue unimportant; his real intention was a war of conquest against Czechoslovakia.
In April 1938 Hitler ordered the OKW to prepare for Fall Grün ("Case Green"), the code name for an invasion of Czechoslovakia. As a result of intense French and British diplomatic pressure, on 5 September 1938 Czechoslovakian President Edvard Beneš unveiled the "Fourth Plan" for constitutional reorganisation of his country, which agreed to most of Henlein's demands for Sudeten autonomy. Henlein's Heimfront responded to Beneš' offer with a series of violent clashes with the Czechoslovakian police that led to the declaration of martial law in certain Sudeten districts.
From left to right: Chamberlain, Daladier, Hitler, Mussolini, and Ciano, pictured before signing the Munich Agreement, which gave the Sudetenland to Germany
Germany was dependent on imported oil; a confrontation with Britain over the Czechoslovakian dispute could curtail Germany's oil supplies. Hitler called off Fall Grün, originally planned for 1 October 1938. On 29 September 1938 Hitler, Neville Chamberlain, Édouard Daladier, and Benito Mussolini attended a one-day conference in Munich that led to the Munich Agreement, which handed over the Sudetenland districts to Germany.
Chamberlain was satisfied with the Munich conference, calling the outcome "peace for our time", while Hitler was angered about the missed opportunity for war in 1938. Hitler expressed his disappointment over the Munich Agreement in a speech on 9 October 1938 in Saarbrücken. In Hitler's view, the British-brokered peace, although favourable to the ostensible German demands, was a diplomatic defeat which spurred Hitler's intent of limiting British power to pave the way for the eastern expansion of Germany. As a result of the summit, Hitler was selected Time magazine's Man of the Year for 1938.
Hitler visits Prague Castle shortly after the occupation of Czechoslovakia. 15 March 1939
In late 1938 and early 1939, the continuing economic crisis caused by the rearmament efforts forced Hitler to make major defence cuts. On 30 January 1939 Hitler made an "Export or die" speech, calling for a German economic offensive to increase German foreign exchange holdings to pay for raw materials such as high-grade iron needed for military weapons.
Jewish shops destroyed in Magdeburg, following Kristallnacht (November 1938)
On 15 March 1939, in violation of the Munich accord and possibly as a result of the deepening economic crisis requiring additional assets, Hitler ordered the Wehrmacht to invade Prague, and from Prague Castle proclaimed Bohemia and Moravia a German protectorate.
Start of World War II
In private discussions in 1939, Hitler described Britain as the main enemy that had to be defeated. In his view, Poland's obliteration as a sovereign nation was a necessary prelude to that goal. The eastern flank would be secured, and land would be added to Germany's Lebensraum. Hitler wanted Poland to become either a German satellite state or be otherwise neutralised to secure the Reich's eastern flank, and to prevent a possible British blockade. Initially, Hitler favoured the idea of a satellite state; this was rejected by the Polish government. Therefore, Hitler decided to invade Poland; he made this the main German foreign policy goal of 1939.
Hitler was offended by the British "guarantee" of Polish independence issued on 31 March 1939, and told his associates that "I shall brew them a devil's drink". In a speech in Wilhelmshaven for the launch of the battleship Tirpitz on 1 April 1939, Hitler first threatened to denounce the Anglo-German Naval Agreement if the British persisted with their guarantee of Polish independence, which he perceived as an "encirclement" policy. On 3 April 1939 Hitler ordered the military to prepare for Fall Weiss (Case White), the plan for a German invasion on 25 August 1939. In a speech before the Reichstag on 28 April Hitler renounced both the Anglo-German Naval Agreement and the German–Polish Non-Aggression Pact. In August Hitler told his generals that his original plan for 1939 was to "... establish an acceptable relationship with Poland in order to fight against the West". Since Poland refused to become a German satellite, Hitler believed his only option was the invasion of Poland. Historians such as William Carr, Gerhard Weinberg, and Ian Kershaw have argued that one reason for Hitler's rush to war was his morbid and obsessive fear of an early death, and hence his feeling that he did not have long to accomplish his work.
Hitler was initially concerned that a military attack against Poland could result in a premature war with Britain. However, Hitler's foreign minister—and former Ambassador to London—Joachim von Ribbentrop assured him that neither Britain nor France would honour their commitments to Poland, and that a German–Polish war would only be a limited regional war. Ribbentrop claimed that in December 1938 the French foreign minister, Georges Bonnet, had stated that France considered Eastern Europe as Germany's exclusive sphere of influence;[225] Ribbentrop showed Hitler diplomatic cables that supported his analysis.
The German Ambassador in London, Herbert von Dirksen, supported Ribbentrop's analysis with a dispatch in August 1939, reporting that Chamberlain knew "the social structure of Britain, even the conception of the British Empire, would not survive the chaos of even a victorious war", and so would back down. Accordingly, on 21 August 1939 Hitler ordered a military mobilisation against Poland.
Hitler's plans for a military campaign in Poland in late August or early September required tacit Soviet support. The non-aggression pact (the Molotov-Ribbentrop Pact) between Germany and the Soviet Union, led by Joseph Stalin, included secret protocols with an agreement to partition Poland between the two countries.
Depiction of Adolf Hitler as the Führer of the Reich on a 42 pfennig stamp, 1944. The country's name was changed to the "Greater German Reich" (Grossdeutsches Reich) in 1943.
In response to the Molotov-Ribbentrop Pact—and contrary to the prediction of Ribbentrop that the newly-formed pact would sever Anglo-Polish ties—Britain and Poland signed the Anglo-Polish alliance on 25 August 1939.
This, along with news from Italy that Mussolini would not honour the Pact of Steel, caused Hitler to postpone the attack on Poland from 25 August to 1 September. In the days before the start of the war, Hitler tried to manoeuvre the British into neutrality by offering a non-aggression guarantee to the British Empire on 25 August and by having Ribbentrop present a last-minute peace plan with an impossibly short time limit in an effort to then blame the war on British and Polish inaction.
As a pretext for a military aggression against Poland, Hitler claimed the Free City of Danzig and the right to extraterritorial roads across the Polish Corridor, which Germany had ceded under the Versailles treaty. Despite his concerns over a possible British intervention, Hitler was ultimately not deterred from his aim of invading Poland, and on 1 September 1939 Germany invaded western Poland. In response, Britain and France declared war on Germany on 3 September. This surprised Hitler, prompting him to turn to Ribbentrop and angrily ask "Now what?" France and Britain did not act on their declarations immediately, and on 17 September, Soviet forces invaded eastern Poland.
Poland will never rise again in the form of the Versailles treaty. This is guaranteed not only by Germany, but also Russia.
— Adolf Hitler, public speech in Danzig at the end of September 1939
The fall of Poland was followed by what contemporary journalists dubbed the "Phoney War" or Sitzkrieg ("sitting war"). Hitler instructed the two newly-appointed Gauleiters of north-western Poland, Albert Forster and Arthur Greiser, to "Germanise" the area, and promised them "There would be no questions asked" about how this was accomplished. To Himmler's chagrin, Forster had local Poles sign forms stating that they had German blood, and required no further documentation. On the other hand, Greiser carried out a brutal ethnic cleansing campaign on the Polish population in his purview. Greiser complained to Hitler that Forster was allowing thousands of Poles to be accepted as "racial" Germans and thus, in Greiser's view, endangering German "racial purity". Hitler told Himmler and Greiser to take up their difficulties with Forster, and not to involve him. Hitler's handling of the Forster–Greiser dispute has been advanced as an example of Kershaw's theory of "working towards the Führer": Hitler issued vague instructions and expected his subordinates to work out policies on their own.
Another dispute broke out between different factions. One side, represented by Himmler and Greiser, championed carrying out ethnic cleansing in Poland, and another side, represented by Göring and Hans Frank, called for turning Poland into the "granary" of the Reich. At a conference held at Göring's Karinhall estate on 12 February 1940, the dispute was initially settled in favour of the Göring–Frank view of economic exploitation, which ended the economically disruptive mass expulsions.On 15 May 1940, however, Himmler presented Hitler with a memo entitled "Some Thoughts on the Treatment of Alien Population in the East", which called for expulsion of the entire Jewish population of Europe into Africa and reducing the remainder of the Polish population to a "leaderless class of labourers". Hitler called Himmler's memo "good and correct"; he scuttled the so-called Karinhall agreement and implemented the Himmler–Greiser viewpoint as German policy for the Polish population.
Hitler visits Paris with architect Albert Speer (left) and artist Arno Breker (right), 23 June 1940
Hitler commenced building up military forces on Germany's western border, and in April 1940, German forces invaded Denmark and Norway. In May 1940, Hitler's forces attacked France, and conquered Luxembourg, the Netherlands, and Belgium. These victories prompted Mussolini to have Italy join forces with Hitler on 10 June 1940. France surrendered on 22 June 1940.
Britain, whose forces were forced to leave France by sea from Dunkirk, continued to fight alongside other British dominions in the Battle of the Atlantic. Hitler made peace overtures for to the British, now led by Winston Churchill, and when these were rejected he ordered bombing raids on the United Kingdom. Hitler's prelude to a planned invasion of the UK was a series of aerial attacks in the Battle of Britain on Royal Air Force airbases and radar stations in South-East England. However, the German Luftwaffe failed to defeat the Royal Air Force.
On 27 September 1940 the Tripartite Pact was signed in Berlin by Saburō Kurusu of Imperial Japan, Hitler, and Italian foreign minister Ciano. The agreement was later expanded to include Hungary, Romania, and Bulgaria. They were collectively known as the Axis powers. The purpose of the pact was to deter the United States from supporting the British. By the end of October 1940, air superiority for the invasion of Britain—Operation Sea Lion—could not be achieved, and Hitler ordered the nightly air raids of British cities, including London, Plymouth, and Coventry.
Hitler visiting Maribor (German: Marburg an der Drau), Yugoslavia, with Otto Dietrich, Siegfried Uiberreither, and Martin Bormann in 1941
In the Spring of 1941, Hitler was distracted from his plans for the East by military activities in North Africa, the Balkans, and the Middle East. In February, German forces arrived in Libya to bolster the Italian presence. In April, Hitler launched the invasion of Yugoslavia, quickly followed by the invasion of Greece. In May, German forces were sent to support Iraqi rebel forces fighting against the British and to invade Crete. On 23 May, Hitler released Führer Directive No. 30. Führer (German: Weisung Nr. 30) which was a directive issued by German dictator Adolf Hitler during World War II. It ordered German support for Iraq's Arab nationalists, who were fighting the British.
Path to defeat
On 22 June 1941, contravening the Hitler-Stalin non-aggression pact of 1939, three million German troops attacked the Soviet Union in Operation Barbarossa. The invasion seized a huge area, including the Baltic states, Belarus, and Ukraine. However, the German advance was stopped barely short of Moscow in December 1941 by the Russian Winter and fierce Soviet resistance.
With generals Keitel, Paulus and von Brauchitsch, discussing the situation on the Eastern Front in October 1941
Soviet troop concentrations on Germany's western border in the spring of 1941 may have prompted Hitler to engage in a Flucht nach vorn ("flight forward") to get in front of an inevitable conflict. Viktor Suvorov, Ernst Topitsch, Joachim Hoffmann, Ernst Nolte, and David Irving have argued that the official reason for Barbarossa given by the German military was the real reason—a preventive war to avert an impending Soviet attack scheduled for July 1941. This theory, however, has been faulted; American historian Gerhard Weinberg once compared the advocates of the preventive war theory to believers in "fairy tales".
The Wehrmacht invasion of the Soviet Union reached its peak on 2 December 1941, when the 258th Infantry Division advanced to within 15 miles (24 km) of Moscow, close enough to see the spires of the Kremlin. However, they were not prepared for the harsh conditions of the Russian winter, and Soviet forces drove back German troops over 320 kilometres (200 mi).
On 7 December 1941 Japan attacked Pearl Harbor, Hawaii. Four days later, Hitler's formal declaration of war against the United States engaged Germany in war against a coalition that included the world's largest empire (the British Empire), the world's greatest industrial and financial power (the United States), and the world's largest army (the Soviet Union).
Hitler during his speech to the Reichstag opposing the actions of American President Franklin D. Roosevelt, 11 December 1941
On 18 December 1941 Himmler met with Hitler, and in response to Himmler's question "What to do with the Jews of Russia?", Hitler replied "als Partisanen auszurotten" ("exterminate them as partisans"). Israeli historian Yehuda Bauer has commented that the remark is probably as close as historians will ever get to a definitive order from Hitler for the genocide carried out during the Holocaust.
In late 1942 German forces were defeated in the second battle of El Alamein, thwarting Hitler's plans to seize the Suez Canal and the Middle East. In February 1943 the Battle of Stalingrad ended with the destruction of the German Sixth Army. Thereafter came a decisive defeat at the Battle of Kursk. Hitler's military judgment became increasingly erratic, and Germany's military and economic position deteriorated along with Hitler's health. Kershaw and others believe that Hitler may have suffered from Parkinson's disease.
Following the allied invasion of Sicily (Operation Husky) in 1943, Mussolini was deposed by Pietro Badoglio, who surrendered to the Allies. Throughout 1943 and 1944, the Soviet Union steadily forced Hitler's armies into retreat along the Eastern Front. On 6 June 1944 the Western Allied armies landed in northern France in what was one of the largest amphibious operations in history, Operation Overlord. As a result of these significant setbacks for the German army, many of its officers concluded that defeat was inevitable and that Hitler's misjudgement or denial would drag out the war and result in the complete destruction of the country. Several high-profile assassination attempts against Hitler occurred during this period.
The destroyed 'Wolf's Lair' barracks after the 20 July plot
Between 1939 and 1945 there were many attempts or plans to assassinate Hitler, some of which proceeded to significant degrees. The most well-known attempt came from within Germany during World War II and was at least partly driven by the increasing prospect of a German defeat in the war. In July 1944, in the 20 July plot, part of Operation Valkyrie, Claus von Stauffenberg planted a bomb in one of Hitler's headquarters, the Wolfsschanze (Wolf's Lair) at Rastenburg. Hitler narrowly survived because someone had unknowingly pushed the briefcase that contained the bomb behind a leg of the heavy conference table. When the bomb exploded, the table deflected much of the blast away from Hitler. Later, Hitler ordered savage reprisals resulting in the execution of more than 4,900 people.
Defeat and death
By late 1944, the Red Army had driven the German army back into Western Europe, and the Western Allies were advancing into Germany. After being informed of the failure of his Ardennes Offensive, Hitler realised that Germany was going to lose the war. His hope, buoyed by the death of Franklin D. Roosevelt on 12 April 1945, was to negotiate peace with America and Britain. Acting on his view that Germany's military failures had forfeited its right to survive as a nation, Hitler ordered the destruction of all German industrial infrastructure before it could fall into Allied hands. Execution of this scorched earth plan was entrusted to arms minister Albert Speer, who quietly disobeyed the order.
Hitler celebrated his 56th birthday on 20 April in the Führerbunker ("Führer's shelter") below the Reichskanzlei (Reich Chancellery) gardens. By 21 April, Georgi Zhukov's 1st Belorussian Front had broken through the last defences of German General Gotthard Heinrici's Army Group Vistula during the Battle of the Seelow Heights and advanced into the outskirts of Berlin.[265] In denial about the increasingly dire situation, Hitler placed his hopes on the units commanded by Waffen SS General Felix Steiner, the Armeeabteilung Steiner ("Army Detachment Steiner"). Hitler ordered Steiner to attack the northern flank of the salient and the German Ninth Army, was ordered to attack northward in a pincer attack.
During a military conference on 22 April, Hitler asked about Steiner's offensive. After a long silence, Hitler was told that the attack had never been launched and that the Russians had broken through into Berlin. This news prompted Hitler to ask everyone except Wilhelm Keitel, Hans Krebs, Alfred Jodl, Wilhelm Burgdorf, and Martin Bormann to leave the room. Hitler then launched a tirade against the treachery and incompetence of his commanders, culminating in his declaration—for the first time—that the war was lost. Hitler announced that he would stay in Berlin until the end and then shoot himself.
Joseph Goebbels made a proclamation on 23 April urging the citizens of Berlin to courageously defend the city. That same day, Göring sent a telegram from Berchtesgaden in Bavaria, arguing that since Hitler was cut off in Berlin, he, Göring, should assume leadership of Germany. Göring set a time limit, after which he would consider Hitler incapacitated. Hitler responded angrily by having Göring arrested, and when writing his will on 29 April, he removed Göring from all his positions in the government.
Berlin became completely cut off from the rest of Germany. On 28 April, Hitler discovered that Himmler was trying to discuss surrender terms with the Western Allies. He ordered Himmler's arrest and had Hermann Fegelein (Himmler's SS representative at Hitler's HQ in Berlin) shot.
Front page of the U.S. Armed Forces newspaper, Stars and Stripes, 2 May 1945
After midnight on 29 April, Hitler married Eva Braun in a small civil ceremony in a map room within the Führerbunker. Antony Beevor stated that after Hitler hosted a modest wedding breakfast with his new wife, he then took secretary Traudl Junge to another room and dictated his last will and testament. The event was witnessed and documents signed by Hans Krebs, Wilhelm Burgdorf, Joseph Goebbels, and Martin Bormann. Later that afternoon, Hitler was informed of the assassination of Italian dictator Benito Mussolini, which presumably increased his determination to avoid capture.
On 30 April 1945, after intense street-to-street combat, when Soviet troops were within a block or two of the Reich Chancellery, Hitler and Braun committed suicide; Braun bit into a cyanide capsule and Hitler shot himself with his 7.65 mm Walther PPK pistol. Hitler had at various times contemplated suicide, and the Walther was the same pistol that his niece, Geli Raubal, had used in her suicide in 1931.
The lifeless bodies of Hitler and Eva Braun were carried up the stairs and through the bunker's emergency exit to the bombed-out garden behind the Reich Chancellery, where they were placed in a bomb crater and doused with petrol. The corpses were set on fire and the Red Army shelling continued.
Berlin surrendered on 2 May, and there were conflicting reports about what happened to Hitler's remains. Records in the Soviet archives—obtained after the fall of the Soviet Union—showed that the remains of Hitler, Eva Braun, Joseph and Magda Goebbels, the six Goebbels children, General Hans Krebs, and Hitler's dogs, were repeatedly buried and exhumed.
On 4 April 1970 a Soviet KGB team with detailed burial charts secretly exhumed five wooden boxes which had been buried at the SMERSH facility in Magdeburg. The remains from the boxes were thoroughly burned and crushed, after which the ashes were thrown into the Biederitz river, a tributary of the nearby Elbe.
Legacy
Outside the building in Braunau am Inn, Austria, where Adolf Hitler was born, is a memorial stone warning of the horrors of World War II. Loosely translated, it reads:
For peace, freedom and democracy never again fascism millions of dead remind [us]"
Hitler's policies and orders resulted in the death of approximately 40 million people,[286] including about 27 million in the Soviet Union. The actions of Hitler, and Hitler's ideology, Nazism, are almost universally regarded as gravely immoral. Historians, philosophers, and politicians have often applied the word "evil" to describe Hitler's ideology and its outcomes. In Germany and Austria, the denial of the Holocaust and the display of Nazi symbols such as swastikas are prohibited by law.
Following World War II, the toothbrush moustache fell out of favour in the West because of its strong association with Hitler, which earned it the nickname "Hitler moustache". The use of the name "Adolf" declined in post-war years.
Former Egyptian President Anwar El Sadat spoke of his 'admiration' of Hitler in 1953, when he was a young man, but it is possible that Sadat's views were shaped mainly by his anti-British sentiments. Bal Thackeray, leader of the right-wing Hindu nationalist Shiv Sena party in the Indian state of the Maharashtra, declared in 1995 that he was an admirer of Hitler. German historian Friedrich Meinecke said that Hitler's life "is one of the great examples of the singular and incalculable power of personality in historical life".
Religious views
Hitler's parents were Roman Catholics, but after leaving home he never attended Mass or received the sacraments. He favoured aspects of Protestantism that suited his own views, but adopted some elements of the Catholic Church's hierarchical organisation, liturgy, and phraseology in his politics. After his move to Germany, Hitler did not leave his church. Historian Richard Steigmann-Gall concludes that he "can be classified as Catholic", but that "nominal church membership is a very unreliable gauge of actual piety in this context."
In public, Hitler often praised Christian heritage and German Christian culture, and professed a belief in an "Aryan" Jesus Christ—a Jesus who fought against the Jews. He spoke of his interpretation of Christianity as a central motivation for his antisemitism, stating that "As a Christian I have no duty to allow myself to be cheated, but I have the duty to be a fighter for truth and justice." In private, Hitler was more critical of traditional Christianity, considering it a religion fit only for slaves; he admired the power of Rome but maintained a severe hostility towards its teaching. Historian John S. Conway states that Hitler held a "fundamental antagonism" towards the Christian churches.
Hitler meeting Haj Amin al-Husseini, the Grand Mufti of Jerusalem. December 1941
In political relations with the church, Hitler adopted a strategy "that suited his immediate political purposes".According to a US Office of Strategic Services report, Hitler had a general plan, even before his rise to power, to destroy the influence of Christian churches within the Reich. The report titled "The Nazi Master Plan" stated that the destruction of the church was a goal of the movement right from the start, but that it was inexpedient to express this extreme position publicly. His intention, according to Bullock, was to wait until the war was over to destroy the influence of Christianity. He articulated his view on the relationship between religion and national identity as "We do not want any other god than Germany itself. It is essential to have fanatical faith and hope and love in and for Germany".
Hitler admired the Muslim military tradition, but considered Arabs as "racially inferior".[308] He believed that the racially-superior Germans, in conjunction with Islam, could have conquered much of the world during the Middle Ages. During a meeting with a Japanese professor in 1931, Hitler praised the Shinto religion and Japanese culture.
Attitude towards occultism
Some researchers suggest that Hitler did not follow esoteric ideas, occultism, or Ariosophy, and Hitler ridicules such beliefs in Mein Kampf. Others have suggested that Hitler's views, particularly on race, were strongly influenced by works that promulgated a mystical superiority of the Germans; these works included the occult and antisemitic magazine Ostara, whose publisher, Lanz von Liebenfels, claimed that Hitler had visited him in 1909 and had praised his work. Historians are divided on the question of the reliability of von Liebenfels' claim.Nicholas Goodrick-Clarke considers his account reliable, Brigitte Hamann leaves the question open, and Kershaw, although questioning the degree to which Hitler was influenced by it, notes that, "Most likely, Hitler did read Ostara, along with other racist pulp which was prominent on Vienna newspaper stands." Kershaw notes that it is usually accepted that Hitler did read and was influenced by this occult publication, pointing to Hitler's account of his conversion to antisemitism after reading antisemitic pamphlets.
Health
Researchers have suggested that Hitler suffered from irritable bowel syndrome, skin lesions, irregular heartbeat, Parkinson's disease, syphilis, and tinnitus. Theories about Hitler's medical condition are difficult to prove, and according them too much weight may have the effect of attributing many of the events and consequences of the Third Reich to the possibly impaired physical health of one individual. Kershaw feels that it is better to take a broader view of German history by examining what social forces led to the Third Reich and its policies rather than to pursue narrow explanations for the Holocaust and World War II based on only one person.
Hitler followed a vegetarian diet. At social events he sometimes gave graphic accounts of the slaughter of animals in an effort to make his dinner guests shun meat. A fear of cancer (from which his mother died) is the most widely cited reason for Hitler's dietary habits. An antivivisectionist, Hitler may have followed his selective diet out of a profound concern for animals. Martin Bormann had a greenhouse constructed near the Berghof (near Berchtesgaden) to ensure a steady supply of fresh fruit and vegetables for Hitler throughout the war. Hitler despised alcohol and was a non-smoker. He promoted aggressive anti-smoking campaigns throughout Germany. Hitler began using amphetamine occasionally after 1937 and became addicted to the drug in the fall of 1942. Albert Speer linked this use of amphetamines to Hitler's increasingly inflexible decision making (for example, never to allow military retreats).
Prescribed ninety different medications during the war years, Hitler took many pills each day for chronic stomach problems and other ailments. He suffered ruptured eardrums as a result of the 20 July plot bomb blast in 1944, and two hundred wood splinters had to be removed from his legs. Newsreel footage of Hitler shows tremors of his hand and a shuffling walk, which began before the war and worsened towards the end of his life. Morell treated Hitler with a drug that was commonly prescribed in 1945 for Parkinson's disease. Ernst-Günther Schenck and several other doctors who met Hitler in the last weeks of his life each formed a diagnosis of Parkinson's disease.
Hitler with his long-time mistress, Eva Braun, whom he married 29 April 1945
Family
To the public, Hitler promoted his own image as that of a man without a domestic life, dedicated entirely to his political mission. He met his mistress, Eva Braun, in 1929, and married her in April 1945. In September 1931 his niece, Geli Raubal, committed suicide with Hitler's gun in his Munich apartment. Geli was believed to be in a romantic relationship with him, and her death was a source of deep, lasting pain. Paula Hitler, the last living member of the immediate family, died in 1960.
Hitler in media
Hitler was a renowned orator, and honed his skills by giving speeches to military audiences in 1919 and 1920. He became adept at using populist themes targeted to his audience, including the use of popular scapegoats who could be blamed for the economic hardships of his listeners. He had personal magnetism, hypnotic blue eyes, and an exceptionally good memory, traits he used to his advantage while engaged in public speaking. Alfons Heck, a former member of the Hitler Youth, describes the reaction to a speech by Hitler: "We erupted into a frenzy of nationalistic pride that bordered on hysteria. For minutes on end, we shouted at the top of our lungs, with tears streaming down our faces: Sieg Heil, Sieg Heil, Sieg Heil! From that moment on, I belonged to Adolf Hitler body and soul".
Hitler used documentary films as another propaganda tool. He was involved and appeared in a series of films by the pioneering filmmaker Leni Riefenstahl via Universum Film AG (UFA):
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Derived from French pantomime, what is a clown with a white face, white garments, and pointed hat?
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clown | Britannica.com
Clown
Emmett Kelly
Clown, familiar comic character of pantomime and circus , known by his distinctive makeup and costume, ludicrous antics, and buffoonery, whose purpose is to induce hearty laughter. The clown, unlike the traditional fool or court jester , usually performs a set routine characterized by broad, graphic humour, absurd situations, and vigorous physical action.
Joseph Grimaldi as the clown in Harlequin Padmanada; or, The Golden Fish, …
Courtesy of the Victoria and Albert Museum, Theatre Collection, London
The earliest ancestors of the clown flourished in ancient Greece —bald-headed, padded buffoons who performed as secondary figures in farces and mime, parodying the actions of more serious characters and sometimes pelting the spectators with nuts. The same clown appeared in the Roman mime, wearing a pointed hat and a motley patchwork robe and serving as the butt for all the tricks and abuse of his fellow actors.
Clowning was a general feature of the acts of medieval minstrels and jugglers, but the clown did not emerge as a professional comic actor until the late Middle Ages , when traveling entertainers sought to imitate the antics of the court jesters and the amateur fool societies, such as the Enfants san Souci , who specialized in comic drama at festival times. The traveling companies of the Italian commedia dell’arte developed one of the most famous and durable clowns of all time, the Arlecchino, or Harlequin , some time in the latter half of the 16th century, spreading his fame throughout Europe. The Harlequin began as a comic valet, or zany, but soon developed into an acrobatic trickster, wearing a black domino mask and carrying a bat or noisy slapstick , with which he frequently belaboured the posteriors of his victims.
The English clown was descended from the Vice character of the medieval mystery plays, a buffoon and prankster who could sometimes deceive even the Devil. Among the first professional stage clowns were the famous William Kempe and Robert Armin , both of whom were connected with Shakespeare’s company. Traveling English actors of the 17th century were responsible for the introduction of stage clowns to Germany, among them such popular characters as Pickelherring, who remained a German favourite until the 19th century. Pickelherring and his confederates wore clown costumes that have hardly changed to this day: oversized shoes, waistcoats, and hats, with giant ruffs around their necks.
Similar Topics
fool
The traditional whiteface makeup of the clown is said to have been introduced with the character of Pierrot (or Pedrolino ), the French clown with a bald head and flour-whitened face who first appeared during the latter part of the 17th century. First created as a butt for Harlequin, Pierrot was gradually softened and sentimentalized. The pantomimist Jean-Baptiste-Gaspard Deburau took on the character in the early 19th century and created the famous lovesick, pathetic clown, whose melancholy has since remained part of the clown tradition.
The earliest of the true circus clowns was Joseph Grimaldi , who first appeared in England in 1805. Grimaldi’s clown, affectionately called “Joey,” specialized in the classic physical tricks, tumbling , pratfalls, and slapstick beatings. In the 1860s a low-comedy buffoon appeared under the name of Auguste, who had a big nose, baggy clothes, large shoes, and untidy manners. He worked with a whiteface clown and always spoiled the latter’s trick by appearing at an inappropriate time to foul things up.
Grock (Adrien Wettach) was a famous whiteface pantomimist. His elaborate melancholy resembled that of Emmett Kelly , the American vagabond clown. Bill Irwin maintained the tradition in performances billed as “new vaudeville,” while Dario Fo , an Italian political playwright, carried the torch in a more dramatic context , through both his plays and his personal appearance.
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Pierrot
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Teams competing in what famous annual July event include THC, Movistar, Leopard, BMC and Quick-Step?
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Clowns : definition of Clowns and synonyms of Clowns (English)
This article is about the comic performer. For other uses, see Clown (disambiguation) .
A typical circus clown
Clowns are comic performers stereotypically characterized by the grotesque image of the circus clown 's colored wigs, stylistic makeup, outlandish costumes, unusually large footwear, and red nose, which evolved to project their actions to large audiences. Other less grotesque styles have also developed, including theatre, television, and film clowns. Peter Berger writes that "It seems plausible that folly and fools, like religion and magic, meet some deeply rooted needs in human society". [1] For this reason, clowning is often considered an important part of training as a physical performance discipline, partly because tricky subject matter can be dealt with, but also because it requires a high level of risk and play in the performer. [2]
The humour in clowning comes from the self deprecating actions of the performer, rather than the audience laughing with the performer as is common with other forms of comedy .
The term coulrophobia has been coined to describe those individuals who report a fear of clowns. [3]
Contents
6 References
History of clowns
This section needs additional citations for verification . Please help improve this article by adding citations to reliable sources . Unsourced material may be challenged and removed .
(June 2010)
The most ancient clowns have been found in the Fifth dynasty of Egypt , around 2400 BCE. [4] Contrary to court jests, clown have traditionally served a socio-religious and psychological role, and traditionally the role of priest and clown have been held by the same persons. [4] [5] [6] [7]
Clowning was developed from a broad tradition of historical performances, and it is difficult to point out a singular tradition or even a few different ones as being the primary precursors to clowns.[ citation needed ] However there are a few past prominent forms of entertainment contemporarily linked to clowning as its possible antecedents.
Examples of historical, clown-like comedic performers have been the pantomimus in ancient Greece , the Lazzi of Commedia dell'Arte , bouffons , court jesters , as well as the French mime tradition. On top of this there are many non-European clowning traditions (including clown-like figures in Japanese Kabuki theatre), North American native shaman traditions to consider which may or may not have influenced what we now think of as a clown in the Western world .
Principal types
Whiteface
A clown with some classic whiteface characteristics; full whiteface, extravagant clothes
A whiteface character does not always wear the classic whiteface makeup.[ citation needed ] Additionally, a character can wear traditional whiteface makeup and be an auguste.
Classic appearance. Traditionally, the whiteface clown uses "clown white" makeup to cover his or her entire face and neck with none of the underlying flesh color showing. In the European whiteface makeup, the ears are painted red. Features, in red and black, are delicate. He or she is traditionally costumed far more extravagantly than the other two clown types, sometimes wearing the ruffled collar and pointed hat which typify the stereotypical "clown suit".
Character. The whiteface character-type is often serious, all-knowing (even if not particularly smart), bossy and cocky. He is the ultimate authority figure. He serves the role of "straight-man" and sets up situations that can be turned funny.
America's first great white faced clown was stage star George "G.L." Fox . Following in the footsteps of legendary English Joseph Grimaldi, Fox popularised the Humpty Dumpty stories throughout the land in the first half of the 19th century.
Some circus examples include Pipo Sossman, François Fratellini (the Fratellini family), Felix Adler , Paul Jung, Harry Dann, Chuck Burnes, Albert White, Ernie Burch , Bobby Kaye, Jack and Jackie LeClaire, Joe and Chester Sherman, Keith Crary, Charlie Bell, Tim Tegge, Kenny Dodd, Frankie Saluto, Tammy Parish, David Konyot (Circus Barum and The Toni Alexis trio), Jay Stewart and Prince Paul Albert.
Auguste
Typical aspects of an Auguste; white muzzle and eyes
Appearance
The auguste face base makeup color is a variation of pink, red, or tan rather than white. Features are exaggerated in size and are typically red and black in color. The mouth is thickly outlined with white (called the muzzle) as are the eyes. The auguste is dressed (appropriate to character) in either well-fitted garb or in a costume that does not fit – either oversize or too small is appropriate. Bold colors, large prints or patterns, and suspenders often characterize auguste costumes.
Character
The auguste character-type is often an anarchist, a joker, or a fool. He is clever and has much lower status than the whiteface. Classically the whiteface character instructs the auguste character to perform his bidding. The auguste has a hard time performing the given task which leads to funny situations. Sometimes the auguste plays the role of an anarchist and purposefully has trouble following the whiteface's directions. Sometimes the auguste is confused or is foolish and is screwing up less deliberately.
The contra-auguste
The contra-auguste plays the role of the mediator between the whiteface character and the auguste character. He has a lower status than the whiteface but a higher status than the auguste. He aspires to be more like the whiteface and often mimics everything the whiteface does to try to gain approval. If there is a contra-auguste character, he often is instructed by the whiteface to correct the auguste when he is doing something wrong.
Character clown
The character clown adopts an eccentric character of some type, such as a butcher, a baker, a policeman, a housewife or hobo . Prime examples of this type of clown are the circus tramps Otto Griebling and Emmett Kelly . Red Skelton , Harold Lloyd , Buster Keaton , and Charlie Chaplin would all fit the definition of a character clown.
The character clown makeup is a comic slant on the standard human face. Their makeup starts with a flesh tone base and may make use of anything from glasses, mustaches and beards to freckles, warts, big ears or strange haircuts.
North American
Emmet Kelly
The most prevalent character clown in the American circus is the hobo, tramp or bum clown. There are subtle differences in the American character clown types. The primary differences among these clown types is attitude. According to American circus expert Hovey Burgess, they are (in order of class):
The Hobo Migratory and finds work where he travels. Down on his luck but maintains a positive attitude.
The Tramp Migratory and does not work where he travels. Down on his luck and depressed about his situation.
The Bum Non-migratory and non-working.
], Jojo Lewis, Abe Goldstein, Rhum , David Larible, Scott Linker, Kenny Raskin, Oleg Popov , Rik Gern, and Bello Nock .[ citation needed ]
Native American clowning
Many native tribes have a history of clowning. The Canadian Clowning method developed by Richard Pochinko and furthered by his former apprentice, Sue Morrison , combines European and Native American clowning techniques.
In this tradition, masks are made of clay while the creator's eyes are closed. A mask is made for each direction of the medicine wheel . During this process, the clown creates a personal mythology which explores his or her personal experiences and innocences.
Rodeo clown
A rodeo clown is a cowboy , or animal wrangler , dressed in wild costumes. They are used in bull riding riding competitions where their primary job is to distract the bull from the rider when the rider dismounts either at the conclusion of the ride (typically 8 seconds) or by being thrown before the conclusion of the ride. Rodeo clowns are also referred to as bull fighters and cowboy protection within rodeo circles. Rodeo clowns usually work in pairs or in threes and move towards the bull, waving and yelling to attract the bull's attention to themselves as soon as a bull rider dismounts or is thrown from the bull. This action allows the rider to escape to safety. In situations where a rider becomes entangled and unable to free him or herself from the bull, the rodeo clowns put themselves at risk by rushing to the bull and placing themselves between the bull's horns and rider while at the same time attempting to free the rider from bull. Many modern rodeos will showcase rodeo clowns by featuring them in a segment separate from bull riding where the clowns demonstrate their bull fighting prowess by directly confronting bulls, jumping over them and using other specialized evasive maneuvers.
Commedia dell'Arte
(*see Harlequinade )
Archetypal Pierrot and Harlequin as painted by Paul Cézanne
There are two distinct types of clown characters, which originated in Commedia dell'Arte but which still hold some favor today, Pierrot and Harlequin.
Pierrot/Pirouette. Derived from the commedia dell'arte character Pedrolino – the youngest actor of the troupe, deadpan and downtrodden. Although Pedrolino appeared without mask, Pierrot usually appears in whiteface, typically with very little other color on the face. Like Arlecchino, Pedrolino's character changed enormously with the rising popularity of pantomime in the late 19th century, becoming Pierrot. This clown character prefers black and white or other a simple primary color in his or her costume. (le Pierrot is often female, and has also been called "Pirouette" or "Pierrette". When Bernard Delfont was made a life peer , he chose "Pierrot and Pierrette" as the heraldic supporters of his coat of arms .).
The tragic Robert Hunter song "Reuben and Cerise" mentions Pirouette twice, in symbolic colors:
...Cerise was dressing as Pirouette in white
when a fatal vision gripped her tight
Cerise beware tonight...
Cerise is Reuben's "true love", but Ruby Claire was a temptress:
...Sweet Ruby Claire at Reuben stared
At Reuben stared
She was dressed as Pirouette in red
and her hair hung gently down
Both women have names which translate as "red", but Reuben's true love is dressed in pure white. The other, to whom he played his fateful song, is the "lady in red." This symbolism might imply that Reuben was Pierrot's companion, Arlecchino:
Harlequin , or Arlecchino, is a "motley" clown. In the Commedia, Arlecchino always carries a cane with which to strike the other performers, although this cane is normally taken from him by the other performers and used against him. This is believed to be the origin of the slapstick form of comedy. A slapstick (battacio in Italian ), is a prop with two flat flexible wooden pieces mounted in parallel so that the two sticks slap together when the implement is struck, causing a slapping sound, exaggerating the effect of a comedic blow. Despite the slapstick, Arlecchino is not malicious, but mischievous, the slapstick being a classic example of carnivalesque phallic imagery (see also the commedia masks' noses).
Like a cross between the characters of Puck and Nick Bottom in A Midsummer Night's Dream , Arlecchino is nimble and adept at the same time as being clumsy and dim, and is normally the 'messenger' character in a comedy — the catalyst for mayhem.
Arlecchino has a female counterpart, Arlecchina, or Rosetta, but more often he is in love with the character of Columbina, a straightforward and intelligent maid, who is usually given the prologue and epilogue.
Arlecchino has other derivatives with slightly different features: Traccagnino, Bagattino, Tabarrino, Tortellino, Naccherino, Gradelino, Mezzettino, Polpettino, Nespolino, Bertoldino, Fagiuolino, Trappolino, Zaccagnino, Trivellino, Passerino, Bagolino, Temellino, Fagottino, Fritellino, Tabacchino, whose names could all be considered funny-sounding names , even to an Italian . Arlecchino's name is probably derived from "hellech" plus the diminutive suffix "-ino", meaning little devil. In the same way, "Trufflino" is "Little Truffler", Trivellino is (Arlecchino's) "Little Brother", and so on. The Harlequin often loses much of Arlecchino's character in pantomime, as he becomes more of a ballet character, to a large extent stripped of dialogue and subversive content.
Joseph Grimaldi was the most celebrated of English clowns, his performances made this character central in British harlequinades.
Clowning terminology
This unreferenced section requires citations to ensure verifiability .
Egg Register
When clowns join Clowns International in England, which claims to be the oldest clown society in the world, they register their individual make-up patterns in the "Egg Gallery". Eggshells are decorated as replicas of the clown's heads, and act as sort of clown copyright for the make-up designs. When a clown dies, his egg is smashed.
Skills
The Clown and the tightrope walker .
In the circus, a clown might perform another circus role:
Walk a tightrope, a highwire, a slack rope or a piece of rope on the ground.
Ride a horse , a zebra , a donkey , an elephant or even an ostrich .
Substitute himself in the role of "lion tamer".
Act as "emcee", from M.C. or Master of Ceremonies , the preferred term for a clown taking on the role of "Ringmaster".
"Sit in" with the orchestra , perhaps in a "pin spot" in the center ring, or from a seat in the audience.
Anything any other circus performer might do. It is not uncommon for an acrobat , a horse-back rider or a lion tamer to secretly stand in for the clown, the "switch" taking place in a brief moment offstage.
Frameworks
Frameworks are the general outline of an act that clowns use to help them build out an act. Frameworks can be loose, including only a general beginning and ending to the act, leaving it up to the clown's creativity to fill in the rest, or at the other extreme a fully developed script that allows very little room for creativity.
Shows are the overall production that a clown is a part of, it may or may not include elements other than clowning, such as in a circus show. In a circus context, clown shows are typically made up of some combination of Entrées, Side dishes, Clown Stops, Track Gags, Gags and bits.
Joey, the Auguste and the ringmaster
In clown duos, Clowns often rely on the Joey & Auguste framework, or Manipulator/Victim. The Ringmaster relationship is the addition of an ur-manipulator, or ur-victim to this chemistry. This often takes the form of a mutual enemy or nemesis. An example of this situation might be as follows:
A husband comes home late, he's drunk, and has a collar covered in lipstick. His wife wants to know where he's been and a manipulator-victim relationship occurs. Suddenly their child enters the scene and the dynamic changes in an attempt to avoid traumatizing him/her. The child wants to know why there's a strange man in their bedroom, and the manipulator-victim dymnamic shifts during the next argument. Then it turns out that the child has constructed this elaborate ruse in order to steal cookies and watch late-night TV without notice, giving him ur-manipulator status.
This is an example of a ringmaster situation. Clowns in the ringmaster position are often character clowns, where Joey and Auguste duos are typically made up of a Whiteface Clown and an Auguste.
Gags, bits and business
"Business" is the individual motions the clown uses, often used to express the clown's character. A "gag" is a very short piece of clown comedy which when repeated within a bit or routine may become a "running gag". Gags may be loosely defined as "the jokes clowns play on each other". Bits are the clown's sketches or routines made up of one or more gags either worked out and timed before going on stage or impromptu bits composed of familiar improvisational material. A gag may have a beginning, a middle and an end to them, or they may not. Gags can also refer to the prop stunts/tricks or the stunts that clowns use, such as a squirting flower.
Menu
Entrées are feature clowning acts lasting 5–10 minutes. They are typically made up of various gags and bits, and usually use a clowning framework. Entrées almost always end with a blow-off. (The blow-off is the comedic ending of a show segment, bit, gag, stunt or routine.)
Side dishes are shorter feature acts. Side dishes are essentially shorter versions of the Entrée, typically lasting 1–3 minutes. Side dishes are typically made up of various gags and bits, and usually use a clowning framework. Side dishes almost always end with a blow-off.
Interludes
"Clown Stops" or "interludes" are the brief appearances of clowns while the props and rigging are changed. These are typically made up of a few gags or several bits. Clown Stops almost always end with a blow-off. Clown stops will always have a beginning, a middle and an end to them. These are also called reprises or run-ins by many and in today's circus they are an art form in themselves, originally they were bits of "business" usually parodying the act that had preceded it. If for instance there had been a wire walker the reprise would involve two chairs with a piece of rope between and the clown trying to imitate the artiste by trying to walk between them with the resulting falls and cascades bringing laughter from the audience. Today they are far more complex and in many modern shows the clowning is a thread that links the whole show together.
Prop stunts
Among the more well-known clown stunts are: squirting flower; the " too-many-clowns-coming-out-of-a-tiny-car " stunt; doing just about anything with a rubber chicken , tripping over ones own feet (or an air pocket or imaginary blemish in the floor), or riding any number of ridiculous vehicles or " clown bikes ". Individual prop stunts are generally considered to be individual bits.
Fear of clowns
Main article: coulrophobia
A depiction of an evil clown , a character depicted in the media, which might cause anxiety to someone with coulrophobia
The term coulrophobia has been proposed to denote an abnormal, exaggerated, or irrational fear of clowns. The term is of recent use but is not commonly used in psychology , and according to one analyst, "has been coined more on the Internet than in printed form because it does not appear in any previously published, psychiatric, unabridged, or abridged dictionary". [8] In particular, the term is not recognised as a specific disorder by the American Psychiatric Association in its latest categorisation of disorders , nor is it recognised by the World Health Organisation as a valid disorder.
It is common for children to be afraid of disguised, exaggerated, or costumed figures—even Santa Claus.[ citation needed ] Ute myths feature a cannibalistic clown monster called the Siats.[ citation needed ] In the Space To Care study aimed at improving hospital design for children, researchers from the University of Sheffield polled 250 children regarding their opinions on clowns; [9] all 250 children in the study, whose ages ranged between four and sixteen, reported that they found clowns frightening and disliked clowns as part of hospital decor. [10] [11]
Clown costumes tend to exaggerate the facial features and some body parts, such as hands and feet and noses. This can be read as monstrous or deformed as easily as it can be read as comical. Some have suggested, however, that a fear of clowns may stem from early childhood experience, when infants begin to process and make sense of facial features.[ citation needed ] The significant aberrations in a clown's face may frighten a child so much that they carry this phobia throughout their adult life.[ citation needed ]
The British arts and music festival Bestival cancelled its planned clown theme in 2006 after many adult ticketholders contacted the organizers expressing a fear of clowns. [12]
See also
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Seismic refers to what natural effect?
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Seismic | Define Seismic at Dictionary.com
seismic
[sahyz-mik, sahys-] /ˈsaɪz mɪk, ˈsaɪs-/
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adjective
1.
pertaining to, of the nature of, or caused by an earthquake or vibration of the earth, whether due to natural or artificial causes.
Origin of seismic
Examples from the Web for seismic
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Contemporary Examples
But both are merely incremental moves on the seismic shift that is violently shaking up the media world today.
In the process of breaking, vibrations called “seismic waves” are generated.
Earthquakes Kaye M. Shedlock
One received the impression that a seismic disturbance might awaken some show of emotion, but design—never.
British Dictionary definitions for seismic
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adjective
1.
relating to or caused by earthquakes or artificially produced earth tremors Also (less commonly) seismical (ˈsaɪzmɪkəl)
2.
of enormous proportions or having highly significant consequences: seismic social change
Derived Forms
Collins English Dictionary - Complete & Unabridged 2012 Digital Edition
© William Collins Sons & Co. Ltd. 1979, 1986 © HarperCollins
Publishers 1998, 2000, 2003, 2005, 2006, 2007, 2009, 2012
Word Origin and History for seismic
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seismic
(sīz'mĭk)
Relating to an earthquake or to other tremors of the Earth, such as those caused by large explosions.
The American Heritage® Science Dictionary
Copyright © 2002. Published by Houghton Mifflin. All rights reserved.
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Earthquakes and Faults | WA - DNR
Earthquakes and Faults
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This map shows areas of seismic risk from high (red) to low (grayish-green) and is from a 2007 report on the seismic design categories in Washington. Clicking on the map will download the publication.
Earthquakes occur nearly every day in Washington. Most are too small to be felt or cause damage. Large earthquakes are less common but can cause significant damage to the things we count on in everyday life, such as buildings, roads, bridges, dams, and utilities.
Washington has the second highest risk in the U.S. of these large and damaging earthquakes because of its geologic setting. Read more below to learn about how and where earthquakes occur, what to do before, during, and after an earthquake, and what scientists are doing to learn more about them.
WHAT WE DO
The mission of the Washington Division of Geology and Earth Resources is to collect, develop, use, distribute, and preserve geologic information to promote the safety, health, and welfare of the citizens, protect the environment, and support the economy of Washington.
Develop and publish hazard maps
The Division has developed several types of hazard maps for different types of earthquake- and fault-related hazards:
The Earthquake Hazards Scenario Catalog contains loss estimates for a suite of earthquake scenarios. These scenarios were selected to represent reasonable estimates of the most serious earthquake hazards everywhere in Washington as a basis for planning.
Liquefaction susceptibility maps outline areas where water-saturated sandy soil loses strength during earthquake shaking.
NEHRP (National Earthquake Hazards Reduction Program) site class maps outline areas where soils amplify ground shaking.
Seismic Design Category Maps for Residential Construction were developed and published in 2007.
Active fault maps compile all of the most recent geologic mapping in one state-wide map.
The maps are used by state and local governments to develop and update hazard-mitigation and response plans, and to mark geologically hazardous areas.
Please visit our Geologic Information Portal and Geologic Hazard Maps page for the most up-to-date listing of all of our hazard maps.
Find and learn about faults
The Division conducts and publishes geologic mapping to identify and characterize faults throughout the state. The publication Faults and Earthquakes in Washington State is a state-wide compilation of active faults and folds. Each year we map additional areas and learn more about existing faults and (or) discover new ones.
Work to increase public understanding
The Division works to increase public and scientific understanding of fault and earthquake hazards in our state. We work closely with the Washington Emergency Management Division, the Washington Seismic Safety Committee, and the Federal Emergency Management Agency to ensure that the best-available science is used in the development of hazard mitigation plans. In addition, the Division performs seismic safety evaluations of schools.
Consider subscribing to our blog, Washington State Geology News , to receive notifications when new information is published. Also check out Ear to the Ground , published by the Department of Natural Resources.
WHAT TO DO BEFORE, DURING, AND AFTER AN EARTHQUAKE
Large earthquakes are likely to happen in Washington during your lifetime. Most of the populated areas of the state have a 40–80% chance of having an earthquake in the next 50 years. The most important thing you can do before the next earthquake is to prepare. An earthquake can be a scary event. The more you know what to expect, the better prepared you will be to help yourself, your family, and others around you.
Before an earthquake
During an earthquake
After an earthquake
Know what to expect. Electricity, water, natural gas, and phones may not work. This means that the internet, your cell phone, grocery stores, and gas stations may also not work.
Prepare to be on your own for at least three days.
Make an emergency response plan for you and your family.
Identify and secure items in your home or work that could cause damage. This might include flammable appliances like a water heater, tall items like book cases, or heavy pictures.
Know what other hazards you might face. Earthquakes can trigger landslides and tsunamis which can happen after the main event. Both of these things can cause equal or greater damage than the actual earthquake.
Participate in the yearly Great ShakeOut earthquake drills. These drills occur on the 3rd Thursday of every October. They are a great way to practice what to do when an earthquake happens.
Consider whether earthquake insurance is right for you.
When an earthquake happens there will not be time to google what you are supposed to do.
Drop to your hands and knees. Cover your head and neck with your arms to protect against falling debris. Hold on to any sturdy shelter until the shaking stops.
Stay away from glass, windows, outside doors and walls, and anything that could fall down.
If you are in bed: STAY there and COVER your head and neck with a pillow.
DO NOT get in a doorway. Doorways do not provide protection from falling or flying objects and you may not be able to remain standing.
Stay inside until the shaking stops and it is safe to go outside. Do not exit a building during the shaking. Most injuries occur when people inside change rooms or try to leave the building.
DO NOT use the elevators.
If you're outdoors
Move away from buildings, streetlights, and utility wires if you can.
Once in the open, Drop, Cover, and Hold On. STAY THERE until the shaking stops.
If you're in a moving vehicle
Stop as quickly as safety permits and stay in the vehicle. Avoid stopping near or under buildings, trees, overpasses, or utility wires.
Proceed cautiously once the earthquake has stopped. Roads, bridges, or ramps may have been damaged by the earthquake.
Once the shaking has stopped, exit the building if it is safe to do so.
Expect aftershocks. After a large earthquake it is common to have other large earthquakes for hours, days, and even weeks. Drop, Cover, and Hold On whenever you feel shaking.
Expect and help to extinguish fires. Small fires are the most common hazard after an earthquake. Never use a lighter or match near damaged areas.
Evacuate to higher ground if you are near a large body of water. Tsunamis are a common result of large earthquakes in Washington.
Seek out emergency information.
The Safe America Foundation suggests texting as a way of communication. If everyone tries to use their cell phones, it can overload the system.
Help others.
ACTIVE FAULTS AND FUTURE EARTHQUAKES
Active faults
How geologists find faults
What is an 'active' fault?
The term ‘active’ can have different meanings. At the Washington Division of Geology and Earth Resources, ‘active’ means that a fault has evidence for movement within the Holocene time period (since about 12,000 years ago). It usually also means that there are earthquakes (even small ones) on the fault.
This diagram shows the many types of active faults and the general location of past earthquakes in Washington.
Active faults in Washington
Washington has dozens of active faults and fault zones. Some of these faults are in remote areas. Others, like the Seattle fault and southern Whidbey Island fault zone, cross under major cities and pose a significant hazard.
In general, larger faults make larger earthquakes. All faults, regardless of size, can be dangerous if they rupture.
The Geologic Information Portal has a Natural Hazards theme that shows active faults and earthquakes. Click the "Seismogenic Features" button in the Map Contents window to display faults and earthquakes.
The largest fault in Washington
The largest active fault that will affect Washington (and the whole Pacific Northwest) is the Cascadia subduction zone. This fault produces some of the largest and most damaging earthquakes in the world (M9). A damaging earthquake is inevitable on this fault, but we do not know exactly when it will happen.
Have all the active faults been mapped?
Geologists are constantly trying to better understand the faults in our state. A 2014 map shows what we know about the age of faults in Washington. Many faults have not been studied enough to know if they are active. Other faults are inactive and are left over from much older periods of deformation. These older faults do not have any evidence for recent activity, but the Earth is always changing.
When will the next earthquake happen?
Large and damaging earthquakes are inevitable in Washington, but no one knows exactly when they will happen. Most of the populated areas of the state have a 40–80% chance of having an earthquake in the next 50 years.
Be prepared
The best thing you can do is to become prepared. You will not be able to google “what to do in an earthquake” when it is happening. After the earthquake, many things you count on may not be available. For example, it is unlikely that you will be able to use electricity, cell phones, or the internet. It may not be possible to find water, fuel, or food until services are restored days or even weeks after the event.
The Cascadia subduction zone
The Cascadia subduction zone last ruptured over 300 years ago on January 26, 1700. The average time between large earthquakes is about 535 years, but has been as little as 200 years, and more than 1,000 years.
The Seattle fault
The Seattle fault last ruptured about 1,100 years ago in AD 900–950. Geologists do not yet know how often earthquakes happen on this fault. We do know that it is active and will likely produce a large M6–7.5 earthquake when it next ruptures.
Other faults
There are many other active faults in Washington and any of these could produce a large earthquake in the future. There are also many faults that have not been studied enough to know if they are active. Finding and mapping these faults is an important mission of the Division of Geology and Earth Resources. Many universities and other organizations (such as Cascadia Region Earthquake Working Group and the Pacific Northwest Seismic Network) also work to understand active faults in Washington.
Finding a fault
Finding and learning about faults requires many different aspects of geology and geophysics. Finding faults and knowing how often they rupture is one of the most important tasks to keep society safe from these hazards.
Who looks for faults?
Geologists at the Division of Geology and Earth Resources spend time mapping the geology of the state, looking for faults, folds, landslides, and different rock types.
In places where there is little vegetation, different rock types and faults can be found with relative ease. In much of Washington, dense vegetation covers the land and makes finding faults very difficult.
How lidar helps geologists
One of the most important new technologies for finding faults (and landslides too) is called lidar. Lidar maps show the Earth’s surface without vegetation. These maps are created by small planes that use a specific type of laser to measure the elevation of the ground. This new method allows geologists to see through trees and vegetation to find new faults.
Use your mouse to hover over the photo to compare geologic maps with and without lidar. Lidar enhances the terrain readability—the steepness of the river channel and the identity of other geologic features instantly become obvious.
Is the fault active?
Once a fault is located, it is important to know if it is active. Most faults are considered active if they have evidence for movement (this includes earthquakes) within the past 12,000 years (the Holocene time period). This evidence can come from finding something younger than 12,000 years that has been deformed or moved by the fault.
Paleoseismoloy—the study of ancient earthquakes
People who look for evidence of past movement on faults are usually called paleoseismologists (from paleo-ancient and seismologist-one who studies earthquakes). A paleoseismologist will look for surface ruptures along faults and may use carbon-14 dating to learn when the rupture happened. Sometimes there may be a layer of volcanic ash or charcoal that has been deformed by the fault. By finding the age of the deformed layer, a paleoseismologist can determine the minimum age of the fault.
Learning about past large earthquakes
Large earthquakes, like those from the Cascadia subduction zone on January 26, 1700, often create tsunamis. The tsunamis can travel far inland and deposit layers of sand and organic material. Paleoseismologists have found places that record many of these tsunami deposits. The age of the earthquake is learned by dating the organic material in these tsunami deposits. There must be tsunami deposits of the same age along much of the Oregon and Washington coast in order to qualify as an earthquake.
Scientists have also dated large underwater landslides and turbidites that travel from the continental edge far out into the ocean basin. These large underwater slides only occur during very large earthquakes and are one way to learn about earthquakes that happened thousands of years ago.
Current and future work
Although we know much about active faults and earthquakes, there is much more to learn. In fact, new faults are found every year during our geologic mapping efforts. Even when the location of a fault is known, there is much additional work to determine how hazardous it may be. Scientists at the Washington Division of Geology and Earth Resources, the U.S. Geological Survey, universities, and many private geologic consulting firms work diligently to understand how often earthquakes happen on various faults throughout Washington.
WHAT ARE FAULTS AND EARTHQUAKES?
Faults
Aftershocks
Types of faults
Faults are features in the Earth’s crust where rock periodically breaks and moves, releasing seismic energy and creating an earthquake. Faults can be grouped based on their relative movement into three types. Each type has different kinds of earthquakes. Most faults in Washington are a mix of a strike-slip fault and a thrust or reverse fault. These combination faults are called oblique faults and include the Seattle fault, southern Whidbey Island fault zone, and Darrington–Devils Mountain fault zone.
Strike-slip faults
A strike-slip fault occurs when two blocks move past each other. The Straight Creek fault in the Cascade Range is an example of this kind of fault and has ~50–60 miles of movement across it. The San Andreas fault in California is a good example of a very active strike-slip fault.
Reverse faults
A reverse fault occurs when two blocks are pushed together and one moves up and over the other. Reverse faults are usually steep and occur in regions of compression. The Seattle fault is a good example of a fault that is mostly reverse. This means that when the Seattle fault ruptures the south side of the fault moves up relative to the north side.
Thrust faults
A thrust fault is a special kind of reverse fault that has a shallow dip. The Cascadia subduction zone along the Washington and Oregon coast is one of the biggest hazards to our state and is a good examples of this kind of fault.
Hover your mouse over the graphic to see how spreading at mid-ocean ridges causes large thrust faults at the edge of the Pacific Northwest coast. Graphic from IRIS.
Normal faults
A normal fault occurs when two blocks are pulled away from each other. Washington has few large normal faults because it is mostly in a region of compression. Small normal faults are found along the top of folds in eastern Washington in the Saddle Mountain graben. The Eastern Sierra fault along the east side of the Sierra Nevada mountains in California is a good example of an active normal fault.
Depth of faulting
Faults can also be grouped based on what part of the crust they occur in. This kind of grouping gives us information about how common earthquakes might be and how large an area may be affected. Throughout the world ‘shallow’ earthquakes generally refer to earthquakes that are less than ~45 miles deep. Earthquakes between 45 and 185 miles deep are called ‘intermediate’, and earthquakes over 185 miles deep are called ‘deep’. Geologists have used the location of these shallow, intermediate, and deep earthquakes to learn about subduction zones throughout the world.
In the Pacific Northwest we use the term ‘shallow’ to talk about faults and earthquakes less than 18 miles deep. These faults and earthquakes occur in the continental crust of North America. We use the term ‘deep’ to talk about faults and earthquakes deeper than about 18 miles. These faults and earthquakes occur in oceanic crust as it is subducted beneath the continent.
'Shallow' faults
Shallow faults produce earthquakes in the upper 18 miles (30 kilometers) of the Earth’s crust. These types of faults are common, but usually small. Larger crustal faults, such as the Seattle fault and southern Whidbey Island fault zone, can produce earthquakes up to magnitude 7.5. Earthquakes on shallow faults typically last 20 to 60 seconds and the shaking is localized to the general area of the fault. Earthquakes on faults like these may cause tsunamis in the Puget Sound region.
'Deep' faults
Deep faults can occur where two tectonic plates collide and one of the plates is forced beneath the other. The plate that is forced down can have faults within it that still rupture and produce earthquakes. These faults and earthquakes usually occur at great depth (tens to hundreds of miles). Because they rupture at such great depth, their seismic energy is distributed over a large area. This means that a large area feels the shaking, but the intensity is less than a similar shallow earthquake. The shaking usually lasts less than a minute and doesn’t generally cause a tsunami or have many aftershocks.
Hover over a cluster of earthquakes to learn about the different types in the Pacific Northwest. Graphic from IRIS.
Subduction zone faults
A special type of shallow fault, called a subduction zone or ‘megathrust’, occurs where an oceanic plate moves beneath a continental plate. The boundary between the two plates covers a large area and can lock together. Like other faults, when enough stress builds up, the ‘megathrust’ will rupture. What makes these faults ‘mega’ is that the amount of energy released is hundreds to thousands of times more than almost any other type of fault. The ground shaking from these earthquakes can last for several minutes. The 2011 Tohoku earthquake in Japan occurred on this type of fault and released enough energy to slightly change the Earth’s axis of rotation. Additionally, because the continent moves up and over the ocean plate, large amounts of sea water are displaced and cause damaging tsunamis. The Cascadia subduction zone just off the Washington coast is this kind of fault and is one of the largest geologic hazards to our state.
What Causes an Earthquake?
An earthquake occurs when rock inside the Earth moves or breaks. This movement happens because stress builds up as tectonic plates move. The process of breaking and moving rock releases a large amount of energy that travels through the Earth as seismic waves.
Some types of seismic energy (P waves) are similar to sound energy that is released if you break a twig or slide a chair across the floor. In this sense, the shaking of the ground is the ‘sound’ of rocks breaking and moving deep within the Earth. Other types of seismic energy (S waves) also travel through the earth, but they move with a side-to-side (shearing) motion.
Seismic waves travel at hundreds to thousands of miles per hour and quickly reach the surface where they are felt or measured. Sensitive seismographs located throughout the state, and all over the world, measure this seismic energy. Even if the earthquake is too small to be felt by people, seismographs can detect it. The study of seismic waves is called seismology and has allowed scientists to learn much about the internal structure of the Earth.
Nearly all earthquakes occur on faults, features in the Earth where rocks move past each other. Faults often occur at and near the boundary of large tectonic plates because the plates are moving in different directions. Faults can also occur within a tectonic plate when the plate itself is deforming.
Some faults reach the surface and can be found by geologists. Other faults may lie entirely underground, or could be covered by vegetation and (or) sediment. Both types of faults can cause ground shaking during an earthquake and may cause permanent deformation of the ground. The continued movement along faults over millions of years can build mountains, tear a continent apart, and move tectonic plates thousands of miles.
How are earthquakes measured?
Earthquakes can be measured in many ways, but the most accepted method is called ‘moment magnitude’. The Moment Magnitude Scale (M) measures the total amount of seismic energy (known as ‘moment’ to engineers and seismologists) released by an earthquake. The moment magnitude scale is a type of logarithmic scale, where each increase of 1 means ~32 times more energy is released. An increase of 2 means that ~1,000 times more energy is released. For example, a M7 earthquake releases 32 times more energy than a M6 earthquake, and 1,000 times more than a M5 earthquake.
Notable earthquakes in bold happened in Washington. The Cascadia subduction zone off the Washington and Oregon coast is capable of some of the largest earthquakes in the world. This fault will have an earthquake in the future, but we cannot predict exactly when.
The moment magnitude scale replaced the Richter scale in the late 1970’s. The Richter scale was developed in southern California in 1935 and was based on the local ground motion. This was a problem because no two locations would agree on the size of the same earthquake. Also, very large earthquakes were difficult to measure accurately. These and other problems led to the search for a scale that was based on the physical processes that happen during an earthquake.
The Mercalli Intensity scale is another historical way to measure the intensity of an earthquake. It is a qualitative scale that ranges from I–XI (1-11) and measures the amount of damage caused by an event. For earthquakes that occurred before seismographs were invented, the Mercalli Intensity scale was used to make maps of damage and determine the size and location of an earthquake.
How often do earthquakes happen?
Scientists have been trying to understand how often earthquakes happen for over 100 years. It is not yet possible to predict when a fault will have an earthquake. However, we can learn which faults are active and which are inactive. For some active faults, such as the Seattle fault or Cascadia subduction zone, we can also learn how often large earthquakes have happened in the past.
This map shows different seismic design categories that correlate with amount of seismic risk. Higher risk areas are in orange and lower risk areas are in green. This map is from a 2007 report on the seismic design categories in Washington. Clicking on the map will download the publication.
Knowing how often large earthquakes have happened in the past helps us to know how often they might occur in the future. For example, the Cascadia subduction zone has had between 15 to 19 earthquakes over the past 10,000 years. This averages to ~660 to 525 years between events, but there is a lot of variation. Some events appear to be only 200 years apart, and others are more than 1,000. The last major earthquake was over 300 years ago. The next earthquake is inevitable, but the variability makes it difficult to know exactly when.
Although we cannot predict exactly when the next earthquake will happen, we can predict the general distribution of earthquake sizes. Charles Richter and Beno Gutenberg discovered that for every magnitude of earthquake, there are about ten times more earthquakes of the next lower magnitude. For example, if there is one M7 earthquakes in an area every 1,000 years, then there will be about 10 M6 earthquakes, 100 M5 earthquakes, and 1,000 M4 earthquakes during the same 1,000 years. Since their initial discovery, research has shown that the actual number of earthquakes is somewhere between 5 and 10 for each change in magnitude. These differences are related to the overall pattern of stress in the crust, what types of rocks the crust is made from, and how many faults there are.
For each increase in earthquake magnitude, there are about 10 times fewer earthquakes.
What are aftershocks?
After large earthquakes there are usually many aftershock earthquakes. Aftershocks can be nearly as large as the main earthquake and can cause significant additional damage. These aftershocks can last for hours to weeks or months. If a large earthquake happens, be prepared for many more earthquakes.
This video from the 2011 Tohoku subduction zone earthquake shows the earthquakes before, during, and after the main M8.7 event on March 11 (at 1:50 in the video). Each of the earthquakes listed on the bottom of the screen is capable of significant damage. In the month after the main earthquake there were about 60 M7 and M6 earthquakes. Each of these aftershocks would be a significant earthquake if it happened on its own.
HOW EARTHQUAKES CAUSE DAMAGE
Earthquakes cause damage by moving and shaking the ground, sometimes for several minutes. The shaking can damage or destroy buildings and other infrastructure. Most damage and loss of life in earthquakes is a result of ground shaking. The shaking can also cause landslides, surface ruptures, ground cracks, liquefaction, tsunamis, and seiches (standing waves). The combination of all of these effects is what makes earthquakes such a powerful geologic hazard. Do you know what to do if there is an earthquake?
Ground ruptures
Landslides
Tsunamis
In this photo, visitors to Green Lake Park near Seattle, Washington, have parked their bicycles as they look at the cracks made by the April 1949 earthquake. Much of the land along the southwestern part of the lake cracked and subsided. Photo courtesy of MOHAI (neg. PI22343).
When earthquakes occur on faults that reach the Earth’s surface, the ground may rupture. Depending on the type of fault, the ground can move laterally, vertically, or a combination of both. The April 1949 Tacoma earthquake measured 7.1 on the Richter Scale and caused damage from southern Oregon to British Columbia. In Seattle, the quake damaged buildings, weakened bridges, started fires and opened cracks in the earth. One of these cracks appeared along the pathway around Green Lake.
Sometimes Geologists can use the offset land surface to understand how much the fault moved during the earthquake.
This photo shows a fence that was offset about 8.5 feet during the 1906 Great San Francisco Earthquake on the San Andreas fault. This is a very good example of a strike-slip fault. Photo by G.K. Gilbert, from the Steinbrugge Collection of the UC Berkeley Earthquake Engineering Research Center.
Even when an earthquake happens on a fault that doesn’t reach the surface, the ground can still show signs of cracking. Often this cracking happens because a soft part of the ground liquefies during the shaking. This is called liquefaction and is discussed in the next section.
The strength of ground shaking (called ‘strong motion’ by seismologists) usually decreases with distance from the earthquake source. This is similar to how sound is quieter when you move away from a speaker. Unlike sound, ground shaking can be amplified or attenuated (made less) depending on the type of material at the Earth’s surface. For example, a building on soft soil will experience more shaking than the same building on bedrock.
Ground shaking is a hazard near the epicenter of an earthquake and also in areas far from the earthquake where amplification occurs. As an example, parts of Seattle and certain areas of downtown Olympia are built on softer ground that will amplify ground shaking during an earthquake. Geologists and geophysicists at the Division of Geology and Earth Resources map out these areas of amplification to help reduce damage during an earthquake.
This car was parked on sand during the 2011 earthquake in Christchurch, New Zealand. During the shaking liquefaction occurred, the sand lost its strength, and the car sunk. After the shaking stopped the sand regained its strength. Photo from Pacific Northwest Seismic Network Seismo Blog .
Liquefaction is when wet soil or sediment loses strength because it is being shaken during an earthquake. The material becomes so weak that it behaves more like a liquid than a solid. Liquefaction has caused significant damage during earthquakes in Washington.
View of the Sunset Lake liquefaction failure about three weeks after the earthquake. Fir trees near the failure are tilted and indicate rotation into the lake (to the left of the photo). A drill rig left of the blockade is collecting data about the failure. Photo by Steve Palmer.
Many low-lying areas have wet soil or sediment beneath them that could liquefy during earthquakes. When this happens, even a very small slope can cause the ground to slide. Some parts of major cities (including Seattle, Tacoma, and Olympia) have been built on land that was ‘reclaimed’ from soft and wet tidal ocean areas. Areas like these are also susceptible to liquefaction.
Liquefaction can be a big problem. The buildings in this photo were built on soft materials that liquefied during the 1964 Niigata earthquake in Japan. The buildings sank when ground shaking weakened the underlying sediments. Photo from https://buildingfailures.files.wordpress.com/2014/02/tiltedbuilding.jpg .
Do you live or work near an area that could have liquefaction? Check out the liquefaction susceptibility and NEHRP site class maps on the Geologic Hazard Maps page .
Landslide at Salmon Beach was triggered by the 1949 Tacoma earthquake and caused a tsunami. Photo courtesy of National Center for Tsunami Research, NOAA.
Landslides can be caused by strong ground shaking during an earthquake. This kind of landslide is called an earthquake-triggered landslides. When the ground shakes during an earthquake, it moves up and down, acting like ‘additional’ gravity. This can cause landslides to occur where they wouldn’t normally happen. It can also make landslides that are much bigger than expected.
In Washington, the risk from earthquake-induced landslides is large. Many landslide-prone areas of Washington are also located near active faults. The 1949 earthquake near Tacoma triggered a landslide near the Tacoma Narrows that caused a local tsunami. Even places that are far from active faults are still at risk during a large Cascadia subduction zone earthquake. Learn about at-risk areas and become prepared.
This image shows the how the 1700 AD tsunami from the Pacific Northwest crossed the Pacific Ocean. Image from the Pacific Geoscience Center of the Natural Resources of Canada .
Tsunamis and seiches are destructive waves which can be triggered by certain types of large earthquakes. When a fault with vertical movement ruptures the ocean floor, it lifts up part of the ocean. This uplift creates a very broad wave called a tsunami. The tsunami becomes taller as the ocean becomes shallow. For example, in the open ocean a tsunami may be less than a few feet tall. Close to shore, this same wave could reach heights of 30–100 feet or more.
Tsunami waves can travel over 500 miles per hour in the open ocean. This means that a tsunami made by an earthquake on the Cascadia subduction zone will start to impact the Washington coast in less than 15 minutes. Because they can travel great distances, tsunamis generated from earthquakes across the ocean can still cause damage. The Pacific Tsunami Warning Center is located in Hawaii and is responsible for issuing alerts to all the countries that border the Pacific Ocean.
Tsunamis triggered by earthquakes usually require at least a M7 event. Because they need large earthquakes that move the ocean floor, tsunamis are most commonly made by subduction zone faults like those found off the coasts of the Pacific Northwest, Japan, and Chile. The last large earthquake on the Cascadia subduction zone was in 1700. It devastated the coast of the Pacific Northwest and sent an ‘orphan’ tsunami to Japan.
Tsunamis and seiches can also be triggered by large slides, both on land and underwater. The last earthquake on the Seattle fault (about AD 950) triggered a landslide and seiche in Lake Washington. The 1964 M9.2 Alaska earthquake created a large tsunami from the fault rupture, and many smaller tsunamis from on-land and underwater landslides.
Although both seiches and tsunamis can be large and destructive, they are created differently. A seiche is a large ‘standing wave’ caused by the resonance of a particular period of wave energy. In effect, the wave energy is ‘trapped’ by the edges of the body of water.
HISTORIC EARTHQUAKES IN WASHINGTON
Since about 1870 there have been about 15 large earthquakes (greater than M5) in the state.
Before modern record keeping, Native Americans lived in the Pacific Northwest for thousands of years. Story telling is an important part of the Native tradition and is how their history is passed down to the next generation. Within this rich oral history there are many references to events like earthquakes and tsunamis.
Scientists have used the stories from tribes along the entire Pacific Northwest coast to learn that the last large earthquake on the Cascadia subduction zone was about AD 1700. This date was confirmed by records in Japan of an ‘orphan’ tsunami and by many lines of geologic evidence.
Stories from tribes near Seattle have also helped us to learn that the last earthquake on the Seattle fault was about AD 900–950. This earthquake caused parts of Restoration Point near on Bainbridge Island to be lifted 35 feet straight up. This movement created a tsunami in Puget Sound and triggered a large landslide into Lake Washington. When the landslide hit the water it may have created a tsunami. Radiocarbon dating and other paleoseismic methods have also confirmed this date.
This interactive graphic shows major earthquakes in the Pacific Northwest. Hovering over the earthquakes will show more information about the event. Graphic from IRIS.
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i don't know
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What color/colour is a polar bear's skin?
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Fur and Skin | Polar Bears International
Polar bears are built for cold and beautifully adapted to an arctic environment. Details...
© Dick and Val Beck
Fur. Polar bears' fur consists of a dense, insulating underfur topped by guard hairs of various lengths. It is not actually white—it just looks that way.
Each hair shaft is pigment-free and transparent with a hollow core that scatters and reflects visible light, much like what happens with ice and snow.
Polar bears look whitest when they are clean and in high angle sunlight, especially just after the molt period, which usually begins in spring and is complete by late summer. Before molting, accumulated oils in their fur from the seals they eat can make them look yellow.
Skin. Polar bears have black skin under which there is a layer of fat that can measure up to 4.5 inches (11.5 centimeters) thick.
On land (or on top of the sea ice) the polar bear's thick fur coat—not its fat—prevents nearly any heat loss. In fact, adult males can quickly overheat when they run.
In the water, polar bears rely more on their fat layer to keep warm: wet fur is a poor insulator. This is why mother bears are so reluctant to swim with young cubs in the spring: the cubs just don't have enough fat.
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Black
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Which former US presidential First Lady founded a famous drug rehabilitation clinic?
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Polar Bear | National Geographic
Polar Bear
About the Polar Bear
Polar bears roam the Arctic ice sheets and swim in that region's coastal waters. They are very strong swimmers, and their large front paws, which they use to paddle, are slightly webbed. Some polar bears have been seen swimming hundreds of miles from land—though they probably cover most of that distance by floating on sheets of ice.
Arctic Adaptations
Polar bears live in one of the planet's coldest environments and depend on a thick coat of insulated fur, which covers a warming layer of fat. Fur even grows on the bottom of their paws, which protects against cold surfaces and provides a good grip on ice. The bear's stark white coat provides camouflage in surrounding snow and ice. But under their fur, polar bears have black skin—the better to soak in the sun's warming rays.
Hunting
These powerful predators typically prey on seals. In search of this quarry they frequent areas of shifting, cracking ice where seals may surface to breathe air. They also stalk ice edges and breathing holes. If the opportunity presents itself, polar bears will also consume carcasses, such as those of dead whales. These Arctic giants are the masters of their environment and have no natural enemies.
Breeding and Behavior
Females den by digging into deep snow drifts, which provide protection and insulation from the Arctic elements. They give birth in winter, usually to twins. Young cubs live with their mothers for some 28 months to learn the survival skills of the far north. Females aggressively protect their young, but receive no help from their solitary male mates. In fact, male polar bears may even kill young of their species.
Polar bears are attractive and appealing, but they are powerful predators that do not typically fear humans, which can make them dangerous. Near human settlements, they often acquire a taste for garbage, bringing bears and humans into perilous proximity.
© 1996-Thu Jan 12 22:26:49 EST 2017 National Geographic Society.
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i don't know
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The failed Mau Mau uprising of the 1950s preceded eventual independence from British colonial rule of what nation in 1963?
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Mau Mau - The Full Wiki
The Full Wiki
More info on Mau Mau
Wikis
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Note: Many of our articles have direct quotes from sources you can cite, within the Wikipedia article! This article doesn't yet, but we're working on it! See more info or our list of citable articles .
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Mau Mau Uprising
British military victory and eventual Kenyan independence
Belligerents
General Sir George Erskine
*
Sir Kenneth O'Connor (Chief Justice) Strength Unknown 10,000 regular troops (Africans and Europeans) 21,000 police, 25,000 home guard [1] Casualties and losses 10,527 killed in action; [2]
2,633 captured in action;
Security forces killed: Africans 534, Asians 3, Europeans 63;
Security forces wounded: Africans 465, Asians 12, Europeans 102;
Civilians killed: Africans 1,826 recorded, best estimates suggest a total of 50,000; [3] Asians 26; Europeans 32;
Civilians wounded: Africans 918, Asians 36, Europeans 26. [1]
Map of Kenya
The Mau Mau Uprising of 1952 to 1960 was an insurgency by Kenyans against British colonial rule. The core of the resistance was formed by members of the Kikuyu ethnic group , along with smaller numbers of Embu and Meru . The uprising failed militarily, though it hastened Kenyan independence and motivated Africans in other countries to fight against colonial rule. It created a rift between the white colonial community in Kenya and the Home Office in London that set the stage for Kenyan independence in 1963. It is sometimes called the Mau Mau Rebellion or the Mau Mau Revolt, and, in official documents, the Kenya Emergency.
The origin of the name Mau Mau for the rebel movement has never been determined. It was not coined by the movement itself — they called themselves Muingi ("The Movement"), Muigwithania ("The Understanding"), Muma wa Uiguano ("The Oath of Unity") or simply "The KCA", after the Kikuyu Central Association that created the impetus for the insurgency. Veterans of the independence movement referred to themselves as the "Land and Freedom Army" in English.
Contents
Origins of the Mau Mau uprising
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Economic deprivation of the Kikuyu
For several decades prior to the eruption of conflict, the grabbing of land by European settlers was an increasingly bitter point of contention. Most of the land appropriated was in the central highlands of Kenya , which had a cool climate compared to the rest of the country and was inhabited primarily by the Kikuyu people. Repeated, peaceful attempts by local populations to address this land appropriation were ignored or ridiculed. Professor Michael S. Coray notes that
The [colonial] administration's refusal to develop mechanisms whereby African grievances against non-Africans might be resolved on terms of equity, moreover, served to accelerate a growing disaffection with colonial rule. The investigations of the Kenya Land Commission of 1932-1934 are a case study in such lack of foresight, for the findings and recommendations of this commission, particularly those regarding the claims of the Kikuyu of Kiambu, would serve to exacerbate other grievances and nurture the seeds of a growing African nationalism in Kenya. [4]
David Anderson concurs, writing that the Morris-Carter Land Commission report of 1934 was "the stone upon which moderate African politics was broken... Militant nationalism was conceived in Kikuyu reaction to the report of the Kenya Land Commission... Opposition to the Land Commission's findings fed militancy all the more over the next twenty years as the pressures upon land within the Kikuyu reserve became greater and the settler stranglehold on the political economy of the colony tightened." [5]
By 1948, 1,250,000 Kikuyu were restricted to 2000 square miles (5,200 km²), while 30,000 British settlers occupied 12,000 square miles (31,000 km²). The most desirable agricultural land was almost entirely in the hands of European settlers.[citation needed]
During the course of the colonial period, European colonizers allowed about 120,000 Kikuyu to farm a patch of land on European farms in exchange for their labour. They were, in effect, tenant farmers who had no actual rights to the land they worked, but which they had previously called home. Between 1936 and 1946, settlers steadily demanded more days of labour, while further restricting Kikuyu access to the land. It has been estimated that the real income of Kikuyu squatters fell by 30% to 40% during this period and fell even more sharply during the late 1940s. This effort by settlers, which was essentially an attempt to turn the tenant farmers into agricultural labourers, exacerbated the Kikuyus' bitter hatred of the white settlers. The Kikuyu later formed the core of the highland uprising.
As a result of the poor situation in the highlands, thousands of Kikuyu migrated into cities in search of work, contributing to the doubling of Nairobi 's population between 1938 and 1952. At the same time, there was a small, but growing, class of Kikuyu landowners who consolidated Kikuyu lands and forged strong ties with the colonial administration, leading to an economic rift within the Kikuyu. By 1953, almost half of all Kikuyus had no land claims at all. The results were worsening poverty, starvation, unemployment and overpopulation. The economic bifurcation of the Kikuyu set the stage for what was essentially a civil war within the Kikuyu during the Mau Mau Revolt.
KCA begins to organize the central highlands
While historical details remain elusive, sometime in the late 1940s the General Council of the banned Kikuyu Central Association (KCA) began to make preparations for a campaign of civil disobedience involving all of the Kikuyu in order to protest the land issue. The members of this initiative were bound together through oath rituals that were traditional among the Kikuyu and neighbouring tribes. Those taking such oaths often believed that breaking them would result in death by supernatural forces. The original KCA oaths limited themselves to civil disobedience , but later rituals obliged the oath taker to fight and defend themselves from Europeans.
These oath rituals, which often included animal sacrifice or the ingestion of blood, were strange and unsettling to settlers who heard about them. They were particularly alarmed about rumors of cannibalism , ritual zoophilia with goats , sexual orgies, ritual places decorated with intestines and goat eyes, and that oaths included promises to kill, dismember and burn settlers. While the settlers' recounting of many of the stories were exaggerated by fear, they helped convince the British government to send assistance to the colonists.
East African Trades Union Congress and the "Forty Group"
While the KCA continued its oath rituals and creation of secret committees throughout the so-called White Highlands, the centre of the resistance moved towards the still-forming trade union movement in Nairobi . On May 1, 1949, six trade unions formed the East African Trades Union Congress (EATUC). In early 1950, the EATUC ran a campaign to boycott the celebrations over the granting of a Royal Charter to Nairobi, because of the undemocratic white-controlled council that ran the city. The campaign proved a great embarrassment to the colonial government. It also led to violent clashes between African radicals and loyalists.
Following a demand for Kenyan independence on May 1, 1950, the leadership of the EATUC was arrested. On May 16, the remaining EATUC officers called for a general strike that paralyzed Nairobi for nine days and was broken only after 300 workers had been arrested and the British authorities made a show of overwhelming military force. The strike spread to other cities and may have involved 100,000 workers; Mombasa was paralyzed for two days. Nevertheless, the strike ultimately failed and the EATUC soon collapsed after its senior leadership was imprisoned.
Following this setback, the remaining union leaders focused their efforts on the KCA oath campaign to set the basis for further action. They joined with the " Forty Group ", which was a roughly cohesive group mostly composed of African ex-servicemen conscripted in 1940 that included a broad spectrum of Nairobi from petty crooks to trade unionists. In contrast to the oaths used in the highlands, the oaths given by the Forty Group clearly foresaw a revolutionary movement dedicated to the violent overthrow of colonial rule. Sympathizers collected funds and even acquired ammunition and guns by various means.
Closing of political options and the Central Committee
In May 1951, the British Colonial Secretary , James Griffiths , visited Kenya, where the Kenya African Union (KAU) presented him with a list of demands ranging from the removal of discriminatory legislation to the inclusion of 12 elected black representatives on the Legislative Council that governed the colony's affairs. It appears that the settlers were not willing to give in completely, but expected Westminster to force some concessions. Instead, Griffith ignored the KAU's demands and proposed a Legislative Council in which the 30,000 white settlers received 14 representatives, the 100,000 Asians (mostly from South Asia ) got six, the 24,000 Arabs one, and the 5,000,000 Africans five representatives to be nominated by the government. This proposal removed the last African hopes that a fair and peaceful solution to their grievances was possible.
In June 1951, the urban radicals captured control of the formerly loyalist Nairobi KAU by packing KAU meetings with trade union members. They then created a secret Central Committee to organize the oath campaign throughout Nairobi. The Central Committee quickly formed armed squads to enforce its policies, protect members from the police, and kill informers and collaborators.
In November 1951, the Nairobi radicals attempted to take control of the national KAU at a countrywide conference, but were outmanoeuvred by Jomo Kenyatta , who secured the election for himself. Nevertheless, pressure from the radicals forced the KAU to adopt a pro-independence position for the first time.
The Central Committee also began to extend its oath campaign outside of Nairobi. Their stance of active resistance won them many adherents in committees throughout the White Highlands and the Kikuyu reserves. As a result, the KCA's influence steadily fell until by the start of the actual Uprising it had authority only in Kiambu District . Central Committee activists grew bolder — often killing opponents in broad daylight. The houses of Europeans were set on fire and their livestock hamstrung. These warning signs were ignored by the Governor, Sir Philip Mitchell , who was only months away from retirement, and Mau Mau activities were not checked.
First reaction against the uprising
In June 1952, Henry Potter replaced Mitchell as Acting Governor. One month later, he was informed by the colonial police that a Mau Mau plan for rebellion was in the works. Collective fines and punishments were levied on particularly unstable areas, oath givers were arrested and loyalist Kikuyu were encouraged to denounce the resistance. Several times in mid-1952 Jomo Kenyatta, who went on to become independent Kenya 's first President, gave in to the pressure and gave speeches attacking the Mau Mau. This prompted the creation of at least two plots within the Nairobi Central Committee to assassinate Kenyatta as a British collaborator before he was saved through his eventual arrest by the colonial authorities, who believed that Kenyatta was the head of the resistance.
On August 17, 1952, the Colonial Office in London received its first indication of the seriousness of the rebellion in a report from Acting Governor Potter. On October 6, Sir Evelyn Baring arrived in Kenya to take over the post of Governor. The next day, police headquarters in Nairobi received news that Senior Chief Waruhiu had been shot at point blank range by bandits in Kiambu. This was the first time the Mau Mau Organization had "officially" attacked. Quickly realizing that he had a serious problem, on October 20, 1952, Governor Baring declared a State of Emergency .
State of Emergency
On the same day as the Emergency was declared, troops and police arrested nearly 100 African political leaders and newspaper editors, including Jomo Kenyatta , in an operation named Jock Scott. A few days later, Senior Chief Nderi's car tires were slashed in broad daylight, but when a military attachment arrived, there was no one to be found but a few old men and women. Up to 8,000 people were arrested during the first 25 days of the operation. It was thought that Operation Jock Scott would decapitate the rebel leadership and that the Emergency would be lifted in several weeks. The amount of violence increased, however; two weeks after the declaration of the Emergency the first European was killed.
While much of the senior political leadership of the Nairobi Central Committee was arrested, some of its military leaders took refuge in the wilderness; the fighters allied to them were already too well entrenched to be uprooted by the mass arrests. Under the encouragement of this military leadership, Local rebel committees took decisions to strike back over the next few weeks and there was an abrupt rise in the destruction of European property and attacks on African loyalists. At the same time a sector of European settlers treated the Emergency declaration as a license to perpetrate excesses against suspected Mau Mau.
British military presence
One battalion of the Lancashire Fusiliers was flown from the Middle East to Nairobi on the first day of Operation Jock Scott. The 2nd Battalion of the King's African Rifles , already in Kenya, was reinforced with one battalion from Uganda and two companies from the former-state of Tanganyika . The Royal Air Force sent pilots and Handley Page Hastings aircraft. The Royal Navy cruiser Kenya came to Mombasa harbour carrying Royal Marines . During the course of the conflict, other British units such as the Black Watch , the The Royal Inniskilling Fusiliers and Royal Electrical and Mechanical Engineers (REME) served for a short time. The British fielded 55,000 troops in total over the course of the conflict, although the total number did not exceed more than 10,000 at any one time. The majority of the security effort was borne by the Kenyan Police and Kenya's Tribal Police or Home Guard.
Initially, British forces had little reliable intelligence on the strength or structure of the Mau Mau resistance. Senior British officers thought that the Mau Mau Uprising was a sideshow compared to the Malayan Emergency . Over the course of the conflict, some soldiers either could not or would not differentiate between Mau Mau and non-combatants, and apparently shot innocent Kenyans. Many soldiers were reported to have collected severed rebel hands for an unofficial five-shilling bounty, although this was officially done to identify the dead by their fingerprints . It is also alleged that some kept a scoreboard of their killings, a practice forbidden by the General Officer Commanding. Allegations of excesses by the Army and Police led General Hinde, officer in charge of all security forces, to issue stern warnings to troops.
Council of Freedom declares war
By January 1953, the Nairobi Central Committee had reconstituted its senior ranks and renamed itself the Council of Freedom. In a meeting it was decided to launch a war of liberation. In contrast to other liberation movements of the time, the urban Kenyan revolt was dominated by the blue-collar class and mostly lacked a socialist element. The network of secret committees was to be reorganized into the Passive Wing and given the task of supplying weapons, ammunition, food, money, intelligence and recruits to the Active Wing, also known as the Land and Freedom Armies or, less accurately, the Land Army.
The Land and Freedom Armies, named after the two issues that the Kikuyu felt were most important, were mostly equipped with spears, simis (short swords), kibokos (rhino hide whips), and pangas (a type of machete ). Of these, the panga was most widely used. Some rebels also tried to make their own guns, to add to the 460 commercial firearms they already possessed, but many of the homemade guns exploded when fired.
Mount Kenya
This declaration may be seen as a strategic mistake that the Council of Freedom was pushed into by its more aggressive members. The resistance did not have a national strategy for victory, had no cadres trained in guerrilla warfare, had few modern weapons and no arrangements to get more, and had not spread beyond the tribes of the central highlands most affected by the settler presence. Later Mau Mau were trained in Isreal. [6]
Nevertheless, the lack of large numbers of initial British troops, a high degree of popular support, and the low quality of colonial intelligence gave the Land and Freedom Armies the upper hand for the first half of 1953.
Large bands were able to move around their bases in the highland forests of the Aberdare mountain range and Mount Kenya killing Africans loyal to the government and attacking isolated police and Home Guard posts. The Mau Mau also attacked Christian Kenyans especially, as Christianity was identified with the Europeans.
Over 1,800 loyalist Kikuyu (Christians, landowners, government loyalists and other Mau Mau opponents) were killed. The Mau Mau, operating from the safety of the forests, attacked mostly by night. They attacked isolated farms, but occasionally also households in suburbs of Nairobi. Only the lack of firearms prevented the rebels from inflicting severe casualties on the police and European community, which might have altered the eventual outcome of the Uprising.
The Land and Freedom Armies had lookouts and stashes for clothes, weapons and even an armoury. Still they were short of equipment. They used pit traps to defend their hideouts in Mount Kenya forests. The rebels organized themselves with a cell structure but many armed bands also used British military ranks and organizational structures. They also had their own judges that could hand out fines and other penalties, including death. Associating with non-Mau Mau was punishable by a fine or worse. An average Mau Mau band was about 100 strong. The different leaders of the Land and Freedom Armies rarely coordinated actions, reflecting the lack of cohesion to the entire rebellion. Four of the dominant Active Wing leaders were Stanley Mathenge ; Waruhiu Itote (known as General China), leader of Mount Kenya Mau Mau; Dedan Kimathi , leader of Mau Mau of Aberdare forest; and Musa Mwariama , leader of the Mau Mau in Meru .
Response of the Europeans and government
On January 24, 1953, Mau Mau murdered Europeans Mr. and Mrs. Ruck, as well as their six-year-old son, on their farm with pangas . White settlers reacted strongly to the insecurity. Many of them dismissed all of their Kikuyu servants because of the fear that they could be Mau Mau sympathizers. Europeans, including women, armed themselves with any weapon they could find, and in some cases built full-scale forts on their farms. Many Europeans also joined auxiliary units like the Kenya Police Reserve (which included an active air wing), and the Kenya Regiment , a territorial army regiment.
British colonial officials were also suspicious of the Kikuyu and took measures. They initially thought the Kikuyu Central Association was the political wing of the resistance. They made carrying a gun illegal and associating with Mau Mau capital offences. In May 1953, the Kikuyu Home Guard became an official part of the security forces. It became the significant part of the anti-Mau Mau effort. Most Home Guard were members of the Kikuyu ethnic group, especially those converted to Christianity . The Home Guard was subsequently re-named the Kikuyu Guard. They organized their own intelligence network and made punitive sweeps into areas that were suspected of harbouring or supporting Mau Mau.
On March 25–March 26, 1953, nearly 1,000 rebels attacked the loyalist village of Lari, where about one hundred and seventy non-combatants were hacked or burnt to death. Most of them were the wives and children of Kikuyu Home Guards serving elsewhere. This raid was widely reported in the British media, understandably contributing to the notion of the Mau Mau as bloodthirsty savages. In the weeks that followed, some suspected rebels were summarily executed by police and loyalist Home Guards, and many other Mau Mau implicated in the Lari massacre were subsequently brought to trial and hanged.
Urban resistance spreads
In April 1953, a Kamba Central Committee was formed. The Kamba rebels were all railwaymen and effectively controlled the railway workforce, and the Kamba were also the core of African units in the Army and Police. Despite this, only three acts of sabotage were recorded against the railway lines during the emergency.
At the same time, rebel Maasai bands became active in Narok district before being crushed by soldiers and police who were given the task of preventing a further spread of the rebellion.
Despite a police roundup in April 1953, the Nairobi committees organized by the Council of Freedom continued to provide badly needed supplies and recruits to the Land and Freedom Armies operating in the central highlands.
Realizing that the blue-collar unions were a hotbed of rebel activity, the colonial government created the Kenya Federation of Registered Trade Unions (KFRTU) for white-collar unions as a moderating influence. By the end of 1953, it had gained an Arab general secretary who was a nationalist, but also opposed the revolt. Early in 1954, the KFRTU undermined a general strike that was called by the Central Committee.
British gain the initiative
In June 1953, General Sir George Erskine arrived and took up the post of Director of Operations, where he revitalized the British effort. His predecessor, Sir Alexander Cameron , became his Second in Command. A military draft brought in 20,000 troops who were used aggressively. The Kikuyu reserves were designated "Special Areas", where anyone failing to halt when challenged could be shot. This was often used as an excuse for the shooting of suspects, so this provision was subsequently abandoned.
The Aberdares Range and Mount Kenya were declared "Prohibited Areas", within which no person could enter without government clearance. Those found within the Prohibited Area could be shot on sight.
The colonial government created so-called pseudo-gangs composed of de-oathed and turned ex-Mau Mau and allied Africans, sometimes headed by white officers. They infiltrated Mau Mau ranks and made search and destroy missions. Pseudo-gangs also included white settler volunteers who disguised themselves as Africans. The Pseudo-gang concept was a highly successful tactic against the Mau Mau. [7]
In late 1953, security forces swept the Aberdare forest in the Operation Blitz and captured and killed 125 guerrillas. Despite such large-scale offensive operations, the British found themselves unable to stem the tide of insurgency.
It was not until the British realized the extent of the rebel organization, and the importance of the urban rebel committees and unions, that they gained a strategic success. On April 24, 1954, the Army launched "Operation Anvil" in Nairobi and the city was put under military control. Security forces screened 30,000 Africans and arrested 17,000 on suspicion of complicity, including many people that were later revealed to be innocent. The city remained under military control for the rest of the year. About 15,000 Kikuyu were interned and thousands more were deported to the Kikuyu reserves in the highlands west of Mount Kenya. However, the heaviest weight fell on the unions.
While the sweep was inefficient, the sheer number was overwhelming. Entire rebel Passive Wing leadership structures, including the Council for Freedom, were swept away to detention camps and the most important source of supplies and recruits for the resistance evaporated.
Having cleared Nairobi, the authorities repeated the exercise in other areas so that by the end of 1954 there were 77,000 Kikuyu in concentration camps . About 100,000 Kikuyu squatters were deported back to the reserves. In June 1954, a policy of compulsory villagization was started in the reserves to allow more effective control and surveillance of civilians and to better protect pro-government collaborators. When the program reached completion in October 1955, 1,077,500 Kikuyu had been concentrated into 854 "villages".
Conditions in the British detention and labour camps were grim, due in part to the sheer number of Kikuyu detainees and the lack of money budgeted for dealing with them. One British colonial officer described the labour camps thus: "Short rations, overwork, brutality, humiliating and disgusting treatment and flogging - all in violation of the United Nations Universal Declaration on Human Rights." [8] Sanitation was non-existent, and epidemics of diseases like cholera swept through the camps. Official medical reports detailing the shortcomings of the camps and their recommendations were ignored, and the conditions being endured by Kikuyu detainees were lied about to the outside world. [9] [10]
Beginning of the end
The inability of the rebels to protect their supply sources marked the beginning of the end. The Passive Wing in the cities had disintegrated under the roundups and the rural Passive Wing was in a state of siege on the central highlands and reserves. Forced to spend all their energy to survive, and cut off from sources of new recruits, the Land and Freedom Armies withered.
In 1953, some 15,000 Mau Mau guerrillas were at large. In January 1954, the King's African Rifles began Operation Hammer. They combed the forests of Aberdare mountains but met very little resistance; most guerrillas had already left. Eventually the operation was moved to the Mount Kenya area. There they captured substantial numbers of guerrillas and killed 24 of 51 band leaders. The Mau Mau were forced deeper into forest. By September 1956, only about 500 rebels remained.
In 1955, an amnesty was declared. It both absolved Home Guard members from prosecution and gave rebel soldiers a chance to surrender. Peace talks with the rebels collapsed on May 20, 1955 and the Army began its final offensive against the Aberdare region. Pseudo-gangs were used heavily in the operation. By this time, Mau Mau were low on supplies and practically out of ammunition.
The last Mau Mau leader, Dedan Kimathi , was captured by Kikuyu Tribal Police on October 21, 1956 in Nyeri (using the pseudo-gang technique) with 13 remaining guerrillas, and was subsequently hanged in early 1957, having been sentenced to death by a court presided over by the British Chief Justice, Sir Kenneth O'Connor . His capture marked the effective end of the Uprising, though the Emergency remained in effect until January 1960 and some Mau Mau remained in the forests until 1963.
In 1959 the British forces bombed a big hide-out called the Mau-Mau Cave near Nanyuki . About 200 people lost their lives in the cave during the bombardment.
Political and social concessions by the British
Despite the fact that the British military had won a clear victory, Kenyans had been granted nearly all of the demands made by the KAU in 1951 as the carrot to the military's stick. In June 1956, a program of villagization and land reform consolidated the land holdings of the Kikuyu, thereby increasing the number of Kikuyu allied with the colonial government. This was coupled with a relaxation of the ban on Africans growing coffee , a primary cash crop, leading to a dramatic rise in the income of small farmers over the next ten years.
In the cities the colonial authorities decided to dispel tensions after Operation Anvil by raising urban wages, thereby strengthening the hand of moderate union organizations like the KFRTU. By 1956, the British had granted direct election of African members of the Legislative Assembly, followed shortly thereafter by an increase in the number of African seats to fourteen. A Parliamentary conference in January 1960 indicated that the British would accept "one person — one vote" majority rule.
These political measures were taken to end the instability of the Uprising by appeasing Africans both in the cities and country and encouraging the creation of a stable African middle class, but also required the abandonment of settler interests. This was possible because while the settlers dominated the colony politically, they owned less than 20% of the assets invested in Kenya. The remainder belonged to various corporations who were willing to deal with an African majority government as long as the security situation stabilized. The choice that the authorities in London faced was between an unstable colony, which was costing a fortune in military expenses, run by settlers who contributed little to the economic growth of the Empire, or a stable colony run by Africans that contributed to the coffers of the Empire. The latter option was the one, in effect, taken.
Casualties
The official number of European settlers killed was 26.
The official number of Kenyans killed was estimated at 11,503 by British sources, but David Anderson places the actual number at higher than 20,000. Professor Caroline Elkins of Harvard University , whose study of the revolt Imperial Reckoning: The Untold Story of Britain's Gulag in Kenya won the Pulitzer Prize in 2006, claims it is probably at least as high as 70,000 but more realistically it in the hundreds of thousands." [11] However, Elkins' methodology for arriving at her conclusions has been subject to considerable criticism from a letter-writer in the New York Review of Books and London Review of Books, David Elstein. [12] [13] Elstein contends that Professor Elkins' figures are derived from an idiosyncratic reading of census figures and a tendentious interpretation of the fortified village scheme. More recently, the demographer John Blacker, in an article in African Affairs, has estimated the total number of African deaths at around 50,000; half were children under 10. [14]
Blacker's article (April 2007 Journal of African Affairs) deals directly with Elkins' claim that up to 300,000 Kikuyu were "unaccounted for" at the 1962 census, judged by comparative population growth rates for other ethnic groups since the previous 1958 census. By exhaustive analysis of all the available census data (Blacker was closely involved in the Kenyan censuses both before and after independence) he shows that there is no significant gap in the adult age-sex pyramids demographers use.
In estimating 50,000 "excess" deaths during the Emergency, he reveals that 26,000 were children under the age of 10. He surmises that a rise of about 20% in the Kikuyu infant mortality rate in this period (which still left that rate much lower than that for some comparable groups, like the Luo) was due to malnutrition and faster spread of diease in the protected villages. The policy of concentrating over 1 million Kikuyu in these villages certainly saved many thousands from Mau Mau attack, and cut off the guerillas from potential civilian support, but inevitably intensified the food shortages that the fighting caused.
Blacker estimated that 7,000 adult female deaths were also "excess" in this period (in other words, higher than the long-term death rates): again, he attributes this mostly to the hardships of life in the protected villages - and these represent 1 or 2 "excess" adult female deaths per protected village per year during the Emergency. His estimate of 17,000 "excess" adult male deaths fits the overall totals for Mau Mau killed or hanged, together with Kikuyu victims of Mau Mau, both civilian and in uniform, upon which nearly all historians of the period (apart from Elkins) agree.
Blacker concludes that "there is no evidence to support the claims made by Elkins", which are "based on a musunderstanding of the data".
For security force casualties, see the information box at the top of the article.
Of particular note is the number of executions authorized by the courts. In the first eight months of the Emergency, only 35 rebels were hanged, but by November 1954, 756 had been hanged, 508 for offenses less than murder, such as illegal possession of firearms. By the end of 1954, over 900 rebels and rebel sympathizers had been hanged, and by the end of the Emergency, the total was over 1,000. This total figure is more than double the number executed by the French in Algeria.
Atrocities
Atrocities were committed on both sides. The number of Mau Mau fighters killed by the British and their military adjuncts was about 20,000, though it has been documented that large numbers of Kikuyu not directly involved in the rebellion were persecuted by the British. [15] [16]
A major source of atrocities was the 'screening' of Kikuyu and others suspected of Mau Mau sympathies. Elkins writes that,
Bottles (often broken), gun barrels, knives, snakes, vermin and hot eggs were thrust up men's rectums and women's vaginas. The screening teams whipped, shot, burned and mutilated Mau Mau suspects, ostensibly to gather intelligence for military operations and as court evidence. [17]
A British officer, describing his exasperation about uncooperative Mau Mau suspects during an interrogation, explained that,
I stuck my revolver right in his grinning mouth and I said something, I don’t remember what, and I pulled the trigger. His brains went all over the side of the police station. The other two Mickeys [Mau Mau] were standing there looking blank. I said to them that if they didn’t tell me where to find the rest of the gang I’d kill them too. They didn’t say a word so I shot them both. One wasn’t dead so I shot him in the ear. When the sub-inspector drove up, I told him that the Mickeys tried to escape. He didn’t believe me but all he said was 'bury them and see the wall is cleared up.' [18]
Many settlers took an active role in the torture of Mau Mau suspects, running their own screening teams and assisting British security forces during interrogation. One settler helping the Kenya Police Reserve's Special Branch described one interrogation which he assisted: "By the time I cut his balls off he had no ears, and his eyeball, the right one, I think, was hanging out of its socket. Too bad, he died before we got much out of him." [17]
Home guard troops (black Kenyan loyalists) were also responsible for the retaliation to the Lari massacre. Immediately after the discovery of the first Lari massacre (between 10 pm and dawn that night), Home Guards, police, and 'other elements of the security services' (Anderson's term) engaged in a retaliatory mass murder of residents of Lari suspected of Mau Mau sympathies. [19] These were indiscriminately shot, and later denied either treatment or burial. There is also good evidence that these indiscriminate reprisal shootings continued for several days after the first massacre. (See the reports of 21 and 27 men killed on 3rd and 4 April, respectively.) [20] The official tally of the dead for the first Lari Massacre is 74; that for the second, 150. [21]
Mau Mau militants were also guilty of human rights violations, and many of the murders of which they were guilty were brutal in the extreme. More than 1,800 Kenyan civilians are known to have been murdered by Mau Mau, and hundreds more disappeared, their bodies never found. [22] Victims were often hacked to death with machetes. At Lari, on the night of March 25-26 1953, Mau Mau forces herded 120 Kikuyu into huts and set fire to them. [13] [23]
Remarkably few British civilians were killed by Mau Mau militants: just 32. The white panic, however, was extreme. Perhaps the most famous Mau Mau victim was Michael Ruck, aged just six, who was killed along with his parents. Michael was found hacked to death in his bedroom, and "newspapers in Kenya and abroad published graphic murder details and postmortem photos, including images of young Michael with bloodied teddy bears and trains strewn on his bedroom floor." [24]
In 1952 the poisonous latex of the African milk bush was used to kill cattle in an incident of Biological warfare . [25]
Legal case
Some of those tortured during the era have sued for compensation from the British government, [26] and their lawyers have documented about 6,000 cases of human rights abuses including fatal whippings, rapes and blindings. [27] The British government has stated that the issue was the responsibility of the Kenyan government, relying on the grounds of "state succession" for former colonies. Around 12,000 Kenyans had sought compensation. [28]
In popular culture
Something of Value (1957) directed by Richard Brooks and starring Rock Hudson , Dana Wynter and Sidney Poitier .
Mau Mau (1955 film) a shockumentary exploitation film directed by Elwood Price and narrated by Chet Huntley .
Simba (film) a 1955 film about the Mau Mau uprising starring Dirk Bogarde and directed by Brian Desmond Hurst .
The Mau Mau uprising is also highlighted in the movie "Safari (1956 film)" released in 1956 and starring Victor Mature and Janet Leigh. Mature is the great white hunter bent on revenge against the Mau Maus, and Leigh the love interest he takes on Safari. The movie was filmed in Kenya and directed by future-to-be James Bond film director Terence Young .
Africa Addio [29] is a well-capitalized 1966 Italian "shock"-umentary covering the political transition from colonial- to post-colonial Africa. It includes a brief recapitulation of the Mau-Mau Rebellion and authentic scenes of its aftermath, including damage to white Highland farms and livestock, actual participants' sentencing in local British court, and their re-appearance at the popular celebration of Jomo Kenyatta's pardon of all Mau-Mau participants.
The uprising is at the core of the movie The Kitchen Toto, released in 1987 and starring Edwin Mahinda and Bob Peck .
Mau Mau, a 52-minute documentary, is Part II of The Black Man's Land Trilogy , which was broadcast on PBS in 1978 and continues to be widely used in university-level African Studies courses. The film is described as "a political analysis of Africa's first modern guerrilla war, and the myths that still surround it."
Literature
Elspeth Huxley 's 1954 novel A Thing to Love is set in Kenya during the uprising and presents it from the European perspective.
The novels Something of Value (1955) and Uhuru (1962) by Robert Ruark are written from the perspective of Dedan Kimathi and his friend Peter. Something of Value was made into a 1957 movie.
Two novels by Ngugi wa Thiong'o (James Ngugi), Weep Not, Child (1964) and A Grain of Wheat (1967), deal with the uprising from the Kikuyu perspective.
The Mau Mau Uprising, including a depiction of a character taking the oath, is referenced in the book The In-Between World of Vikram Lall by MG Vassanji (2003). The first part of the book is set during the time of the uprising, and the story interweaves the occurrences of the time into the lives of the characters.
In Wangeri Maathai's Unbowed: A Memoir, she discusses how the Mau Mau Uprising affected her childhood and divided the Kikuyu Tribe between those who fought on the Mau Mau side and those who fought for the British.
The Mike Resnick novel Paradise, a science fiction allegory for the history of Kenya, features the Kalakala Emergency, an uprising of the native alien population of the planet Peponi against the human colonists.
Music
The black radical hip-hop group The Coup reference the Mau Mau Revolt in many of their songs, such as "Kill My Landlord" and "Dig It".
Radical hip-hop duo Dead Prez references the Mau Mau among many other black power movements in their song "I Have A Dream Too" from the album "Revolutionary But Gangsta'".
The Mau Mau Uprising is the topic of the Warren Zevon song "Leave My Monkey Alone" on his album Sentimental Hygiene .
The Allan Sherman song "Hungarian Goulash" makes reference to the "jolly Mau-Maus" and how they are "eating missionary pie."
Blues showman Screamin' Jay Hawkins recorded a song titled "Feast of the Mau Mau" [30] on his 1969 album "...What That Is!", and released a double album of the same name in 1988, a UK re-release of "...What That Is!" and "Is In Your Mind" (1970).
The opening track of Paul Kantner 's 1970 release Blows Against the Empire is called "Mau Mau (Amerikon)," which was written by Kantner, Grace Slick , and Joey Covington .
Etymology
The meaning of the term Mau Mau is much debated. Proffered etymologies include:
The 2006 edition of American Heritage Dictionary lists the etymology as the sound imitative of foraging hyenas .
mau-mau is Kikuyu for "eat, eat," i.e. eating in a hurry. A Kenyan State Park guide in July 1990 said that guerillas adopted this name to describe how they lived in hiding and always on the move.
It is the name of a range of hills (occurring in various geographical names e.g. the Mau Escarpment, the Mau stream in Eastern Province, a place called Mau in the Rift Valley Province, etc.)
It was a nonsense word created by British settlers to demean the rebels.
A backronym that has been created for it is "Mzungu Aende Ulaya — Mwafrika Apate Uhuru". This Swahili language phrase translates in English to, "Let the white man go (back) to Europe; let the African attain freedom."
It is a mistransliteration of "Uma Uma" which translates in English to "Get out Get out".
It is in reference to a 'magic potion' the Kikuyu would drink, making their soldiers invulnerable.
It is in reference to the secrecy of the communication between group members: "Maundu Mau Mau" in Kikuyu translates to "those things, those same things" [we have talked about].
Perhaps the most creative attempt so far is reported in John Lonsdale's 1990. [31] He quotes a Thomas Colchester, who argued that since ka is a diminutive prefix in Swahili (as it is in Kikuyu and several other Bantu languages), while ma is an augmentative prefix, Mau, therefore, indicates something greater than KAU. KAU was the leading forum at the time for African political participation, but would have been seen as somewhat staid and conservative by the young radicals who formed Mau Mau. Lonsdale recommends this etymology on the ground that it requires no single originator.
In his memoir The Hardcore Karigo Muchai explains the etymology of Mau Mau in this way: "Now in Kikuyu when referring to whispers or voices that cannot quite be understood, one uses the expression 'mumumumu'. This apparently was heard by a journalist in the court as 'Mau Mau', and the following day the newspapers reported that the men had taken a 'Mau Mau' oath." [32]
Malcolm Davies relates a story in which police constables went to a village to arrest an old man who was engaged in secretive and illegal activities. When he saw them coming, the man cried out "Mau Mau!" meaning "Who are those?" The police used this phrase as evidence in court, and so the words gradually came to refer to the nefarious activities of the Mau Mau Organization. [33]
Use in popular culture
Following various reactions to the rebellion in Kenya, the verb "to mau mau" came to mean "to menace through intimidating tactics; to intimidate, harass; to terrorize,", in a political and/or racial context. The most famous usage is literary and titular- Tom Wolfe 's essay Mau-Mauing the Flak Catchers . A more 'popular' appearance may be in the 2nd episode of Law & Order (" Subterranean Homeboy Blues "), wherein a detective questions: "If the lady popped you because you were mau-mauing her...". The word has had a limited currency, first limited to the cultural centers of the Anglo-phone West, and losing currency by the 21st-century as race politics becomes supplanted.
A gang in late 1950s New York City known for their violent attacks named themselves the Mau Maus , apparently after the fearsome reputation of the Kenyan rebels. Evangelist Nicky Cruz was a member of this gang when he renounced his violent ways and converted to Christianity. The 1970 movie The Cross and the Switchblade , starring Erik Estrada as Nicky Cruz, depicts these events.
"The Mau Maus" were a fictitious political hip-hop group named in the 2000 Spike Lee film Bamboozled .
Mau-Mauing the Flak Catchers , a 1970 essay by Tom Wolfe in which the titular metaphor "Mau-Mauing" compares the impression of aggressive race-based tactics used in the Mau-Mau Rebellion with the less violent but equally instructive collision of the seminal black-radical activist struggles of late-1960s New York City with politically naive white-liberal donors.
The Mau Mau Uprising is referenced by several flashbacks in the Magnum, P.I. episode "Black on White".
In the Lenny Bruce monologue , "The Palladium," a British stage manager chastizes an American comedian by calling him "a bloody Mau Mau."
The name taken by the graffiti artist "Mau Mau", [34] known as the "Ethical Banksy".
The 1976 film Taxi Driver makes reference to the Mau Mau Uprising. When speaking of a crime-ridden Harlem in New York City, the character Wizard, played by Peter Boyle , calls the area 'Mau Mau Land'.
Bibliography
J. 'Bayo Adekson, "The Algerian and Mau Mau Revolts: a Comparative Study in Revolutionary Warfare," Comparative Strategy, vol 2 no 1 (1981): 69-92.
Anderson, David (2005). Histories of the Hanged: The Dirty War in Kenya and the End of Empire. Weidenfeld and Nicolson. ISBN 0-393-05986-3.
Frank Corfield, The Origins and Growth of Mau Mau [aka Corfield Report] (Nairobi: Government of Kenya, 1960).
Caroline Elkins . Imperial Reckoning: The Untold Story of Britain's Gulag in Kenya. ISBN 0-8050-8001-5.
Wunyabari O. Maloba. Mau-Mau and Kenya: An Analysis of a Peasant Revolt. ISBN 0-253-21166-2.
Zoe Marsh & G.W. Kingsnorth (1972). A History of East Africa. Cambridge University Press . ISBN 0-521-08348-6.
John Newsinger, "Revolt and Repression in Kenya: The 'Mau Mau' Rebellion, 1952-1960," Science and Society 45 (1981): 159–185.
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Kenya
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Formed after national revolution in 1917 the NKVD was the public and also ruthless secret police of which country until 1946?
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Wustl African Civ Exam 2 IDs at John Carroll Catholic High School - StudyBlue
StudyBlue
Wustl African Civ Exam 2 IDs
Ify I.
English speaking version of negritude
no French speakers
British govnt sponsored a trade union conference
call for independence & end of colonialism
condemn the monopoly of capital and the rule of private wealth
African National Congress
1912: South African
Union-wide body to protect African interests
1st denounced Natives Land Act of 1913 which prevented Africans from acquiring land outside their own areas
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1967, United Republic of Tanzania
discussed and then published in Swahili.
Political program of Julius Nyerere
Policy of Socialism: the absence of exploitation,
Policy of Self Reliance: Agricultural basis for Development
Conditions of Development: Hard work and Intelligence
collectivized village farmlands, carried out mass literacy campaigns, and instituted free and universal education. emphasized Tanzania’s need to become economically self-sufficient rather than remain dependent on foreign aid and foreign investment.
termed ujamaa (Swahili: “familyhood”), a name that emphasized the blend of economic cooperation, racial harmony, and moralistic self-sacrifice
Association
French model for colonial rule after WWI
Used local rulers/African chiefs = “agents” of the French admin
In theory: the French would help less advanced people evolve over time so they become African and French
In practice: no plans for any of the colonies to become independent
Bantustans
instrument of Apartheid to create migrant work force
"homelands" rebooted National Reserves
lands too small to sustain all the ppl forced to leave there → ppl turned to migrant labor for low wages
Blaise Diagne
1914: Elected African representative to the French Chamber for the Four Communes of Senegal
Called for French citizenship for all African soldiers,
Condemned army’s use of African troops as human shields
1917 - French demand more conscription - works out a deal: he will round up troops in exchange for expanded rights for soldiers upon return; schools to be established in agriculture and medicine; health facilities in the colonies improved
Afro-Arabs
Colonial power / Geographic location: British East Africa
Approximate dates for key historical events:
Primary means of subsistence: ivory hunters and slave traders
Asante
Colonial power / Geographic location: British West Africa - Gold Coast
Approximate dates for key historical events:
1901: Cocoa = 49% of exports
1914: Cocoa, gold, timber – made Gold Coast the most prosperous of all the Af. colonies
1954: National Liberation Movement (Asante political party founded)
Nkrumah (Prime Minister of Ghana 1951-1957) faces challenge from the Asante sitting on Forest Belt
(Asante confederacy/Empire → built a powerful state through conquest)
Primary means of subsistence: Cocoa
Bambara
Geographic location: French Ivory Coast
1890s & 1900’s: resistance to French expansionism (stateless resistance movement)
1890 French wanted further access to Niger Bend (key trade route connecting West Africa to the Sahara) French tried to collaborate with chiefs to integrate them into the larger Ivorian economic system (failed).
1900s The Baule resisted French policies of forced labor and agricultural reforms
The French destroyed the Baule’s farmland for two straight years, effectively starving them out.
Demonstrates: the structure of a stateless society actually lended itself to armed resistance because the absence of a single ruling figure
Primary means of subsistence: trade
Brazzaville Conference
1944, Meeting of delegates from French Empire, no Africans allowed to attend
Realize administration will need empire after the war as symbol to keep France whole
reform colonialism; gradual movement toward political autonomy in the colonies
increase African representation in Parliament; abolish Indigenat
allow for educated elite (Senghor, Houffet, Seku Toure) to rise
1950s - French gov allowed formation of African Democratic Assembly: umbrella African political movement
operate as unit in French Parliament
Parliament so divided throughout late 1940s that Africans manage to secure concessions: better wages, rights for labor force
early days, allies of French Communist party
Capitalism
private ownership of the means of production
Cassava/Manioc
1918 Spanish Flu – soldiers going back to their countries as vectors
argument: Spanish flu changed dietary practices in the Niger Delta
eating/growing cassava was easier than eating/growing yams
young men and women hit hardest by epidemic => labor shortage => cultivation of cassava instead of yams
Dedan Kimathi
1950s: leader of Mau Mau uprising a/g British colonial govnt
to british govnt: terrorist
to af. people: hero
sent strategic letters to chiefs for support of Mau Mau→ trying to position himself as political leader
Colonial Development and Welfare Act
developing the British Empire after the World War II
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Colonial power / Geographic location:British, Northern Rhodesia
Approximate dates for key historical events: early 1900s
British interaction with elders of society reinforced Bride Wealth system→many women migrated to cities and intermarry with other peoples,→ difficulty for British to group people by ethnic identity
Primary means of subsistence: agriculture/ Bridewealth system
Chewa (Manganja)
Colonial power / Geographic location: Shire Valley
Approximate dates for key historical events: 1850/60s
Primary means of subsistence: engaged in some trade for salt & other high-value goods
// Residents of the Shire valley who were frequently enslaved by the Yao. ”Rescued” by University Mission//
Frederick Lugard
1890s → Nigeria
Retired governor of Nigeria who worked with Mckinnon E.Af. company & conquered Buganda by allying himself with the Protestant Faction
Saw British as "trustees of the welfare of the masses"
Established indirect rule in Nigeria
“Evolution not Revolution” → aimed to produce organically Modern Africans not British
Distrusts “Trousered” Africans (westernized, educated)
Divides African population into 3 categories
Western Educated Christians- he disliked bc they were too civilized
Advanced peoples- centralized govt => easily understood, controlled, & taxed
Illiterate Masses- needed oversight from "traditional authorities"
Henrik Verwoerd
Colonial power / Geographic location: British/Kenya (Rift Valley)
Approximate dates for key historical events: 1900s-
1940s- Tugen wanted control of the Lembus Forest Reserve
Primary means of subsistence: Raising cattle
Julius Nyerere
first prime minister of independent Tanganyika (1961), who became the first president of the new state of Tanzania (1964) / first Tanganyikan to study at a British university /
President of TANU (Tanganyika African National Union) → Under his leadership TANU rejected tribalism and all forms of racial and ethnic discrimination
Author of paper, “Ujamaa - The Basis of African Socialism” (1961), served as basis for the Arusha Declaration (1967)
Nyerere committed to the creation of an egalitarian socialist society based on cooperative agriculture in Tanzania.
Kande Kamara
volunteer for WWI from powerful family
volunteered bc of the threat that his family would be supplanted
returned from war w/ money→was considered a threat to his father→exiled
accounts of war showed oppressive nature of the French policies towards African soldiers
Kenya Land Commission
1930s Kenya
British colonial policy that gradually redistributed African land, most notably that of the Kikuyu, to white settlers
Many Kikuyu forced to relocate to land that was significantly harder to farm and maintain a living from→created cheap migrant labor for white settlers
Kwame Kangah
-Cote d'Ivoire (WWI)
-powerful figure in colonial Ivory Coast who got his start working as a colonial admin linguist.
-rose up through the colonial ranks→acted as an intermediary between the colonial administration and the French appointed chiefs of the region
-French asked him to recruit soldiers for colonial armies→he refused bc it would have compromised his standing w/in African communities
-escaped to the Gold Coast the French administration took control of his estate.
-sued admin and won his appeal and regained his possessions. After flaunting his victory the French expelled him from the colony. His ability to challenge the colonial system using French law highlights how French legal codes were reluctantly, but at times properly employed in the colonies. His story emphasizes the possibilities Africans had access to in French colonies, but also acts as a reminder for just how easily the French colonial administration could take those possibilities away. Law was important to the French, but the maintaining of their colonial establishment was the paramount concern of the time.
Kwame Nkrumah
-Gold Coast (Ghana); Late 1950’s/Early 1960’s
-1st leader of the independent state of Ghana formerly known under British Colonial rule as the Gold Coast.
-used “political imagination”, the idea that political autonomy would improve the lives of the people, to inspire the people of the Gold Coast to support his movement for independence
- British admin would have preferred someone more experienced and more conservative,
-British wanted to maintain their economic interests in the Gold Coast which revolved around Cocoa. By letting Nkrumah to take control of the country the British were able to continue making money off of Ghana’s cocoa trade.
Kikuyu
one of the largest ethnic groups in Kenya
1930s- pushed off of their land by Kenay Land Commission
1950- center of the Mau Mau rebellion.
Mau Mau was essentially a civil war within this group arising from generational and class tensions in this group-- resistors against loyalists
post colonial Kenya-vital part of KANU and Jomo Kenyatta’s victory during the first Kenyan elections.
Krios
Other:
-western educated Africans that were descendants of freed slaves.
-supported colonial rule in many cases bc it benefited their interests and held them at the top of society.
Land and Freedom Army
(1950s Kenya); name by which some members of the Mau Mau forces referred to themselves; the name suggests a more patriotic and noble cause rather than the “tribalistic” name Mau Mau
saw themselves as liberators, and not betraying own people
BUT adopted same strategies used to oppress them, and using them to threaten loyalists and justify violence
Lembus Forest
(1940s Kenya); forest reserve which, during pre-colonial times, had been inhabited by a number of different peoples; in early 1900s, was granted to a concessionaire company for commercial development; later became focal point of political land struggle between 3 interest groups:
a British timber company that wanted to exploit the forest without interference - lumber became one of main sources of money for the state
native peoples (the Tugen) who wanted to continue hiding cattle from cattle taxes and living there themselves without taxes
the colonial Forest Department which wanted to ensure financial returns while sustaining the forest resources
Demonstrates: problem of unclear ethnic distinctions
Leopold Sedar Senghor
Negritude
1930s and 1940s French movement for the black African experience
race consciousness, rooted in a (re)discovery of the authentic self, sparked a collective condemnation of Western domination, anti-black racism, enslavement, and colonization of black people.
acknowledged black culture, history, and achievements, as well as reclaiming their contributions to the world and restoring their rightful place within the global community
Loi Cadre (Outline Law)
-law passed in 1956 by the French National Assembly which granted suffrage for landholding African subjects in French colonies; gave control over economic development, internal and international defense, and foreign policy to the French government, but allowed self-autonomy over other matters. Opposed by leaders like Sekou Toure and Senghor; example of re-emergence of Dual Mandate nearing the end of the colonial period
-Senghor warned against the “balkanization” of Africa, a division of the Franco-African federations into units too small to be economically viable, too weak politically to challenge former imperial powers
Majimboism
(1960s) system of rule guided by a federal constitution by which autonomous regions with internal civil services and police forces kept different ethnic groups
British favored bc kept ethnic groups separate
In Kenya: KADU favored this bc they were made up of reps from two largest ethnic groups
way to transfer power in Kenya & keep settlers
Marketing Boards
-(1940s) govt institution that set a fixed price for a certain product and banked the surplus capital from the sale of that product; distributed those reserves to farmers when needed; government protecting farmers from the volatility of the world market; primary example was the Ghanaian Cocoa Board
-Because of post economic boom: global commodity prices never drop→marketing boards have enormous reserves (London banks, capital lent out at low interest rates for post war reconstruction)
Maasai
nomadic pastoral people in Kenya and Tanzania
1890s, their cattle was decimated by rinderpest => needed protection and more cattle
British needed to build a railway and a soldiers => British paid them in cattle to help with raids
Signed a treaty with the British that promised them land, but the British broke the treaty
Sued the British and got the land back
Greorge Murdock's Tribal Map
(1959) Supposed map of all the different ethnic groups in Africa, used by many sociologists to explain “tribal warfare/conflict” in Africa, in addition to being used to explain why some African states “fail”
Almost inherently incorrect since most “tribal” identities were made up by colonial authorities to try and divide and regulate Africans
doesn’t explain why some relatively homogenous areas (Rwanda) experience “tribal conflict” while other more diverse regions (Senegal), do not.
Nairobi Commonage
1931: Refers to the Gamepark established in Kenya
30,000 acres of unclaimed land, the game warden was complaining thats the natives would spoil this land that could be used for recreational hunting (from which the administration would profit by selling licenses etc), or used it to get lumber
Nation State
-attempt of Africans to make sense of colonial to nation model
-Davidson, “Black Man’s Burden: Africa and Curse of the Nation State” (the problem is the nation state)
→corruption, failed states, authoritarianism, ethnic violence
Largely a Western creation, but the newer generations of (mostly Western educated) Africans, base their independence movements off of this idea
Native Reserves
1930s Kenya, South Af.
huge populations shoved onto small tracts of land which lead to unhealthy living conditions and unrest
generated wage labor for colonial employers by putting too many people in too small a place
postcolonial African rulers had to decide who got what land. Having Settlers made things especially tricky since colonial govts had to ensure the futures (and wealth) of white settlers under the new govts, and settlers wanted to influence new govts
Nelson Mandela
-First president of South Africa
-Member -ANC, the political party which promoted democracy with inclusion of the white race, unlike PAC (Robert Sobukwe) who believed in Pan Africanism and opposed racial mixing
-Jailed for 27 years for his alliances with the ANC and was convicted of treason :: sentenced to life but released in the 90’s amidst growing social unrest
-1994 wins first multiracial elections
Neo-Mercantilism
post colonialism rebirth of 16th c economic policy(or continuation of colonial postwar policy) based almost exclusively on export of raw materials
"gatekeepers" protected markets and exclusive flow of materials
under-capitalized states didn’t like the free flow of wealth b/c they were essentially authoritarian states
Sotho
Colonial power / Geographic location: Modern day Lesotho, then known as Basutoland, in the middle of South Africa. A run off of Mfekane warriors that escaped to a tall mountainous region which protected them from Afrikaners. Colonial power was technically the British after the Anglo-Boer war (1889-1902) but it had previously annexed by the Orange Free State
Patrice Lumumba
1st Prime Minister of DRC
1960: Congo independence
nationalist, one of leaders of indep movement
praising Belgian rule: trying to play along with paternalist views of colonialism
Post WWII Belgians show interest in educatiing congolese: to a certain extent (be good workers, not anything to help gain autonomy)
1959: Belgians agree to have minor elections with idea of indep. in 5 yrs
arrested for riots at elections because he thought they were rigged→Belgians pull out
Rassemblement Democratique Africain (RDA): African Democratic Assembly
1946-1958: political party in French West Africa & French Equatorial Africa
made up of many national parties within different colonies
did not clearly demand secession from colonial powers, but supported Pan African and anti-colonial schools of thought
after colonies gained their independence, broke up (1958)
Rhodesia Native Labour Board (RNLB)
-1900-1920, S Rhodesia
-To attract and retain mine workers in S. Rhodesia, BSAC recruited workers from surrounding regions (Mozambique, Congo, Angola, etc) and offered free transport down to mines in Rhodesia
-people were already trying to migrate down to Rand mines for better pay and conditions
-made migrant workers sign contract that worker could be prosecuted if left the mine, which wasn’t terribly effective in getting people to stay
Roul Honwana
1936-1961, Mozambique
“assimilado”: one of few assimilated/ westernized Africans in Mozambique- western educated, employed, avoided conscription into forced labor or suffering under native tax system
his “insider perspective on Mozambican history” really represents the experiences of a very small bureaucratic class (social class distinctions among colonized people)
Involvement of British Premier Cotton Estates Corporation in Portuguese colony (1920s)
Portugal was broke and contracted out lands to foreign charter companies to establish industry and cover some of administrative costs
Proletarianization: Portuguese colonial admin gave permits to settlers and foreign companies for most productive lands and kicked out people previously living there + imposition of native tax system→created migrant labor force
Sekou Toure
1st president of the Republic of Guinea (1958–84)
Guinea independence transition occurs over 6 years timeframe- probably best situation on continent
member of Parti democratique de Guinea (PDG) = Guinean section of RDA & only political party in Guinea,
Only member who voted for the RDA’s proposal for immediate independence and break from French influence.
essentially acted as a dictator for ~30 years
worked in colonial administration before independence as clerk and for postal service
was only French African state not to vote for Federation of states
Shona
S. Rhodesia under British Colonial powers
1900-1920s: proletarianized by British South Africa Company setting up gold mines and forcing people into Native Reserves which were too small to farm or ranch;
adamantly tried to avoid this dangerous, abusive workspace by abandoning mines and migrating south to go work mines in the Rand, where there was at least better pay
Primary means of subsistence: farming & some pastoralism
Swahili (native speakers)
Colonial power / Geographic location: Eastern coast of central Africa, centered around island of Zanzibar, .
key historical events: 1840s Europeans start coming in and establishing trade relationships
lots of history of contact with the east and middle east and a lot of contact;
prior to abolition of slave trade, were trading dominantly ivory and slaves; frequently served as trade intermediaries between Europe/ outside travel and local people in the country, making a big profit off these relationships
Primary means of subsistence: trade (ivory and slaves dominated trade market)
Tukulor
Colonial power / Geographic location: Northern Nigeria (around Niger River)
key historical events: 1860s hirja
embark on hirja eastward into French Sudan to avoid influence of incoming French colonial administration
led by Umar Tal who was preceded by son, Amadu Sheku
exemplified resistor/ collaborator dichotomy: Amadu Sheku resisted colonial forces by retreating, while his brother collaborated with the French officials to earn himself a position as a native administrator
Primary means of subsistence: agriculture
Socialism
public ownership of the means of production
Spanish Flu
1918: soldiers going back to their countries as vectors
argument: Spanish flu changed dietary practices in the Niger Delta
eating/growing cassava was easier than eating/growing yams
young men and women hit hardest by epidemic => labor shortage => cultivation of cassava instead of yams
Sharpeville Massacre 1960
South Africa
police open fire and slaughter innocent people at peaceful “pass protest” - where Africans took passes and burned them/publicly refused to carry them
outcome: SA govt bans the PAC and the ANC
Structural Adjustment Programs
loans provided by the International Monetary Fund (IMF) and the World Bank (WB) to developing countries post
Tanganyika Ground Nut Scheme
development of 5000 square miles to grow peanuts
attempt to solve post WWII dollar shortage
demonstrates origins of "welfare state" ideology
centralized govt programs can pull country out of depression
Tirailleur Senegalias
French West African Colonial Army troops during WWI+WWII
composed of soldiers recruited and conscripted from throughout FWA
among highest casualy #s
Tribalism
meant to create state out of stateless societies: start with local languages and customs and institutionalizing them bureaucratically → that’s the way they are going to be classified under colonial state
Truth and Reconciliation Commission
Intended to investigate those responsible for crimes; uncover and flesh out wrongs done by government/political party etc. with the purpose more so of catharsis, rather than punishment
Post-Apartheid
Apartheid transcended class by creating a new form of racialized, tribal identity; based on social concepts of identity that trumped class and created this unified form of identity
anyone who benefitted from migrant labor and exploitative labor forces: (i.e. multinational companies, American companies, stockholders, etc.)
by demonizing the Apartheid state and only focusing on perpetrators and victims, thereby leaving out all beneficiaries of the Apartheid regime, TRC helped to preserve the economic underpinnings of the Apartheid regime
Tsetse Fly
likes cool wet environments
breeds on the edge of forests → Congo River Basin, Forest Belt of Southern-West AFrica, mountains of East Africa
precolonialism, natives’ agricultural and farming practices rid the land of the fly;
colonialism→migrant labor→farms became overgrown and large animals not being hunted→prevalence of fly→ spread of disease
Ujamaa
1961, Tanzania: “the Basis of African Socialism”; Swahili: “familyhood”
Julius Nyerere’s socialist aim to create communal and collectivized village farmlands - focus on agriculture as means of development
Attempt to make Tanzania economically self-sufficient rather than remain dependent on foreign aid and foreign investment.
Gold Coast/Ghana
first national ruler: Kwame Nkrumah
independence: 1957
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i don't know
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Gramophone records are made of, and sometimes called, what popular name for the polymer material in question?
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History of Long Play Records-- Great Inventions
Early history
RCA logo with Nipper, the RCA/HMV dog.
A sound recording and reproduction device utilizing what were essentially disc records was described by Charles Cros of France in 1877 but never built. In 1878, Thomas Edison independently built the first working phonograph, a tinfoil cylinder machine. He intended it to be used as a voice recording medium, typically for office dictation. The phonograph cylinder dominated the recorded sound market beginning in the 1880s. Lateral-cut disc records were invented by Emile Berliner in 1888 and were used exclusively in toys until 1894, when Berliner began marketing disc records under the Berliner Gramophone label. The Edison "Blue Amberol" cylinder was introduced in 1912, with a longer playing time of around 4 minutes (at 160 rpm) and a more resilient playing surface than its wax predecessor, but the format was doomed due to the difficulty of reproducing recordings. By November 1918 the patents for the manufacture of lateral-cut disc records expired, opening the field for countless companies to produce them, causing disc records to overtake cylinders in popularity. They would dominate the market until the 1980s. Production of Amberol cylinders ceased in the late 1920s.
Materials
Edison cylinder phonograph ca. 1899
Early disc records were originally made of various materials including hard rubber. From 1897 onwards, earlier materials were largely replaced by a rather brittle formula of 25% "shellac" (a material obtained from the excretion of a southeast Asian beetle), a filler of a cotton compound similar to manila paper, powdered slate and a small amount of a wax lubricant. The mass production of shellac records began in 1898 in Hanover, Germany. Shellac records were the most common until the 1950s. Unbreakable records, usually of celluloid (an early form of plastic) on a pasteboard base, were made from 1904 onwards, but they suffered from an exceptionally high level of surface noise.
In the 1890s the early recording formats of discs were usually seven inches (nominally 17.5 cm) in diameter. By 1910 the 10-inch (25.4cm) record was by far the most popular standard, holding about three minutes of music or entertainment on a side. From 1903 onwards, 12-inch records (30.5cm) were also commercially sold, mostly of classical music or operatic selections, with four to five minutes of music per side.
Such records were usually sold separately, in plain paper or cardboard sleeves that may have been printed to show producer of the retailer's name and, starting in the 1930's, in collections held in paper sleeves in a cardboard or leather book, similar to a photograph album, and called record albums. Empty record albums were also sold that customers could use to store their records in.
While a 78 rpm record is brittle and relatively easily broken, both the microgroove LP 33â…“ rpm record and the 45 rpm single records are made from vinyl plastic which is flexible and unbreakable in normal use. However, the vinyl records are easier to scratch or gouge. 78s come in a variety of sizes, the most common being 10 inch (25 cm) and 12 inch (30 cm) diameter, and these were originally sold in either paper or card covers, generally with a circular cutout allowing the record label to be seen. The Long-Playing records (LPs) usually come in a paper sleeve within a colour printed card jacket which also provides a track listing. 45 rpm singles and EPs (Extended Play) are of 7 inch (17.5 cm) diameter, the earlier copies being sold in paper covers.
In 1930, RCA Victor launched the first commercially available vinyl long-playing record, marketed as "Program Transcription" discs. These revolutionary discs were designed for playback at 33â…“ rpm and pressed on a 30 cm diameter flexible plastic disc. In Roland Gelatt's book The Fabulous Phonograph, the author notes that RCA Victor's early introduction of a long-play disc was a commercial failure for several reasons including the lack of affordable, reliable consumer playback equipment and consumer wariness during the Great Depression.[1]
However, vinyl's lower surface noise level than shellac was not forgotten, nor was its durability. In the late 30's, radio commercials and pre-recorded radio programs being sent to disc jockies started being stamped in vinyl, so they would not break in the mail. In the mid-40's, special DJ copies of records started being made of vinyl also, for the same reason. These were all 78 RPM. During and after World War II when shellac supplies were extremely limited, some 78 rpm records were pressed in vinyl instead of shellac (wax), particularly the six-minute 12" (30 cm) 78 rpm records produced by V-Disc for distribution to US troops in World War II. In the 40's, radio transcriptions, which were usually on 16 inch records, but sometimes 12 inch, were always made of vinyl, on 78 RPM.
Beginning in 1939, Columbia Records continued development of this technology. Dr. Peter Goldmark and his staff undertook exhaustive efforts to address problems of recording and playing back narrow grooves and developing an inexpensive, reliable consumer playback system. In 1948, the 12" (30 cm) Long Play (LP) 33â…“ rpm microgroove record album was introduced by the Columbia Record at a dramatic New York press conference. In 1949, RCA Victor released the first 45 RPM single, 7" in diameter, with a large center hole to accommodate an automatic play mechanism on the changer, so a stack of singles would drop down one record at a time automatically after each play.
A Soviet-era "Bones" record, scratched onto a discarded x-ray print.
During the reign of the Communist Party in the former USSR, records were commonly homemade using discarded medical x-rays. These records, nicknamed "Bones", were usually inscribed with illegal copies of popular music banned by the government. They also became a popular means of distribution among Soviet punk bands; in addition to the high cost and low availability of vinyl, punk music was politically suppressed, and publishing outlets were limited.
Speeds
Earliest rotation speeds varied widely, but between 1900-1925 most records were recorded between 74-82 rpm. In 1925, 78.26 rpm was chosen as the standard because of the introduction of the electrically powered synchronous turntable motor. This motor ran at 3600 rpm with a 46:1 gear ratio which produced 78.26 rpm. In parts of the world that used 50 Hz current, the standard was 77.92 RPM, which was the speed at which a strobe disc with 77 lines would "stand still" in 50 Hz light. Thus these records became known as 78s (or "seventy-eights"). This term did not come into use until after World War II when a need developed to distinguish the 78 from other newer disc record formats, an example of a retronym. Earlier they were just called records, or when there was a need to distinguish them from cylinders, disc records. Standard records was also used, although the same term had also been used earlier for two-minute cylinders.
After World War II, two new competing formats came on to the market and gradually replaced the standard "78": the 33⅓ rpm (often just referred to as the 33 rpm), and the 45 rpm. The 33⅓ rpm LP (for "long play") format was developed by Columbia Records and marketed in 1948. RCA Victor developed the 45 rpm format and marketed it in 1949, in response to Columbia. Both types of new disc used narrower grooves, intended to be played with a smaller stylus - typically 0.001" (25 µm) wide, compared to 0.003" (76 µm) for a 78 - so the new records were sometimes called Microgroove. In the mid-1950s all record companies agreed to a common recording standard called RIAA equalization. Prior to the establishment of the standard each company used its own preferred standard, requiring discriminating listeners to use preamplifiers with multiple selectable equalization curves.
A number of recordings were pressed at 16â…” RPM, but these were mostly used for radio transcription discs or narrated publications for the blind and visually impaired, and were never widely commercially available.
The older 78 format continued to be mass produced alongside the newer formats into the 1950s, and in a few countries, such as India , into the 1960s. As late as the 1970s, some children's records were released at the 78 rpm speed.
The commercial rivalry between RCA Victor and Columbia Records led to RCA Victor's introduction of what it had intended to be a competing vinyl format, the 7" (175 mm) /45 rpm disc. For a two-year period from 1948 to 1950, record companies and consumers faced uncertainty over which of these formats would ultimately prevail in what was known as the "War of the Speeds". (See also format war )
Eventually the 12" (300 mm) 33â…“ rpm LP prevailed as the predominant format for musical albums, and the 7" (175 mm) 45 rpm disc or "single" established a significant niche for shorter duration discs, typically containing one song on each side. The 45 rpm discs typically emulated the playing time of the former 78 rpm discs, while the LP discs provided up to one half hour of time per side (though typically 15 to 20 minutes). The 45 rpm discs also came in a variety known as Extended play (EP) which achieved up to 25 minutes play at the expense of attenuating (and possibly compressing) the sound to reduce the width required by the groove.
From the mid-1950s through the 1960s, in the US the common home "record player" or "stereo" would typically have had these features: a three- or four-speed player with changer (78, 45, 33â…“, and sometimes 16â…” rpm); a combination cartridge with both 78 and microgroove styluses; and some kind of adapter for playing the 45s with their larger center hole. The large center hole on 45s allows for easier handling by jukebox mechanisms. RCA 45s can also be adapted to the smaller spindle of an LP player with a plastic snap-in insert known as a 'spider'; such inserts were prevalent starting in the 1960s.
Deliberately playing or recording records at the wrong speed was a common amusement. For example, playing the song "I'm on Fire" from Bruce Springsteen's 33â…“ LP at a 45 speed gives the singer a falsetto singing voice that sounds very much like Dolly Parton. Subsequently, playing a 45 rpm recording of Dolly Parton at 33â…“ gives her a voice a husky, almost masculine tone.
Canadian musician Nash the Slash took advantage of this speed/tonal effect with his 1981 12" disc Decomposing, which featured four instrumental tracks that were engineered to play at any speed (with the playing times listed for 33â…“, 45 and 78 rpm playback). Faster playback made the tracks sound like punk rock or power pop, while slower speeds gave the songs a thick, heavy metal effect.
Explanation
The normal commercial disc is engraved with two sound bearing concentric spiral grooves, one on each side of the disc, running from the outside edge towards the centre. Since the late 1910s, both sides of the record have been used to carry the grooves. The recording is played back by rotating the disc clockwise at a constant rotational speed with a stylus (needle) placed in the groove, converting the vibrations of the stylus into an electric signal (see magnetic cartridge), and sending this signal through an amplifier to loudspeakers.
Single-Record (45 rpm)
12" (30 cm) 45 rpm extended-playing ( 12-inch (30 cm) single , Maxi Single and EP ) format
12" (30 cm) 78 rpm format, 4-5 minutes
10" (25 cm) 78 rpm format, 3 minutes
7" (17.5 cm) 45 rpm ( single ) format
7" (17.5 cm) 45 rpm extended-playing ( EP ) format
Less common formats
Structure of a typical record
The majority of records are pressed on black vinyl . The colouring material used to blacken the transparent PVC plastic mix is carbon black, the generic name for the finely divided carbon particles produced by the incomplete burning of a mineral oil based hydrocarbon. Carbon black increases the strength of the disc and renders it opaque.
200x 33 rpm vinyl record
Some records are pressed on coloured vinyl or with paper pictures embedded in them ("picture discs"). These discs can become collectors' items in some cases. During the 1980s there was a trend for releasing singles on colour vinyl— sometimes with large inserts that could be used as posters. This trend has been revived recently and has succeeded in keeping 7" singles a viable format.
Vinyl record standards for the United States follow the guidelines of the Recording Industry Association of America (RIAA).[2] The inch dimensions are nominal, not precise diameters. The actual dimension of a 12 inch record is 302 mm (11.89 in), for a 10 inch it is 250 mm (9.84 in), and for a 7 inch it is 175 mm (6.89 in).
Records made in other countries are standardized by different organizations, but are very similar in size. The record diameters are typically 300 mm, 250 mm and 175 mm.
There is an area about 6 mm (0.25″) wide at the outer edge of the disk, called the lead-in where the groove is widely spaced and silent. This section allows the stylus to be dropped at the start of the record groove, without damaging the recorded section of the groove.
Between each track on the recorded section of an LP record, there is usually a short gap of around 1 mm (0.04") where the groove is widely spaced. This space is clearly visible, making it easy to find a particular track.
Towards the label centre, at the end of the groove, there is another wide-pitched section known as the lead-out. At the very end of this section, the groove joins itself to form a complete circle, called the lock groove; when the stylus reaches this point, it circles repeatedly until lifted from the record. Automatic turntables rely on the position or angular velocity of the arm, as it reaches these more widely spaced grooves, to trigger a mechanism that raises the arm and moves it out of the way of the record.
The catalog number and stamper ID is written or stamped in the space between the groove in the lead-out on the master disc, resulting in visible recessed writing on the final version of a record. Sometimes the cutting engineer might add handwritten comments or their signature, if they are particularly pleased with the quality of the cut.
When auto-changing turntables were commonplace, records were typically pressed with a raised (or ridged) outer edge and label area. This would allow records to be stacked onto each other, gripping each other without the delicate grooves coming into contact, thus reducing the risk of damage. Auto changing turntables included a mechanism to support a stack of several records above the turntable itself, dropping them one at a time onto the active turntable to be played in order. Many longer sound recordings, such as complete operas, were interleaved across several 10-inch or 12-inch discs for use with auto-changing mechanisms, so that the first disk of a three-disk recording would carry sides 1 and 6 of the program, while the second disk would carry sides 2 and 5, and the third, sides 3 and 4, allowing sides 1, 2, and 3 to be played automatically, then the whole stack reversed to play sides 4, 5, and 6.
Progress, and the war of the speeds
45 rpm records, like this one from 1955, often held a single - one especially popular tune from a particular artist - with a flip side, a bonus for owners.
About the same time the most common substance for making 33 rpm disc records became vinyl, while 45 rpm discs were made from either vinyl or polystyrene. All speeds of records were made in various sizes, mainly 17.5, 25, 30 cm (~7, 10 and 12 inches diameter); the 17.5 cm (~7-inch) being most common for the 45 rpm, the 25 cm (~10-inch) for the 78 (and the first few years of 33â…“ production), and the 30 cm (~12-inch) for the 33 from the mid 1950s on.
Vinyl quality
The sound quality and durability of vinyl records is highly dependent on the quality of the vinyl. During the early 1970s, as a cost-cutting move towards use of lightweight, flexible vinyl pressings, much of the industry adopted a technique of reducing the thickness and quality of vinyl used in mass-market manufacturing, marketed by RCA Victor as the "Dynaflex" (125 g /m²) process. Most vinyl records are pressed on recycled vinyl.
New "virgin" or "heavy" (180-220 g/m²) vinyl is commonly used for classical music, although it has been used for some other genres. Today, it is increasingly common in vinyl pressings that can be found in most record shops. Many classic rock albums have been reissued on 180 g/m² vinyl. Modern albums are also commonly pressed on 180 g/m². Many collectors prefer to have 180 gram vinyl albums, and they have been reported to have a better sound than normal vinyl. These albums tend to withstand the deformation caused by normal play better than regular vinyl.
Since most vinyl records are from recycled plastic, it can lead to impurities in the record, causing a brand new album to have audio artifacts like clicks and pops. Virgin vinyl means that the album is not from recycled plastic, and will be devoid of the possible impurities of recycled plastic.
While most vinyl records are pressed from metal master discs, a technique known as lathe-cutting was introduced in the late 1980s by Peter King in Geraldine, New Zealand.[3] A lathe is used to cut microgrooves into a clear polycarbonate disc. Lathe cut records can be made inexpensively in small runs. However, the sound quality is significantly worse than proper vinyl records, and lathe cut records tend to degrade further in quality after repeated playing.
Stereo and beyond
In 1958 the first stereo two-channel records were issued – by Audio Fidelity in the USA and Pye in Britain, using the Westrex "45/45" single-groove system. While the stylus moves horizontally when reproducing a monophonic disk recording, on stereo records the stylus moves vertically as well as horizontally.
One could envision a system in which the left channel was recorded laterally, as on a monophonic recording, with the right channel information recorded with a "hill-and-dale" vertical motion; such systems were proposed but not adopted, due to their incompatibility with existing phono pickup designs (see below). In the Westrex system, each channel drives the cutting head at a 45 degree angle to the vertical. During playback the combined signal is sensed by a left channel coil mounted diagonally opposite the inner side of the groove, and a right channel coil mounted diagonally opposite the outer side of the groove.[4]
It is helpful to think of the combined stylus motion in terms of the vector sum and difference of the two stereo channels. Effectively, all horizontal stylus motion conveys the L+R sum signal, and vertical stylus motion carries the L-R difference signal. The advantages of the 45/45 system are:
greater compatibility with monophonic recording and playback systems. A monophonic cartridge will reproduce an equal blend of the left and right channels instead of reproducing only one channel. Conversely, a stereo cartridge reproduces the lateral grooves of monophonic recording equally through both channels, rather than one channel.
a more balanced sound, because the two channels have equal fidelity (rather than providing one higher-fidelity laterally recorded channel and one lower-fidelity vertically recorded channel);
higher fidelity in general, because the "difference" signal is usually of low power and thus less affected by the intrinsic distortion of hill-and-dale recording.
This system was invented by Alan Blumlein of EMI in 1931 and patented the same year. EMI cut the first stereo test discs using the system in 1933. It was not exploited commercially until a quarter of a century later.
Stereo sound provides a more natural listening experience where the spatial location of the source of a sound is, at least in part, reproduced.
The development of quadraphonic records was announced in 1971. These recorded four separate sound signals. This was achieved on the two stereo channels by electronic matrixing, where the additional channels were combined into the main signal. When the records were played, phase-detection circuits in the amplifiers were able to decode the signals into four separate channels. There were two main systems of matrixed quadrophonic records produced, confusingly named SQ (by CBS) and QS (by Sansui). They proved commercially unsuccessful, but were an important precursor to later 'surround sound' systems, as seen in SACD and home cinema today. A different format, CD-4 (not to be confused with compact disc), by RCA, encoded rear channel information on an ultrasonic carrier, which required a special wideband cartridge to capture it on carefully-calibrated pickup arm/turntable combinations. Typically the high frequency information inscribed onto these LPs wore off after only a few playings, and CD-4 was even less successful than the two matrixed formats.
Other developments
Under the direction of C. Robert Fine, Mercury Records initiated a minimalist single microphone monaural recording technique in 1951. The first record, Kubelik/Chicago's performance of "Pictures at an Exhibition" was described as "being in the living presence of the orchestra" by the NY Times music critic. The series of records was then named “Mercury Living Presence.� In 1955 Mercury began 3-channel stereo recordings, still based on the principle of the single microphone. The center (single) mic was of paramount importance, with the two side mics adding depth and space. Record masters were cut directly from a 3-track to 2-track mixdown console, with all editing of the master tapes done on the original 3-tracks. In 1961 Mercury enhanced this technique with three-microphone stereo recordings using 35mm magnetic film instead of half-inch tape for recording. The greater thickness and width of 35mm magnetic film prevented tape layer print-through and pre-echo and gained extended frequency range and transient response. The Mercury Living Presence recordings were remastered to CD in the 1990s by the original producer, using the same method of 3-to-2 mix directly to the master recorder.
On a small number of early phonograph systems and radio transcription discs, as well as some entire albums, such as Goodbye Blue and White by Less Than Jake, the direction of the groove is reversed, beginning near the centre of the disc and leading to the outside. A small number of records (such as Jeff Mills' Apollo EP or the Hidden In Plainsight EP from Detroit's Underground Resistance) were manufactured with multiple separate grooves to differentiate the tracks (usually called 'NSC-X2'). X2 was pioneered by Ron Murphy and Heath Brunner from Sound Enterprises (formerly National Sound Corporation), a record mastering company in Detroit.
In the late 1970s "direct-to-disc" records were produced, aimed at an audiophile niche market. These completely bypassed the use of magnetic tape in favor of a "purist" transcription directly to the master lacquer disc. Also during this period, "half-speed mastered" and "original master" records were released, using expensive state-of-the-art technology.
The early 1980s saw the introduction of "dbx-encoded" records, again for the audiophile niche market. These were completely incompatible with standard record playback preamplifiers, relying on the dbx compandor encoding/decoding scheme to greatly increase dynamic range (dbx encoded disks were recorded with the dynamic range compressed by a factor of two in dB: quiet sounds were meant to be played back at low gain and loud sounds were meant to be played back at high gain, via automatic gain control in the playback equipment; this reduced the effect of surface noise on quiet passages). A similar and very short lived scheme involved using the CBS-developed "CX" noise reduction encoding/decoding scheme.
Also in the late 1970s and 1980s, a method to improve the dynamic range of mass produced records involved highly advanced disc cutting equipment. These techniques, marketed as the CBS Discomputer and Teldec Direct Metal Mastering, were used to reduce inner-groove distortion.
ELPJ, a Japanese-based company, has developed a player that uses a laser instead of a stylus to read vinyl discs. In theory the laser turntable eliminates the possibility of scratches and attendant degradation of the sound, but its expense limits use primarily to digital archiving of analog records. Various other laser-based turntables were tried during the 1990s, but while a laser reads the groove very accurately, since it does not touch the record, the dust that vinyl naturally attracts due to static charge is not cleaned from the groove, worsening sound quality in casual use compared to conventional stylus playback.
Recording the disc
For the first several decades of disc record manufacturing, sound was recorded directly on to the master disc (also called the matrix, sometimes just the master) at the recording studio. From about 1950 on (earlier for some large record companies, later for some small ones) it became usual to have the performance first recorded on audio tape , which could then be processed and/or edited, and then dubbed on to the master disc.
A record cutter would engrave the grooves into the master disc. Early versions of these master discs were soft wax, and later a harder lacquer was used.
The mastering process was originally something of an art as the operator had to manually allow for the changes in sound which affected how wide the space for the groove needed to be on each rotation. Sometimes the engineer would sign his work, or leave humorous or cryptic comments in the run-off groove area, where it was normal to scratch or stamp identifying codes to distinguish each master.
[ edit ] Mass producing records
The soft master known as a lacquer would then be electroplated with a metal, commonly a nickel alloy. This and all subsequent metal copies were known as matrices. When this metal was removed from the lacquer (master), it would be a negative master since it was a negative copy of the lacquer. (In the UK, this was called the master; note the difference from soft master/lacquer disc above). In the earliest days the negative master was used as a mold to press records sold to the public, but as demand for mass production of records grew, another step was added to the process.
The metal master was then electroplated to create metal positive matrices, or "mothers". From these negatives, stampers would be formed. The stampers would be used in hydraulic presses to mould the LP discs. The advantages of this system over the earlier more direct system included ability to make a large number of records quickly by using multiple stampers. Also, more records could be produced from each master since molds would eventually wear out.
Since the master was the unique source of the positive, made to produce the stampers, it was considered a library item. Accordingly, copy positives, required to replace worn positives, were made from unused early stampers. These were known as copy shells and were the physical equivalent of the first positive.
The "pedigree" of any record can be traced through the stamper/positive identities used, by reading the lettering found on the record run-out area.
Packaging and distribution
A psychedelically coloured record.
Singles are typically sold in plain paper wrappers, though EPs are often treated to a cover in similar style to an LP. LPs are universally packaged in cardboard covers with a paper liner protecting the delicate surface of the record. Also, with the advent of long-playing records, the album cover became more than just packaging and protection, and album cover art became an important part of the music marketing and consuming experience. In the 1970s it became more common to have picture covers on singles. However, many singles with picture sleeves (especially from the 1960s) are sought out by collectors, and the sleeves alone can go for a high price. LPs can have embossed cover art (with some sections being raised), an effect rarely seen on CD covers.
Records are made at large manufacturing plants, either owned by the major labels, or run by independent operators to whom smaller operations and independent labels could go for smaller runs. A band starting out might get a few hundred disks stamped, whereas big selling artists need the presses running full time to manufacture the hundreds of thousands of copies needed for the launch of a big album.
Records are generally sold through specialist shops, although some big chain stores also have record departments. Many records are sold from stock, but it is normal to place special orders for less common records. Stock is expensive, so only large city center stores can afford to have several copies of a record.
Record labels
Record companies organised their products into labels. These could either be subsidiary companies, or they could simply be just be a brand name. For example, EMI published records under the His Master's Voice (HMV) label which was their classical recording brand, Harvest for their progressive rock brand, home to Pink Floyd. They also had Music for Pleasure and Classics for Pleasure as their economy labels. EMI also used the Parlophone brand in the UK for Beatles records in the early 1960's.
In the 1970's successful musicians sought greater control, and one way they achieved this was with their own labels, though normally they were still operated by the large music corporations. Two of the most famous early examples of this were the Beatles' Apple Records and Led Zeppelin 's Swan Song Records
In the late 1970's the anarchic punk rock movement gave rise to the independent record labels. These were not owned or even distributed by the main corporations. In the UK, examples were Stiff Records who published Ian Dury and the Blockheads and Two Tone Records, label for The Specials. These allowed smaller bands to step onto the ladder without having to conform to the rigid rules of the large corporations.
Disc limitations
Shellac
Shellac 78's are brittle, and must be handled carefully. In the event of a 78 breaking, the pieces might remain loosely connected by the label and still be playable if the label holds them together, although there is a loud 'pop' with each pass over the crack, and breaking of the needle is likely.
Breakage was a very common accident in the shellac era. In the 1934 novel, Appointment in Samarra, the protagonist "broke one of his most favorites, Whiteman's Lady of the Evening ... He wanted to cry but could not." A poignant moment in J. D. Salinger's 1951 novel The Catcher in the Rye occurs after the adolescent protagonist buys a record for his younger sister but drops it and "it broke into pieces ... I damn near cried, it made me feel so terrible."
[ edit ] Vinyl
Vinyl records do not break easily, but the soft material is easily scratched. Vinyl readily acquires a static charge, attracting dust that is difficult to remove completely. Dust and scratches cause audio clicks and pops. In extreme cases, they can cause the needle to skip over a series of grooves, or worse yet, cause the needle to skip backwards, creating a "locked groove" that repeats the same 1.8 seconds of track (at 33â…“ rpm) over and over again. Locked grooves were not uncommon and were even heard occasionally in broadcasts.
Vinyl records can be warped by heat, improper storage, or manufacturing defects such as excessively tight plastic shrinkwrap on the album cover. A small degree of warp was common, and allowing for it was part of the art of turntable and tonearm design. "Wow" (once-per-revolution pitch variation) could result from warp, or from a spindle hole that was not precisely centered.
As a practical matter, records provide excellent sound quality when treated with care. They were the music source of choice for radio stations for decades, and the switch to digital music libraries by radio stations has not produced a noticeable improvement in sound quality. Casual ears cannot detect a difference in quality between a CD and a clean new LP played in a casual environment with background noise. There is controversy about the relative quality of CD sound and LP sound when the latter is heard under the very best conditions (see Analog vs. Digital sound argument). The limitations of recording and mastering techniques had a greater impact on sound quality than the limitations of the record itself, at least until the 1980s.
A further limitation of the record is that with a constant rotational speed, the quality of the sound may differ across the width of the record because the inner groove modulations are more compressed than those of the outer tracks. The result is that inner tracks have distortion that can be noticeable at higher recording levels.
7" singles were typically poorer quality for a variety of the reasons mentioned above, and in the 1970s the 12" single, played at 45 rpm, became popular for DJ use and for fans and collectors.
Another problem arises because of the geometry of the tonearm. Master recordings are cut on a recording lathe, where a sapphire stylus moves radially across the blank, suspended on a straight track and driven by a lead screw. Most turntables use a pivoting tonearm, introducing side forces and pitch and azimuth errors, and thus distortion in the playback signal. Various mechanisms were devised in attempts to compensate, with varying degrees of success. See more at phonograph .
Frequency response and noise
In 1925, electric recording extended the recorded frequency range from acoustic recording (168-2000 Hz) by 2½ octaves to 100-5000 Hz. Even so, these early electronically recorded records used the exponential-horn phonograph (see Orthophonic Victrola) for reproduction.
The frequency response of vinyl records may be degraded by frequent playback if the cartridge is set to track too heavily, or the stylus is not compliant enough to trace the high frequency grooves accurately, or the cartridge/tonearm is not properly aligned. The RIAA has suggested the following acceptable losses: down to 20 kHz after one play, 18 kHz after three plays, 17 kHz after five, 16 kHz after eight, 14 kHz after fifteen, 13 kHz after twenty five, 10 kHz after thirty five, and 8 kHz after eighty plays. While this degradation is possible if the record is played on improperly set up equipment, many collectors of LPs report excellent sound quality on LPs played many more times when using care and high quality equipment.
Gramophone sound suffers from rumble, low-frequency (below about 30 Hz) mechanical noise generated by the motor bearings and picked up by the stylus. Equipment of modest quality is relatively unaffected by these issues, as the amplifier and speaker will not reproduce such low frequencies, but high-fidelity turntable assemblies need careful design to minimise audible rumble.
Room vibrations will also be picked up if the pedestal - turntable - pickup arm - stylus system is not well damped.
Tonearm skating forces and other perturbations are also picked up by the stylus. This is a form of frequency multiplexing as the "control signal" (restoring force) used to keep the stylus in the groove is carried by the same mechanism as the sound itself. Subsonic frequencies below about 20 Hz in the audio signal are dominated by tracking effects, which is one form of unwanted rumble ("tracking noise") and merges with audible frequencies in the deep bass range up to about 100 Hz. High fidelity sound equipment can reproduce tracking noise and rumble. During a quiet passage, woofer speaker cones can sometimes be seen to vibrate with the subsonic tracking of the stylus, at frequencies as low as about 0.5 Hz (the frequency at which a 33-1/3 rpm record turns on the turntable).
At high audible frequencies, hiss is generated as the stylus rubs against the vinyl, and from dirt and dust on the vinyl.
Columbia and RCA 's competition extended to equipment. Some turntables included spindle size adapters, but other turntables required snap-in inserts like this one to adapt RCA's larger 45 rpm spindle size to the smaller spindle size available on nearly all turntables.
Equalization
Due to recording mastering and manufacturing limitations, both high and low frequencies were removed from the first recorded signals by various formulae. With low frequencies, the stylus must swing a long way from side to side, requiring the groove to be wide, taking up more space and limiting the playing time of the record. At high frequencies noise is significant. These problems can be compensated for by using equalization to an agreed standard. This simply means reducing the amplitude at low-frequencies, thus reducing the groove width required, and increasing the amplitude at high frequencies. The playback equipment boosts bass and cuts treble in a complementary way. The result should be that the sound is perceived to be without change, thus more music will fit the record, and noise is reduced.
The agreed standard has been RIAA equalization since 1952, implemented in 1955. Prior to that, especially from 1940, some 100 formulae were used by the record manufacturers.
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Vinyl
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What originally Venetian word refers to a meeting of boats or yacht races?
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The Virtual Gramophone: Early Canadian Sound Recordings - Library and Archives Canada
Library and Archives Canada
The Virtual Gramophone: Early Canadian Sound Recordings
The Virtual Gramophone: Early Canadian Sound Recordings
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010: The Virtual Gramophone: Early Canadian Sound Recordings
March 28, 2014
Listen Now [29.3 MB, length: 31:15]
Library and Archives Canada’s (LAC) Virtual Gramophone is a multimedia website devoted to the early days of Canadian recorded sound, providing an overview of the 78-rpm era in Canada.
In this episode, we explore the music collection at LAC. Gilles Leclerc, Archival Assistant, and Gilles St-Laurent, Head Audio Conservator from LAC discuss the different aspects of the collection and bring to light some incredible stories about maintaining the collection for future generations.
Email questions and feedback to: [email protected]
Podcast Transcript
The Virtual Gramophone: Early Canadian Sound Recordings
Jessica Ouvrard: Welcome to “Discover Library and Archives Canada: Your History, Your Documentary Heritage.” I’m your host, Jessica Ouvrard. Join us as we showcase treasures from our vaults; guide you through our many services; and introduce you to the people who acquire, safeguard and make known Canada’s documentary heritage.
In this episode, we discuss LAC’s Virtual Gramophone, a multimedia website devoted to the early days of Canadian recorded sound, providing an overview of the 78-rpm era in Canada. Joining us today from LAC are Archival Assistant Gilles Leclerc and Head Audio Conservator Gilles St-Laurent.
JO: Hi Gilles, thanks for joining us today.
Gilles Leclerc: Thanks very much.
JO: LAC’s collection is quite diverse. Can you tell us if it includes music recordings?
GS: It does in fact. We have a fairly large collection of a little over 200,000 recording from all eras. It’s quite fascinating to see the full development of the recording industry. We have a sample of just about everything that has come out since the late nineteenth century.
JO: Are these recordings available and accessible to the public?
GL: They are, in fact. For the most part one can come onsite to actually listen to them. Usually there would be a reference copy or a consultation copy prepared for that. Especially for the old 78s because those are rather brittle, so therefore we try to preserve those as best we can.
JO: Are these only accessible in person?
GL: You can of course consult our webpages because the Virtual Gramophone provides a fairly extensive part of the 50,000 records that we do have, 50,000 78s. Of those, we described about 15,000 on the webpage called Virtual Gramophone and of those about 7,000 you can actually listen to online or actually even download, which is quite interesting. So it makes them really accessible.
JO: Wow! That’s interesting. Are these recordings all done on 78s or are there other formats?
GL: For the Virtual Gramophone we are talking 78s. However if someone came onsite, they could listen to perhaps the CDs we have in our collection. Of course those are coming in through legal deposit. Or the vinyls as well, unless of course those are too fragile. Those would also have a consultation copy prepared on DVD or CD.
JO: Do we have cylinders as well?
GL: We do have a fairly large collection. Those are rather fascinating, they preceded the actual 7 inch 78s. It must have been quite striking to go from nothing—that is to say nothing listenable anywhere—to music in a can so to speak, because their little containers actually look like a can.
JO: Here’s Gilles St-Laurent.
Gilles St-Laurent: The very first recording in 1877 by Thomas Edison was on a cylinder. It’s basically a large cylindrical object wrapped in foil and the sound waves were etched directly onto this foil. Later on the discs were made smaller and made out of wax because plastics hadn’t been invented by that time, so we’re talking about the early-mid 1880s. The problem with these early cylinders—there are several problems. First of all they’re wax; its hard wax, but they still wear out; the pressure of the needle would wear out the information on the groves. They were very fragile, they would break quite easily. There was no room on the cylinder to write song information, so you can wind up with a drawer full of cylinders and not know what song is on what cylinder. They were not easy to store just because of the physical size of it, they are basically the size of a pop can with the information etched into it. Now the advantage to discs when they came about in the late 1880s was that, you know again a lot of stuff. There was one interesting advantage, it was that there was room on the label to stick a label on the record and to write down what the information is and have some kind of record label.
JO: Who was the musician…
GS: Who was the musicians, the composers, record labels… Any kind of information that you wanted. The very first discs were made out of a rubber; it was a hard rubber, but it sounded awful and they had real quality control issues and that’s when they developed shellac discs, which is your now modern 78.
JO: Right. So nowadays how do you play and digitally record these albums or records?
GS: They are records.
JO: Yeah.
GS: We have modern equipment that’s been designed to playback these early discs and cylinders. The very first records, like cylinders and discs before 1925 were records without microphones because electricity wasn’t available and the microphone hadn’t been invented. So they would synch directly into a horn and the sound waves would etch the original material. Later on in 1925 when they started using microphones, they discovered that the microphones could pick up a great deal more bass than the horn could. What would happen is that the groove would cut into the adjacent groove. So what they had to do is cut the bass before they put a song onto a disc with the idea that at home with your amplifier you would bring the base back to where it was cut. They also exaggerated the high frequencies and lowered that later to reduce some of the noise, the surface noise. The problem with this is that these playback curves, as they are called, changed from record company to record company. They could each have different frequencies where they would boost a cut. Even within the same record company, you know the Chicago plant would have a different EQ [equalization] than say the Montreal plant.
JO: Right.
GS: So what we have is we worked with a company in the States to develop a box that allows us to dial in the proper playback equalization, so that way we have a historically accurate sound. The playback equalization wasn’t standardized until 1955. So anything before 1955, which all of these records are, is all over the map.
JO: Right.
GS: It’s just everywhere and ultimately the decision has to be made by year as to which EQ you’re going to use. Something could have been released in 1926, but it was recorded in 1924 before the microphone or it’s been reissued. So there are all kinds of things that play into it…
JO: Variables.
GS: Another thing we need to keep in mind is that the size of the record groove has changed over the years. The very first ones were quite coarse and over the years they made them smaller so they could get more windings and longer-playing discs. We have a large range of styli that allows us to track lower and higher in the groove to get the best sound possible. Sometimes there is certain damage to the records. I mean who knows where they have been before we got to them, so sometimes by choosing slightly smaller or slightly larger stylus you can work your way around the noise. Sometimes it doesn’t make any difference and other times it can be a night-and-day difference.
JO: When you are talking about the stylus you are referring to the needle?
GS: Yes, that is correct. The needle that sits in the groove.
JO: Okay thanks.
GS: Another thing to keep in mind is that the earliest flat discs, you know they are called 78s, but were never recorded at exactly 78. They could go from mid-60s to 100 and that really has a large effect on the quality of the voice. You know the voice sounds like chipmunks or one of the Chipmunks and the vibrato is too fast. It just sounds very unnatural. We spent a lot of time getting the proper pitch and to do that we have a keyboard and compare the record to the keyboard to try and figure out what key it’s in. Keeping in mind that brass instruments prefer a flat key, strings sharp keys, pop music is written in more simple keys and classical music they can modulate and all off a sudden you have your wind up with six sharps or something. For classical music we can pull out the sheet music and compare it and find out exactly what key it should be in. But the challenge to that is that at that time classical musicians had no qualms about transposing music to fit their voice. They even had pianos invented where the whole keyboard would just shift over so the guy…
JO: An octave?
GS: No, it would just shift over a half-tone or a tone. The pianist would just play whichever key, but it’s playing a tone higher. So the score says one thing, you see something else and you’re going, oh! That sounds a bit off. Again, it’s taking all of this stuff into consideration.
JO: What we’re listening to when we are listening to the Virtual Gramophone is pretty close, as authentically close as you can, to the original or what you think it might be.
GS: Well, what we think it might be, yes. You know it’s an educated guess. Also, the ones you are hearing on the Virtual Gramophone—like the first thing we do is get the best analogue sound possible. As you get all your EQs, stylist size, speed, so that’s all set. Then we digitize it at quite a high level, it’s about 512 times more accurate than an audio CD. So we start out with a very high quality recording. Then we do a very light amount of noise reduction, just to make it a bit more palatable. You know—making this 19th, 18th century technology more palatable to 21st century ears. So we will remove some of the pops and clicks and a bit of the hiss just to make it a bit more enjoyable to listen to. Now I could have certainly taken off more noise, but it’s best to leave a bit of noise and leave more music. Let people decide on their own whether they want to turn down the high frequencies or do what they want to do with the sound.
JO: What is the earliest recording in LAC’s music collection?
GS: The earliest recording is from 1889 and it’s a small 5-inch record and this one here is a guy making animal sounds with his mouth. It’s very bad, but very entertaining.
JO: So can you tell me where these sound recordings originally came from?
GS: Well, the collection started in 1967, the recorded sound collection. The records originally came from a guy named Ed Moogk who started the collection in 1967. This is a man who had worked at the CBC, who had a show, and was very passionate about these older records. Then after that we would acquire collections, either collectors would sell them to us, we would get them through auctions, dealers, whichever way we can acquire these old records. Of course these records weren’t sold in record stores per say because of course they were far too old for that to happen.
JO: What are the highlights of the collection? Does it include any unique recordings or companies?
GS: I think overall the collection really does give us an overview of the production of recording here in Canada and that’s the interesting thing. We really captured who were the artists of the time, who were the great singers. So therefore, just to mention a few things, we have Harry Mcdonough who was one of the more famous singers of the era. We have his recording, the 1899 recording of “My Little Georgia Rose.” To think that’s a 7-inch 78 because they were a little larger after—I would say about 1910. The 7-inches are at least smaller, they almost look like CDs and in fact they were only recorded on one side too. It’s interesting how things kind of go around in a full cycle. Of course the famous, “Maple Leaf Forever,” which almost ended up being Canada’s national anthem, but didn’t. But we have that performed by the Kilties band, recorded in 1902 and it’s a fairly rare Canadian Tartan label. Tartan was one of the labels on which recordings were re-done. And the interesting recording by Joseph Saucier, he recorded classic and religious music, “Panis Angelicus”, but he is the first Franco-Canadian to have made a recording, so we have that recording in the collection. Those are some of the highlights. We also have Madame La Bolduc, one of the more famous, popular singers in the 1930s in Quebec. She had a particular style that came out of folklore music mostly, and we can say we now have every single original copy that she ever put out. That’s pretty interesting.
JO: Are there any other notable Canadian artists included in the Virtual Gramophone?
GS: Yes, I have to mention Emma Albani who was probably one of the more famous sopranos at the end of the 19th century—became a very good friend of Queen Victoria apparently. Most of her career was in Europe when she left Quebec. She really went on world tours, was really renowned. We have her recordings, which were all done later in her career, so we didn’t kind of catch her at her peak. Nonetheless it’s a wonderful encapturing of the voice that made such an astounding impact on Berlin music in the 19th century. So Emma Albani is definitely one, a few other classical ones are Pauline Donalda, Sarah Fischer and Hubert Eisdell. These are all names for people to discover because perhaps we don’t know them today, do we? But they are in our collection therefore they are a record—no pun intended there—but there is a record of our music history. Quite important for us.
JO: Does LAC have any particular tools available to find sound recordings on the Virtual Gramophone website?
GS: There is the search engine, of course, on Virtual Gramophone you can find by topic, by name, by title. We have a few articles which would be of interest to people coming to the site because they will provide a nice overview of the recording industry in Canada—how it began, you know of course Berliner was at the source of that. They will be able to read up and see just how Canada really always seemed to have a fairly strong presence in the development of the recording industry. Of course it was starting in the United States at the same time with Edison and Columbia, but Emile Berliner kind of kept his turf and protected his turf in Canada. Thanks to him we ended up with quite the collection of anglophone and francophone performers here in Canada.
JO: Excellent. What can the music recordings found in the Virtual Gramophone tell us about Canadian identity and culture and history?
GS: Definitely it covers events. I mean when you are look at the songs that you are listening to, they cover historical events.
JO: There are certain themes that come through.
GS: They come through. World War I—I mean if you check under “war” on the Virtual Gramophone you will find about 600 songs. So we’re not short on those and of course a lot of them are recruitment songs and other. A lot of them were songs about a mother waiting for her son to come back from war, and of course the love songs as well. Many of them are also dedicated to regiments and so you would see this nationalism. You do capture where Canada was politically at that time because it was a much closer relationship with Great Britain. We were still part of the Commonwealth, but we don’t have the same dynamic today as we did then. A lot of the songs will talk about going off to war for king and country. I’m not sure that it would be as strong today, but it’s capturing the spirit and I think all of that lies as well in the words. You can just do a study of the words and see what the social values are—this comes through with sheet music as well.
JO: Right. So you can definitely see there is a distinctly Canadian flavour to it.
GS: There is and another thing that really emerges is that a lot of the songs are bilingual. They have French words as well. Roméo Beaudry was with one of the major labels in Montreal for years. He must have put French words to at least a hundred popular songs, many of them American. It’s quite interesting to see how they were dealing with 2 markets of course, so therefore of course, they made sure there were French words to many of these popular songs.
JO: Do we have collection material from artists beyond Virtual Gramophone’s scope? Older or more contemporary?
GS: More contemporary of course because when I mentioned earlier the 200,000 recordings, of course that covers everything from Rock to what have you. I think there is something for everyone in the collection and like I said earlier we’re also still accumulating through Legal Deposit and more recordings are coming to us automatically as well. We have to sometimes go after them, but most of the time they do arrive. The collection is perpetually getting bigger and bigger and so we’ll have a challenge in years to come, but I think it will be a good one. We’ll just keep on capturing all of the sound recording industry.
JO: What do you think is the biggest difference between these musical recordings and musical recordings of today?
GS: I mean it’s really a night-and-day difference in terms of sounds quality.
JO: This is the modern aesthetic you are talking about?
GS: Well no, it’s not even so much the modern aesthetic. For instance the physical size of these records, the shellac discs on their own can weigh quite a bit, but then you get a classical work like Handel's Messiah that would take up, you know, 20-30 discs and 20-30 acetate discs weigh quite a bit. Then you can get the same thing on a USB stick and sound clearer, no background noise and it’s just so transportable. I mean I wouldn’t want to work in a record store turn of the last century, those things you know were very heavy. And of course the sound quality now is so much better and much more open.
JO: So much more accessible to our…
GS: It’s more accessible…
JO: It’s pure?
GS: Well, it’s more pure, but that’s what our ear has gotten used to. So back then, in like the 1920s, I saw an advertisement and they had hidden a gramophone and a singer behind a curtain and people couldn’t tell the difference between the two. Today of course you would hear the difference in a heartbeat, but it’s just because of the ear training that has gone on. We have just gotten so used to good sound that it’s something that we all take for granted. Another thing too is that all of the recordings back then were live recordings. Now of course everything is done to computer and if someone flubs one note you can go in there and repair the one note, electronically repair it or just start that line over again. So now it is a much more perfect recording, for better or for worse, it is certainly the individual’s choice, but certainly the recording is perfect on much more levels than before.
JO: The Virtual Gramophone website is basically showcasing all of LAC’s music collection. How widely used is the website?
GS: First of all it is not the entire collection and it is only material that is in the public domain, meaning that there is no more copyright attached to the songs. So all those songs, as many as we can over the years, have been digitized. As an instance, last year 8 million songs were listened to from that website. The really remarkable thing is that we are not talking about popular music from today, there is a real keen interest in the older material. We have heard from people, filmmakers or television show producers who use the music all the time for their sets or for the material that they are working with. Film students, music students, you know the performing styles have changed over the years so it’s very interesting for music students to compare the older versions to the newer versions. Also on the Virtual Gramophone there are notes for teachers, so the teachers would say, how does this music sound different from today? Or how is the interpretation different from today? Which has apparently been very welcomed by the teachers.
JO: Can you tell us about the most challenging digitization project you have worked on to date?
GS: I had a 78 that was actually made on very thin plastic that you used to find in National Geographics or they used to give them away in cereal boxes, but what had happened with the record is that it had been folded in half. Someone must have dropped it in an envelope and sent it off somewhere. So every half winding of the record it would skip, so what I would have to do is to record half of it and try to get the other half, and work my way all the way around. After dozens if not hundreds of edits I was able to stitch the whole performance back together, winding by winding, and remove as much as possible the noise it made whenever it skipped or jumped. The song is “Hush-a-ba-birdie”.
JO: What is the greatest difference between these musical recordings and musical recordings of today from a collection perspective?
GS: From a collection perspective, that’s an interesting thing. I guess there wouldn’t be much of a difference as you still want to capture all of these things coming out. Perhaps the challenge today is that there is more coming out—definitely more—and the way that it is being disseminated, it makes it all the more a challenge to capture it because we are collecting now these CDs, hard copy if you like. All the digital age era is just proving a whole other level of challenges that we will be responding to in the next few years for sure because that’s our purpose is to capture all of that. The format is of course, the digitization, opens up all the possibilities of how we can also preserve it in our collection because it is not captured the same way. The way as well to make it available to Canadians coming in and wanting to listen to digital recordings, that will be a challenge for us because there are matters of copyright, so all of that has to be dealt with, which we will in the next few years. I guess every era provides their challenges to preserve the copies as best as we can and this is one of the reasons why we have the Virtual Gramophone website put up, so that Canadians can actually consult it online and we can avoid actually using the original copies, the original 78s. Which in many cases are rather brittle and although they may be in fine condition, they are definitely brittle, so with the slightest slip they can crack and never be put back together again.
JO: What do you think are the future challenges that we face for the physical collection?
GS: The biggest challenge—and this isn’t just us, it’s worldwide—is the entire question of equipment obsolescence. We’re lucky in that records, that the groove is a fairly simply technology that can easily be rebuilt. For instance we have a cylinder player—again technology that was originally invented in the 1870s, but we have a modern player you know built out of aluminum, beautifully machined, that’ll play back these discs. The real challenge would be dealing with more modern material like reel to reel tapes or some of the early digital media where you can’t rebuild it. You’d have to rebuild IC chips, all kinds of machinery to rebuild it and what I’m seeing is so many archives across the country and around the world just don’t have the money to do it. They aren’t making these machines anymore, they haven’t made them in 20 or 30 years, so what do you do in 50 years from now—you have a room full of tape you can’t play.
JO: So is digitization the only option for this particular part of LAC’s collection?
GS: Digitization is the only way because what it allows us to do is to store a lot of information in fairly small containers and then we can automate the process of copying the information later. Once it’s copied once at a high resolution, then it’s just a matter of refreshing the medium to something that is a bit more stable.
JO: So does that mean that you’re constantly going from one medium to the next as things change?
GS: Well, what we do is we will go to a disc for instance to an audio file. Once it’s a digital file then it’s stored onto computer storage and it’s up to the computer people to make sure that everything gets done properly and that we have the equipment to playback the old digital files.
JO: Well, thank you for joining us today. It was great to have you here and hear about all of the recordings.
GS: Thank you.
JO: To learn more about using the Virtual Gramophone website read our blog post called Listen to Canada’s Musical History with the Virtual Gramophone at thediscoverblog.com . If you’d like to explore Library and Archives Canada’s music collection, visit Music, Films, Videos and Sound Recordings .
Thank you for joining us. I’m your host, Jessica Ouvrard, and you’ve been listening to Discover Library and Archives Canada—where Canadian history, literature and culture await you. A special thanks to our guests today, Gilles Leclerc and Gilles St-Laurent.
For more information about our podcast, or if you have questions, comments or suggestions, please visit us at www.bac-lac.gc.ca/podcasts .
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i don't know
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Regicide refers to killing a?
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Regicide - English Language Tutorials
regicide:
(plural: ‘regicides‘; for the right pronunciation of this word, please click here )
‘Regicide’ is more commonly used to refer to the act of deliberately killing a king or a queen.
a person who either kills a king or a queen or who is responsible for the death of a king or a queen,
Julius Cesar (on the floor) and his regicides, those who stabbed him to death
e.g.
Each of the monarchs of the past was either killed or imprisoned by at least one of the other heirs to the throne, and immediately after the successful plot of killing the king/queen, the regicide would occupy the throne, and would rule the kingdom until another regicide plots for his/her own death!
The regicides who stabbed Julius Caesar, the emperor of ancient Rome, to death were his own senators, including his very close associate, Brutus.
In the modern day usage, politicians who deceive or disobey their high command orders and vote against thier own party decisions in parliament sessions are figuratively called ‘regicides’ because losing an issue to the Opposition is worse than being literally killed.
For an informative article that explains what a regicide is, please click here , for an article about the regicides of Charles I, please click here and for an interesting podcast that discusses regicide in detail, please click here .
Note: A “patricide” is a person who kills or has killed his/her own father; a ‘matricide’ is a person who kills or has killed his/her own mother; a ‘parricide or parenticide’ is a person who kills or has killed his/her own parents and any other close relatives; a “fratricide” is a person who kills or has killed his/her own brother; a ‘sororicide‘ is a person who kills or has killed his/her own sister; a “uxoricide” is a man who kills or has killed his wife; a “mariticide or viricide” is a woman who kills or has killed her husband; a “filicide or prolicide” is a person who kills or has killed his/her own children; an “infanticide” is a person who kills or has killed very young baby/infant; and a “homicide” is a person who kills another person, not necessarily his/her relative, and a ‘suicide‘ is a person who kills himself or herself and the act of killing oneself. And all the ‘..cides’ are used not only to refer to the persons involved but also to refer to ‘the act of killing somebody’.
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Monarch
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What is the compound, NH4NO3, commonly used in fertilizers and improvised bombs?
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What is a Regicide? (with pictures)
What is a Regicide?
Last Modified Date: 25 December 2016
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These 10 facts about space will blow your mind
The term “regicide” is used in two senses. In the first, it refers to killing or murdering a crowned monarch such as a king. In the second sense, the word is used to describe someone who kills a monarch or participates in a regicide. History has seen a large number of regicides as part of the complex struggle for power in nations all over the world, and the practice is hardly extinct; in 2001, for example, the King of Nepal was killed by his own son.
In England, most people use the term regicide to refer specifically to monarchs who have been killed after legal proceedings. The two most famous regicides are probably those of Mary, Queen of Scots, who was executed on the orders of Elizabeth I, and Charles I, who was executed by a team of conspirators during the English Civil War. Numerous other English monarchs have been killed in the course of battle or while imprisoned, but English historians generally do not term these deaths regicides.
As one can imagine, the punishments for regicide vary depending on the circumstances of the regicide. In many cases, a regicide marks the beginning of a new government and era, in which case the regicides may actually become celebrated leaders. In other instances, the rebellion and unrest which led to the regicide is put down, and the participants are severely punished. In the English Civil War, the regicides of Charles I were punished retroactively, after the monarchy was restored.
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Some other famous cases of regicide include Tsar Nicholas II of Russia, who was killed along with his family in the Bolshevik Revolution, Shaka, King of the Zulus, and Henri IV of France. Other monarchs have died in suspicious circumstances which might be considered regicide, such as kings who have been accidentally killed on hunting expeditions and in the heat of battle. Regicide is also a theme in some myths; King Arthur, for example, was the victim of attempted regicide in many Arthurian legends.
Since monarchs historically ruled by divine right in many cultures, regicide was a serious crime, because it challenged God in addition to the monarchy. The intimate relationship between monarchs and gods was an important part of the tradition of many cultures, from China to England, ensuring that monarchs ruled with the blessing of God. Because of this, attempted regicides were often severely punished historically, to remind restless citizens that the monarch held the powers of life and death over his or her people.
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JessicaLynn
Post 4
@ceilingcat - Yes, divinely ordained rulers does seem like a pretty silly idea now. But then again, I'm an American, so I'm pretty attached to democracy.
When I was reading this article I was reminded of the book Game of Thrones and the television series that was based upon it. In the story, a King is killed "by accident" on a hunting expedition. Of course, it later turns out to not have been an accident at all, but it ends up being quite hard to prove. It seems the author of the book to a cue from actual history!
ceilingcat
Post 3
It was awfully convenient for those monarchs that they supposedly had a "divine right" to rule. Most people in this day and age can't imagine having that kind of attitude, but people really did. They thought they were born into whatever station of life they were supposed to be, and there was no hope of ever advancing.
Anyway, I can't imagine how anyone who thought this way ever got up the courage to commit regicide! I mean, if you think your kind was divinely ordained to rule, then killing him would be pretty serious. I think someone would have to really have strong convictions about something to consider this crime! I'm pretty sure that's why the regicide's discussed here weren't crimes of passion, but politically motivated.
jholcomb
Post 2
@MrsWinslow - I'm a British history buff, myself. It's interesting not just what happened with Charles I, but what happened a couple of kings later when they decided *not* to contemplate regicide. James II, the last Stuart king, was deeply unpopular because of his Catholicism. There was at least one attempt at a rebellion to put his brother's illegitimate son, the Duke of Monmouth, on the throne. (It didn't go well for the Duke!)
Most people were prepared to wait him out - he was no spring chicken, after all - but then he married and had a son. Then, the lords of England saw Catholic kings stretching into infinity, and they acted. Essentially, James II was deposed and his adult, Protestant
daughter Mary and her husband William took the throne in a negotiated settlement. People were so pleased that no blood had been shed, they called it "the Glorious Revolution." This was in the 1680s if I remember right.
Decades later, his grandson returned from France and tried to take the throne. This time, plenty of blood was shed; he raised an army and was defeated in battle. Seems like when you want to get rid of a king, there's always fallout someway or another. Sir Walter Scott's novel Waverly is actually about the uprising led by Bonnie Prince Charlie; a young man gets involved in it, but his treason is laughed off as a mere romantic youthful peccadillo!
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i don't know
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What French IT company is engaged (as at 2011) by the UK government in the controversial assessment of work capability of incapacity benefit claimants?
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Unacceptable: Government's verdict on company it employs to assess benefit claimants | UK | News | Daily Express
UK
Unacceptable: Government's verdict on company it employs to assess benefit claimants
THE FRENCH company which carries out the controversial "fit for work" tests on disabled people has been given a scathing assessment of its own by the Government.
19:26, Mon, Jul 22, 2013
Atos carries out Work Capability Assessments for the Government
It's about time the Government told Atos to smarten up its act.
Richard Hawkes, chief executive of disability charity Scope
Atos Healthcare, which assesses more than a million sickness benefit claimants, has been accused of an "unacceptable reduction" in the quality of its written reports.
The Government has announced it will bring in extra companies to carry out the assessments, but Richard Hawkes, chief executive of disability charity Scope, said: "It's about time the Government told Atos to smarten up its act.
"But, it's also strikingly clear to disabled people that the whole £112 million per year system is broken.
"The cost of appeals has skyrocketed, assessors have resigned in disgust, and the test has received criticism from the Public Accounts Committee and National Audit Office.
"The Government needs to deliver a test that is fit for purpose.
"Most disabled people want to work but they face significant barriers, such as a lack of skills and experience, confidence and even negative attitudes from some employers.
"The Work Capability Assessment ignores all this. It's a tick-box test of someone's medical condition."
Scope have accused the Government of using a 'tick-box' system to measure disability
Atos is contracted by the Department for Work and Pensions to carry out Work Capability Assessments for people applying for the sickness benefit Employment and Support Allowance (ESA), as well as people who were on Incapacity Benefit.
After an urgent audit of around 400 reports carried out by the company, the Government ordered the retraining and re-evaluation of Atos employees, with those not meeting the required standard having their work audited until they do, or having their approval to carry out assessments withdrawn.
Assessors have been accused of making too many mistakes and assessing people as fit for work when they are not, and many disabled people claim to have been wrongly turned down for ESA.
The quality of reports produced by Atos following an assessment are graded A-C, with the number of C grades around 41 per cent between last October and March.
Employment Minister Mark Hoban
Employment Minister Mark Hoban said: "I am committed to ensuring the Work Capability Assessment process is as fair and accurate as possible, with the right checks and balances to ensure the right decision is reached. Where our audits identify any drop in quality, we act decisively to ensure providers meet our exacting quality standards.
"Since 2010 we have made considerable improvements to the system we inherited from the previous government. However, it's vital we continue to improve the service to claimants, which is why we are introducing new providers to increase capacity."
The company says it carried out one million face-to-face interviews last year, at a rate of more than 11,000 per week. It employs around 1,400 doctors, nurses and physiotherapists.
Work and Pensions Secretary Iain Duncan Smith has come in for criticism over the system
A statement from Atos said: "Our priority is the quality of our work and, following the recent audit, we quickly put in place a plan to improve the quality of written reports produced following an assessment.
"The professional and compassionate service we provide to claimants and the well-being of our people remain our primary consideration.
"We are sorry when we do not meet our own high standards but can reassure that a C grade report does not mean the assessment was wrong and there are checks and balances throughout the system so that the correct decision on benefit is made by the department."
Labour’s Shadow Work and Pensions Secretary believes Atos has spun out of control
Liam Byrne MP, Labour’s Shadow Work and Pensions Secretary, placed the blame squarely at the door of former Conservative leader - now Work and Pensions Secretary - Iain Duncan Smith.
He said: “This is a direct consequence of three years appalling contract management by Mr Duncan Smith.
"He has quite simply let Atos spin out of control and the taxpayer and vulnerable people are picking up the pieces.
“There are now profound questions about Atos’ role going forward. We will study this statement in detail, but it is now vital the Government rebuilds a system that’s fit for purpose.”
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Atos
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What metallic element element is named after an asteroid discovered in 1802, itself named after (an alternate name of) the Greek goddess Athene?
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Atos doctors could be struck off – Black Triangle Campaign
Atos forced to investigate after employees’ “dehumanising” Facebook comments →
Atos doctors could be struck off
Twelve medics at the disability assessment centre are under investigation by the GMC over allegations of improper conduct
Black Triangle and Edinburgh Coalition Against Poverty, ACAN and others at ATOS Scotland HQ, Livingston Monday 24th Ferbruary 2011
Twelve doctors employed by the firm that is paid £100m a year to assess people claiming disability benefit are under investigation by the General Medical Council over allegations of improper conduct. The doctors, who work for Atos Healthcare, a French-owned company recently criticised by MPs for its practices, face being struck off if they are found not to have put the care of patients first.
The Observer has found that seven of the doctors have been under investigation for more than seven months. The other five were placed under investigation this year following complaints about their conduct.
It is understood that the majority of allegations concern the treatment of vulnerable people when the government’s controversial “work capability assessments” were carried out, but the GMC refused to comment on individual cases. The development will add to fears over the pace and radical agenda behind the government’s welfare -to-work policy, which led to protests in Westminster in May by thousands of disabled people. It will also raise concerns about ministers’ commitment to Atos Healthcare, which was recently granted a three-year extension on its contract.
The government has repeatedly publicised figures showing that the “vast majority” of claimants for employment support allowance (ESA), which has replaced incapacity benefit, are fit for work. But four out of 10 of those who appealed the decision by Atos – whose parent company is run by a former French finance minister, Thierry Breton – to deny them benefits are successful on appeal, a process that costs the taxpayer £50m a year.
Last month Atos, whose staff assess around 11,000 benefit claimants a week, was savaged by the cross-party work and pensions select committee after it found that many people had “not received the level of service from Atos which they can reasonably expect”.
MPs further claimed that a combination of the company’s conduct and the test itself had prompted “fear and anxiety among vulnerable people”.
One GP who attended an Atos recruitment fair told the Observer she feared doctors could become “agents of the state” who were deprofessionalised by involvement in a system that did not make patient care its first concern.
Campaigners for the disabled seized upon the development, claiming the government needed to go back to the drawing board. Richard Hawkes, chief executive of the charity Scope, said: “If the government wants to get disabled people off benefits and into work then it needs to get its assessment right. The test should be the first step on the road to employment. But disabled people’s confidence in the work capability assessment is extremely low – and today’s news will send it to rock bottom.
“The test is massively flawed. Now it appears that it is being carried out by a large number of doctors who are under serious investigation.”
Neil Bateman, a solicitor who handles ESA appeals, said on two occasions his clients had been successful because, among other reasons, the doctor assessing them had qualified in Romania and registered with the GMC but had not been licensed to practise in Britain.
Citizens Advice told the Observer it was compiling a dossier showing the problems being faced by those assessed by Atos staff, who can be nurses or physiotherapists in cases where there are no potential neurological disorders. It said it regularly found inaccuracies in many of the medical reports featured in ESA appeal papers that could affect people’s chances of receiving benefits. It also found a lack of consideration for those being assessed.
A spokesman said a barrister who was unable to practise because of cancer and lymphoma had described the assessment as being like an “interrogation” led by a computer. The assessor moved the client’s legs, which caused her great pain, even though the client had warned that this would happen. In another case a claimant with learning difficulties who went for an assessment was found fit for work because he had found his way to the assessment centre on his own.
When asked about this by Citizens Advice, he reluctantly explained that he had got up very early, taken the bus to the town centre, and then kept asking passersby for directions. He couldn’t follow their instructions, so he would show the letter, walk in the direction they pointed, then ask again until he arrived.
Two doctors employed by Atos have already been taken by the GMC to an independent panel for adjudication on their fitness to practise. Dr Alexandros Mallios, who it was claimed had not carried out a proper examination of his patient during an assessment, was cleared by the panel last October. Dr Usen Samuel Ikidde, who qualified in Nigeria, was given a formal warning in January, to lay on his records for five years, after he was found to have worked for Atos while on sick leave from an accident and emergency department.
An Atos spokesman said: “Atos Healthcare is committed to providing a high-quality, professional service and requires these standards of all its employees. While we cannot comment on individual cases, any complaint made about an employee is taken extremely seriously.
“In addition to our own rigorous internal investigations we will co-operate with any external investigation to ensure all facts are properly established and the appropriate action taken.”
The Labour government introduced work capability assessments in 2008 when it replaced incapacity benefit and income support for new claimants with employment and support allowance. The government has accelerated the changes and started retesting all 1.5 million incapacity benefit claimants to see whether they are eligible for the new benefit.
A GMC spokesman said: “We can and do take action to remove or restrict a doctor’s right to practise if there have been serious failures to meet our standards.”
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i don't know
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A cruciferous plant has how many petals?
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What Are Cruciferous Vegetables: A Complete List Of Cruciferous Vegetables
Image by Kristen Taylor
By Heather Rhoades
The cruciferous family of vegetables have generated a lot of interest in the health world due to their cancer fighting compounds. This leads many gardeners to wonder what are cruciferous vegetables and can I grow them in my garden. Good news! You probably already grow at least one (and likely several) types of cruciferous veggies.
What are Cruciferous Vegetables?
Broadly, cruciferous vegetables belong to the Cruciferae family, which mostly contains the Brassica genus, but does include a few other genuses. In general, cruciferous vegetables are cool weather vegetables and have flowers that have four petals so that they resemble a cross.
In most cases, the leaves or flower buds of cruciferous vegetables are eaten, but there are a few where either the roots or seeds are also eaten.
Because these vegetables belong to the same family, they tend to be susceptible to the same diseases and pests. Cruciferous vegetable diseases can include:
Imported cabbageworm
Nematodes (which cause root-knot)
Because the cruciferous family of vegetables are susceptible to the same diseases and pests, it’s best to make sure that you rotate the location of all cruciferous vegetables in your garden each year . In other words, don’t plant a cruciferous vegetable where a cruciferous vegetable was planted last year. This will help to protect them from diseases and pests that can overwinter in the soil.
Complete List of Cruciferous Vegetables
Below you will find a list of cruciferous vegetables. While you may not have heard the term cruciferous vegetable before, it’s likely that you have grown many of them in your garden. They include:
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four
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The stone, flint, is a form of what near-to-pure compound, formula SiO2?
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Cruciferous Vegetables and Cancer Prevention - National Cancer Institute
Cruciferous Vegetables and Cancer Prevention
On This Page
What are cruciferous vegetables?
Cruciferous vegetables are part of the Brassica genus of plants. They include the following vegetables, among others:
Arugula
Wasabi
Why are cancer researchers studying cruciferous vegetables?
Cruciferous vegetables are rich in nutrients, including several carotenoids ( beta-carotene , lutein, zeaxanthin); vitamins C, E, and K; folate ; and minerals. They also are a good fiber source.
In addition, cruciferous vegetables contain a group of substances known as glucosinolates, which are sulfur-containing chemicals. These chemicals are responsible for the pungent aroma and bitter flavor of cruciferous vegetables.
During food preparation, chewing, and digestion, the glucosinolates in cruciferous vegetables are broken down to form biologically active compounds such as indoles , nitriles, thiocyanates, and isothiocyanates ( 1 ). Indole-3-carbinol (an indole) and sulforaphane (an isothiocyanate) have been most frequently examined for their anticancer effects.
Indoles and isothiocyanates have been found to inhibit the development of cancer in several organs in rats and mice, including the bladder, breast, colon, liver, lung, and stomach ( 2 , 3 ). Studies in animals and experiments with cells grown in the laboratory have identified several potential ways in which these compounds may help prevent cancer:
They help protect cells from DNA damage.
They help inactivate carcinogens.
They have antiviral and antibacterial effects.
They have anti-inflammatory effects.
They induce cell death (apoptosis).
They inhibit tumor blood vessel formation (angiogenesis) and tumor cell migration (needed for metastasis).
Studies in humans, however, have shown mixed results.
Is there evidence that cruciferous vegetables can help reduce cancer risk in people?
Researchers have investigated possible associations between intake of cruciferous vegetables and the risk of cancer. The evidence has been reviewed by various experts. Key studies regarding four common forms of cancer are described briefly below.
Prostate cancer: Cohort studies in the Netherlands ( 4 ), United States ( 5 ), and Europe ( 6 ) have examined a wide range of daily cruciferous vegetable intakes and found little or no association with prostate cancer risk. However, some case-control studies have found that people who ate greater amounts of cruciferous vegetables had a lower risk of prostate cancer ( 7 , 8 ).
Colorectal cancer: Cohort studies in the United States and the Netherlands have generally found no association between cruciferous vegetable intake and colorectal cancer risk ( 9-11 ). The exception is one study in the Netherlands—the Netherlands Cohort Study on Diet and Cancer—in which women (but not men) who had a high intake of cruciferous vegetables had a reduced risk of colon (but not rectal) cancer ( 12 ).
Lung cancer: Cohort studies in Europe, the Netherlands, and the United States have had varying results ( 13-15 ). Most studies have reported little association, but one U.S. analysis—using data from the Nurses’ Health Study and the Health Professionals’ Follow-up Study—showed that women who ate more than 5 servings of cruciferous vegetables per week had a lower risk of lung cancer ( 16 ).
Breast cancer: One case-control study found that women who ate greater amounts of cruciferous vegetables had a lower risk of breast cancer ( 17 ). A meta-analysis of studies conducted in the United States, Canada, Sweden, and the Netherlands found no association between cruciferous vegetable intake and breast cancer risk ( 18 ). An additional cohort study of women in the United States similarly showed only a weak association with breast cancer risk ( 19 ).
A few studies have shown that the bioactive components of cruciferous vegetables can have beneficial effects on biomarkers of cancer-related processes in people. For example, one study found that indole-3-carbinol was more effective than placebo in reducing the growth of abnormal cells on the surface of the cervix ( 20 ).
In addition, several case-control studies have shown that specific forms of the gene that encodes glutathione S-transferase, which is the enzyme that metabolizes and helps eliminate isothiocyanates from the body, may influence the association between cruciferous vegetable intake and human lung and colorectal cancer risk ( 21-23 ).
Are cruciferous vegetables part of a healthy diet?
The federal government’s Dietary Guidelines for Americans 2010 recommend consuming a variety of vegetables each day. Different vegetables are rich in different nutrients.
Vegetables are categorized into five subgroups: dark-green, red and orange, beans and peas (legumes), starchy, and other vegetables. Cruciferous vegetables fall into the “dark-green vegetables” category and the “other vegetables” category. More information about vegetables and diet, including how much of these foods should be eaten daily or weekly, is available from the U.S. Department of Agriculture website Choose My Plate .
Higher consumption of vegetables in general may protect against some diseases, including some types of cancer. However, when researchers try to distinguish cruciferous vegetables from other foods in the diet, it can be challenging to get clear results because study participants may have trouble remembering precisely what they ate. Also, people who eat cruciferous vegetables may be more likely than people who don’t to have other healthy behaviors that reduce disease risk. It is also possible that some people, because of their genetic background, metabolize dietary isothiocyanates differently. However, research has not yet revealed a specific group of people who, because of their genetics, benefit more than other people from eating cruciferous vegetables.
Selected References
Hayes JD, Kelleher MO, Eggleston IM. The cancer chemopreventive actions of phytochemicals derived from glucosinolates. European Journal of Nutrition 2008;47 Suppl 2:73-88.
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i don't know
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Name the German tribe which settled in Britain during the 5-6th centuries, whose name persists in a region of Denmark?
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Germanic People - Tribes and Races
The History of The Term Germanic
Various etymologies for Latin Germani are possible. As an adjective, germani is
simply the plural of the adjective germanus (from germen, "seed" or "offshoot"),
which has the sense of "related" or "kindred" or "authentic". According to Strabo,
the Romans introduced the name Germani, because the Germanic tribes were the
authentic Celts (γνησίους Γαλάτας; gnisíous Galátas). Alternatively, it may refer
from this use based on Roman experience of the Germanic tribes as allies of the Celts.
The ethnonym seems to be attested in the Fasti Capitolini inscription for the year 222,
DE GALLEIS INSVBRIBVS ET GERM(aneis), where it may simply refer to "related"
peoples, namely related to the Gauls. Furthermore, since the inscriptions were
erected only in 17 to 18 BCE, the word may be a later addition to the text. Another
early mentioning of the name, this time by Poseidonios (writing around 80 BCE), is
also dubious, as it only survives in a quotation by Athenaios (writing around 190
CE); the mention of Germani in this context was more likely inserted by Athenaios
rather than by Poseidonios himself. The writer who apparently introduced the name
"Germani" into the corpus of classical literature is Julius Caesar. He uses Germani
in two slightly differing ways: one to describe any non-gaulic peoples of Germania,
and one to denote the Germani Cisrhenani, a somewhat diffuse group of peoples in
north-eastern Gaul, who cannot clearly be identified as either Celtic or Germanic.
In this sense, Germani may be a loan from a Celtic exonym applied to the Germanic
tribes, based on a word for "neighbour". Tacitus suggests that it might be from a
tribe which changed its name after the Romans adapted it, but there is no evidence
for this. The suggestion deriving the name from Gaulish term for "neighbour" invokes
Old Irish gair, Welsh ger, "near", Irish gearr, "cut, short" (a short distance), from
a Proto-Celtic root *gerso-s, further related to ancient Greek chereion, "inferior"
and English gash. The Proto-Indo-European root could be of the form *khar-, *kher-,
*ghar-, *gher-, "cut", from which also Hittite kar-, "cut", whence also Greek character.
Apparently, the Germanic tribes did not have a self-designation ("endonym") that
included all Germanic-speaking people but excluded all non-Germanic people. Non-
Germanic peoples (primarily Celtic, Roman, Greek, the citizens of the Roman Empire),
on the other hand, were called *walha- (this word lives forth in names such as Wales,
Welsh, Cornwall, Walloons, Vlachs etc.). Yet, the name of the Suebi - which designated
a larger group of tribes and was used almost indiscriminately with Germani in Caesar
- was possibly a Germanic equivalent of the Latin name (*swē-ba- "authentic").
The Term of Teutonic or Deutsch
Trying to identify a contemporary vernacular term and the associated nation
with a classical name, Latin writers from the 10th century onwards used the
learnèd adjective teutonicus (originally derived from the Teutones) to refer
to East Francia ("Regnum Teutonicum") and its inhabitants. This usage is
still partly present in modern English; hence the English use of "Teutons"
in reference to the Germanic peoples in general besides the specific tribe
of the Teutons defeated at the Battle of Aquae Sextiae in 102 BCE.
The generic *þiuda- "people" occurs in many personal names such as Thiud-reks
and also in the ethnonym of the Swedes from a cognate of Old English Sweo-ðēod
and Old Norse: Sui-þióð (see e.g. Sö Fv1948;289). Additionally, þiuda- appears
in Angel-ðēod ("Anglo-Saxon people") and Gut-þiuda ("Gothic people"). The
adjective derived from this noun, *þiudiskaz, "popular", was later used with
reference to the language of the people in contrast to the Latin language
(earliest recorded example 786). The word is continued in German Deutsch
(meaning German), English "Dutch", Dutch Duits and Diets (the latter referring
to Dutch, the former meaning German) and Swedish/Danish/Norwegian tysk
(meaning German).
The Classification of The Germanic Race
By the 1st century CE, the writings of Caesar, Tacitus and other
Roman era writers indicate a division of Germanic-speaking peoples
into tribal groupings centred on:
*......... the rivers Oder and Vistula/Weichsel (East Germanic tribes),
*................................................... the lower Rhine river (Istvaeones),
* ................................................................the river Elbe (Irminones),
* ...................................Jutland and the Danish islands (Ingvaeones).
The Sons of Mannus, Istvaeones, Irminones, and Ingvaeones are collectively
called West Germanic tribes. In addition, those Germanic people who remained
in Scandinavia are referred to as North Germanic. These groups all developed
separate dialects, the basis for the differences among Germanic language down
to the present day. Detail of the Uppland Rune Inscription 871 (12th century)
The division of peoples into West Germanic, East Germanic, and North Germanic
is a modern linguistic classification. Many Greek scholars only classified
Celts and Scythians in the Northwest and Northeast of the Mediterranean and this
classification was widely maintained in Greek literature until Late Antiquity.
Latin-Greek ethnographers (Tacitus, Pliny the Elder, Ptolemy, and Strabo)
mentioned in the first two centuries the names of peoples they classified as
Germanic along the Elbe, the Rhine, and the Danube, the Vistula and on the Baltic
Sea. Tacitus mentioned 40, Ptolemy 69 peoples. Classical ethnography applied the
name Suebi to many tribes in the first century. It appeared that this native name
had all but replaced the foreign name Germanic. After the Marcomannic wars the
Gothic name steadily gained importance. Some of the ethnic names mentioned by the
ethnographers of the first two centuries on the shores of the Oder and the Vistula
(Gutones, Vandali) reappear from the 3rd century on in the area of the lower Danube
and north of the Carpathian Mountains. For the end of the 5th century the Gothic
name can be used - according to the historical sources - for such different peoples
like the Goths in Gaul, Iberia and Italy, the Vandals in Africa, the Gepids along the
Tisza and the Danube, the Rugians, Sciri and Burgundians, even the Iranian Alans.
These peoples were classified as Scyths and often deducted from the ancient Getae
(most important: Cassiodor / Jordanes, Getica around 550).
The Bronz Age
Regarding the question of ethnic origins, evidence developed by archaeologists
and linguists suggests that a people or group of peoples sharing a common
material culture dwelt in a region defined by the Nordic Bronze Age culture
between 1700 BCE and 600 BCE. The Germanic tribes then inhabited southern
Scandinavia and Schleswig, but subsequent Iron Age cultures of the same region,
like Wessenstedt (800 to 600 BCE) and Jastorf, are also in consideration. The
change of Proto-Indo-European to Proto-Germanic has been defined by the first
sound shift (or Grimm's law) and must have occurred when mutually intelligible
dialects or languages in a Sprachbund were still able to convey such a change
to the whole region. So far it has been impossible to date this event conclusively.
The precise interaction between these peoples is not known, however, they are tied
together and influenced by regional features and migration patterns linked to
prehistoric cultures like Hügelgräber, Urnfield, and La Tene. A deteriorating climate
in Scandinavia around 850 BCE to 760 BCE and a later and more rapid one around 650
BCE might have triggered migrations to the coast of Eastern Germany and further towards
the Vistula. A contemporary northern expansion of Hallstatt drew part of these peoples
into the Celtic hemisphere, including nordwestblock areas and the region of Elp culture
(1800 BCE to 800 BCE). At around this time, this culture became influenced by Hallstatt
techniques of how to extract bog iron from the ore in peat bogs, ushering in the
The Pre-Roman Iron Age
Archeological evidence suggests a relatively uniform Germanic people were located at about 750 BCE from the Netherlands to the Vistula and in Southern Scandinavia. In the west the coastal floodplains were populated for the first time, since in adjacent higher grounds the population had increased and the soil became exhausted. At about 250 BCE, some expansion to the south had occurred and five general groups can be distinguished: North Germanic in southern Scandinavia, excluding Jutland; North Sea Germanic, along the North Sea and in Jutland; Rhine- Weser Germanic, along the middle Rhine and Weser; Elbe Germanic, along the middle Elbe; and East Germanic, between the middle Oder and the Vistula. This concurs with linguistic evidence pointing at the development of five linguistic groups, mutually linked into sets of two to four groups that shared linguistic innovations.
This period witnessed the advent of Celtic culture of Hallstatt and La Tene signature in previous Northern Bronze Age territory, especially to the western extends. However, some proposals suggest this Celtic superstrate was weak, while the general view in the Netherlands holds that this Celtic influence did not involve intrusions at all and assume fashion and a local development from Bronze Age culture. It is generally accepted such a Celtic superstratum was virtually absent to the East, featuring the Germanic Wessenstedt and Jastorf cultures. The Celtic influence and contacts between Gaulish and early Germanic culture along the Rhine is assumed as the source of a number of Celtic loanwords in Proto-Germanic.
Frankenstein and Rowlands (1978), and Wells (1980) have suggested late Hallstatt trade contact to be a direct catalyst for the development of an elite class that came into existence around northeastern France, the Middle Rhine region, and adjacent Alpine regions (Collis 1984:41), culminating to new cultural developments and the advent of the classical Gaulish La Tene Culture The development of La Tene culture extended to the north around 200 to 150 BCE, including the North German Plain, Denmark and Southern Scandinavia:
"In certain cremation graves, situated at some distance from other graves, Celtic metalwork appears: brooches and swords, together with wagons, Roman cauldrons and drinking vessels. The area of these rich graves is the same as the places where later (the first century CE) princely graves are found. A ruling class seems to have emerged, distinguished by the possession of large farms and rich gravegifts such as weapons for the men and silver objects for the women, imported earthenware and Celtic items."
The first Germani in Roman ethnography cannot be clearly identified as either Germanic or Celtic in the modern ethno-linguistic sense, and it has been generally held the traditional clear cut division along the Rhine between both ethnic groups was primarily motivated by Roman politics. Caesar described the Eburones as a Germanic tribe on the Gallic side of the Rhine, and held other tribes in the neigh bourhood as merely calling themselves of Germanic stock. Even though names like Eburones and Ambiorix were Celtic and, archeologically, this area shows strong Celtic influences, the problem is difficult. Some 20th century writers consider the possibility of a separate "Nordwestblock" identity of the tribes settled along the Rhine at the time, assuming the arrival of a Germanic superstrate from the 1st century BCE and a subsequent "Germanization" or language replacement through the "elite-dominance"model. However, immigration of Germanic Batavians from Hessen in the northern extent of this same tribal region is, archeologically speaking, hardly noticeable and certainly did not populate an exterminated country, very unlike Tacitus suggested. Here, probably due to the local indigenous pastoral way of life, the acceptance of Roman culture turned out to be particularly slow and, contrary to expected, the indigenous culture of the previous Eburones rather seems to have absorbed the intruding (Batavian) element, thus making it very hard to define the real extents of the pre-Roman Germanic indigenous territories.
Germanic expansions during early Roman times are known only generally, but it is clear that the forebears of the Goths were settled on the southern Baltic shore by 100 CE. The early Germanic tribes are assumed to have spoken mutually intelligible dialects, in the sense that Germanic languages derive from a single earlier parent language. No written records of such a parent language exists. From what we know of scanty early written material, by the fifth century CE the Germanic languages were already "sufficiently different to render communication between the various peoples impossible". Some evidence point to a common pantheon made up of several different chronological layers. However, as for mythology only the Scandinavian one (see Germanic mythology) is sufficiently known. Some traces of common traditions between various tribes are indicated by Beowulf and the Volsunga saga. One indication of their shared identity is their common Germanic name for non-Germanic peoples, *walhaz (plural of *walhoz), from which the local names Welsh, Wallis, Walloon and others were derived. An indication of an ethnic unity is the fact that the Romans knew them as one and gave them a common name, Germani (this is the source of our German and Germanic, see Etymology above), although it was well known for the Romans to give geographical rather than cultural names to peoples. The very extensive practice of cremation deprives us of anthropological comparative material for the earliest periods to support claims of a longstanding ethnic isolation of a common (Nordic) strain.
By the late 2nd century BCE, Roman authors recount, Gaul, Italy and Hispania were invaded by migrating Germanic tribes. This culminated in military conflict with the armies of the Roman Republic, in particular those of the Roman Consul Gaius Marius. Six decades later, Julius Caesar invoked the threat of such attacks as one justification for his annexation of Gaul to Rome. As Rome expanded to the Rhine and Danube rivers, it incorporated many Celtic societies into the Empire. The tribal homelands to the north and east emerged collectively in the records as Germania. The peoples of this area were sometimes at war with Rome, but also engaged in complex and long-term trade relations, military alliances, and cultural exchanges with Rome as well. The Cimbri and Teutoni incursions into Roman Italy were thrust back in 101 BCE. These invasions were written up by Caesar and others as presaging of a Northern danger for the Roman Republic, a danger that should be controlled. In the Augustean period there was - as a result of Roman activity as far as the Elbe River - a first definition of the "Germania magna": from Rhine and Danube in the West and South to the Vistula and the Baltic Sea in the East and North.
Caesar's wars helped establish the term Germania. The initial purpose of the Roman campaigns was to protect Transalpine Gaul by controlling the area between the Rhine and the Elbe. In 9 CE a revolt of their Germanic subjects headed by the supposed Roman ally, Arminius, (along with his decisive defeat of Publius Quinctilius Varus and the destruction of 3 Roman legions in the surprise attack on the Romans at the Battle of the Teutoburg Forest) ended in the withdrawal of the Roman frontier to the Rhine. At the end of the 1st century two provinces west of the Rhine called Germania inferior and Germania superior were established. Important medieval cities like Aachen, Cologne, Trier, Mainz, Worms and Speyer were part of these Roman provinces.
The Migration Period
During the 5th century CE, as the Western Roman Empire lost military strength and political cohesion, numerous Germanic peoples, under pressure from population growth and invading Asian groups, began migrating en masse in far and diverse directions, taking them to Great Britain and as far south through present day Continental Europe to the Mediterranean and northern Africa. Over time, this wandering meant intrusions into other tribal territories, and the ensuing wars for land escalated with the dwindling amount of unoccupied territory. Wandering tribes then began staking out permanent homes as a means of protection. Much of this resulted in fixed settlements from which many, under a powerful leader, expanded outwards. A defeat meant either scattering or merging with the dominant tribe, and this continual process of assimilation was how nations were formed. In Denmark the Jutes merged with the Danes, in Sweden the Geats merged with the Swedes. In England, the Angles merged with the Saxons and other groups (notably the Jutes), as well as possibly absorbing a number of natives, to form the Anglo-Saxons.
A direct result of the Roman retreat was the disappearance of imported products like ceramics and coins, and a return to virtually unchanged local Iron Age production methods. According to recent views this has caused confusion for decades, and theories assuming the total abandonment of the coastal regions to account for an archaeological time gap that never existed have been renounced. Instead, it has been confirmed that the Frisian graves had been used without interruption between the 4th and 9th century CE and that inhabited areas show continuity with the Roman period in revealing coins, jewellery and ceramics of the 5th century. Also, people continued to live in the same three-aisled farmhouse, while to the east completely new types of buildings arose. More to the south, in Belgium, archeological results of this period point to immigration from the north.
The Germanic Peoples Role in the Fall of Rome
Some of the Germanic tribes are frequently credited in popular depictions of the decline of the Roman Empire in the late 5th century. Professional historians and archaeologists have since the 1950s shifted their interpretations in such a way that the Germanic peoples are no longer seen as invading a decaying empire but as being co-opted into helping defend territory the central government could no longer adequately administer. Individuals and small groups from Germanic tribes had long been recruited from the territories beyond the limes (i.e., the regions just outside the Roman Empire), and some of them had risen high in the command structure of the army. Then the Empire recruited entire tribal groups under their native leaders as officers. Assisting with defense eventually shifted into administration and then outright rule, as Roman government passed into the hands of Germanic leaders. Odoacer, who deposed Romulus Augustulus, is the ultimate example.
The presence of successor states controlled by a nobility from one of the Germanic tribes is evident in the 6th century - even in Italy, the former heart of the Empire, where Odoacer was followed by Theodoric the Great, king of the Ostrogoths, who was regarded by Roman citizens and Gothic settlers alike as legitimate successor to the rule of Rome and Italy.
The Early Middle Ages
The transition of the Migration period to the Middle Ages proper takes place over the course of the second half of the 1st millennium. It is marked by the Christianization of the Germanic peoples and the formation of stable kingdoms replacing the mostly tribal structures of the Migration period. In continental Europe, this is the rise of Francia in the Merovingian period, eclipsing lesser kingdoms such as Alemannia. In England, the Wessex hegemony as the nucleus of the unification of England, Scandinavia is in the Vendel period and enters the extremely successful Viking Age, with expansion to Britain, Ireland and Iceland in the west and as far as Russia and Greece in the east. The various Germanic tribal cultures begin their transformation into the larger nations of later history, English, Norse and German, and in the case of Burgundy, Lombardy and Normandy blending into a Romano-Germanic culture.
A main element uniting Germanic societies is kingship, in origin a sacral institution combining the functions of military leader, high priest, lawmaker and judge. Germanic monarchy was elective, the king was elected by the free men from among elegible candidates of a family (OE cynn) tracing their ancestry to the tribe's divine or semi-divine founder. In early Germanic society, the free men of property each ruled their own estate and were subject to the king directly, without any intermediate hierarchy as in later feudalism. Free men without landed property could swear fealty to a man of property who as their lord would then be responsible for their upkeep, including generous feasts and gifts. This system of sworn retainers was central toearly Germanic society, and the loyalty of the retainer to his lord was taken to replace his family ties.
Early Germanic law reflects a hierarchy of worth within the society of free men, reflected in the differences in weregild. Among the Anglo-Saxons, a regular free man (a ceorl) had a weregild of 200 shillings (i.e. solidi or gold pieces), classified as a twyhyndeman "200-man" for this reason, while a nobleman commanded a fee of six times that amount (twelfhyndeman "1200-man"). Similarly, among the Alamanni the basic weregild for a free men was 200 shillings, and the amount could be doubled or trebled according to the man's rank. Unfree serfs did not command a weregild, and the recompense paid in the event of their death was merely for material damage, 15 shillings in the case of the Alamanni, increased to 40 or 50 if the victim had been a skilled artisan.
The social hierarchy is not only reflected in the weregild due in the case of the violent or accidental death of a man, but also in differences in fines for lesser crimes. Thus the fines for insults, injury, burglary or damage to property differ depending on the rank of the injured party. They do not usually depend on the rank of the guilty party, although there are some exceptions associated with royal privilege. Free women did not have a political station of their own but inherited the rank of their father if unmarried, or their husband if married. The weregild or recompense due for the killing or injuring of a woman is notably set at twice that of a man of the same rank in Alemannic law.
All freemen had the right to participate in general assemblies or things, where disputes between freemen were addressed according to customary law. The king was bound to uphold ancestral law, but was at the same time the source for new laws for cases not addressed in previous tradition. This aspect was the reason for the creation of the various Germanic law codes by the kings following their conversion to Christianity: besides recording inherited tribal law, these codes have the purpose of settling the position of the church and Christian clergy within society, usually setting the weregilds of the members of the clerical hierarchy parallel to that of the existing hierarchy of nobility, with the position of an archbishop mirroring that of the king.
In the case of a suspected crime, the accused could avoid punishment by presenting a fixed number of free men (their number depending on the severity of the crime) prepared to swear an oath on his innocence. Failing this, he could prove his innocence in a trial by combat. Corporeal or capital punishment for free men does not figure in the Germanic law codes, and banishment appears to be the most severe penalty issued officially. This reflects that Germanic tribal law did not have the scope of exacting revenge, which was left to the judgement of the family of the victim, but to settle damages as fairly as possible once an involved party decided to bring a dispute before the assembly.
Traditional Germanic society is gradually replaced by the system of estates and feudalism characteristic of the High Middle Ages in both the Holy Roman Empire and Anglo-Norman England in the 11th to 12th centuries, to some extent under the influence of Roman law as an indirect result of Christianization, but also because political structures had grown too large for the flat hierarchy of a tribal society. The same effect of political centralization takes hold in Scandinavia slightly later, in the 12th to 13th century (Age of the Sturlungs, Consolidation of Sweden, Civil war era in Norway), by the end of the 14th century culminating in the giant Kalmar Union. Elements of tribal law, notably the wager of battle, nevertheless remained in effect throughout the Middle Ages, in the case of the Holy Roman Empire until the establishment of the Imperial Chamber Court in the beginning German Renaissance. In the federalist organization of Switzerland, where cantonal structures remained comparatively local, the Germanic thing survived into the 20th century in the form of the Landsgemeinde, albeit subject to federal law.
The Material Culture
Germanic settlements were typically small, rarely containing much more than ten households, often less, and were usually located at clearings in the wood. Settlements remained of a fairly constant size throughout the period. The buildings in these villages varied in form, but normally consisted of farmhouses surrounded by smaller buildings such as granaries and other storage rooms. The universal building material was timber. Cattle and humans usually lived together in the same house.
Although the Germans practiced both agriculture and husbandry, the latter was extremely important both as a source of dairy products and as a basis for wealth and social status, which was measured by the size of an individual's herd. The diet consisted mainly of the products of farming and husbandry and was supplied by hunting to a very modest extent. Barley and wheat were the most common agricultural products and were used for baking a certain flat type of bread as well as brewing beer. The fields were tilled with a light-weight wooden plow, although heavier models also existed in some areas. Common clothing styles are known from the remarkably well-preserved corpses that have been found in former marshes on several locations in Denmark, and included woolen garments and brooches for women and trousers and leather caps formen. Other important small-scale industries were weaving, the manual production of basic pottery and, morerarely, the fabrication of iron tools, especially weapons.
Julius Caesar describes the Germans in his Commentarii De Bello Gallico, though it is still a matter of debate if he refers to Northern Celtic tribes or clearly identified German tribes."[The Germans] have neither Druids to preside over sacred offices, nor do they pay great regard to sacrifices. They rank in the number of the gods those alone whom they behold, and by whose instrumentality they are obviously benefited, namely, the sun, fire, and the moon; they have not heard of the other deities even by report. Their whole life is occupied in hunting and in the pursuits of the military art; from childhood they devote themselves to fatigue and hardships. Those who have remained chaste for the longest time, receivethe greatest commendation among their people; they think that by this the growth is promoted, by this the physical powers are increased and the sinews are strengthened. And to have had knowledge of a woman before the twentieth year they reckon among the most disgraceful acts; of which matter there is no concealment, because they bathe promiscuously in the rivers and [only] use skins or small cloaks of deer's hides, a large portion of the body being in consequence naked.
They do not pay much attention to agriculture, and a large portion of their food consists in milk, cheese, and flesh; nor has any one a fixed quantity of land or his own individual limits; but the magistrates and the leading men each year apportion to the tribes and families, who have united together, as much land as, and in the place in which, they think proper, and the year after compel them to remove elsewhere. For this enactment they advance many reasons-lest seduced by long-continued custom, they may exchange their ardor in the waging of war for agriculture; lest they may be anxious to acquire extensive estates, and the more powerful drive the weaker from their possessions; lest they construct their houses with too great a desire to avoid cold and heat; lest the desire of wealth spring up, from which cause divisions and discords arise; and that they may keep the common people in a contented state of mind, when each sees his own means placed on an equality with [those of] the most powerful."
While the Germanic peoples were slowly converted to Christianity by varying means, many elements of the pre-Christian culture and indigenous beliefs remained firmly in place after the conversion process, particularly in the more rural and distant regions. The Ostrogoths, Visigoths, and Vandals were Christianized while they were still outside the bounds of the Empire; however, they converted to Arianism rather than to orthodox Catholicism, and were soon regarded as heretics. The one great written remnant of the Gothic language is a translation of portions of the Bible made by Ulfilas, the missionary who converted them. The Lombards were not converted until after their entrance into the Empire, but received Christianity from Arian Germanic groups.
The Franks were converted directly from paganism to Catholicism without an intervening time as Arians. Several centuries later, Anglo-Saxon and Frankish missionaries and warriors undertook the conversion of their Saxon neighbours. A key event was the felling of Thor's Oak near Fritzlar by Boniface, apostle of the Germans, in 723. Eventually, the conversion was forced by armed force, successfully completed by Charlemagne, in a series of campaigns (the Saxon Wars), that also brought Saxon lands into the Frankish empire. Massacres, such as the Bloody Verdict of Verden, were a direct result of this policy. In Scandinavia, Germanic paganism continued to dominate until the 11th century in the form of Norse paganism, when it was gradually replaced by Christianity.
The Germanic tribes of the Migration period had settled down by the Early Middle
Ages, the latest series of movements out of Scandinavia taking place during the
Viking Age. The Goths and Vandals were linguistically assimilated to their Latin
(Italo-Western Romance) substrate populations (with the exception of the Crimean
Goths, who preserved their dialect into the 18th century). Burgundians and
were assimilated into both Latin (French & Italian) and Germanic populations.
The Viking Age Norsemen split into an Old East Norse and an Old West Norse group, which
further separated into Icelanders, Faroese and Norwegians on one hand, and Swedes and
Danes on the other. Politically, the union between Norway and Sweden was dissolved in
1905, and the Republic of Iceland was established in 1944. In Great Britain, Germanic
people coalesced into the Anglo-Saxon or English people between the 8th and 10th centuries.
The Viking Age
Norsemen split into an Old East Norse and an Old West Norse group, which further separated into Icelanders, Faroese and Norwegians on one hand, and Swedes and Danes on the other. Politically, the union between Norway and Sweden was dissolved in 1905, and the Republic of Iceland was established in 1944. In Great Britain, Germanic people coalesced into the Anglo-Saxon or English people between the 8th and 10th centuries..
The various Germanic Peoples of the Migrations period eventually spread out over a vast expanse stretching from contemporary European Russia to Iceland and from Norway to North Africa. The migrants had varying impacts in different regions. In many cases, the newcomers set themselves up as over-lords of the pre-existing population. Over time, such groups underwent ethnogenesis, resulting in the creation of new cultural and ethnic identities (such as the Franks and Galloromans becoming French). Thus many of the descendants of the ancient Germanic Peoples do not speak Germanic languages, as they were to a greater or lesser degree assimilated into the cosmopolitan, literate culture of the Roman world. Even where the descendants of Germanic Peoples maintained greater continuity with their common ancestors, significant cultural and linguistic differences arose over time; as is strikingly illustrated by the different identities of Christianized Saxon subjects of the Carolingian Empire and Pagan Scandinavian Vikings.
More broadly, early Medieval Germanic peoples were often assimilated into the walha substrate cultures of their subject populations. Thus, the Burgundians of Burgundy, the Vandals of n Andalusia and the Visigoths of western France and eastern Iberia all lost their Germanic identity and became part of Latin Europe. Likewise, the Franks of Western Francia form part of the ancestry of the French people. Examples of assimilation during the Viking Age include the Norsemen settled in Normandy and on the French Atlantic coast, and the societal elite in medieval Russia among whom many were the descendants of Slavified Norsemen (a theory, however, contested by some Slavic scholars in the former Soviet Union, who name it the Normanist theory).
Conversely, the Germanic settlement of Britain resulted in Anglo-Saxon, or English, displacement of and/or cultural assimilation of the indigenous culture, the Brythonic speaking British culture causing the foundation of a new Kingdom, England. As in what became England, indigenous Brythonic Celtic culture in some of the south-eastern parts of what became Scotland (approximately the Lothian and Borders region) and areas of what became the Northwest of England (the kingdoms of Rheged, Elmet, etc) succumbed to Germanic influence c.600-800, due to the extension of overlordshipand settlement from the Anglo-Saxon areas to the south. Between c. 1150 and c. 1400 most of the Scottish Lowlands became English culturally and linquistically through immigration from England, France and Flanders and from the resulting assimilation of native Gaelic-speaking Scots. The Scots language is the resulting Germanic language still spoken in parts of Scotland and is very similar to the speech of the Northumbrians of northern England. Between the 15th and 17th centuries Scots spread into Galloway,Carrick and parts of the Scottish Highlands, as well as into the Northern Isles. The latter, Orkney and Shetland, though now part of Scotland, were nominally part of the Kingdom of Norway until the 15th century. A version of the Norse language was spoken there from the Viking invasions until replaced by Scots. Portugal and Spain also had some measure of Germanic settlement, due to the Visigoths, the Suebi (Quadi and Marcomanni) and the Buri, who settled permanently. The Vandals (Silingi and Hasdingi) were also present, before moving on to North Africa. Many words of Germanic origin entered into the Spanish and Portuguese languages at this time and many more entered through other avenues (often French) in the ensuing centuries (see: List of Spanish words of Germanic origin and List of Portuguese words of Germanic origin).
Italy has also had a history of heavy Germanic settlement. Germanic tribes such as the Visigoths, Vandals, and Ostrogoths had successfully invaded and sparsely settled Italy in the 5th century. Most notably, in the 6th century, the Germanic tribe known as the Lombards entered and settled primarily in the area known today as Lombardy. The Normans also conquered and ruled Sicily and parts of southern Italy for a time. Crimean Gothic communities appear to have survived intact until the late 1700's, when many were deported by Catherine the Great. Their language vanished by the 1800's.
The territory of modern Germany was divided between Germanic and Celtic speaking groups in the last centuries BCE. The parts south of the Germanic Limes came under limited Latin influence in the early centuries CE, but were swiftly conquered by Germanic groups such as the Alemanni after the fall of the Western Roman Empire. After the disappearance of Germanic ethnicities (tribes) in the High Middle Ages, the cultural identity of Europe was built on the idea of Christendom as opposed to Islam (the "Saracens", and later the "Turks"). The Germanic peoples of Roman historiography were lumped with the other agents of the "barbarian invasions", the Alans and the Huns, as opposed to the civilized "Roman" identity of the Holy Roman Empire.
The Renaissance revived interest in pre-Christian Classical Antiquity and only in a second phase in pre-Christian Northern Europe. Early modern publications dealing with Old Norse culture appeared in the 16th century, e.g. Historia de gentibus septentrionalibus (Olaus Magnus, 1555) and the first edition of the 13th century Gesta Danorum (Saxo Grammaticus), in 1514. Authors of the German Renaissance such as Johannes Aventinus discovered the Germanii of Tacitus as the "Old Germans", whose virtue and unspoiled manhood, as it appears in the Roman accounts of noble savagery, they contrast with the decadence of their own day. The pace of publication increased during the 17th century with Latin translations of the Edda (notably Peder Resen's Edda Islandorum of 1665). The Viking revival of 18th century Romanticism finally establishes the fascination with anything "Nordic". The beginning of Germanic philology proper begins in the early 19th century, with Rasmus Rask's Icelandic Lexicon of 1814, and was in full bloom by the 1830s, with Jacob Grimm's Deutsche Mythologie giving an extensive account of the reconstructed Germanic mythology and his Deutsches Wörterbuch of Germanic etymology.
The development of Germanic studies as an academic discipline in the 19th century ran parallel to the rise of nationalism in Europe and the search for national histories for the nascent nation states developing after the end of the Napoleonic Wars. A "Germanic" national ethnicity offered itself for the unification of Germany, contrasting the emerging German Empire with its neighboring rivals, the Welsche French Third Republic and the "Slavic" Russian Empire. The nascent German ethnicity was consequently built on national myths of Germanic antiquity, in instances such ast the Walhalla temple and the Hermann Heights Monument. These tendencies culminated in Pan-Germanism, the Alldeutsche Bewegung aiming for the political unity of all of German-speaking Europe (all Volksdeutsche) into a Teutonic nation state. Contemporary Romantic nationalism in Scandinavia placed more weight on the Viking Age, resulting in the movement known as Scandinavism. The theories of race developed in the same period identified the Germanic peoples of the Migration period as members of a Nordic race expanding at the expense of an Alpine race native to Central and Eastern Europe.
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Jutes
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What Buddhist term and title of reverence (typically for a spiritual leader) derives from the Sanskrit words for 'great soul'?
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Central Europe
Introduction
This rather lengthy article is the result of my curiosity while planning my first trip to Budapest. I discovered I knew very little of the geography and history of Central Europe, and set out to learn more. My definition of Central Europe embraces the Czech Republic, Slovak Republic, Hungary, Romania, Bulgaria, Serbia, Croatia, and Slovenia. I later added Poland and the Baltic republics, Albania and Macedonia, but Greece is not included, except incidentally. This article is, of course, not a complete treatise, since there is much more material than can be treated in such a limited compass, but investigates the topics that I found interesting. It is assembled from the secondary sources mentioned in the References at the end of the article. It is meant primarily for my own enjoyment, but others may find one or another story interesting. I have tried to be fair, but it is necessary to take positions based on the information I have. There is a great deal of conflict, blood and hate in this history, from the migrations of the first millennium of this era to the Shoah of 1941-45. It is depressing that people have not been better to each other. One also finds pernicious national myths that deserve to be exposed. I am dependent on my sources for information. In controversial cases, I have tried to examine both sides, which the Internet facilitates. In many cases, only one faction has truth on its side. Numerical statistics are always suspect, particularly if there appears to be no rational source of them. We begin with some geography.
The Carpathians
The geography of Central Europe is dominated by the Carpathian Mountains. This range extends in a 1500-km arc from the Porta Hungarica where they are divided from the Alps by the Danube to the Iron Gate where the Danube separates them from the Balkans. Their arc contains the Hungarian Plain, drained by the Danube, the Tisza and their tributaries. In the east, they curve around the Transylvanian plateau, a hilly region contained by mountains. The Carpathians consist of several independent ranges and form a broad mountainous belt. The White Carpathians are the westernmost range. Then come the West Beskids and the East Beskids, separated by the High Tatra, which is a little south of the main summit line. The eastern, or wooded, Carpathians curve around Transylvania and then join the est-west Southern Carpathians that extend to the Iron Gate near Orsova.
These mountains are the outer limits of the Alpine orogeny of early Tertiary age. The western parts are composed of typical Alpine flysch, while the eastern sections are mainly sandstone. The High Tatra are granite. They are not high mountains with Alpine scenery. The highest peak, in the High Tatra of the Slovak Republic, reaches 2655 m (8705 ft.). It was named after Franz Josef, then Gerlachova by the Czechs, who later thought Stalin Peak was a better name. It is back to Gerlachova now. There are many passes through the range. The Breslau-Budapest railway uses the Jablunka Pass, at the northwest corner of the Slovak Republic, the lowest at 1970 ft. Vereczke Pass, in the eastern Carpathians, is famous as the route of the magyars in 896 into the Hungarian plain. The Predeal Pass is at the junction of the eastern and southern Carpathians, just south of Brasov. To the north, towards Poland, is the Galician plain, once a Hapsburg possession. Beyond that, plains extend to the Baltic. To the east is the Ukranian plain, extending into Central Asia. To the south of the Southern Carpathians lies the Wallachian Plain, bounded by the Danube.
In the northwest the Carpathians collide with earlier mountains of the Hercynian or Variscian (Carboniferous) orogeny. the Sudeten range (the name means "boar's mountains") runs northwest to the Erzgebirge, which trends southwest to meet the Böhmerwald. These ranges enclose the plateau of Bohemia. The Harz mountains to the west are part of this assembly. All of these mountains are strongly mineralized. The Erzgebirge was an early source of tin and copper, and, therefore, bronze. Its name, in fact, comes from an earlier meaning of "erz" as bronze. Silver and lead were, however, the principal products of all these mountains. Gold is also found in important amounts. Although much ore still remains, the richer deposits are exhausted and there are many cheaper sources at present, so mining is chiefly historical.
This region is drained by the Danube, which rises in the Black Forest in southwestern Germany not far from the Rhine, flowing northeastward to its northernmost stretch in Bavaria, near Regensburg, then generally eastward through Austria to its right-angled bend to the south through Budapest and Beograd. The river then turns eastward to the gorge of the Iron Gate where it crosses the hard rocks of the Carpathians at Orshova. The Iron Gate is 3.2 km long, and 170 m wide. It was cleared of rocks in the 19th century to permit some navigation, but was bypassed by a ship canal in 1896. There is now a dam and a hydroelectric plant at the gorge. From the Iron Gate the Danube flows eastward toward the Black Sea, but turns north and flows parallel to the shore through extensive swamps for about 100 miles before turning east and building a large delta with three distributaries as it flows into the sea.
The Tisza meanders to the north from near Beograd, reaching the foothills of the Carpathians and then making a hairpin bend and draining northern Transylvania through its tributary the Szamos. The principal southern tributary of the Danube is the Save, rising in Austria and entering the Danube near Beograd. A little further north, the Drau flows parallel to the Save. The Dinaric Alps separate these drainages from the Adriatic. To the east of the Carpathians, the Prut joins the Danube where it turns eastward to its delta. The next large river is the Dneister, which enters the Black Sea at Odessa. Further east are the Bug and the Dneper (Dnieper), entering the Black Sea near Kherson, not far east of Odessa. These rivers drain the Ukrainaian Plain as far as the Pripet Marshes. The Don enters the Black Sea via the Sea of Azov at Rostov, and is the last large river flowing into the Black Sea. East of the Don is the Volga, which flows into the Caspian Sea at Astrakhan. The Volga and the Don drain the vast Russian Plain, the home of many peoples.
We should also notice the southern extension of central Europe, the Balkan Peninsula. This is bounded on the north by the Danube, on the west by the Adriatic and Ionian Seas, on the south by the Aegean, and on the east by the Black Sea. Most of this area is mountainous or hilly, with few good internal routes and many isolated hiding places. The Balkan Mountains themselves are an east-west range dividing Bulgaria into halves. The upper half was ancient Moesia, the lower half Thrace. To the west was Illyria.
Migration of Peoples
After the Ice Age, Europe was repopulated by migration from more southerly regions. Since then, some peoples have been in constant motion, either driven from their previous homes by climatic conditions or competition with other groups, or attracted to richer lands where they hope to make better lives or escape persecution. These migrations are of intrinsic interest and historic importance, but knowledge of them is very imperfect until written records become available. Often the only informtion on movements and original homes is oral legend. Archaeology is of very little help, since relics are not only scarce, but difficult to interpret. This, of course, does not prevent archaeologists from weaving intricate tales of little reliability. One important clue is preserved in the people themselves: their language.
It is remarkable that, in spite of common language properties among all humans, different languages are almost completely mutually incomprehensible. Human groups classify people by language: we who speak it, and all those others who don't. In addition, language is very conservative, changing only slowly with time and often only superficially. The creation of new languages requires special conditions and happens only rarely. The main languages of Europe--Latin, Greek, Welsh, English, German, French, and the Baltic, Slavic and Scandinavian languages--are all classified as Indo-European and are assumed to have a common root language. Sanskrit is also Indo-European, which gives the "Indo-" part of the name. Linguists establish these identifications by isolating word roots, and consistent patterns of change. The eastern class of Indo-European languages use the root "satem" for a hundred, while the western class uses "centum". This is all explained by some as the result of a migration of people from the Caucasian region northwards and westwards into Europe, carrying their language with them. These people were once called Caucasian, now Proto Indo-European. The actual home country may be the Dneister and Don steppes in present-day Ukraine. This may be much too simple, and Indo-European is only a convenient classification of languages that could have a common source.
Not all the people of Europe are Indo-European. There are, for example, the older populations of Great Britain and Ireland who were absorbed by Celtic peoples and whose languages have disappeared, but whose physical types probably still remain. These people must also have migrated to Europe, perhaps from Africa via the straits of Gibraltar. These may include the Basques. Hungarians speak a Finno-Ugric language orginating in the Urals, as of course, do the Finns. The arrival of the Hungarians is noted in history. Turkic people speak an Altaic language, supposed to orginate near that central Asian mountain range. Magyar is a Finno-Ugric language of unknown source, with similarities in form to Altaic languages. All languages acquire loan-words from neighbouring peoples, so such borrowing does not indicate that the languages are themselves related.
Language is more persistent than race or culture. A majority language ovewhelms a minority language when constant interaction is necessary between the groups. Sometimes, a new language arises as a compromise, necessary in forming a lingua franca, which was the case with English and other Western European languages. I have not heard of a European analogy to the sign languages of American Indians, where there were a great number of mutually incomprehensible languages. Bulgaria speaks a Slavic language, not the Turkic language of the minority ruling Bulgars, which has been completely absorbed. Vlachs speak their Latin-based dialects, not the Slavic of the many absorbed Slavs in their community.
Standardized national literary languages are a recent development. In the middle ages and earlier, Latin and Greek (Koine) were standardized written languages of Europe that could be used for official purposes and literature. The vernacular languages were spoken only, and differed widely from location to location, though with close similarities within the same group. Local populations could identify themselves easily after hearing only a few words, and could often not easily understand related populations from only a short distance away. This still is evident today, when people recognize even small variations in accent, as between British and American English, though mutual understanding is nearly complete. Standard languages, such as English and Castilian Spanish, were created as vehicles of communication in extended communities. German, Hungarian and Italian were not standardized until late, since Latin was the literary language in these countries. In the case of German, this happened when Luther translated the bible into the vernacular, and had to establish certain prescriptions. In the Western Christian church, the sacred writings were translated into the vernacular Latin, which the people could then understand, from the original Greek, which they could not. Later, though the church clung to Latin as a lingua franca, it gradually diverged from the vernacular. Priests hardly knew what to do, other than to repeat the Latin loudly. Only at the Reformation were services again presented in the new vernaculars that had arisen.
With the birth of the concept of national identity in the 19th century, this identity was invariably expressed as a national language, which usually had to be created by scholars. For example, the Serbs and Croats, for all their cultural differences, spoke various closely-related dialects of Slavic. One was chosen as the basis of the new South Slav identity, and Serbo-Croat arose, to be the language of Yugoslavia. When Croats and Slavs later separated in anger, small differences in dialect began to identify separate Croatian and Serbian dialects. The case of Czech is similar, since the Slavic languages of Bohemia, Moravia and Slovakia each consisted of a collection of similar local dialects, out of which standard Czech and Slovak arose. Romanian was constructed from Wallachian dialects in the 19th century, with considerable borrowing from French. Language follows politics in most cases, not the other way around. Languages are standardized only when they become used for writing, and a literature is created. In Welsh, this happened when the spoken traditions of the bards were first written down, something the bards themselves deprecated.
Naive conclusions drawn from superficial comparisons of languages may be completely erroneous. The similarity of Romanian and Italian does not imply that Romanian was the language of the ancient Dacians. The actual connection will be explained later. Hungarian and Turkish have a typological similarity, and there are many similar words, but the two languages are not related. Turkish is Altaic, and Hungarian is Ugric. No possible common ancestor can be imagined by linguists. The similar words are only borrowings, because of the close contact of the Magyars with Turkic people from Khazar days to the present. Attempts to relate Magyar with Sumerian or Hunnic also fail, though proposed by enthusiasts to support various theories.
The original Indo-Europeans seem to have differentiated in Europe, in the second or third millennia BCE, after the neolithic revolution brought agriculture. Germans inhabited the area around present-day Denmark and southern Scandinavia. South of them were the Celts, occupying all of western and central Europe, and pressing into the Iberian peninsula, displacing the original inhabitants. The Celts knew how to work copper and iron. To the northeast of the Celts were the Slavs and Balts, who pressed the Finns northwards. Italic tribes moved to the south ahead of the Celts, and differentiated into Illyrian, Thracian, Greek and Latin peoples. In Italy, they came into contact with the Etruscans, probably of western African origin like the Basques, as well as with Phoenician colonists, here and in Iberia. Some Celts were herdsmen, but most were farmers, living in fortified villages (oppidi) and governed by strongmen. The name Celt has nothing to do with the palaeolithic tool of the same name, which was due to a misreading anyway.
The Germans began to press southwards in the late first millennium BCE. The migration of the Goths and Vandals was a major stage in these events. Central European Celts, such as the Insubres and Boii, moved southwards into Italy, and were replaced by Germans. The Cimbri and Teutones (despite the neme, Celts) followed, even penetrating as far as Anatolia, where they founded Galatia. Marcomanni and Quadi occupied the lands of the Boii, and were surrounded by more German tribes, such as Jutes, Angles, Frisians, Saxons, Franks, Lombards and Alemanni, as population increased. In modern terms, none of these tribes would be considered large. The Finns moved westwards from the Urals, as well as southwards into the steppes as Magyars. Iranian peoples, such as Cimmerians, Scyths, Sarmatians, Sakas, Roxolani and Alans occupied the steppes vacated by the other Indo-Europeans. In the first millennium CE the Iranians were overcome by Turkic peoples, such as the Huns. On the steppes, the population was even thinner than further west in Europe.
Also influencing Europe were the Semitic people who occupied Mesopotamia, Arabia and Egypt. There is no tradition of their coming from elsewhere. Their creation legends imply that they originated where they then lived, or from not far away to the East. The originators of Mesopotamian civilization, the Sumerians, were not Semitic, but invaders from the East. They passed on their cunieform writing to their successors, the Babylonians and Assyrians. Egyptians developed writing and civilization at about the same time independently of Mesopotamia. The sea-going Phoenicians attacked their fellow Semites and founded colonies around the Mediterranean, notably in Iberia and at Carthage in North Africa. Apparently, they sailed as far as Britain for tin. Aside from this, and the later diaspora of the Jews, Semites have never migrated far from their homelands. We have written records from the Semitic lands, so we know much more about their history than about that of Europe and the steppes.
Invasions by military elites should be distinguished from mass movements of peoples. DNA analysis is showing this more and more clearly in recent studies. The Anglo-Saxon invasion of England in the 5th century had very little effect on the genetic makeup of the people. Latin probably survived much later in common speech than was previously assumed. The Norman invasion of 1066 had a similarly minor effect. The population of England is racially pretty much the same as it was in Roman times. We'll see another good example later in Bulgaria, in which very few Bulgars can be found among the Slavic population. The "barbarian invasions" of the Roman Empire are another case in point. Politics and culture change much more readily than genetics. Language can differentiate people much more distinctly than genetics.
The Roman Empire
The Roman Empire was founded by a city-state that made allies and associates rather than conquered subjects. The powers of its government originated from its people, not from monarchs. The Roman state would come to the aid of any people struggling to remove a king. This was the origin of the wars against Carthage and in Greece, where democratic states were protected from kings like Philip of Macedon and their allies. This led to the creation of a more or less universal Graeco-Roman state in which government was mainly local, controlled by senates rather than tyrants. The Roman army was originally composed of citizens of property, and was unpaid. The plebeians won payment for military duty, which allowed poorer citizens to participate. Eventually, the army became mercenary, and an important way of attaining Roman citizenship. Citizenship was eventually universally granted, founding the idea of the state as a commonwealth. Eventually, the army was composed almost entirely of non-citizens, mainly Germans, who gave good and faithful service in most instances. The army was stationed on the borders--along the Rhine and the Danube, along Hadrian's wall in Britain, in Syria and Mesopotamia--with only small detachments in the interior, mainly for recruiting duty. Compare this with modern empires, which are held down by military force and vanish when the force is removed. The central bureaucracy, which handled the circulation of money and regulation of trade, pressed very lightly on the average inhabitant. When, due to economic reasons, Rome withdrew troops from Britain in 410 CE, the province begged for this order to be countermanded. At the time of Augustus, it was decided only to extend the empire to people who lived in permanent towns and cities; that is, to civilized people. Those who were nomadic and ruled by chiefs formed an outer halo. This established the boundary on the Rhine and Danube. Cologne ("Colonia") was founded for Germanic veterans who desired to live within the boundary. The boundary was not pushed forward to the Elbe, which was the original plan, and the Franks ("Free") were permitted to retain their tribal organization.
The Senate at Rome was the effective governmental authority, in addition to the Imperial civil service under the control of the Princeps, the Emperor in later terms. This terminology was never used at the time; "imperator" was simply a military term of respect, just "commander". The Princeps became, in fact, an autocrat, the only way that could be seen to protect the rights of the commonality against the aristocrat. A good way of composing the Senate to be more widely representative was never found. The Roman aristocrats who dominated the Senate decayed in quality, especially after the adoption of Christianity as the state religion. When the Senate failed, the Western Empire fell apart.
The army was, however, found in the interior when it followed some pretender to power. This was especially easy to do when the army was composed of German mercenaries and was far from Rome. The legitimate emperor, acclaimed by the electoral assemblies of the people and accepted by the Senate, needed to dispose of sufficient military power to meet the threat effectively. Indeed, this was another reason why the Princeps had to be commander-in-chief. For administrative efficiency, the Empire was divided into Eastern and Western parts in 395, governed from Constantinople and Rome, respectively. The western part did not fall with barbarian hordes sweeping across the countryside and burning the cities, but from the settling of independent Germanic tribes within the Empire to protect them from the Huns. This period is called the Vökerwanderung in German. Not all German tribes wandered, however. Those already tributary to the Empire and safe from eastern marauders, such as the Franks, largely remained in place and later formed part of Charlemagne's Empire.
The Roman Empire changed over time. The princeps, first among equals, became dominus, lord. The army chose the dominus, not popular assemblies. Indeed, before the field armies of mercenary soldiers that arose in the fourth century, the army was an assembly of citizens. Later, it was the source of political power and controlled by the aristocracy. The role of the Senate steadily declined. Christianity was adopted as the state religion and became intolerant. Christianity killed people because of what they thought, or were believed to think. Denying the trinity or baptizing adults was punished by death. The centre of gravity of the Empire moved steadily eastward, especially after Constantine established an eastern capital in 322, and established a gold coinage that could not be debased, with gold from the treasures of the temples of the old religions. The west was slowly abandoned to Germanic kingdoms, as tribes became foederati and their leaders were called patricii. There was little change in the nature of the population, however. The capital was moved from Rome to Milan and then Ravenna. Greek had always been the common and cultured language of the Roman Empire, except in the west and the Balkans, and it eventually replaced Latin. However, Justinian still wrote law in Latin in the 5th century. Intellectual life vanished in the illiterate west, but did not in Constantinople. Indeed, the years 800-1000 were the apex of the Empire, when both the Persians and the Arabs had been overcome. Constantinople may have been the largest and most prosperous city in the world for a thousand years, whether the Empire was weak or strong. The victory of the Seljuk Turk Alp Alslan at Lake Van in 1071, and the disaster of the Crusades, began the decline. However, Constantinople did not fall until 1453.
Feudal Society
The disintegration of responsible central authority led to the disappearance of money. Not that money lost its value: it was probably more valuable than ever, but now it was hoarded for security, not used as a means of exchange. Every locality had to depend on its own resources, and rely on barter. Towns shrunk to fit the territory that they served. No longer could Britons eat fresh oysters off fine pottery: both depended on trade over considerable distances and payments in money. Now they ate venison and rabbit off wooden trenchers, and drunk the mead they fermented instead of wines from Gaul. Rulers had a more insistent problem: they could no longer pay mercenary soldiers with taxes exacted from the peasantry. A new method of organization was developed, in accordance with local conditions, but with certain general characteristics. This was the feudal system. The word comes from the Latin for its central feature, the fief or feud. We'll be satisfied with only a typical example of feudalism, and not enter into the great controversy over what it means.
The three essential elements of a feudal system are the lord, the vassal, and the fief. The fief is land, part of that which the lord disposes of. The lord grants the vassal the enjoyment of the fief, in return for a pledge of aid and counsel. Aid means the provision of military service, and counsel means the attendance of the vassal at councils to advise the lord. This pledge is made by homage or oath of fealty. Homage is rendered to a liege or supreme lord, while an oath is taken to any lord. Homage, a promise to fight for the lord, can be rendered to only one lord, of course. This covers a great complexity of dependence, when vassals themselves become lords, and may have granted fiefs to one another. The Norwegian lord Rollo (Hrolf Ganger) rendered homage to King Charles III ("The Simple") of France for Normandy in 911. He had one of his henchmen perform the act of fealty, which was kissing the king's foot. The henchman raised the foot so high, refusing to bend over, that the king fell on his bum. Later, a sword might be tapped on the vassal's shoulders.
Fiefs were measured in units of the knight's fee, the amount of land that would support a knight, his horse, his armour, and his weapons, and, of course, those who would actually do the work. This was about £20 per annum around 1200 CE. A free peasant would earn about 3d per day, or £3-4 per annum. The knight might have to render 40 day's service a year for his fief. A duke would own thousands of knight's fees, which he would subinfeudate to his chief supporters, who would in turn receive fealty from their subordinates, down to the individual knight. Thus the problem of paying for an army was solved. In these years, what mattered were heavy-armoured horsemen. Infantry had lost their importance in the fourth century, and gunpowder artillery only arrived after 1300. The appearance of small arms in the 16th century turned the rule back to the infantry, who could then usually defeat cavalry without trouble. It was easier to feed 500 horsemen and their horses than 5000 infantry.
Manorialism accompanied feudalism, but was not part of it. The manor was a self-sufficient community that evolved from the late Roman estate. These estates tended to be more and more independent, producing all they needed, and were less and less worked by slaves, what the Romans called the familia. Most of the inhabitants of a manor were legally free, but owed fealty to their lords. The lowest class of peasants came more and more to be tied to the land as serfs. On their majority, they swore fealty like any other vassal. Everyone paid the tithe to the church. The manor might be royal, lay or ecclesiastical. The manor was divided into demesne, the lands used directly for the lord, the villein land, worked by serfs tied to the manor, and lands of the free peasants, or ceorls. Characteristic was farming in strip fields, so that good and poor lands would be equally distributed. The serfs paid in produce, as a modern sharecropper does, and were subject to to corvée, compulsory labor, on roads or buildings. The amount of land that would support a family was called a hide in England (rents were often paid in hides). The hundred was an area of 100 hides. What trade there was, was performed on navigable streams, or with pack animals.
Many ingenious perversions of the manor and feudal system could be conceived, and constant legislation was necessary to keep the system going. The act of infeudation removed a fief from the control of the superior lord; in particular, he could no longer tax it. In England in 1290, Edward I's proclamation of quia emptores prohibited subinfeudation.
The feudal-manorial system was very unlike the organization of the nomadic barbarian kingdoms, but the concept of fealty was easily understood, and so the system took hold in what had been the Roman empire. In other regions, it was adopted in different ways, which has given rise to the controversy over the definition of feudalism. What the barbarians added was the concept of an elective kingdom, which was very attractive to military magnates. The elective principle struggles with the hereditary principle, and the nobles struggle with the central, royal power, throughout the middle ages. The struggle between the aristocracy and the plebeians died with the Roman empire, and was not resurrected until the 18th century.
The standard Roman gold coin, introduced around the time of Julius Caesar, was the aureus. By the fourth century, it had been reduced in weight and fineness, so Constantine I introduced a new coin, the solidus. The solidus was about 4.5 g of .955-.985 fine gold, 20 mm in diameter, larger and thinner than the aureus. It remained a constant standard until the 11th century, known in the west as a bezant (from Byzantium). Its Islamic counterpart was the dinar, introduced by Abd el-Malik in 693. The dinar was slightly lighter, 4.25 g, and instead of portraits had decorative Arabic script. The dinar was cast, while the solidus was struck the usual way. Roger II of Sicily, Duke of Apulia, issued the first western gold coin, the ducat, in 1140 to compete with the dinar and the declining solidus. Florence minted a similar coin, the florin, in 1252, and Venice its ducat, which became the western standard, under doge Giovanni Dandolo in 1284. The ducat was around 3.5 g (54 grains troy) in weight, of .986 fine gold. It was a bit smaller than the U.S. quarter eagle ($2.50) coin, and would be worth today about $50. A doubloon was a double ducat, about 7 g of gold.
A gold coin can be tested for purity using a touchstone, which was one reason gold was used for important payments. The word "soldier" comes from the payment of mercenaries in solidi. Everyday accounts were settled in copper or silver coins. The acceptance of debased coins at face value was encouraged, but not always practiced. An impure silver alloy, billon, or a thin silver coating (wash) were frequently used to suggest value. The usual small copper coin of the later empire was the nummus. Coins were minted in multiples of 5, 20 and 40 nummi. The 20 nummi denomination was popular; it was called a follis after a silver wash coin of a similar size used earlier. The denomination was expressed on the reverse by a Greek alphabetic letter: E - 5, K - 20 and M - 40. The fine gold coins would not have held up under use, but the copper coins were usually a harder alloy (often called bronze, whatever the hardening agent) that would resist wear. Small coins of any type were rare in the west, as we have mentioned, because of the tendency toward hoarding and the lack of any central authority to maintain their value, especially since they had come to be accepted on face value, not their actual worth, and this trust was difficult to maintain.
Until the end of the middle ages and the arrival of a flood of silver from the New World, gold was worth about nine times an equal weight of silver. The ratio in modern times was closer to 16:1, but is now much larger. In western Europe, silver coinage had become popular, in the form of the English penny or the large silver dollar, for example. Silver was discovered in the Harz, the Erzgebirge and the Carpathians around the 12th century, and was plentiful enough to lubricate commerce. The name dollar comes from Joachimstaler, a coin first struck in 1518 after the discovery of silver in Joachimstal in Bohemia. The large size was probably an attempt to make them equal in value to a ducat, but the decreasing price of silver made this impractical.
Kings and counterfeiters cannot resist issuing debased coins, hoping that they will be accepted as if they represented full value, and that the difference can be pocketed. The result is to drive good coins out of circulation (Gresham's Law) so they can be melted down or exported at full value. Issuing heavy coins in an attempt to strengthen the reputation of a currency fails for the same reason. The United States originally tried this with its silver coins, which simply vanished into vaults and strongboxes when issued. "Bits" of Spanish 8 reales silver dollars were long the usual small change in the United States for this reason.
The Goths and Vandals
The Goths, a Germanic people whose original home was southern Sweden, in the region still known as Göthaland, crossed the Baltic in 300 BCE to 100 CE and settled in the Vistula estuary, displacing the Slavs. They decided about 200 CE to move from their territory on the Vistula, to warmer lands on the north shore of the Black Sea, recently vacated by the Gepids, who themselves had supplanted the Daci or Getae. All these tribes, noted by classical authors, soon vanished from history. Initially, the Goths did some raiding in the Balkans, plundering Athens in 262 CE. Ulfilas (310-383), a Goth, was converted to Christianity in Constantinople. He was named a bishop, and dispatched as a missionary to the Goths. He invented a Gothic alphabet and translated the Bible into Gothic. Through his efforts, the Goths became Christians. Ulfilas was an Arian, a belief that was condemned as a heresy by the Trinitarians by 381. This created a conflict when the Goths later came into much closer contact with the West.
Arius was an elder of Alexandria in the early 4th century. He taught that God was supreme and eternal, and created the Logos, who created the Holy Spirit. Trinitarians believed that the three members of the Trinity were eternal and co-equal. Arius was denounced by Athanasius in 321. Constantine called the Council of Nicaea in 325 to establish the principles of the faith, where 300 bishops met. The council was dominated by Trinitarians, who promulgated a Creed supporting their beliefs. The controversy did not subside, however, and a second Council was called at Constantinople in 381. This council established a definitive Creed, called the Nicene Creed, making Trintiarian beliefs paramount. Arianism was declared a heresy, and Emperor Theodosius expelled the Arians. God, apparently, remained silent, and did not express a preference. Arianism is now extinct, but some sects, such as Unitarians and Latter-Day Saints, hold similar beliefs.
In 370 CE, the Goths divided into two groups. The Visigothic kingdom inhabited the territory from the Danube to the Dneister. Visigoth means "noble Goth"; the Gothic name was Tervingi, and we often call them West Goths. The Ostrogothic or East Gothic, kingdom stretched from the Dneister to the Don. Ostrogoth means "splendid Goth". They called themselves Greutungi. Apparently, Goths were attractive people, tall and blond. Shortly thereafter, the Avars, a Hunnic people, attacked from the east, and Emperor Valens allowed the Visigoths to settle in Moesia, south of the Danube, where they entered the army. Roman aristocrats were probably responsible for mistreatment of the Goths, who revolted in anger. Valens was killed in a battle at Adrianople, and the Goths threatened Constantinople. Emperor Theodosius I made peace with the Visigoths and integrated their army into the Roman army. On his death, dissention again broke out, and the Visigoths declared their independence. The Visigoths captured Rome in 410.
On 31 December 406, the Suebi, Vandals and Alans crossed the Rhine at Mainz and invaded Gaul. The Suebi were an East German tribe that migrated to the Rhineland in the 1st century BCE. The Gallic Aedui invited them into Gaul to take part in the incessant feuds in that region. With their king, Ariovistus, they were defeated by Caesar in 58 BCE who had come to the aid of the Aedui when oppressed by the Suebi. The three allies ravaged through Gaul, then descended on Iberia, which they divided into three kingdoms in 411. In 412, the Visigoths, Roman foederati, were assigned the task of recovering Iberia. The Vandal and Alan kingdoms were defeated by 416, and the Vandals escaped to Africa. The Suebi were made foederati, and ruled the first sub-Roman kingdom in Gallaecia (Galicia) in the northwest, which survived 410-584, until the Visigoth Leovigild annexed it.
Meanwhile, the Ostrogoths had not been so fortunate. They were mauled by the Huns, and forced to serve in Attila's army. The Visigoths still formed part of the Roman army, commanded by Flavius Aëtius, and fought at the battle of Châlons in 451, where Attila was decisively defeated, and thousands of his Ostrogothic allies fell. When the Huns finally retreated, the Ostrogoths asked for asylum within the Empire, and were assigned to Pannonia, west and south of the Danube in what is now Hungary. The Ostrogoths, too, became Christian. The Ostrogothic king Theodoric, coming to the throne in 474, warred with Emperor Zeno, and was assigned rich territory to rule. An Ostrogothic chief, Odoacer, had captured Rome and deposed the last western emperor, Romulus Augustulus (a contemptuous nickname), in 476. The power of Rome, however, had long since vanished. In 488, with the aid of the Emperor, Theodoric overthrew Odoacer and became the effective ruler of Italy, though a Roman consul held the actual title. When Theodoric died in 526, the resulting chaos stimulated Emperor Justinian to send an army under the great admiral Belisarius in 535. The war lasted for twenty years, but the Ostrogoths were utterly overthrown, and thereafter Italy was ruled by the Exarch of Ravenna. The Gothic language became a written language, with an alphabet adapted from Greek with the addition of two runes. Most knowledge of it comes from a fragmentary translation of the Bible. The Goths were a small minority in Italy, and were assimilated into the general population, their language lost.
The Visigoths were also a distinct minority in Spain (no more than 1 in 5), and their Arian creed clashed with the local orthodoxy. The loss of effective power in Rome meant that they were on their own. The Visigothic kingdom was extended into southern France, where it competed with the Franks, Germans from the middle Rhine who had taken over in a similar manner. Clovis I defeated the Visigoths in 507 at Vouillé, after which the Visigothic kingdom was restricted to Spain. Punctuted by conflicts with the local populations, the Visigothic kingdom steadily deteriorated. King Reccared converted to orthodoxy in 587, after which relations with the natives were better. The Visigoths were thorougly latinized, and life went on much as under the Empire. King Roderick was defeated by the Islamic Moors in 711, and by 713 the Visigothic kingdom had disappeared. The memory of the Goths is preserved in Spain only by some speech habits and physical traits. The reconquista began immediately in the north, and the Moors were finally expelled in 1492, along with the Jews.
The Vandals were a third Germanic tribe, who also originated in Sweden or Jutland, later settling along the Oder. They invaded Gaul in 406, and Spain in 409, where they fought both the Romans and the Visigoths. They crossed over into Africa, where they were overlords by 435, and conquered Carthage in 439. Genseric, who despised the Roman authorities because of their treacherous conduct, became king in 428. He came under the influence of Attila and accompanied him with his army to the fatal battle of Châons in 451, discussed below. He escaped from this battle, later collecting his forces to sack Rome in 477, the year of his death, when it was in the power of Odoacer. The last of the Vandals were defeated by Belisarius.
Stilicho, a Vandal, was western emperor Honorius's magister militum, and deeply devoted to the Roman cause. Nevertheless, Honorius, fearing his popularity, had him murdered in 407. Contemporaries said that Honorius had cut off his own right hand by this act.
The geatest devastation at the fall of the Empire was probably in Gaul, later France, where armies fought almost continually for centuries, and trade was completely disrupted. In England, Spain and Italy, some urban life persisted, though trade languished because of the lack of money and the uncertainty of travel. The real Goths who played roles in Spain and Italy were long gone before Gothic architecture, which they had nothing to do with, or Gothic novels, or other applications of the term.
The Huns
The Huns were a vigorous Asiatic people of Central Asia, equestrian nomads, who spoke Turkic languages. Some tribes called themselves Huns who were not, and the Huns were racially mixed. Controversy surrounds most beliefs about the Huns. Their language is all but unknown. They interacted with China and Europe both, earlier with China, where they were known as the Hsiung-nu, or "ferocious slaves". A treaty between China and the Huns was adopted in 318 BCE. Shih Huang Ti, the first Ch'in emperor of a united China, built the Great Wall, 1200 miles long, as a defence against the Huns in 228-204 BCE. A Hun empire stretched across central Asia from 204 BCE to 216 CE, including many subject peoples. The Alans, a Sarmatian people speaking an Iranian language, also called Western Huns or White Huns, occupied the region between the Caucasus and the Volga by 370 CE, and were pushing westward. Remarkably, they appear to have populated the region north of the Caucasus and between the Black and Caspian Seas until overcome much later by the Khazars and Mongols. The Alans were part of the Hunnic empire. They still exist in Russia and Georgia as the Ossetes.
The colourful terms used in describing many peoples and regions are the Chinese expressions for geographic directions. Yellow, in the centre, is China itself, the centre of the earth. North, the land of winter darkness, is black. South, the region of heat, is red. The east, where the Pacific Ocean lies, is blue. Finally, the west is denoted by white. The White Huns are, therefore, the western huns. The westernmost range of the Carpathians is the White Carpathians. White Russians are the westernmost Russians, now Belarus, which simply means that in their language. The Mongol Empire became the White, Blue, Red and Black Hordes, with the Golden Horde in the centre. "Horde" is from Turkic ordu, and just means "army".The Navajo Indians of America have a similar colour code for directions. Here, white, yellow, blue and black are also used, but white represents east and blue west, and yellow replaces red.
The Huns were mainly a Turkic people, but perhaps with some Altaic and Mongol influence. They apparently had a somewhat mongoloid appearance which led people to confuse them with Mongols. One source claims they introduced trousers to Europe, but trousers seem to have been known much earlier, especially among horsemen. Riding a horse while wearing a tunic is not comfortable. The Huns have no connection with Hungarians, though the early Magyars may not have escaped some Hunnic influence. The Magyar chief Árpád claimed descent from Attila, but this is surely an embellishment of his warrior's pedigree. There is a website that traces the descent of Queen Elizabeth II from Genghis Khan.
The European Hunnic Empire was present from about 275 to 454. The Roman Empire invited the Huns under their chief Balamir into Pannonia to fight the Alans in 361 and 372. They subjugated most of the peoples north of the Danube, and turned their attention to the decaying Roman Empire. The most famous Hun is certainly Attila (406-453), who became king in 433. He murdered his brother Bleda, who had shared the throne with him since the death of their uncle King Rua. He devastated Moesia and Illyria, then attacked Theodosius II in Constantinople, but his army did not possess the expertise to beseige the city. With his Vandal ally Genseric, and his subject Ostrogothic troops, Attila was cornered at Châlons in 451 by the Roman and Visigothic army of Flavius Aëtius. After a great slaughter (some say; others that it was only just won), the Huns were allowed to retreat to the Rhine, but their power was broken. In 452, Attila again devastated northern Italy but Rome was saved by the mediation of Pope Leo I, and Attila withdrew. In 453 Attila died of a drunken nosebleed while on a renewed campaign against Rome. Hunnic hegemony in Europe ended in 454, and the remnants of the Huns withdrew into Asia. In 483, the Alans defeated the Sassanid Persian King Firuz II and exacted tribute.
The earliest people known in history who occupied the steppes north of the Black Sea and the Caucasus were the Cimmerians (Kimmerioi), equestrian nomads speaking an Iranian language. In the 8th century BCE, the similar Scythians, perhaps from the Altai region in Central Asia, invaded and split them into two groups. The eastern group was reported in what is now Azerbaijan in 714 by the Assyrians. These people raided Anatolia in the next century until they were subdued. There they settled, and the last historical mention of them is in 500 BCE. The western group settled on both sides of the Danube, and were known as Thracians. The northern part included the Getae and Dacians. The Dacian tribes were the Apuli in Transylvania, Carpi on the eastern slopes of the Carpathians, the Costoboci in what is now southern Ukraine, and the Suci in Oltenia (East Wallachia). Those south of the Danube settled Moesia and Thrace. The Thracians were thoroughly Hellenized in Thrace, less thoroughly Romanized in the other places. Spartacus, who led the Servile Revolts in 73-71 BCE, was a Thracian captive. Some claim the Thracians even penetrated as far as Albania.
The Cimmerians, like the Huns, have been claimed as glorious ancestors. The Welsh name for Wales, Cymru, has been derived by folk etymology from Cimmeria, for example. Some Germans also claim Cimmerian ancestry. However, the proto-Celts and proto-Germans arrived in Western Europe in the Bronze Age, well before 800 BCE, and could not have had Cimmerian antecedents dating from the Scythian invasion. Cimmeria, the lands north of the Black Sea and the Caucasus, could have been the original home of the Indo-Europeans, before the first millennium BCE.
The Scythians, settling west of the Tanaïs (Don), probably came from the Altai regions in 800-600 BCE, speaking an Iranian language. They were nomad horsemen and archers. Some Scythian women were warriors, as has been verified by modern archaeology, which identified them with the Amazons. In fact, they seem to have been the first to tame horses and use them in battle. They may have invented saddles and stirrups, but one source says they used only blankets. The fact that they were mounted archers, famous for barbed arrowheads, would seem to indicate that they knew the stirrup. They invented trousers for riding, much more comfortable than a tunic. They were in contact with the classical Greeks, whose craftsmen made the beautiful gold ornaments associated with Scythians for them. They had no writing. Around 300 BCE, they were displaced from the Balkans by Celts, and around 200 BCE from Southern Russia by the Sarmatians. They disappear from history in the 1st century BCE. The Sarmatians, related Iranian tribes from east of the River Don, were also mounted bowmen, who invented metal armour. They replaced the Scythians, until driven out by the Goths. These people are all described as blond, stout and suntanned. A legend of the Polish nobles, the szlachta, was that they were descendants of the Sarmatians, which is not credible.
Consideration of the events on the north shore of the Black Sea from the Bronze Age and after shows that migrations from the east were a regular event, not something that began to occur in the Dark Ages. We have not included the events that occurred on the other routes to the West, through Persia and Afghanistan, which, after all, was Alexander the Great's path in the reverse direction. The steppes of southern Russia were successively dominated by Indo-Europeans, Persians, Huns, Turks and Mongols.
The Gepids, Lombards and Avars
The Gepids were a pagan Germanic tribe that accompanied the Goths in their conquest of Dacia in the 260's. They settled east of the Tisza in the Hungarian Plain. They were subjugated first by the Ostrogoths, whom they heartily disliked, and then by the Huns in 375. They fought beside Attila and Genseric at Châlons, where they formed the right wing of the Hunnic army as the largest of the allied contingents. Their chieftain at that time was Ardaric. However, they later turned against the Huns, defeating them at the Battle of the Medao in 454 and ending Hunnic power in Europe, becoming Roman allies thereafter.
The Lombards were a German tribe, Arian Christians, that had settled on the upper Elbe and Oder east of the Bavarians. They were encouraged by Justinian to eliminate the revolted Gepids, which they did under their king Ardois at the Battle of Asfeld in 552. The remnants of the Gepids were annihilated by the Avars in 567. After doing this, the Avars went on to conquer north and central Italy in 568-572, sharing rule of the peninsula with Constantinople. They were converted to Catholicism from Arianism in the 7th century and assimilated rapidly. It should be remembered that such tribes were fairly small and easily assimilated. Their name remained attached to northern Italy, known as Lombardy.
The Avars were a Mongolian people who, migrating westward, conquered the Turkic Uighurs and formed a confederation with them on the Volga steppes around 461 CE, just as the Huns were leaving Europe. After a defeat by the Turks, the remnants, consisting mainly of Uighurs with Avar leaders, called themselves the Avars. A vigorous faction separated from the rest, and set out to recover their fortunes by warfare. This group migrated to the Hungarian Plain and what had previously been Dacia, which had just had its population reduced by the Lombards. By the year 558, the date of foundation of the Avar Empire, they were a predominant power in Europe, and exacted a large tribute from Constantinople. Their threat hastened the migration of the Slavs to the Balkans. The Slavs fought back, weakening the Avar power. Finally, in 795-796, they were crushed during a campaign by Charlemagne. So sudden and complete was their fall in 805, after another campaign, that the phrase "Vanished like the Avars" became proverbial. There was probably a collapse of the population that opened wide areas of the Hungarian Plain and Transylvania to settlement at this time. The Avars introduced the stirrup to Europe, which permits discharging missiles in any direction while on horseback, and gives a much more secure seat.
The Magyars
A signal event was the arrival of the Magyars in the Hungarian Plain in 896 CE. Language relates the Magyars to the Finns, Estonians and Ugrians. They are not Mongol or Turkish, though they spent many years in close contact with Turkic peoples. Their origin is unknown, but some assume a region near the Urals. When they enter history, they are vassals of the Khazar Empire that flourished from 602 to 1016 from the Crimea to the Caspian Sea, and north to the middle Volga; the capital was at Astrakhan. In the 7th century, the Khazar chief, the Khakhan, adopted Judaism and most of the population followed. By 889, the Magyars had settled in the territory known as Etelkoz, south of Kiev between the Carpathians and the Donetz. Here they learned animal husbandry from the Turkic people, raising horses as well as cattle.
One group of Magyars at an unknown date followed the usual route around the Carpathians and into the eastern parts of Transylvania, probably accompanying the Avars. These White Magyars later constituted the people known as széklers, a name arising from their form of government ("seat people"). These facts are not well established, but seem reasonable.
The Turkic Patzinaks (Pechenegs) had been allies of the Empire against the Magyars and Kievan Varangians before these two peoples became allies of the Empire. In 892, the Patzinaks had already pushed the Magyars west of the Dnepr. The Magyars took part in the Bulgar War of 894 against Tsar Simeon I as allies of Constantinople, invited by Emperor Leo VI Grammaticus. Under a chief Lorente, they invaded the Bulgar territory north of the Danube, while the Byzantine army pushed up from the south. The effort was not successful. Simeon quickly took his revenge in alliance with the Patzinaks, raiding the EtelKoz. Harrassed by the Patzinaks, the Magyar chief Arpad decided to migrate beyond the Carpathians for safety. They had become familiar with this region when allied with Arnulf, king of the East Franks against Sviatopluk of Great Moravia in 892. The departure of the Magyars left the Patzinaks in sole possession of the region south and east of the Carpathians. The Cumans, a Turkic people of similar origin to the Seljuk Turks, later submerged the Patzinaks.
The Magyars determined to escape the turmoil of the steppes, and assembled east of the Carpathians for their invasion of the Hungarian Plain, which they had determined was very thinly populated with the remnants of Avars and Gepids. Seven tribes of Magyars and three allied Ugrian tribes, commanded by the chief Árpád, took part in the invasion. As many as 250,000 people could have accompanied him. These were the "Ten Arrows" or "Onogundur" in Bulgar. Onoghur is also the name of an Avar dynasty ruling 580-685. This designation was apparently the root of the name of Hungary for the region and nation, not any connection with the Huns of 400 years earlier. These forces crossed the Vereczke Pass in the Western Carpathians and descended into the valley of the Tisza. The Magyars established their nation on the Danube and Tisza, and soon possessed the Hungarian Plain, both the Pannonian and the Dacian regions. They have inhabited this region ever since. Very few Slavs, if any, were absorbed by the Magyars, but a few Slavic words entered their language. They were originally herdsmen, with their wealth in horses and cattle. Homes on rivers were occupied in the winter, homes on upland pastures in the summer. The richness of the soil soon attracted them to agriculture. Hungarian durum (hard) wheat, which makes superior bread, was a famous product.
Initially, the Magyars were a terror, raiding as far as Rome and Constantinople, westward into the Holy Roman Empire, and eastward into Bulgaria. They were hired by one magnate or another to make these raids, as mercenaries, and did not simply raid for pleasure. The alliance with Arnulf had been an example of this. Henry I defeated the Magyars at Riade in 933, ending a nine-year truce and administering their first major defeat. Otto I, the Holy Roman Emperor, annihilated the Magyar army at Lechfeld (Augsburg) in Bavaria on 10 August 955, and this caused the Magyars to reconsider their aggressive policy. They adopted Chrisitianity under Grand Prince Géza (972-997), who craftily received envoys from Rome, which appeared less threatening than Constantinople. The Magyars became Roman Catholic, and Steven I, Saint Steven, founded the Hungarian kingdom in 1007, receiving his crown from the Pope, with its capital at Esztergom (Gran). He established the counties (megyek), replacing tribal organization. The Magyars were often allies of the Eastern Empire, fighting Bulgars and later Cumans and Patzinaks. Archbishops were enthroned at Esztergom (Gran), the original capital, and at Kalocsa.
The Hungarian kingdom gradually came to include all the lands bounded by the Carpathians, east of Austria and north of the Slavic lands. Most of the peripheral lands were only thinly settled, and there was constant encouragement to colonize them. The people making this colonization were, of course, not Magyar, and this led to difficulties much later. The Széklers in Transylvania were joined by the Saxons in the 11th-13th centuries, who were settlers from the Mosel valley, Nuremberg and other places, bringing their language and customs with them. The Saxons built the Siebenbürgen, the "Seven Castles", to protect the area from invasions by the Cumans and Patzinaks, who pressed from the east. Added to these groups were the Magyars from the middle of the country. Transylvania is discussed at greater length below.
The Hungarian Carpathians were rich in metals, notably in copper, but also in silver and gold. Some of these mines were worked by the Fuggers of Augsburg, and made them rich. The quality of Hungarian coins was famous throughout Europe. The flood of precious metals coming into Europe after the discovery of the New World gradually made this mining less and less profitable, and the best lodes were exhausted. The first mining academy in the world was established at Selmecbánya in 1721, before the more famous Bergakademie at Freiberg in Saxony (1765).
Béla IV (1235-70) rebuilt the country after the Mongol invasion of 1240-42, beginning the fortification of Buda. The last king of the Arpad dynasty was Andrew III (1290-1301). The Golden Bull of 1222 established liberties for the peasants as well as the nobles. The Diet, consisting of bishops, barons and county representatives was established in Andrew's reign. Charles I of Anjou (1301-42) succeeded. Sigismund (1387-1437) of Luxemburg, born in 1368, became king by marrying Queen Maria. He was also King of Croatia, King of Bohemia, Margrave of Brandenburg, and Holy Roman Emperor, who fought the unsuccessful last crusade against the Turks, and was defeated at the battle of Nikopolis in 1396. During his reign, many Slavs and Vlachs fled the Balkans, fleeing the Turks, into southern Hungary and the plains of Wallachia. Perhaps the greatest Hungarian king was Matthias I Corvinus (1458-1490), not only a capable administrator and military leader, but also a patron of learning, founding a great library. Matthias' father was Janós Hunyadi, the hero of the battle of Nándofehérvar (Belgrade) in 1456.
After Matthias' death, the barons made Ulászló II (1490-1516), a Jagellonian, a puppet king. In 1514, a peasant revolt under Gyorgy Dósza was brutally put down. The Golden Bull was revised to make peasants serfs, and to deny military service to them. In view of the Turkish threat, this demonstrated the Hungarian genius for making the worst of any bad situation. His young son, Laszlo II (1516-26) perished escaping from the disaster of Mohacs in 1526 when Suleiman the Magnificent annihilated the poorly organized Hungarian army. Instead of assuming a defensive position at a river, they milled about on a broad plain and were annihilated by Turkish artillery. Most of the dead, except for the Hungarian magnates and bishops, were foreign mercenaries. In 1541, Buda was occupied. Hungary was divided into the Kingdom of Hungary, a thin strip around the western and northern borders ruled by Austria, Turkish Hungary, and Transylvania, which became a Turkish satellite. This was the end of Hungarian independence.
The Hungarian language, Magyar, is an unusual agglutinative language surrounded by inflected Indo-European languages. Linguistic analysis shows that it is related to Finnish and Estonian, in a family called Uralic. It is morpholgically similar to the languages of the much larger Altaic family, which includes Turkish, Japanese and Korean. However, it is not genetically related to any of these languages. Magyar does, however, contain many loan words from Indo-European Slavic and German, as well as from Turkish. The home region of the Altaic languages is supposed to be the mountains of Central Asia, while the Uralic languages arose along the Urals, Finnish languages on the western slopes and Ugric languages on the eastern slopes, between the mountains and the marshes of Siberia. The Finns moved westwards, pushing the Balts before them, while the Magyars moved southwestwards on the steppes populated by Altaic peoples, where they enter history.
Nationalists and romanticists often make assertions about language to support their views. This lends colour and drama to history, but is often the result of bias and poor scholarship. Some Hungarians imagine a descent from Attila the Hun (as indeed many warriors have). It is doubtful if Attila ever could have left Hungarian descendants, but it is not impossible. However, the Magyar language gives no support to this claim at all. Although the Szeklers were excellent soldiers, this probably was not due to Hunnic ancestors. Magyars are a very mixed people, but primarily a Western European one, not invaders from Central Asia, however romantic this might be. Today's Hungarians are genetically more closely similar to the Germans and Slavs that surround them than to any exotic Asiatic people. Over the past few centuries, Magyars have been more characterized by intelligence and culture than by military success.
Hungary's bad luck has been ascribed by the superstitious to a curse, the Turáni áok (Turan curse). Turan is an imagined central Asian territory, including the Russian steppes, Mongolia and the Caucasus. It was conceived as the homeland of Uralic and Altaic languages in a now discredited linguistic theory that classified the languages of Europe and West Asia into Indo-European, Semitic and Turanian. The name Turanian was originally Persian, mentioned in the Zoroastrian Gathas as the name of a nomadic Iranian tribe, but Persian is Indo-European. Turkic, Hunnic and Mongolian languages were certainly included, as well as the morphologically similar Uralic languages, such as Hungarian (Magyar). It is now believed that there is no genetic relation between Uralic and Altaic languages, so Turanian really does not include Hungarian, to the disappointment of those who support an Asian origin of the Magyars, or explain their troubles on an Asian curse.
A Dominican monk, Julianus, set out in 1235 to search for Magna Hungarica, the original home of the Magyars. Just across the Volga, at a place now called Bashkvina, he found people whose language he could understand. He discovered from them that the Mongols were on the warpath, and hurried back to Hungary to warn the kingdom. The Mongols sent a warning with him that they were coming, and demanded submission. The people he found on the steppes were Magyars who had not accompanied Árpád in the 9th century, and remained where they were. Unfortunately, they were swept away by the Mongols.
The cavalrymen known as Hussars (Magyar: huszar) originated with the Serbian refugees from the Battle of Kosovo Polje with the Turks in 1389. The name comes from the Serbian gusar, "highwayman". Heavy hussars were armoured and carried long lances, as well a a variey of other weapons. Surrounding powers adopted them, notably Poland-Lithuania, with its husaria decked out with large feathered wings on their backs. The husaria earned lasting fame at the Battle of Kircholm, near Riga, on 27 September 1605, when they defeated a superior Swedish force in a short but violent fight, led by Jan Carol Chodkiewicz. Their armour could stop Swedish musket balls. Husaria losses were small, compared to thousands of Swedish dead, but the loss of horses was crippling. These elite troops played a primary role at the Battle of Vienna, 1683, when Jan III Sobieski stopped the Turkish advance. The later light hussars, without armour and armed with pistols, were very useful utility cavalry.
Kievan Rus and the Mongols
The Slavs of Novgorod, the most important trading centre on the Amber route, invited Swedish adventurers under their chief Rurik, called the Varangians, to rule their city and strengthen it militarily, in the 8th century. The Varangians brought the surrounding territory under their control, even as far as Kiev on the Dnepr, where they expelled the Khazars. In 880, they formed a state with its capital at Kiev, which controlled the important trade route from the Baltic to Constantinople. This route went from eastern Sweden through the Gulf of Finland to Lake Ladoga via the Neva, then down the Volchov to Novgorod. The route crossed the swamps and joined the Dnepr at Smolensk, which it followed past Kiev to the Black Sea near Odessa. The route followed the shore of the Black Sea south past the mouth of the Danube to Constantinople. The rapids on the middle Dnepr were an obstacle, and some sources say the route deviated eastward to the Donetz and Sea of Azov. This involves a much more difficult portage than the one around the Dnepr rapids, so I doubt this.
The crack troops of the Eastern Roman Empire were the Varangian Guard, formed by Basil II in 988. The Princes of Kiev at is height were Vladimir (ruled 980-1015) and Yaroslav (ruled 1019-1054). Vladimir married a daughter of Basil and led the conversion of his country to Christianity in 988. The Principality became an an ally of Constantinople. After the Norman conquest of England in 1066, many English and Danes joined the Varangian Guard; one party of 5000 arrived in 235 ships. They willingly fought Norman Robert Guiscard in the Balkans.
The territory of Kievan Rus was inhabited entirely by Slavs, who soon completely assimilated the Swedish nobles. The western name for these people was Ruthenians. There were three distinct groups, however: a northwestern people called Little Russians (from their stature) or White Rus, now Belarusians; Black Rus south of them, in the west; and a southern group called Red Rus. The term Ruthenian later referred to these people alone, whose capital was at Lvov. The small part of these who fell within the Hungarian kingdom in the Carpathians, some of whom migrated to Vojvodina, were later called Ruthenians, or more properly Carpatho-Ruthenians. They now call themselves Rusyns, defined as Ruthenians who did not become Ukrainians. The White Rus were mainly Greek Orthodox, while the Red Rus were mainly Catholic.
When Poland was partitioned in the 18th century, the Austrian share was named Galicia (see under Czechoslovakia), which combined Malopolska (Little Poland) with its capital at Cracow, and Ruthenia with its capital at Lemberg (Lvov). Russia absorbed the eastern part of the old Polish-Lithuanian Commonwealth, and called it Ukraine, with its capital at Kiev. After the First World War, western Galica went to the resurrected Poland, while eastern Galicia, Ruthenia, went to Russia. The transfer was fully effective, including carpatho-Ruthenia, only after the Second World War. On the dissolution of the USSR in 1991, the newly independent Ukraine now included Ruthenia.
The sudden rise of the Mongols under Temujin, Genghis Khan ("Great King") in 1206, and their conquest of China, taking Beijing in 1215, is a story of great interest. Here we'll only mention the effect on Europe. The Mongol conquests largely eliminated Persian speakers from central Asia, replacing them with Turkic peoples. The great Islamic Khwarizm kingdom was all but eradicated, with its cities of Bukhara, Samarkand and Balkh. On the death of Genghis Khan in 1227, his empire was divided among his surviving sons. These were the Yuan Dynasty of China to Ogodai, the Ilkhan horde in Persia, Chagatai's horde in central Asia, the Blue horde led by Batu, and the White horde led by Orda. The word "horde" comes from the Mongol for army, "ordu". Batu conquered the Volga Bulgarians in 1236, and the next year invaded Rus. Mstislav the Bold of Halych (Ruthenia) and Mstislav III of Kiev met him and were defeated at the Battle of the Kalka River, where Mstislav III fell. Kiev was taken in 1240, and Ruthenia was made tributary. This was the end of Kievan Rus. Poland and Hungary were invaded in 1241, Hungary via the Verecke Pass on Árpád's route, and Mongol troops reached the Adriatic and the Vistula. The death of Ogodai that year in China pulled Batu away from his victories to take part in the ceremonies of succession. The Mongols left no traces in Hungary or Poland. In 1242, Sarai on the Volga was made the capital of the Blue horde. The Blue horde accepted Islam, and became a settled community, no longer nomads. With the rise of Lithuania in the early 14th century, the White horde backed its vassal state of Moscow. Khan Jani Beg was assassinated in 1357, setting off a civil war. In 1378, Tokhtamysh, Khan of the White Horde, invaded and united the Blue and White hordes into the Golden (central) horde. Moscow was sacked in 1382 when it tried to shake off the Mongols. The Lithuanians recaptured Kiev in 1321, and became Kings of Ruthenia.
In the 1440's a civil war split the Golden horde, and the Khanates of Siberia, Kazan, Astrakhan and Crimea seceded. Now none of the new khanates was indvidually stronger than Muscovy. By 1480, Moscow was free. In the 1550's Ivan IV ("The Terrible", 1530-1584) annexed Kazan and Astrakhan and proclaimed the formation of Russia. Ivan IV was the last of the line of Rurik. Crimea became an Ottoman vassal in 1475, followed by the remnants of the Golden horde in 1502. This territory was annexed by Catherine the Great in 1783.
The Mongols speak an Altaic language, but are racially different from the Turkic peoples. They were very few compared to the numbers of the conquered peoples, and so have left little trace. Most of the Russian Tatars are actually Volga Bulgarians and similar peoples, who preserved Mongol customs. The Mongols were superior mounted archers, light cavalry, organized in tumens of 10,000. Foes who submitted were placed under tribute; those who resisted were annihilated. The Mongol empire was transitory, soon falling apart into smaller and smaller states, and leaving no cultural heritage.
Persians, Arabs and Turks
These peoples influenced European history by their assaults on the Eastern Roman Empire. In Persia, Ardashir I founded the Sassanian dynasty in 226 CE, overthrowing Parthian domination and reinvigorating the Persian state. He invaded India and conquered Armenia, a gateway to Asia Minor. He began wars with the Roman Empire, which were continued by his successors. These wars raged back and forth through Mesopotamia, Syria and Asia Minor. A Persian army was routed in 297 and the Persian boundary was moved back to the Tigris from the Euphrates. At first tolerant to Christians, Zoroastrian Persia later persecuted them mercilessly. Bahram V was decisively defeated in 422 and mutual toleration of Christians and Zoroastrians was agreed. The Alans attacked and overcame Persia in 483, exacting heavy tribute. Khosrau II (reigned 590-628) brought Persian power to its peak, warring successfully against Emperor Justinian. By 616, he had conquered even Egypt. However, soon after Emperor Heraclius decisively defeated the Persians and drove them back to their original territory. The Arabs defeated the last Sassanian, Yazdegerd III (reigned 632-641), replaced Zoroastrianism with Islam, and added Persia to the Caliphate.
At about this time, an astounding event took place in Arabia. Muhammad (570-632), a native of Medina, began preaching a new religion, derived from Judaism, that electrified Arabia. In 622 he escaped persecution in Medina by flight to Mecca, the Hegira, from which dates are reckoned in Islam. In Mecca he prepared the Qur'an, and soon dominated Arabia. Just after his death, Islamic armies began an unprecedented series of victories. Between 633 and 642, Persia, Iraq, Syria and Egypt were overcome. In 649, Cyprus was taken. All of North Africa followed in 670-698. Spain was invaded in 711, but the Islamic advance was stopped at Tours in 732 by Charles Martel. The Arabs besieged Constantinople in 717-718, but a vigorous defense repulsed them. All of the Near East and Africa was lost to the Empire, which then consisted of Asia Minor, the Balkan peninsula, Sardinia and Sicily. Islamic armies also penetrated deep into Asia. After this remarkable period, Arab power subsided, and the Arabs turned to fighting among themselves.
The homeland of the Turkic people is the broad region of Asia between the Caspian Sea and the Gobi Desert, generally called Turkestan. China on the east, and Persia on the west, usually dominated this area. Alexander's Greek armies invaded this region, and founded states there. There are many different Turkic people, but they share a common language family. Arabs brought Islam to Western Turkestan in the 7th century. In the 11th century, a tribe known as the Seljuks invaded Western Turkestan and were there converted to Islam. Their name comes from a 10th century chief, Seljuk. His grandson, Togrul Beg, conquered Persia and invaded Asia Minor, which was overcome to the very gates of Constantinople. The critical battle was fought at Manzikert in Armenia in 1071. Alp Arslan defeated the Emperor Diogenes Romanus here, one of the msot significant events of the time. Syria was also lost to the Seljuks. Western Asia minor became the Sultante of Roum. This was the heart of the Empire, and its destruction was an irrecoverable loss. A rich province was turned into a virtual desert by the Turks, which persists to this day. The Seljuk Empire did not last long. It fragmented, and then was destroyed in 1157 by the Shah of Khorezm. The Empire then did temporarily recover most of western Asia Minor in the 12th century, leaving an eastern region called the Sultanate of Iconium.
In the 13th century, a small band of Turks under Ertogrul, driven by the Mongols, were granted land in the Sultanate of Iconium. Osman, the son of Ertogrul, extended the power of his tribe, which afterward was called the Osmanli, or Ottomans. Osman's son Orkhan (1279-1359) overcame the Gallipoli peninsula in 1354. He initiated the practice of a tribute of young Christian boys, who were raised in Islam and received rigorous military training, becoming the famous Janissaries, the Sultan's Guard. Orkhan's successor Murad I conquered Adrianople in 1361 and made it his capital. Murad I defeated the Serbs in the Battle of Kosovo in 1389, but was killed there, along with the Serbian prince. Murad was succeeded by his son Bajazet, who overpowered Bulgaria, fought in Wallachia, and inflicted a crushing defeat on the allied armies of Sigismund, King of Hungary with French, Hungarian and Polish forces at Nikopolis in 1396. Tamerlane put an end to Bajazet at Ankara in 1402. After a struggle for the succession, Muhammad I (1387-1451) became Sultan in 1413. He conquered part of Greece but was unsuccessful in Albania. He defeated the Hungarians under Wladyslaw III and Janós Hunyadi at Varna in 1444. Muhammad II (Sultan 1451-81) captured Constantinople on 29 May 1453, and the Ottoman capital was moved from Adrianople. He was repelled at Belgrade by Já:os Hunyadi in 1456. Hunyadi died there of cholera later that year. Serbia and Bosnia, and the remainder of Greece, were added to the Ottoman domains soon afterwards, however, and the empire of Trebizond fell in 1461, Wallachia in 1462 and Albania in 1486, after a long and hard war. Moldavia (1513), parts of Persia (1515), then Syria (1516) and Egypt (1517) followed under Selim I.
The inexorable advance of the Ottomans was due to their unity and careful organization, far superior to the miscellaneous armies assembled by European powers. Even the fall of Constantinople failed to unite the western leaders into an effective combination. Suleiman I, The Magnificent, took Belgrade in 1521 and disastrously defeated Laszlo II at Mohacs in 1526. This opened the way for Ottoman conquest of Hungary, which proceeded slowly and deliberately. The Kingdom of Hungary became only a narrow strip around the western and northern borders, with its capital at Poszony, and completely under the influence of the Hapsburgs. Transylvania became a Turkish subject state, but ruled by its own voivode. This was the high-water mark of the Ottoman Empire. In 1571, the Turks were defeated in a huge naval battle at Lepanto. The Persians captured Baghdad, but were expelled by Murad IV. Maladministration and internal disorders began to appear. The Albanian noblemen Muhammad Kuprili and his son Fazil Ahmed Kuprili held the influential post of Grand vizier under Muhammad IV (1641-91) and held off the decay for a while. Muhammad IV sent an army under Grand Vizier Kara Mustafa, brother-in-law of Fazil Kuprili, to capture Vienna from the Habsburgs in 1683. This army included Imre Thököly, a Transylvanian Hungarian nationalist opposed to the Habsburgs. A two-month siege was broken by John III Sobieski of Poland and Prince Eugen of Savoy. The world acquired the croissant, invented in Vienna in honour of the victory. This was the high point of Turkish power. They were driven out of Buda in 1686, out of Hungary by 1699, strong point by strong point. John III Sobieski liberated Wallachia and Moldavia. In 1695 Tsar Peter I began the long series of Russo-Turkish wars that eventually drove Turkey out of Europe altogether.
The famed janissaries were elite infantry that formed the Sultan's bodyguard and the van of his army. They served the same function as the Emperor's Varangian Guard, but were organized in a wholly Turkish way. The janissaries were formed by Murat I in 1330 from prisoners of war, who were offered attractive benefits to serve as infantry. Turkish nobles were horsemen who shunned infantry service, which the Sultan needed. The name is from Turkish "yeni cheri", meaning "new soldier". After 1380, Selim I exacted a tribute in boys, the devshirme, from his Christian subjects. Most janissaries were originally Albanian, Serbian or Bulgarian. These boys were trained in special schools to become janissaries in their early twenties. They were encouraged, but not required, to adopt Islam, and most did. Their discipline was monastic, but later they were allowed to marry. A janissary regiment was called an "ojak", or hearth, as if it were a kitchen, from which the names of its ranks and duties were taken. The commander was aga, master cook. Every ojak had a kazan, a large kettle holding soup or pilaf, symbolizing the Sultan's duty to feed them. When they revolted, the kazan was overturned. Beards were forbidden, but not moustaches. They were ostensibly slaves of the Sultan, but became very influential and by the 18th century dominated the government. The hated devshirme was abolished in 1683, when voluntary enlistments proved sufficient. They had firearms from about 1440. By revolting, or threatening to revolt, they could demand higher pay and other privileges. In 1807-1808 the conservative janissaries revolted against the reforming Sultan Selim III and deposed him. Mahmud II had had enough of them in 1826 when they revolted in Istanbul. Loyal cavalry drove them into their barracks, and then he destroyed the barracks in an artillery bombardment. The survivors were hunted down and executed, or fled abroad. The only survival today is the military Mehter Band, which performs at ceremonies.
The Crusades
In 1095 Emperor Alexius I Comnenus appealed to Pope Urban II for troops to strengthen his armies against the Seljuks. In the 24 years since Manzikert, they had swept across Asia Minor. This request came at an opportune moment. The Fatimid Mad Caliph, al-Hakam, came to power in Jerusalem in 996 and forbade the access of Christians to the Holy Sites. Many Christians wanted to greet the Second Coming on Mount Moriah in Jerusalem at the millennium, and were greatly angered. The Seljuks captured Jerusalem in 1071 and renewed persecution of Christians, which had been relaxed since al-Hakam. Also, the Pope desired to patch up relations with the Patriarch of Constantinople. Seeing an excellent opportunity to do this, Urban eloquently preached Holy War against the Arabs and Turks in the East. A campaign against the infidel would be equivalent to a pilgrimage. Sins would be forgiven, glory won. Especially attractive to many western nobles was the forgiveness of debt that was offered. His call was enthusiastically supported.
Peter the Hermit and Walter the Penniless assembled a horde of peasants and set out in the spring of 1096 for Constantinople. Of course, they lived off the country and their passage enraged the inhabitants along their route. They took time for some enjoyable persecution of Jews in addition to pillage. Many were killed along the march, and the Turks made short work of those who reached Asia Minor. Western magnates made much better preparations, leaving as considerable armies from Ratisbon (Regensburg) and Rome in the summer and fall of 1096. They travelled overland to Constantinople and united there for the attack on the Turks. Godfrey of Bouillon led his army from the Holy Roman Empire, while the forces coming from Rome, under Bohemond, Tancred and Raymond were mainly Normans, then in the process of creating the Kingdom of the Two Sicilies in southern Italy. Since they had fought the Roman Empire there, they were not on good terms with Alexius.
Alexius was appalled by the response to his call. Instead of men to fight the Turk in his armies, he had received a useless mass of peasants and large, uncontrollable armies mainly captained by his enemies. He tried to control them by oaths and promises, most of which were later violated. The large army, perhaps 100,000 men, was sent into Asia Minor, where they first took Nicaea, drove the Turks across Asia Minor as part of the Imperial army, and seized Antioch in June 1098. The Normans, violating their oath to return liberated territory to Alexius, formed a principality under Bohemund. Meanwhile, Baldwin had conquered Edessa, deep in southern Asia Minor, and created the independent County of Edessa. Cooperation with Alexius ceased at this point. The Crusaders drove south, through Homs and then along the sea from Tripoli to Jaffa, whence they turned inland to Jerusalem, meanwhile creating the County of Tripoli.
An army of about 20,000 Crusaders beseiged Jerusalem, soon overcame it, and like true Christians slaughtered all the inhabitants indiscriminately. The Latin Kingdom of Jerusalem was created, with Godfrey of Bouillon as king. This kingdom covered roughly the area of present-day Israel. Jerusalem was lost in 1187 to Salah-ad-Din, all of the kingdom in 1291. Jerusalem was in Christian hands 1229-39 and 1240-44. In 614,the Persians had conquered Jerusalem and had slaughtered the Christians there. The Turkish conquest by the Ottomans did not occur until 1517. Through the Crusading period it was under the control of one or another Arabic Caliphate, generally that of Cairo. The military success of this campaign, called the First Crusade (1096-99) was almost miraculous, but the Arabs and Turks were disunited at this time and could not make a coherent answer.
At the capture of Jerusalem, three important orders of knighthood were formed, who influenced later European history to a considerable degree. One was the Knights Hospitallers of St. John, founded by Gerard, superior of a hospital established in Jerusalem by some merchants of Amalfi in 1048. The St. John was not clearly identified, and different ones were associated with the order at different times. The brothers assisted the Crusaders, and were richly rewarded, probably by booty. The order was established in 1070 under the monastic rule of Augustine. Thier garb was a long black robe with an 8-pointed white cross on the left breast. In 1187 they were forced from Jerusalem and wandered from place to place. In 1310 they conquered Rhodes, which they eventually lost to Suleiman the Magnificent in 1523. In 1530 Holy Roman Emperor Charles V granted them Malta, sorry that he had not aided them against Suleiman, which they ruled for many years. Their 8-pointed white cross is known as the Maltese cross for this reason. Their flag was a red flag bearing the Maltese cross. The Hospital of St. John of Jerusalem in Clerkenwell, London, was established in 1110.
A second order was the Order of the Knights of the Hospital of St. Mary of the Teutons In Jerusalem, called the Teutonic Knights for short. The order was formed in Acre around 1189. Their garb was a white surcoat with a black cross. The first Grand Master was Heinrich I Walpot von Bessenheim. They were not known as hospitallers, in spite of their name. They were primarily a military order. Forced from Palestine, they entered the service of Venice for a while. Then, they were invited to Transylvania by the King András of Hungary in 1211 to repel the Cumans. In 1224 they petitioned Honorius III to be directly under the Pope, not the King of Hungary. This made them unpopular, and fortunately they answered the call of Duke Conrad of Poland in 1226 to fight the Prussians, pagan Balts who were blocking access to the Baltic. This was not an easy war; in fact, it lasted 50 years, but the Teutonic Knights eventually prevailed, founding Königsberg in 1255 on the way. The name Prussian was transferred to the Germans under the rule of the Teutonic Knights, who created an actual state. Their first headquarters was at Marienburg. They fought pagan Lithuania as a Crusade, but Lithuania was converted in 1386. Grand Duke Jogaila of Lithuania married Queen Jadwiga of Poland and became Ladislas II of Poland. In 1410, he defeated the Teutonic Order at Tannenberg, but could not take Marienburg. When Marienburg was finally lost, their capital was moved to Königsberg, and their state became East Prussia. In 1525 Grand Master Albert of Brandenburg became protestant and was invested with the Duchy of Prussia by Sigismund I of Poland. This was the effective end of the order. The remnants of the Teutonic Knights were dissolved by Napoleon in 1809.
The third order was the Poor Knights of the Temple of Jerusalem, usually called the Templars. They were organized around 1118 by Hugh de Payens, devoting themselves to the protection of access to Jerusalem from the sea. They were identified by a red cross on a black surcoat, and their flag was the same. They placed their headquarters on Mount Moriah, the location of the old Temple and al-Aqsa, the Dome of the Rock (the first mosque with a dome). They excavated the site they presumed was that of Solomon's temple in a search for relics. This gave rise to the legend that they had found the Holy Grail, the Ark of the Covenant, and other articles. However, there are no remains of Solomon's temple at all, and what they were digging in was much more recent, perhaps the ruins of Herod's temple. The Templars became the bankers of the Crusades. Money paid in back in Europe was repaid in the East, avoiding carrying money on the dangerous journey. In this way, they became very rich, and established chapters in many places. Their wealth attracted the avarice of the French King Philip IV, who arrested all Templars in France on 13 October 1307, the first "Friday the 13th". They were accused of heresy (gnosticism), and excommunicated by the Pope. In 1314, Grand Master Jacques de Molay was burned before Notre Dame in Paris.
Some Templars fled to Scotland when they were placed under Papal interdiction, since Scotland was then under excommunication because of Robert Bruce's revolt against the English. They helped Bruce at Bannockburn in 1314, say some, but their participation was obscured. The Perceptory of Balantrodach in Midlothian is claimed to be a Templar foundation of 1129. In 1330 Sir James Douglas, a Templar, carried the heart of Bruce for burial in Jerusalem, but only got as far as Spain before the Arabs killed him. All this has given rise to legends of buried Templar relics in Scotland, as well as a close connection between the Templars and Scottish Rite Masons. The Masons preserve a great deal of Templar symbolism. The Great Seal of the United States, adopted on 20 June 1782, has been on the reverse of the $1 bill since 1935. It has the Masonic symbols of the All-Seeing Eye in a triangle, and an incomplete pyramid with MDCCLXXVI on its lowest course, with the legends Annuit Coeptis (He approves our beginnings) and Novum Ordo Seclorum (A new era). The religious right has claimed that this is an attempt by Masons, including George Washington, to destroy Christianity.
Later Crusades were not nearly as successful as the first. There was really a continual futile assault by Crusaders, but the times of greatest activity have been numbered. The Second Crusade (1147-49) was to redress the conquest of Edessa, which had been captured in 1144. A huge army of 140,000 under Conrad III and Louis VII started in April 1147. The Germans were annihilated by the Turks in Asia Minor. while the French were routed at Damascus in 1148. The survivors returned to Europe in 1149. There was a lot of Crusading in Europe at this time, largely against Christians, marked by great cruelty. The capture of Jerusalem by Salah-ad-Din in 1187 led to the Third Crusade (1189-1192). It was promoted by Pope Gregory VIII, and led by Frederick I of the Holy Roman Empire, Richard I of England, and Philip II of France. It resulted only in the recapture of Acre, and the conclusion of a treaty with Salah-ad-Din that allowed access to the Holy Sepulchre. The Fourth Crusade (1202-1204) was simply a pillaging expedition. Innocent III promoted it to drive the infidel from the Holy Land, and to mend relations with Constantinople. It did neither. On leaving Venice in debt to the Doge, they sacked the Christian city of Zara on the Adriatic as a service to him. They were temporarily excommunicated. The next year, they went on to Constantinople, where they restored Isaac II Angelus, who had been deposed by the people. A new revolt in 1204 drove Isaac from power, and Baldwin seized the opportunity to establish the Latin Empire with himself as emperor, and to cruelly sack and ravage the city. This atrocity horrified everyone, West and East, and lowered regard for the Pope and Church. The Latin Empire did not last long, but it fatally wounded the Eastern Empire, which was really Christendom's protection against Islam. The Crusades accomplished precisely the opposite of what was intended. They strengthened the Islamic power, and drove a wedge between the eastern and western churches. They had no beneficial effects.
Four more numbered Crusades occurred in the 13th century: Fifth (1218-21), Sixth (1228-29), Seventh (1248-54) and Eighth (1270). In 1217, King András II of Hungary led a disastrous expedition to Palestine. The Fifth Crusade seized Damietta in Egypt, but it was lost in 1221. The Sixth Crusade was led by Frederick II, who won a 10-year truce and access to the Holy sites. He was crowned King of Jerusalem, but had to return to Europe, and the truce was violated. After Jerusalem fell again in 1244, Louis IX (St. Louis) again captured Damietta in 1249, but surrendered to the Egyptians in 1250. Louis was ransomed, spent some time in Syria waiting for troops, then returned home. Louis joined Edward II of England on the Eighth Crusade, during which Louis died. Edward was victorious at Acre and Haifa. After concluding a 10-year truce, he returned to England. In the next century, the Ottomans became so strong that nothing further was ever accomplished.
The Baltic Sea, Poland and Lithuania
The Baltic is the Mediterranean of the North, but is much less well-known. It is a recent sea, formed after the last Ice Age about 10,000 BCE by the rise of sea level, drowning a river valley. The lands in the northern regions are still rising, rebounding from the weight of the ice, at a rate of up to a metre a year. It is connected to the North Sea by the channels of the Skagerrak and the Kattegat around Denmark, dividing into the Gulf of Bothnia and the Gulf of Finland in the east. It is shallow, with an average depth of 57 m (deepest 459 m). Its water is brackish, and tides are negligible. It possesses a unique fauna and flora, including the Baltic herring, that are adapted to the low salinity. It freezes in the winter, and the October storms can be violent. There are large islands in the Baltic, such as Gotland.
The source of its name, Baltic, is not definitely known. In German, it is the Ostsee, while in Estonia it is Läänemen, the West Sea. It gave its name to the people who occupied its southern shores, the Balts. Germans settled west of the Balts, and penetrated to the north, in Scandinavia. Scandinavians prefer to use the term to refer only to Danes, Norwegians and Swedes, who speak related languages. One wit said that Norwegian is Danish spoken with a Swedish accent. Finns arrived from the east, settling in Finland and Estonia, north of the Balts. All of these people are Indo-European, except for the Finns and Estonians, who speak Uralic. West Slavs occupied the interior regions, from the Oder and Vistula to the east. They were the latest comers, reaching Pomerania about 500 CE. Genetically, most Finns are actually Swedish.
Travel and trade were almost exclusively water-borne, down the great rivers and across the Baltic. All these peoples, but especially the Scandinavians, were excellent navigators and shipbuilders. Their raids to Ireland, England and France are well-known, and they settled in the Scottish islands, northeast England, and Normandy. The Vikings raided in the Baltic as well as in the Atlantic. Canute the Great conquered England, as did William the Conqueror in 1066. Normans played an important part in the Mediterranean as we have already mentioned, even to hostilities to the Empire in the Balkans. The trade goods were fish, amber, pine tar, flax, hemp, furs and, of course, salt, essential for the fish trade.
From the 13th to the 17th century, Baltic trade was dominated by the Hanseatic League, die Hanse. It originated in Lübeck, on the Baltic northeast of Hamburg, in 1158, which was for many years its capital city, until Danzig later assumed this position. Lübeck was named an Imperial City in 1227. Visby on Gotland, Novgorod, Tallinn, Riga, Danzig and Dorpat were early members. Hamburg, near Lübeck, supplied salt from Lüneburg. Eventually the league numbered 70-170 cities. In London, the Hanseatic Kontor, called the "Steelyard", was founded in 1320, on the site of the present Cannon Street Station. National states became jealous of the privileges enjoyed by the Hanse, and began to restrict them. Novgorod lost its independence to Ivan III in 1478. The Steelyard was closed by Elizabeth I in 1598. The last formal meeting of the Hanse was in 1669. The final members were Lübeck, Hamburg and Bremen when the Hanse was finally dissolved in 1862.
The Baltic herring, salted in barrels or smoked (red herring), was a primary Hanse cargo from the 12th to the early 15th century. This oily fish was present in huge shoals, and was caught mainly by Danish net fishermen. Sometime between 1416 and 1425 the fish disappeared abruptly, and the Baltic industry collapsed. The herring fishery moved to the North Sea, where it was dominated by the Dutch. They began the season off Shetland in June, moving steadily southward until by Christmas they were off the Thames, after which they returned to Holland to prepare for the next season. It was presumed that the herring migrated from the Baltic to the North Sea, but the real reason was overfishing that led to the collapse of the ecosystem. A simllar thing happened in the 1960's to the Icelandic herring industry. The herring, Clupea harengus, is a fatty pelagic fish that consumes zooplankton, such as copepods, and is itself prey to the carnivorous cod. The Swedish relish a canned fermented herring of unpleasant odour called surströmming. Baltic herring are still there, but not in the vast medieval numbers. Recently, dioxin pollution has been claimed.
Roman Catholicism was introduced from the west, via the Holy Roman Empire. The Swedes converted the Finns in the 12th century. The Livonian Brothers of the Sword converted Estonia and Latvia in the 13th century, forming the state known as Livonia or Livland. Riga, a German town, was founded in 1201 by the Lübeck Hanse. Albert of Buxtehoeve, bishop of Riga, founded the Livonian Brothers of the Sword in 1202. Although nearly annihilated by the Lithuanians and Semigallians in 1236, the survivors amalgamated with the Teutonic Knights in 1237. They subjugated the Baltic coast from the Gulf of Finland to Prussia, forming the state of Livonia. Poland became a Christian kingdom under the traditional King Piast in 962, who united a number of tribes along the Vistula. The captial of the kingdom was at Cracow, in Malopolska (Little Poland). Polish kings were crowned in Wawel Cathedral there. In 1138 the Piast dynasty ended, and the kingdom was divided into principalities. Wars continued with the Balt tribes, especially the Prussians along the coast, who were pagan. Konrad of Masovia took the fatal step of inviting the Teutonic Knights, then in Transylvania, to help with the Prussians. Masovia was the region of Poland that included Warsaw. Joint efforts soon eliminated the Prussians. Afterwards, the Teutonic Knights began to carve out a principality for themselves, at the cost of Poles as well as of pagan Balts. Poland was reunited under the Piasts in 1306. In 1370, the Angevin Laszlo I of Hungary was invited to become king. He ruled well, and was succeeded by his daughter Jadwiga in 1384.
An alliance with Balt Lithuania was desired by both countries, to help in struggles with the Teutonic Knights and Sweden. Lithuania had formed a persistent wedge between Prussia and Livonia. Although Lithuania was pagan, its king Jagiello had been baptized, and promised to convert his people if the states were united by his marriage with Jadwiga. This took place in 1386, and until 1569 the two countries had a common monarch, but were not administratively united. Lithuania had a traditional organization in local armies commanded by hetmans, with one hetman chosen as Grand Hetman. The hetmans now became dukes, and a Grand Duke ruled the country. Now, the King of Poland and the Grand Duke of Lithuania were one and the same. This union succeeded in overcoming the Teutonic Knights in 1410 at Grünwald (Tannenberg), and reducing them to vassalage in their Prussian principality. The western part of Prussia became Royal Prussia, a territory of the Polish King, while the eastern part became Ducal (later Electoral) Prussia, held feudally from Poland. Not only that, but the lands of the earlier Kievan Rus' were acquired from the Mongol Khan, and Poland-Lithuania extended from the Baltic almost to the Black Sea, and eastwards to the Donetz. The overwhelming majority of the population was Slavic; Lithuanians were a majority only in their homeland on the Baltic. Incidentally, the -ll- in Jagiello are actually the Polish slashed l's, pronounced as w, though the usual English pronunciation sounds better to us. The Livonian Knights appeared briefly again after 1513, until Poland repulsed the attmept of Ivan IV to conquer Estonia and aquired this region themselves.
The Lublin Union of 1569 formed a new, unified country, the Polish-Lithuanian Commonwealth. After the last Jagellonian, who died in 1572, the kings were elected by the nobility. The rule of the country was in the hands of the Sejm or Diet and the Senat, which had been created in 1505. At that time, the votes of towns were abolished, and peasants were tied to the lands of their masters, becoming serfs. The Commonwealth represented the complete victory of the nobles over the powers of the kings. It was, indeed, a democracy, but only about 10% of the population was enfranchised. All the nobles, the szlachta, were equals, truly peers, and rank was abolished. The new principle was nihil novi nisi commune consensus: nothing new unless agreed by all. Only the Sejm could legislate. Another principle, liberum veto, allowed any noble to veto an action of the Sejm, and to dissolve it. The new state was tolerant, not distinguishing between religions and welcoming Jews. The Jews, in fact, played an important role in the finances, generally farming the taxes and even collecting the revenues of the church. The Commonwealth made a strong impression on the Polish character, and any modification of it was strongly resisted. The Commonwealth survived until the disappearance of Poland in the partition of 1795. The last Polish king was Stanislaw August Poniatowski.
Since the elective kingship was not constrained by dynastic requirements, the best candidate could be selected. This happened, for example, with Stephen Báthory (reigned 1575-1586), a Hungarian Prince of Transylvania, and Jan III Sobieski (reigned 1674-1696), from the Polish szlachta. King Stefan defeated Ivan IV and recovered Livonia from the Russians. Other choices were not so fortunate. The Swedish house of Vasa provided three successive kings, Sigismund III (1587-1632), Vladyslaw IV (1632-1648) and Jan Casimir (1648-1668). The decline of Poland begins in these reigns, through involvement with Sweden, and the Cossack rebellion of Chmielniki in 1648-1654. The election was also subject to foreign influence, mainly that of Russia, which conspired with great magnates and the Cossacks of the south. This brought the unfortunate reign of Augustus II Wettin, Elector of Saxony (1697-1706, 1709-1733), and his son August III (1733-1763), which immediately preceded the partitions of Poland among Russia, Prussia and Austria.
The nobles, although equal in principle, were certainly not equal in fact. The great magnates gradually increased their influence, gathering client nobles around them. They had private armies, in the Lithuanian fashion, which were commanded by the King for national purposes. They were jealous of one another, and often sacrificed the national interest to their private interests.
Cossacks evolved from landless Ruthenians of the Dnepr who formed armed bands to live by raiding. There were also Don Cossacks, vassals of the Turks. The name is from Turkic quzzaq, adventurer. They formed a military class, led by hetmans, that was granted privileges and exemptions by the government in return for military service. Cossacks often formed the local police, and were used as border guards. By the 17th century, they controlled an area in the far southeast, in Zaporoje, on the border with the Khanate of Crimea. A fortress was built at Kodak on the Dnepr in 1635 against them. In 1648, one of their hetmans, Chmielniki, raised the Zaporojian Cossacks against the Commonwealth, and stirred up the Ruthenian peasantry against their Polish lords. The Tatars were brought in as allies. After several Cossack victories, including the fall of Kodak, the slaughter became general, and practically all Ruthenia, as far as Lvov, was ravaged. Jews, as hated tax farmers, were a particular target. The szlachta argued among themselves, unwilling to let rivals earn distinction by victories, and put up an ineffective resistance. In 1654, the rebellion was settled by compromise and concessions to the Cossacks, a fateful result. Russia conspired with the disaffected Cossacks, eventually absorbing the region as Ukraine. The Cossacks, Greek Orthodox, looked to the Tsar rather than to the Catholic King of Poland for support. Once Russia had made use of them, the Cossacks were brutally suppressed. Kodak itself was pulled down in 1711 by the Russians.
Of all the enemies of Poland, the Russians were the most dangerous. Prussia and Sweden were more equal matches, while Austria was not an enemy at all. Germany, of course, did not exist until 1871. Russia considered all Slavs brothers, and that they should all be part of Imperial Russia. In 1772, Russia seized a large part of eastern Poland. Opportunistically, Prussia absorbed a smaller, but richer, part in the west. Austria received the most populous region, later including the ancient capital of Cracow, and named it Galicia. Russia and Prussia rigorously suppressed Polish culture, but it was encouraged in Galicia. The 1791 Constitution promoted by Joseph Poniatowski and Tadeusz Kosciusko prompted another Russian attack, joined by Prussia. The second partition took place in 1793. In 1794, the Cracow rising led by Kosciusko abolished serfdom and asserted Polish nationality. In response, the third partition in 1795 erased Poland as a nation, and the King was exiled to Petrograd, where he died in 1798. Polish legions joined Napoleon to fight the Czar in the succeeding wars. Napoleon established the short-lived Duchy of Warsaw in 1807, but it was partitioned in 1815 after his fall. There were many insurrections in the 19th century, in 1830, 1846, 1848 and 1863. Austria allowed Polish nationalists like Pilsudski to form "sportsmen's clubs" that were really Polish partisans after 1906. Pilsudski, with Haller and Sikorski, defeated the Red Army in 1920 and forced it into an armistice at Riga, and a peace treaty in 1921.
Remarkably, not only does Poland exist today, somewhat westwards of its traditional location, but also Lithuania, Latvia and Estonia. Estonia is the Finnic, Latvia the Baltic, part of old Livonia. The survival of national consciousness is not surprising in Poland, since it lived on even when Poland did not exist. There is still a Russian enclave where East Prussia used to be, a reminder of Russian imperialism. All the Germans, however, have been removed. Poland has been made completely Polish in the same brutal way. There is still a remarkable amount of dissention and hate within these states, largely a result of the Second World War, when hate of Russian domination struggled with hate of the Nazis. Most of the Jews have vanished, mostly a result of nationalists trying to impress the Nazis when they invaded.
The famous old names of Livonia (Livland) and Courland (Kurland) do not appear on a modern map. The Livs and Couronians were Baltic tribes. Today, only 10 fluent speakers of Livonian are alive, and efforts are being made to preserve the language. The Couronians and their language are long extinct. Livonia was the state created by the Livonian branch of the Teutonic Knights after 1237, with Riga as its capital. Riga was a German city, a member of the Hanse. The great landowners were German, while the peasants were of various ethnicity, mostly Latvian, Estonian, Slavic and Lithuanian. In 1560 the Teutonic order was secularized and became Lutheran, losing its military predominance. Livonia was then partitioned, beginning in 1561. The northernmost part, along the Gulf of Finland, was seized by Sweden. Most of the country passed under the control of the Commonwealth. The rich part south and west of the River Düna, which flows through Riga, remained under German control as the Duchy of Courland. The southern border of the Duchy was the same as that of present-day Latvia. Its population was 79% Latvian. Courland was important enough to have a colony in the Caribbean (Tobago), as well as one in West Africa. Its ruler was often styled Prince of Courland. All these territories went to Russia in the partition of 1795. East Courland was also known as Semigallia, referring to yet another Baltic tribe.
Romania
Romania is a recent state, founded in the latter half of the 19th century. However, its territory has a long and interesting history. Romania has been known as Rumania and Roumania as well, names that mean exactly the same thing and do not imply that Romanians are any less Roman. In English, Rumanian was the style until quite recently. Romania is, however, the name in the Romanian language, and probably should be preferred, though there is no pressure to call Finland Suomi or Wales Cymry. The name Romania was first applied to the Latin Empire at Constantinople that was the result of the Fourth Crusade. Sultanate of Roum was the Turkish name for the Roman territory overrun in Asia Minor. The Greeks at Constantinople never called themselves Greeks, always Romans.
Romania was founded by the people called by their Slavic neighbors Vlachs or Wlachs. This term is cognate with the German Waliser or Welsch, which referred to Romans, usually indigenous peasants. These Vlachs were Illyrian Romans who preserved their identity and language in spite of the fall of the Roman Empire and Slavic invasions. There are still Vlach minorities in Macedonia, Greece and Albania. The plains between the Danube and the Southern Carpathians were occupied for a while by the Goths, who moved on. They were replaced by the Patzinaks or Pechenegs, who had been expelled from their homeland between the Volga, Don and Urals by the Uzes and Khazars. In the 11th century, they were defeated by the Empire, Cumans and the Kievan Rus', and the Cumans or Polovtsy, another Turkic tribe, took their place. The Mongol invasion of 1240-41 swept back and forth between the Danube and the Southern Carpathians, largely annihilating the Cumans who had settled there. This opened up a homeland for the refugee Vlachs, who migrated to the north of the Danube to escape the Bulgarian and Turkish conquests. Wallachia was created by a Cuman lord, Thocomerius, 1298-1310, succeeded by Ioan Bassarab (1310-1352) or Basarab I, in the early 14th century. Basarb means "Father King" in Cuman. Basarab I became voivode, the Slavic name for "Leader of Soldiers", corresponding to a County Palatine elsewhere, or even to a Duke, which means the same thing. There are several spellings, such as the Polish wojwode, or vojvoide, or voivoda, all pronounced the same way. Voivodes could be created by Kings or Tsars, or elected by boyars. They were usually appointed for life terms, but the title could become hereditary. Wallachia had voivodes until 1716, after which they were called hospodars. Voivodships are still Polish political divisions. The Basarabs conquered the land between the rivers Prut and Dneister, which thereafter was called Bessarabia. The Vlachs were peasants and herdsmen in this area, but soon absorbed the Cuman nobles. Around 1265, there was even a Principality of Wallachian Thessaly in northern Greece. There are still Wallachian minorities in Greece and Bulgaria, though these governments deny their existence, and Romania ignores them. The Cuman nobility was absorbed by the Wallachian peasantry.
A later member of this dynasty was Vlad II Dracul (1436-42 and 1443-46). He was awarded the Order of the Dragon by the Holy Roman Emperor and King of Hungary, Sigismund, from which his epithet Dracul ("The Dragon") comes, for his services against the Turks. His son was Vlad III Tepes ("Silver"), or Dracula, "Son of the Dragon" (1448, 1456-62, 1476). He was born in Schässburg (now Sighisoara) in Transylvania, founded by Saxons in 1280. Vlad III wed Ilona Szilá:gi, a cousin of Hungarian King Mátyás. He is currently famous from Bram Stoker's 1897 novel as Dracula the Vampire. Bran Castle, 16 miles southwest of Brashov, is popularly promoted as Dracula's Castle, but Dracula had very little to do with it, only visiting for a short time during the war with the Turks. Bran Castle was a frontier fortress between Wallachia and Transylvania, constructed between 1377 and 1382 under the orders of Laszlo IV, Angevin king of Hungary. It is now a well-preserved, picturesque whitewashed castle with a red terrocotta roof. Some sources say it was built by the Teutonic Knights in 1212. Teutonic Knights did indeed come this way in 1211, invited by András II to come from Venice after the Crusades to guard Hungary against the Cumans. They left in 1225 to fight the pagan Prussians in return for the offer from Conrad of Poland of territory. They may have constructed some fortification at this critical pass, but not Bran Castle. About 1150, German settlers from the Mosel had founded Kronstadt, now Brashov, to guard this important southeastern gate to Transylvania.
Vlad Tepes acquired the reputation of extreme cruelty, and was called "The Impaler" after his death. Many websites give the details, but there is little hard evidence. He fought the Turks persistently. His actual castle was about 60 miles southwest of Kronstadt (now Brashov), on the River Arges, near the small town of Curtea. The castle is mostly ruined, and difficult of access. When Sultan Mohammed II was campaigning in 1461, he was so repelled by a mass impalement perpetrated by Tepes that he lost his stomach to continue the invasion, and turned it over to a subordinate. A few years earlier, in 1459, Tepes is supposed to have impaled 30,000 inhabitants of Kronstadt and had a banquet in the midst of the horror. At any rate, Wallachia fell to the Turks in 1462, deposing Tepes. He seems to have come back in 1476, but then he was captured and his head sent to the Sultan in Constantinople in a perfumed box.
Bram Stoker's celebrated Dracula (1897) is a good read. Only the first four chapters describe Jonathan Harker's stay in Castle Dracula. The final chapter returns to Transylvania. Count Dracula is called a Szekler, but the real Dracula was a Vlach, however, and Dracula was not a family name, but an epithet. Count Dracula is the Un-Dead original Dracula, apparently Tepes, who buys a house in England and gets there in an interesting way. The fictional Castle Dracula is more like the actual castle of Tepes in the Southern Carpathians, but is located in far northern Transylvania, north of Bistritz, in the Borgo pass on the road to Bukovina. There is an amazing amount of vampire information on the Internet. Stoker's Dracula has been the object of literary study recently, though neglected for many years. There are Marxist, psychological, Freudian, gender and other analyses, mostly quite meaningless formal exercises.
Stoker's fantasy was by no means the beginning of the vampire. Vampires were a characteristic Slavonic superstition; the word "wampir" is Slavonic. In Romanian, vampire is nosferatu. There was a vampire excitement in Hungary in 1730-35. Wallachians were notoriously superstitious, which probably indicates a significant Slavic background among the peasants. Vampire legends also exist in Albania and Greece, probably for a similar reason. Transylvania was never particularly associated with vampires; it was simply the birthplace of Dracula. The name was transferred to bats when it was thought that many drank blood; actually, only a few species do this. They almost all eat either insects or fruit, and are distinctly beneficial.
While searching the web for Bran Castle, you will find another one, Castell Dinas Bran in Wales. Bran means "raven" in Welsh, and Bran was the Celtic god of regeneration, or a giant appearing in the Mabinogion. After a battle with the Irish, his severed head was buried in London, at the Tower, where it protected England from invasion from across the Channel. King Arthur confirmed the truth of the legend when he dug up Bran's head and disaster followed, until it was reburied. The Tower ravens are Bran's. Dinas Bran was built around 1220, and was once capital of the Welsh principality of Powys. There is also a Strath Bran in Scotland, through which the railway runs to Kyle of Lochalsh. The origin of the name is probably the same.
The whole region between the Eastern Carpathians and the Dneister was called Moldavia. The population changes from Vlach to Ukrainian from west to east. It was established as a principality (voivodeship) in 1367, and was governed by voivodes until 1658. The Romanian-speaking Vlachs, both here and in Wallachia, naturally absorbed a great number of Slavs, who were thoroughly naturalized. Language separated them from the Slavonic Ukranians: Red Rus' or Ruthenians. Red here means, of course, Southern. To the north of Moldavia is Bukovina, which was Ruthenian. The southern boundary is the Black Sea.
The Turkish conquest reached Bessarabia in 1513. Moldavia and Wallachia were Turkish provinces from then until the 19th century. When native voivodes began showing an affinity for Russia, the Turks replaced them with loyal Greek Phanariots, after 1711 in Moldavia, 1716 in Wallachia. Phanariots were Orthodox Greeks from the Phanar quarter of Constantinople, in the northwest of the city by the Golden Horn, where the Orthodox Patriarchate was located. A Muslim taboo against speaking non-Muslim languages made the Phanariots quite valuable in positions such as these. There was some Turkish settlement, mainly close to the Black Sea. The Turks, as was their custom, did not interfere with the local societies, or attempt to Islamize or Turkicize them. After overcoming the Tatars in their own country during the 18th century, Russia turned to the driving of the Turks from Europe, freeing the subjugated Slavic populations. Russia defeated Turkey in the Russo-Turkish war of 1812, and the subsequent Treaty of Bucharest awarded Bessarabia to Russia. This was by no means the first Russo-Turkish war; another had been fought in 1715-1718. The Treaty of Adrianople following the successful Greek War of Independence in 1821 against Turkey awarded Russia a protectorate over Wallachia and Moldavia. In the Crimean War of 1853, Russian aims were thwarted by England and France, who feared the rising Russian power. The Treaty of Paris in 1856 restored the lower Danube to Turkey, and ended the Russian protectorate, so that Wallachia and Moldavia became almost independent.
Romanian nationalism was already active in the revolutionary year of 1848. The Romanian tricolour dates from then. The symbolism was: Red for Moldavia, Blue for East Wallachia or Oltenia, and Yellow for West Wallachia or Muntenia. East and West Wallachia are separated by the river Aluta. Turkey was disastrously defeated in the Russo-Turkish War of 1877, in which Russian and Romanian armies threatened Constantinople. The Treaty of San Stefano in 1878 drove Turkey completely out of Europe, except for Constantinople and a nearby patch of Thrace. The Western Powers, alarmed by the Russian success, called the Congress of Berlin in 1878 to dictate different terms. Romania, and Serbia and Montenegro, were declared independent. Russia was awarded southern Bessarabia, for which Romania was compensated by the grant of Dobrudja. This is the land east of the Danube where it turns northward on its way to its delta. This was the choicest part of Roman Moesia, and had a very mixed population in 1878, including Romanians, Bulgarians and Turks. Northern Dobrudja, however, is predominantly Romanian.
Karl Eitel Friedrich of Hohenzollern-Sigmaringen was elected Prince of Rumania in 1866. He took part in the War of 1877, and proclaimed Romanian independence, which was recognized by the Treaty of Berlin. In 1881, he was crowned as Carol I, and Romania became a constitutional monarchy. It was the custom of the time to appoint unemployed German royalty to new countries whether they had any connection or not. Romanian nationalists created a national myth that they were the heirs of the Dacians, brought into the Roman Empire by Trajan in 107 CE. By 275, pressure from the Goths made this province impossible to control, and the boundary was withdrawn to the Danube. The Daci, or Getae, lived mainly in what was later Wallachia, and perhaps in Transylvania, though there are very few archaeological relics of that time. Any reasonable consideration of the events in this region from 275 to 1298 suggest that there could be no continuity of people or language. This theory originated with G. Sincai and S. M. Klein, theologians who, when studying in Rome in 1791, noticed the similarity of their Romanian language to Italian. As we have noted above, the Vlachs migrated to the region after the Mongol scourge, a thousand years after the Getae. Romanian does preserve the Latin language, of course, and the Romanians are culturally descended from Romans, just not from Dacians. Romanians are a vigorous and intelligent people who can stand on their own merits.
The main purpose of the legend is to support the Romanian claim to Transylvania, which had for a thousand years been closely associated with Hungary. Under Turkish rule, it had a degree of autonomy and was ruled by its own voivodes. After the expulsion of the Turks in 1699, it became the home of Hungarian nationalism and opposition to the Hapsburgs. The great Hungarian hero, János Hunyadi, was Transylvanian (and had some Vlach ancestry). The original three primary cultural groups were the Szeklers, Hungarians and Saxons (the Unio Trium Nationum). Natually Vlachs filtered up from Wallachia into the thinly-populated Transylvania, so that a fourth racial element was added that predominated in western Transylvania, and eventually comprised about 60% of the total population. The Wallachians were mainly serfs. They were freed in 1848 after supporting Austria in the Hungarian Revolution, and given many benefits. The other three groups had supported Hungarian independence, and were punished.
The Szeklers (Hungarian székelyek), who had accompanied the Avars, occupied eastern Transylvania, while the Saxons (so called) clustered about their seven castles, the "Siebenbürgen", which were: Kronstadt (Brashov), Hermannstadt (Sibiu), Bistritz (Bistrita), Klausenburg (Cluj), Mediasch (Medias), Mülbach (Sebes), and Schässburg (Sighisoara). The origin of the Széklers is disputed. The best information seems to be that they were a first phase of Magyar migration within the Carpathians, around 670-680. Folk stories make them out as descended from Attila's Huns; some say they were Avars or Turks that learned Magyar; some that they were settled there by Laszlo I to guard the border in the 12th century (these were Saxons, not Szeklers). The last is probably another Romanian invention, and the other two are probably equally false. Their distinctly pure Magyar language is evidence of a Magyar origin. They were also known as White Magyars. The approximately 670,000 Szeklers now live mainly in the counties of Harghita, Covasna and Muresh, and have preserved their customs. "Szék" is Magyar for "seat"; the Szeklers organized themselves into districts called seats (like county seats). They still petition even today for the creation of an autonomous region for themselves.
Romania was born as an L-shaped country with an unnatural eastern boundary, the River Prut. Romanians lived to the east of the Prut, in Bessarabia, as well as in Transylvania and the Banat, parts of Hungary. Romanian nationalists desired a rounder country. Since the Central Powers attacked Russia in the First World War, Romania joined them to acquire Bessarabia. When it appeared that the Central Powers were losing the war, Romania changed sides and attacked Austria-Hungary. The settlements after the war were extraordinarily favorable to Romania, which gained not only Bessarabia, but Transylvania and the Banat as well. This, like so many of the settlements at the time, created new minorities who were then treated even worse than the minorities before the war. Ethnically mixed Transylvania should be part of a multinational state in which minorities are protected (as was the case in Austria-Hungary), not part of a unitary state with an oppressive majority.
In the Second World War, the Romanian dictator Ion Antonescu, called the Conducator, and the unruly fascist Green Shirts, the Legion of the Archangel St. Michael or Iron Guard, enthusiastically supported Hitler. With no help from the Germans, they exterminated 250,000 Jews in Romania and 150,000 in North Transylvania, according to some sources. The founder of the Iron Guard, Cornelius Codreanu, was arrested in March 1934 by order of King Carol. On 30 November 1938, Codreanu and 13 associates were liquidated. In response, on 3 December 1938 the Iron Guard assassinated prime minister Ducas. Antonescu came to power in 1940, when King Carol abdicated in favor of his son Michael and left the country. The USSR seized Bessarabia on 28 June 1940, but Romania reconquered it with German help in 1941. On 23 October 1941, Antonescu burned 19,000 to 25,000 Jews in Odessa alive. This was surely in the spirit of Vlad III Tepes! When it was clear that Germany was losing the war, Romania again switched sides and treacherously attacked Hungary, a rather reluctant ally of Hitler's. Although Hungary had gained a strip of northern Transylvania in 1938, this was restored to Romania in 1946. All Romania lost in the war was Bessarabia, which Stalin insisted on recovering. King Michael removed Antonescu in 1944, but within a year Antonescu's successors were replaced by P. Groza, the Soviet candidate.
The Soviets respelled Romanian in Cyrillic characters to make the inhabitants feel more Russian, and encouraged settlement of Russians and Ukrainians, mainly on the east bank of the Dneister, and added this region to the Moldavian SSR to integrate it better. Upon the breakup of the Soviet Union in 1991, the Moldavian SSR became the republic of Moldova, with its capital at Chisenau, which had been Kishinev. Ukraine retained the seacoast region, which was principally Ukrainian and Turkish. The Russians to the east of the Dneister seceded at once from Moldova as Transnistria, and their status is still in question. Remarkably, Kishinev had been as much as 50% Jewish in the 19th century. There had been pogroms in 1903 and 1905, killing 49 and 19, respectively, but Soviet Russia was much more tolerant. The Romanians in the Second World War, however, barbarously slaughtered the Jewish population of Kishinev, but it still remains on a modest scale. Moldova wanted nothing to do with Romania, remembering the fascist horrors, and observing the corruption of the post-communist state. A referendum of 7 March 1994 rejected union with Romania. Moldova is, however, the poorest country in Europe (or so it is said. Albania is another candidate). Ethnically, it is about 50% Romanian.
Romania established a communist state in 1947, with more enthusiasm than was usual in central Europe. The state was thoroughly collectivist, and encouraged industrial expansion, though Romania had been predominantly agricultural. Nicolae Ceausescu became president in 1968. He was relatively anti-Soviet, taking Romania out of the Warsaw Pact and COMECON. However, he was soon effectively autocratic, regarding the country as practically his own property. His regime became corrupt and brutal, and economic progress was minimal. Romanian minorities, especially Hungarians, were persecuted. It was a Hungarian Calvinist minister, Laszo Tökes, who initiated demonstrations in the southwestern city of Timisoara (once Temesvár) against the Ceausescu regime on 17 November 1989. This movement took fire, angered by Ceausescu's brutal repression. By the end of the year, Ceausescu and his wife and cohort Elena had been summarily tried and executed. However, the corruption of the communist state has carried over into the post-communist state, and Romania has made little progress since.
The Balkans, Slavs and Bulgaria
The region of the Balkans extends from the Alps and the Adriatic Sea east to the Black Sea, and from the Danube south to the Ionic and Aegean Seas. The land is mountainous, with intermountain plains of limited extent. The southernmost part was classic Greece, to the north of which was Macedonia, and then Thrace, which is mostly a plain. Between Thrace and the Danube was Moesia. To the west of Moesia was the large province of Illyria. South of Illyria, adjoining Greece, was Epirus. Thrace became part of the Roman Empire in 45 CE, followed by Illyria and Moesia. Illyria and Moesia were thoroughly Romanized, speaking Latin instead of the Greek that was common elsewhere. On the separation of the Eastern and Western Empires, the Balkans fell to Constantinople, and remained one of the core regions of the Eastern Empire as long as it lasted.
The Slavs were people of the plains of Eastern Europe, between the Oder and the Urals. They were pressed westward by the expanding Turkic peoples from about the 4th century onwards, and southwards by the Finns and Balts, occupying land abandoned by the Germans. The migrations separated the Slavs into three groups. The Western Slavs were the Bohemians (Czechs), Moravians, and Slovaks. The southern Slavs were the Slavonians, Croats, Serbs and Bulgarians. The remainder, the largest group, were Poles, Lithuanians and Russians. All these peoples speak very similar languages. Slavs began to trickle into the Balkans through the subesequent centuries, but the trickle became a flood around 600. Slavs invaded all the internal regions of the Balkans, even deep into Greece. Slavs settled in Moesia, Thrace and Macedonia after 488, replacing the Ostrogoths. Emperor Heraclius invited the Slavic Serbs of the Elbe (Lusatia) and the Croats of Galicia into the Balkans in 620 to expel the Avars. This provided leaders for the agricultural and pastoral Slavs who had already quietly spread across the region.
The Bulgars were a large Turkic tribe that accompanied the Huns. They did not follow them into western Europe, but settled on the middle Volga, near the confluence with the Kama. The majority of the Bulgars remained here, and later became the Russian Tatars of the Volga, after conquest by the Mongols in the 13th century. The name "Bulgar" is said to have come from the name of the river. A small party of Bulgar adventurers under Asparouch invaded the Danube delta in 679. Asparouch, like many other warriors, claimed descent from Attila. The Empire noticed his troublesome presence, but Constantine IV could not dislodge him. In 681, Asparouch moved south of the Danube, and concluded peace with Constantinople. His Bulgar horsemen assumed the rule of the local Slavic tribes, who greatly outnumbered them. The Bulgars were quickly assimilated by the Slavs, but their name remained in the name of the new kingdom. Its capital was first at Pliska, then permanently at Preslav, in eastern Moesia. The First Bulgarian Kingdom was generally a client of the Empire in its early centuries. Later, however, it asserted its independence and expanded its borders. It is good to remember that Bulgaria contains no Bulgars.
Khan Boris I (852-889) adopted Orthodox Christianity in 864, and later became St. Boris. After this, the rulers of Bulgaria should be styled Tsar instead of Khan. His name came from Turkic through Bulgarian Slavonic, not from the Slavic name Borislav. It was a rare name that became common after it reached Kievan Rus. In 893, Bulgarian became the liturgical language of the autocephalic Bulgarian church, later known as Old Church Slavonic as it spread widely, particulary to Russia, where it may still be in use. It was adopted so the people could understand the services, which had been in Greek, but later became just as incomprehensible, as happened to Latin as well. The Patriarch of Constantinople always encouraged the use of Greek. St. John of Rila (876-946), the first Bulgarian hermit, founded the Rila monastery 120 km south of Sofia, in the 10th century.
The Cyrillic alphabet, used in most Slavic countries, was invented in this area. Brothers Cyril (originally Constantine, 827-869) and Methodius (815-885) were born in Salonika. In 863, they were sent by Emperor Michael III to convert the western Slavs in Bohemia and Moravia. In 855, St. Kliment had devised an alphabet for Bulgarian based on the Greek alphabet, and named it in honour of Cyril. Cyril and Methodius took this alphabet with them on their mission to write religious works for their converts. It replaced the earlier Glagolitic alphabet devised for Slavonic. German influence eventually caused the dominance of Latin and the western church in this area.
Emperor John Tzimisces thought he had dealt Bulgaria a death blow when he captured Boris II and castrated his brother Roman, with the aid of Sviatoslav, Prince of Kiev, in 971. However, four Macedonian brothers--David, Moses, Aaron and Samuel--carried on the war and recaptured much territory. The capital at this time was Ohrid, on the lake of the same name in western Macedonia. Samuel eventually donned the red boots and purple chlamys of the Tsar and fought Basil II, but was finally defeated at Strumnitsa in 1014. Basil blinded 15,000 Bulgarian soldiers and sent them home to Ohrid in hundreds, each guided by a one-eyed man. The shock killed Samuel. Bulgarian independence ended in 1018. Basil II earned the epithet Bulgaroctonus, killer of Bulgars.
The Bogomils, "Lovers of God", arose around 950. Their beliefs were probably formed by contact with the Paulicians, and resembled those of Mani, the Persian mystic. There was a good God, who created everything spiritual, and a bad God, Satanael, who created the material universe. They opposed procreative sex, for example, because it merely put good spirits in a bad material body. They appeared in the west as Cathars or Albigenses, and Innocent III preached crusades against them. They were also persecuted in Constantinople. There has always been dualism in popular belief, involving the Devil and witches. The Bogomils were also called Bougres, or Buggers, and stories concerning them were used to frighten children.
The Second Bulgarian kingdom, arising in a period of crisis in Constantinople, existed 1185-1396, until its conquest by the Ottomans. Its capital was at Turnovo, north of the Balkans, where the boyar insurrection that won independence took place. Tsar Kaloyan (1197-1207) fought the Fourth Crusaders at Odvin near Adrianople in 1205, on their way back west, and defeated them. Baldwin, the Latin Emperor, was captured and died in captivity. Kaloyan had offered the Bulgarian church to Innocent III, but Innocent would not recognize him as tsar, only king, so he withdrew the offer and afterwards fought both Latins and Greeks. By 1355, the Eastern Roman Empire had been reduced to Thrace, with the Kingdom of Bulgaria north of it (very much like modern Bulgaria in size). Serbia occupied most of the western Balkans, from Greece to Hungary, including Epirus. Before this, Bulgaria had generally been the larger country, often extending to the Adriatic, and was in constant competition with Serbia. In 1393, Bulgaria was overcome by the Ottomans, and became Roumelia in the Ottoman Empire.
The Ottomans conquered Macedonia in 1389, after a victory over Serbian Prince Lazar at the Field of Blackbirds, Kosovo Polje. Janós Hunyadi was captured there, but later ransomed. Serbia fell in 1459, Bosnia in 1463. Albania succumbed in 1479, and then the Balkans were completely Turkish. The Albanians were a Thraco-Illyrian people who had preserved their ancient language. They lived in the wild areas of northern Epirus and Montenegro. Under Turkish occupation, most converted to Islam, and many Albanians had careers in Constantinople. Bogomils who had settled in Kosovo were also accused of mass conversion to Islam. This imputation of traitorous behaviour has persisted to the present day. Christians and Jews were not persecuted in the Ottoman Empire. The Jews expelled by Spain in 1492 were settled in Macedonia, at Salonika. However, no church could be as tall as the local mosque, and taxes were heavier on Christians. Conversion to Islam was also necessary for careers in government and the army.
Bulgarian nationalism revived in 1835-1836, after Serbia became independent in 1817. In May 1876 there was a major rising in Plovdiv against the Turks. Bashibazouks, volunteer terror troops, were sent in, and they cruelly murdered 15,000 Bulgarians in suppressing the revolt. This attracted international attention, especially in Britain. In June 1876, Serbia declared war on Turkey. Disraeli sent warships to the Dardanelles in 1878, which anchored in sight of Constantinople. The Russians had come to the aid of Serbia, and had pushed through Thrace to within 6 miles of Constantinople, at San Stefano. A treaty was concluded there that all but eliminated Turkey from Europe. The Russian success shocked the Great Powers, so a Congress was called at Berlin to dictate more acceptable conditions. Bulgaria, Serbia and Rumania were to be independent. Bosnia and Herzegovina went to Austria. The Bulgarians chose Alexander of Battenburg, a relative of Alexander II, as king. There was a struggle between pro-Russian and anti-Russian factions. Alexander was deposed in August 1886. The Bulgarians rejected the next Russian offer, and chose Ferdinand I of Saxe-Coburg-Gotha. The capital was now placed at Sofia. The rift was healed in 1896 when Ferdinand had his eldest son baptized in the Orthodox religion, with Tsar Nicholas II as his godfather.
In 1908, Ferdinand I declared Bulgaria and East Rumelia independent, and Austria annexed Bosnia-Hercegovina. In 1911, Italy fought a war against Turkey in which they annexed Libya. In 1912, an Albanian uprising was very successful, their troops reaching Skopje. Greece, Serbia and Bulgaria all had designs on Albania and Macedonia. In October 1912, the three allies declared war on Turkey. Albania took the opportunity to declare independence. When Turkey said "uncle", Greek and Serbian troops were in possession of Macedonia, which Bulgaria coveted. On 28 June 1913, Serbia turned on their former allies. In response, Rumania invaded across the Danube, and Turkey pushed into Thrace. Bulgaria did not come out well. At the treaty of Bucharest, Rumania acquired Dobrudja (all of it, not just the Rumanian part), Turkey retained some of Thrace, and Greece and Serbia were confirmed in their possession of Macedonia, which they divided.
When World War I broke out in 1914, Bulgaria was still exhausted by the Balkan Wars of 1812-13, and declared neutrality. The Entente and the Central Powers both cynically courted Bulgaria with promises of territory if Bulgaria came in on their side. The Entente offered the Enos-Midia line and Macedonia as far as Vardar. Bulgaria wanted the part of Drobrudja lost to Rumania in 1913, as well as Macedonia, where large Bulgarian populations existed. The Central Powers outbid the Entente, however, promising Macedonia, Dobrudja (if Rumania joined the Entente) and the Karalla area in eastern Macedonia if Greece was hostile. On 6 september 1914, accordingly, Bulgaria joined the Central Powers. Austria attacked Serbia on 6 October, and Belgrade fell on the 9th. On the 11th, Bulgaria invaded Serbia, and by 23 November had taken Prishtina. The remnants of the Serbian army was evacuated to Corfu, and then to Salonika, the mustering-place of the Entente forces. A Bulgarian-German force took Seres, Drama and Kavalla in eastern Macedonia, where a Greek corps surrendered. The Entente's drive from Salonika reached lake Ohrid in the west, but made no advance on the Bulgarian front. Meanwhile, Rumania declared war on Austria on 27 August 1916, but was rapidly defeated, and the Austrians took Bucharest on 6 December. On 27 June 1917, Greece finally ended its wavering and joined the Entente. A vigorous campaign 15-24 September 1918 by united Entente armies ended in the collapse of the Bulgarians, and an armistice was signed on 30 September. During the excitement, Italy captured Albania. Ferdinand I abdicated, and Boris III succeeded as tsar. It was not a good war for Bulgaria, who lost access to the Aegean, as well as some small bits of territory to Serbia. Bulgarian refugees from the surrounding countries fled into Bulgaria, and angry Macedonians continued guerrilla attacks.
After the war, Bulgaria faced the intractable problems of refugees flooding into the country, Macedonian revolutionary bands, and reparation payments. Yugoslavia and Greece severely persecuted their Bulgarian minorities. The refugees were fertile ground for Communist agitation. Alexander Stambolski of the Peasant Party came to power in the 1919 elections. He hated the government that had joined the Central Powers, and imprisoned their survivors. He hated intellectuals and the middle class. He confiscated land, raised the income tax on all but the peasants, closed the University and abolished the free press. He broke up IMRO, the Macedonian revolutionary organization. There was a rising of the Macedonians in 1922, and on 9 June 1923 Stambolski was overthrown by a junta of the army, Macedonians and others. Alexander Zankov, a National Socialist, came to power. Stambolski was killed under suspicious circumstances on 14 June, and a Communist insurrection of 26-28 September was violently repressed. On 16 April 1925, the Communists set off a bomb in Sophia Cathedral that killed 123 persons. This was not a wise move, since Communists were outlawed on 4 May. The IMRO split, and the factions fought one another, as well as raiding into Greece and Yugoslavia, which brought reprisals. The military seized power on several occasions, and political parties were abolished. Boris III struggled to master the situation, and was eventually successful by 1936. Zankov and his National Legion were still in the background, but was kept under control. Boris III strove for friendship with Yugoslavia and Greece.
Bogdan Philov formed a new cabinet 15 February 1940. Bulgaria joined the Axis on 1 Mar 1941, again hoping for territory, and realizing that any other choice would result in immediate German occupation. Bulgaria passed anti-Jewish laws in 1941-42. Jews had to wear the Star of David, they were barred from certain businesses and professions, their property was confiscated, and they were drafted for labour service instead of serving in the army. Earlier, Jews from the part of Slovakia returned to Hungary passed through Hungary to Bulgaria, where Boris saw that they had transit visas for Palestine. 12,000 Jews from occupied Thrace and Macedonia passed through Bulgaria on the way to Germany. Bulgaria was the staging point for the invasions of Greece and Yugoslavia in the spring of 1941. The SS never reached Bulgaria to repeat their actions in Hungary, and none of the about 50,000 Bulgarian Jews was killed. After the war, the Communists claimed this was due to their actions, but this was a complete lie. The Jews were saved because of the actions of Boris III and the Orthodox Church. Boris was neither a fascist nor an anti-Semite. Bulgarian troops found action against Greece and Yugoslavia. In 1943, Boris enraged Hitler during a visit of the tsar. When Boris returned to Sofia, he was mysteriously murdered.
The Red Army arrived in 1944. The Second World War did finally result in the recovery of Southern Dobrudja, moving the boundary from just north of Varna to General Toshev. In 1946 Dimitrov formed a Communist government, abolishing the monarchy, and in 1947 the Agrarian Party's Petkov was executed, during the usual Red Terror. Bulgarian troops helped the Russians to suppress the Czech rebellion in 1968. T. Zhivkov became president in 1971. In 1984, the Turkish minority was forced to assume Bulgarian names, causing a mass Turkish exodus in 1989. In the confusion, Zhivkov was ousted by P. Mladenov and a multi-party government was formed. The Union of Democratic Forces, UDF, won the 1991 election. Zhivkov was sentenced to 7 year's imprisonment for corruption. Mass privatization in 1993 was followed by financial turmoil in 1996. Unsuccessful demolition attempts on the marble mausoleum of Dimitrov became a national joke. In 2001, the deposed king Simeon II won the parliamentary elections and became prime minister. Bulgaria was admitted to NATO in 2004, and is scheduled to join the European Community in 2007.
Yugoslavia
In 1918, after the First World War, two new countries were created as a result of cynical French policy, Yugoslavia and Czechoslovakia, on the ruins of Austria-Hungary. Both were predominantly Slavic, but in each two nations that hated each other were superimposed. Instead of decreasing the oppression of minorities, minorities were more severely oppressed. The countries had an unpleasant, fractious existence until they were finally dissolved as a result of internal forces in the 1990's, in the case of Yugoslavia setting off a brutal war. In World War II, they were Nazi sympathizers, and took their own initiatives in persecuting Jews, though there was an active resistance by a minority of their citizens. The people deserved better, but this is what they got. First, let's look at Yugoslavia.
Yugoslavia, or Jugoslavija, "Land of the South Slavs" was one of the unnatural states created after the First World War, existing 1918-2003. It occupied the western Balkans between Austria, Hungary, Bulgaria and Greece. We'll discuss its parts first, beginning in the northwest with Slovenia. This small and relatively prosperous state was a Hapsburg possession, created as a military buffer zone against the Turk. It is today a successful independent state. Slavs occupied the western Balkans in the 7th century. Although they penetrated well into Greece, Greece denies their existence and has rigorously Hellenized them. Illyrians survived in Albania and Macedonia, some as Latinized Vlachs, which still constitute a small minority. North of that, the main Slav states are Croatia (Hrvatska) and Serbia. Croatia is a very old country, once tributary to Charlemagne's Empire. In 1102, Croatia was absorbed in the Kingdom of Hungary, providing access to the Adriatic. Croatia fell to the Turks in the 16th century along with Hungary, but was the first Balkan area liberated, before 1740. In 1868, Croatia became an autonomous state in Austria-Hungary. It seems to have been fairly satisfied by this status. Croatia seems to be the place of origin of the necktie.
Serbia and Croatia speak the same language, usually called Serbo-Croat, but this term is not liked by the Croats. In Croatia, it is written in Roman letters, while in Serbia it is written in Cyrillic characters. The Croats are Roman Catholic, while the Serbs are Orthodox. At least they drive on the same side of the road, which may be the only thing that they have in common. It seems that the two peoples hate one another cordially, and this hate has only grown since they were married in Yugoslavia. Nevertheless, they cooperated in creating Yugoslavia, though Croatia wanted a federal state, while the Serbs wanted a state dominated by Belgrade. Yugoslavia was only 34% Serbian.
Through the middle ages, Serbia and Bulgaria contested for territory, though Bulgaria was usually the larger. They both coveted territory in the southern Balkans, in Epirus, Macedonia and Greece. The Serb Prince Lazar Hrbeljanovic was defeated and killed by the Turks on the Field of Blackbirds, Kosovo Polje, on St. Vitus' Day (28 June) in 1389, but became a national hero and martyr. The Sultan also died in this famous battle. Serbia was under Turkish rule for many years, but became independent in 1878. The Balkan wars of 1912-1913 were fought by Serbia with Greek and Bulgarian allies against Turkey, then with Greece against Bulgaria, during which Serbia aquired northern Macedonia. The fierce Albanians, 70% Islamicized, succeeded in winning independence in 1912, however. A Croatian member of the Serbian secret Black Hand society assassinated Archduke Ferdinand in Sarajevo in 1914, setting off the First World War. Austria-Hungary attacked Serbia, Russia attacked Austria-Hungary, Germany attacked Russia, and France attacked Germany, aided by Britain. Austria possessed Slovenia, Croatia, Bosnia-Hercegovina and Vojvodina at the time.
Vojvodina is so-called because it was the region of Hungary that accepted Serbian refugees from the Ottoman Empire in the 14th century and allowed them to elect their own vojvodes, or counts. They prospered in this region, which extended north from Belgrade between the Danube and Tisza rivers. Vojvodina was awarded to Yugoslavia in 1920. Montenegro had a Serbian population. It was distinguished by successful resistance to Turkish domination, and was never completely subject to the Ottoman Empire. It provides Serbia's access to the Adriatic. Serbs are a minority in Kosovo and Macedonia.
Serbia already possessed Montenegro, Kosovo and northern Macedonia as a result of the Balkan wars, none of which was an independent country. Vojvodina was the Hungarian principality to the north of Serbia, which also had a considerable German minority. After the war, Serbia was given Vojvodina as well. On 1 December 1918, the Kindom of Serbs, Croats and Slovenes was formed, which became Yugoslavia in 1929. In 1928 Punisa Racic, a Montenegran, shot and killed Stepjan Radic, leader of the Peasant Party, in Parliament, creating turmoil. On 6 January 1929, King Alexander suspended the constitution, dissolved the parliament, and declared a royal dictatorship. This was upopular with non-Serbs, since it meant Serbian domination of the country. Slovenia, with a German minority, Vojvodina, with its Hungarian majority in the north, and especially Kosovo, with its Muslim Albanian majority, were trouble spots. The Serbs wished to include all Serbs in Serbia, and exclude all others. Macedonians feuded with the Albanians. Persecution by Serbs created a Turkish flight after 1918. In November 1934, King Alexander was assassinated by the Ustashe in Marseille, together with the French foreign minister Barthouwas.
On 25 March 1941, Prince Paul, regent for the minor King Peter II, signed the Tripartite Pact, becoming an ally of Germany and Italy. This was unpopular with the military, who overthrew Prince Paul in a coup d'état soon afterwards. Meanwhile, Mussolini, who had seized Albania, used it as a staging area for his invasion of Greece, which was singularly unsuccessful, and the Greeks drove him back. Hitler responded by attacking Yugoslavia on 6 April. The troops were mainly Italian, Bulgarian and Hungarian, since German troops were needed for the upcoming Operation Barbarossa (22 June). Yugoslavia collapsed, signing an armistice at Sarajevo on 17 April. Hitler went on to defeat the Greeks and their British allies in short order.
An independent Croatian state was then formed, controlled by the Ustashe, a Croatian separatist movement, founded in 1929, and supported by Mussolini. Its badge was a U with prominent serifs, surrounding the Croatian red and white chequerboard, or a cross. It became a typical fascist movement, and was a strong German ally, persecuting Serbs, Jews and Roma. Its leader was Ante Pavelic (1889-1959). The concentration and extermination camp at Jasenovac, 62 miles southeast of Zagreb on the Sava, rivalled Nazi equivalents in Germany and Poland. It was operated with unparalleled cruelty and barbarism. One source says 750,000 Serbs, 60,000 Jews and 26,000 Roma perished. Whatever were the true figures, there were many victims. It was the home of the srbosjek, the "Serb-cutter", a knife for slitting Serb throats. The figures for Serbs were probably greatly inflated by Titoists; 75,000 seems more realistic. After the war, the Communists used it for their own exterminations. The Croats, unlike Serbs, welcomed Muslims, regarding them all as Croats. A legend was established that Croats were actually descended from Goths, not the Slavic untermenschen, to make them more acceptable to the Germans. Like many national myths, it was pure rubbish. The Croatian government of May 1941, led by M. Budak, M. Puk and M. Zhanic, declared Orthodox Christians their greatest enemy, and as their aim to catholicize 1/3 of the Serbs in Croatia, expel 1/3, and murder the remaining third. Such hate is almost unbelievable. After the war, the Catholic Church helped Ustashe members, such as Pavelic, to escape Tito's wrath.
Meanwhile, General Milan Nedic led the puppet Serbian state. He proudly proclaimed Belgrade the first Judenfrei city in Europe. The Chetniks, Serbian national royalists, were led by Draza Mihajlovic. They initially opposed the Germans, but discovered that they hated the Communists more, so moved to the other side. Several Waffen SS Divisions were organized in the Yugoslav region. The 7th SS Prinz Eugen Division contained mainly ethnic Germans, the 21st Waffen SS Division was Albanian, and the 13th Waffen SS Division, "Handschar", was predominantly Muslim. These units served mainly in Yugoslavia, where they earned a name for cruelty, though at least one served in France. Clearly, with parts of the population on both sides, Yugoslavia suffered a vicious guerilla war. The enmities formed during those times are still keenly held.
Josip Broz (1892-1980) led the Communist resistance. He was born a blacksmith's son in Croatia, and was a stabfeldwebel, an NCO, in the Austro-Hungarian army, captured in Russia in the First World War. He served with distinction in the Red Army 1918-20 during the Civil War. Returning to Yugoslavia, he was imprisoned as an agitator 1929-1934. In 1937 the Comintern assigned him to reorganize the Yugoslav Communist Party. Rising to leader of the Communist resistance, he adopted the surname Tito. In 1945 his forces drove out the Germans. He deposed Peter II and formed a Communist state. He executed Mihajlovic and many others, but only after the Chetniks had been given free rein in reprisals against the Croats, as at Bleiberg and Maribor. In Tito's state, Vojvodina (Hungarian) and Kosovo (Albanian) were made autonomous provinces. He created the Macedonian republic to add to his federation, which had the unintended effect of creating a Macedonian consciousness. In 1963, he was named leader for life. He fell out with the Comintern in 1948, mainly for not nationalizing agriculture rigorously enough, and followed an independent path. While he was in power, the Croats and the minorities did not feel oppressed, but the ill feeling was still bubbling underneath. On his death, Serbian nationalism again rose to the surface, led by Slobodan Milosevic after 1989.
Slovenia, Croatia and Macedonia seceded in 1991, followed by Bosnia-Hercegovina in 1992. Slovenia and Croatia got away with only a little unpleasantness. Slovenia, the most prosperous fragment of Yugoslavia, was admitted to the European Community in 2004. Milosevic then turned his attention to Kosovo. The Albanians claim to occupy Kosovo as successors of the ancient Illyrians. The Serbs maintain that they came only in the middle ages, driving out Serbs. Clearly, both have some justice, since Albanians and Macedonians have contested in Kosovo for many centuries. The Serbs, however, remember Prince Lazar and wanted everyone but Serbs out of Kosovo. Especially, they wanted the Islamic Albanians out of Kosovo. The events of the recent wars in Bosnia-Herzegovina (Sarajevo) and Kosovo (Prishtina) are still generally remembered, and their effects are not yet over.
Eventually, Yugoslavia consisted of only Serbia (Srbija) and Montenegro (Crna Gora). In 2003, even this pretense was abandoned, and the state became known as Serbia and Montenegro. Again we have a collection of small feuding states: Yugoslavia has been "Balkanized".
Czechoslovakia
The second unnatural state created by the victors in the First World War was Czechoslovakia, the state of the West Slavs. It was created on the ruins of Austria-Hungary, and consisted of Bohemia, Moravia, Slovakia and Ruthenia. The first three states were mostly populated by races that foreigners could not easily distinguish from each other, but they themselves can tell Czechs from Slovaks, though they speak almost the same language, and have the same religion. They are probably more alike than Croats and Serbs. Czechs inhabit Bohemia and Moravia, while Slovaks are found in Slovakia. The Ruthenians, or more properly Carpatho-Ruthenians are completely different. They are Orthodox Ukrainians, only distinguishable because they were Hungarians before the war. Rather than assign them to Soviet Russia, or give them back to Hungary (since there was a sizable Hungarian minority there), the cynical meddlers of the Entente tacked them on to Czechoslovakia. This country was by no means entirely Slav. Bohemia had a very large German minority, about a third of the population, which were mainly mountain farmers. Indeed, Germans and Czechs had shared Bohemia for many centuries, and did not get along badly at all. That now came to an end. Czechosovakia was assigned the Sudeten Mountains, the Erzgebirge and the Böhmerwald, which surrounded Bohemia on three sides, for the ostensible reason of "a defensible frontier". This principle was not applied to the other countries who suffered boundary changes after the War, only to Czechoslovakia. It was, indeed, a thorny problem, since this mountain boundary had always been a part of Bohemia. This error was to bring the country to grief in a few years. Czechoslovakia has a fat belly beneath Slovakia that is easily noticeable on the map. This fat belly is the left bank of the Danube, which had a practically completely Hungarian population. Nevertheless, Slovakia wished to border on the Danube (which it effectively did as a part of Hungary), and so this wish was granted. This removed the main railway line between Vienna and Budapest from Hungarian territory.
Not all the west Slavs were included in Czechoslovakia. The area known as Lusatia, Lausitz or Sorbia lies in south eastern Germany on both sides of the River Spree, east of Dresden, and extends into Poland. Slavic peoples in this region, known as Sorbs or Wends, are a remarkable survival of the Slavs that settled the broad expanse between the Elbe and the Oder. These people were the Serbs invited by Emperor Heraclius to the Balkans in 620. Germans began to arrive around 928 CE, and gradually became a majority. Today, around 150,000 Sorbs remain and are a protected culture. Cottbus (Kottbus) is the major town in Lower Lusatia, while Bautzen is the capital of Upper Lusatia. Lower Lusatia became Lutheran, Upper Lusatia remained Catholic, in the Reformation. Lower Lusatia had extensive reserves of lignite, which was extracted in open-cast mines. The German name for the Sorbs is Wends, which is used by the Sorbs as well. The Wends were notable Baltic pirates in the 11th century before their conversion to Christianity in the 12th century. Crusades were preached against them, which many nobles preferred to take up in place of going all the way to the Holy Land. Wends emigrated to the United States as a body, 500 arriving in Galveston in 1854 to join their countrymen who had come to Austin in 1849. They were very unenthusiastic Confederates, like their German neighbours. There were also Wends in Nebraska. Lusatia was never an independent country; it was always dominated by Bohemia, Poland, Prussia or Germany. The west Slavic languages, Czech, Slovak, Sorb and Polish, and the extinct Pomeranian, are all very similar to each other.
Czechoslovakia was created by committees meeting in Paris, London and the United States. The Czech National Council in Paris was led by T. G. Masaryk (1850-1937) and M. R. Stefanik, a French citizen and general. On 14 October 1918 they declared an independent Czech state consisting of Bohemia and Moravia. Masaryk was premier, E. Beneš foreign secretary, of the new government. The Slovak National Council, in which the clergymen Andry Hlinka (1864-1938) and Josef Tiso (1887-1947) were prominent, joined the Czechs on 30 October. As early as 1896, Czech-Slovak mutuality had been promoted in Prague. Now a new joint state, Czecho-Slovakia, was created. During the War, the Czech Legion had been formed by Masaryk to fight for the Tsar. When this was joined by Czech prisoners-of-war, it amounted to about 100,000 men. When Trotsky ordered them disarmed, they revolted and began to fight the Reds. Unable to escape westward, they went eastward instead, taking over the Trans-Siberian Railway and eventually reaching Vladivostok. On 3 August 1918, British, United States, French and Japanese forces arrived to meet them. This episode warmed the hearts of anti-communists everywhere. the Legion was actually the first Czech body officially recognized.
On 14 August 1920, a mutual defense treaty was signed with Yugoslavia, later joined by Rumania on 24 March 1921, that created the Little Entente, dedicated to preserving the territorial settlements after the War, whether just or unjust. Indeed, Czechoslovakia had already struggled with Poland over the Teschen question in 1919-1920. Instead of a federal state, Czechoslovakia turned out to be a Greater Bohemia ruled from Prague by Czechs. The Germans, under Konrad Henlein, demanded autonomy, and the protection of their customs and language. Slovaks and Ruthenians were restive, though granted increased self-government in 1927. In December 1928, V. Tuka, a Slovak in favour of Hungary and Slovak secession, was arrested and convicted of treason. The rise of Hitler in 1933 made the German question paramount. Hitler specifically stated his aim of returning all Germans to the Reich, which gave Henlein added bargaining power. The Munich agreement of September 1938 dismembered Czechoslovakia. Bohemia and Moravia, stripped of German territory, became a German protectorate on 15 March 1939.
Foreign minister Beneš had cooperated with Reinhard Heydrich, of the Reichssicherheitshauptamt, by passing documents forged by him to his contacts in Moscow, representing them as true, and filched from the Germans. These documents were the basis of Stalin's Red Army purge of 1938, in which Marshal Tukachevsky and many others were executed. 3 of 5 marshals, 8 of 9 admirals, 13 of 15 generals, 50 of 57 lieutenant generals and 154 of 186 major generals were liquidated, all unjustly. This severe weakening of the Red Army encouraged Hitler to launch Operation Barbarossa.
On 6 October 1938, Slovakia became autonomous. Communists were outlawed on 20 October, and persecution of the Jews soon followed. On 8 October, Ruthenia became autonomous, and in March 1939 was returned to Hungary. On 14 March 1939, an independent Slovak state was formed under Msgr. Josef Tiso. The Hlinka Guards were formed under Alexander Mach; they looked precisely like Hitler's SA, and were equally brutal. Vojtech Tuka was released from prison. In September 1941, a Jewish Code was passed that was stricter even than the Nuremberg Code. In 1942, 68,000 Jews were sent to Germany. In all, there were about 130,000 Jews in Slovakia, but many were needed in critical positions. The Jews, who were ethnically German, had no friends in Czechoslovakia. The Roma and Protestants also suffered in Slovakia.
Reinhard Heydrich (1904-1942) arrived in September 1941 as Protector of Bohemia and Moravia, and organized the suppression of the Jews. During October 1941, many Czech Jews were sent to Lodz and to Terezin, a camp in north Bohemia. Heydrich was assassinated by Czech paratroopers dispatched from London on 27 May 1942 ("Operation Anthropoid"). Heydrich was mortally wounded and died of septicemia on 4 June, a victim of his practice of riding about in open cars. The assassins committed suicide when cornered in Prague. In the savage reprisal ordered by Himmler, the villages of Lidice and Lezhaky were burned, and their men killed. After the war, Germans were expelled from Czechoslovakia. Of 3,500,000 before the war, less than 250,000 remained. This was an atrocity worthy of the Nazis themselves, for which Vlaclav Havel later apologized. Msgr. Tiso, who had been an enthusiastic Nazi, and supported by the Vatican, was hanged in 1947. The Soviet Union justly acquired Ruthenia.
In February 1948, a communist government was formed after an election with only communist candidates standing. Klement Gottwald and Gustav Hušak were leading communists, and the latter became premier. The usual dreary collectivization and repression followed. Hungarians were compelled to have Slavic names, which gives an idea how minorities were treated. In January 1968 Alexander Dubček tried to introduce "communism with a human face" but troops from Russia, Poland, Hungary, Bulgaria and East Germany crushed this movement 20-21 August 1968 and exiled Dubček. by April 1969, Husak was back. Czechoslovakia had the lowest rate of economic growth in the entire region. In 1989, free multiparty government was restored. Slovakia became autonomous in 1992. The next year, the Czech Republic and the Slovak Republic became independent countries. In Slovakia, Hungarians were allowed to resume their Magyar names.
The Czech Republic, consisting of Bohemia and Moravia, was industrially advanced, and had a traditional capital at Prague. Slovakia was happy finally to have an independent Slovak nation, for the first time. However, Slovakia was a small, weak agricultural country without good prospects. The Slovaks oppressed their minorities, especially Hungarians, which were annoying because of their large number and earlier domination. An appropriate capital would probably have been Nitra, but instead of this small, isolated city, Poszony or Pressburg was chosen, and renamed Bratislava (as it had been in Czechoslovakia). Finally, a treaty of friendship was signed in 1995 with Hungary, in which minorities on both sides were promised toleration, and the current borders were accepted. There has been disagreement over the Gabcikova Dam on the Danube. Slovakia wants the dam built to provide hydroelectric power, but Hungary maintains that environmental damage would be too great.
Let's now turn to pleasanter matters, the history of the West Slavs. The hilly plateau of Bohemia, ringed with mountains and drained by the Elbe and rivers radiating from its centre, was the home of the Celtic tribe Boii, from which it derives its name. The Boii moved south into northern Italy. About 15-10 BCE they were replaced by the Germanic Marcomanni, and the Quadi moved into what would later become Moravia and Slovakia. When the Hunnic Empire was formed north of the Danube around 450 CE, these Arian Christian tribes retreated into the Empire and became the Bavarians. When the Huns retreated into the East, the country was left empty. The people known to the classical world as the Venedae, from the territory between the Vistula and the upper Dneiper, moved into this region and occupied the territory between Bohemia and the Carpathians. They called themselves Sloveni, from which the name of Slav comes. There is no connection between the words Slav and slave.
This happened rather early, perhaps in the 6th century. A Slavic Principality of Balaton, known as Greater Moravia, is reported to have been established in Pannonia, but this would have been destroyed by the Avars. Moravia was also overcome by the Avars, but was partly freed by the Frank Samo (622-658). In the 9th century, Charlemagne drove out the rest of the Avars. The Moimir dynasty then ruled in Greater Moravia, as vassals of the Holy Roman Empire. With the help of Magyars, king Ratislav gained independence in 862. Arnulf restored Greater Moravia to the German Empire in 892, again with Magyar aid. The West Slavs had already divided themselves into Czechs, in Bohemia, and Moravians, to the east of Bohemia. The kings of Bohemia and Moravia were baptized at Ratisbon. The Moravian king, Ratislav I, asked the Pope to send him a bishop for the conversion of his people in 861. The Pope sent only missionaries who knew no Slavic, and could not communicate with the people. In 862, he made the same request of Emperor Michael III, who sent Cyril and Methodius, who did know Slavic. They introduced glagolitic (the first Slav alphabet), Church Slavonic, and Christianized Greater Moravia. This annoyed the Eastern Franks who resented the interference from Constantinople. In 880, John VIII Sviatopluk placed his kingdom under Rome. The Czech Duke of Bohemia left Sviatopluk's empire in 895 and appealed to the Holy Roman Empire for support against his fellow Slavs. This followed the mission of Cyril and Methodius that had Christianized Moravia, and caused the conversion of the west Slavs from Orthodoxy to Catholicism, and the replacement of Church Slavonic by Latin.
Slavs have exhibited two opposite tendencies that have facilitated their survival. The first is the ability to convert a small ruling class to their language and culture, as happened in Bulgaria. The only thing left of the Bulgars is their name. It also happened in Belarus (White Rus), Ukraine (Red Rus), and Russia, where the name Rus is that of Swedish Teutonic rulers, now utterly vanished. Where they are themselves the minority, they can blend easily into their surroundings without conflict, enriching the culture that receives them. This happened with the Vlachs in forming Rumania, with Germans in Pomerania, and with the Greeks. In fact, in these three regions they may actually have been a numerical majority, but one utterly without power.
In 902-906 there were Magyar attacks in eastern Moravia, the region that was to become Slovakia. There were no Slav armies at the Magyar-Bavarian battle on 4 July 907, however. This region became the "Tertia Pars Regnae" with its captial at Nitra. It was granted significant autonomy; it could even mint its own coins. After the Turkish conquest, it became part of the Hapsburg rump kingdom of Hungary. The Premysl dynasty ruled Bohemia and Moravia until the 14th century. The first Premysl was Wenceslas (Vaclav), who became St. Wenceslas. The Crown of St. Wenceslas became the Bohemian royal crown. Church Slavonic was abolished in 1097, after which services were in Latin, which the people could not understand. Bohemia became one of the very few kingdoms in the Holy Roman Empire (most large states were duchies). Moravia became a Margravate in the 15th century, and was ever after closely associated with Bohemia. From the 13th century, German settlement was strongly encouraged in the wake of the Mongol depopulation. Germans were concentrated in the hills and mountains, as well as in the cities. In 1278, Ottakar II was defeated by Rudolf of Hapsburg, and lost most of his empire, which had extended into Austria. The Premysl dynasty came to an end in 1306.
Prague was the imperial capital of Charles IV, and often the capital thereafter. The Reformation began in the early 15th century. The movement begun by the reformers Jan Hus (1369-1415), a follower of John Wycliffe, and Jerome of Prague split into two factions. The moderate Ultraquists asked for communion in both kinds, bread and wine. The radical Taborites (so called because their headquarters were in the town of Tabor) wanted extensive reform. Hus was defrocked in 1408 for preaching out of church, and excommunicated in 1410 for translating the Bible into Czech. In 1412, Prague was placed under interdict by Anti-Pope Alexander. Sigismund of Luxemburg, son of Charles IV, became Holy Roman Emperor in 1410. He organized the Council of Constance, 1414-1418, to counter the Reformation. When Hus was summoned to Constance in 1414, Emperor Sigismund promised him safety, but abandoned him there. Hus and Jerome were burned by the Pope at Constance in 1415. Hussites threw the Mayor and Councillors of Prague from the windows of the New Town Hall in 1519, the first "Defenestration of Prague", setting off the Hussite Wars (1419-1436).
Sigismund's brother, King Wenceslas IV, died in 1419 and Sigismund became King of Bohemia as well as Emperor. The Hussite army, commanded by John Zhizhka (1376-1424) and supported by Bohemian nobles, routed an imperial force in 1420 and took Prague. Crusades instigated by Pope Martin V were repeatedly defeated, and the Hussites controlled Bohemia by 1421. Zhizhka was one of the first commanders to use portable field artillery, which he did to excellent effect. On his death, the Hussite army was then commanded by Andrew Procop (1380-1434), who defeated further crusades. The Ultraquists were reconciled with the Catholics, and a unified army defeated and killed Procop at Lipany. The Compactata of 1436 granted the Hussites many of their demands, and established peace. Sigismund was then crowned King of Bohemia.
Sigismund died in 1437. In 1471, the Jagellonian Vladislav II became king. He was more interested in Hungary, of which he was also king, and moved to Buda. His incompetent son Louis, who had succeeded him, was drowned in the marshes at Mohacs after the great victory of the Turks. The kingship passed to Ferdinand I of Habsburg. Bohemia and Moravia were then Habsburg possessions until 1918. Rudolf II, son of Maximilian II (reigned 1576-1612), moved his imperial court to Prague. In 1612 he was succeeded by Ferdinand II, a fervent Catholic. The protestants of Bohemia, who had become a majoriy, were persecuted by the Catholics and appealed to Ferdinand for aid. Ferdinand refused. On 23 May 1618 two of his ministers were thrown out of a window of Prague Castle, the second (and more famous) defenestration of Prague. The ministers were not seriously injured (they fell into a thick manure heap), but this set off the Thirty Years' War, an excellent example of Christian hate. The Protestants deposed Ferdinand and elevated Frederick V, Elector of the Palatinate, a Calvinist, to the throne of Bohemia. The Evangelical Union, the Protestant alliance, split over this into Lutheran and Calvinist factions. Lutheran Saxony decared war on Bohemia. In August 1619, Ferdinand II became Holy Roman Emperor and led the Catholic League against the Protestants. Frederick V was defeated at White Mountain on 8 November 1620. There was then a bloody reprisal against the Protestants.
The war spread to Germany, where it raged until 1648. The Imperial or Habsburg armies of the Catholic League were commanded by Count Tilly, the Protestant armies of the Evangelical Union by King Gustaf Adolf of Sweden, a dedicated Protestant. The War was promoted by France, ruled by Lous XIII and his minister Richelieu, who wanted to remove the Habsburg challenge to their dominance. They could not openly support the Protestants, so they secretly enlisted Gustaf Adolf against the Catholics. Neither side gained a clear-cut victory. The Protestants maintained their existence in northern countries, while the Catholics re-established themselves in Poland, Bavaria, Carinthia and Carniola, Hungary, and a few areas in western Germany. Bohemia, Moravia and Austria remained mixed. Both Tilly and Gustaf Adolf were killed in battle during the war. In this terrible war, about half of the population of Germany was killed, and the country ruined. As an example of the behavior of the armies, Count Tilly captured Magdeburg on 20 May 1631. The city was pillaged, sacked and burned, and the Protestants were slaughtered. The Catholic armies were by far the more brutal, egged on by the Pope as Crusaders. These horrors were all perpetrated in the name of Christ. The Peace of Westphalia, signed at Münster 24 October 1648, recognized the independence of Switzerland (permanent) and the Netherlands (temporary). It established France as the predominant power in Europe, and retarded the unification of Germany.
In 1909, Moravia was an Austrian Crown Land, with its capital and governor at Brünn. Of its population of 2,591,980 Czechs were 1,727,270 (67%) and Germans 695,492 (27%). In 1782, Joseph II united it with Silesia for administrative purposes. In his decrees of 1781, Joseph II proclaimed the freedom of serfs, and toleration of Protestants. The Czech language and culture were promoted, and became equal to German. The Czechs were prominent in the Parliament at Vienna after further liberal reforms. In spite of the benefits of being a leading element in a powerful country, they chose instead to lead the destruction of Austria-Hungary, in cooperation with their French allies.
Silesia, as well as Moravia, were united with the Hungarian crown by Matthias I Corvinus (reigned 1477-1490). In this way they eventually became Habsburg lands, but not part of Hungary. Silesia, stretching from the Sudeten Mountains to beyond the Oder, was a German territory with Breslau as its chief city. It passed to Prussia after the war of the Austrian succession, in 1742. It is now part of Poland, quite unfairly, and the populations have probably been cruelly exchanged.
In 1740, Poland was a large country, extending from the Baltic to the Turkish dominions in Moldavia, and from Brandenburg to Kiev. (See the section on the Baltic, Poland and Lithuania for more details.) It was mainly the union of Poland with Old Lithuania, containing the enclave of the Kingdom of Prussia with its capital at Königsberg. It was suppressed and partitioned by Prussia and Russia in 1772, 1793 and 1795. Galicia went to the Habsburgs in the first partition. Originally, it did not include Cracow, but this centre of Polis culture was added in 1846. The Germans and Russians strove to eliminate Polish culture, but it was fostered in Galicia, as the part included in Habsburg domains was called. It has the same name as the better-known region in northwestern Spain, which in Roman times was inhabited by Celts. The name of polish Galicia comes from its local name Halychyna, which somehow became Galicija, Galizien and Galicia. Its original capital was at Halicz, later moved to Lemberg (Lvov). Western Galicia was Polish, eastern Galicia was Ukrainian. Galicia was beyond the Carpathians opposite Slovakia, but was part of Hungary only briefly, 1189-1199, under Béla III. Poland was soon re-established as the Duchy of Warsaw by 1812, and then as the Kingdom of Poland. The Kingdom was again partitioned between Russia and Germany by 1871, and an independent Poland again disappeared. Poland was re-established after World War I including a good deal of German (Danzig corridor) and Russian territory. After World War II, the Soviet Union reclaimed its territory in eastern Poland and eastern Galicia, and compensated Poland with a great swath of German territory. Again, we had a cruel forced migration of population, of Poles out of east Galicia, Ukrainians out of west Galicia. There is still considerable bad blood over these matters.
The thriving Jewish culture in Galicia prospered under Austria-Hungary, where Jews were emancipated in 1867. Poland oppressed the Jews after it obtained Galicia in 1918, but the Germans wiped out the Jewish community in World War II. The famous death camp of Oswiecim (Auschwitz) was a short distance west of Cracow, near the Galician border. 16,000 alien Jews sent to Galicia by Hungary in July and August 1941 were murdered by the Germans at Kamenec-Podolskij. Of 3.3 million Jews in Poland in 1939, only 8,000 now remain after the emigration of those who managed to survive the war. An approximately equal number of gentile Poles also perished. Poles did not collaborate with the Germans; that was forbidden by the Germans.
If the world had not changed greatly since then, the territorial settlements after the Second World War would by now have caused World War III. The European Community, however, has renouced irredentism and enforces the fair treatment of minorities. The First World War was, essentially, the War to Suppress Germany, fueled by French territorial claims, not by the desire of the Kaiser to rule the world. The post-war settlement guaranteed the Second World War and the hideous Shoah. It is clear that Austria-Hungary could not survive as a multi-national state under existing condtions. However, with more good will and toleration it could have shown the way, and would have been much better than the sorry careers of its successor states with their histories of human misery. Modern federal states, like Germany and the United States, are not by any means multinational states. The purpose of the federalism is solely to provide local control. The Soviet Union was a federal state, with no local control, and could not survive as a multi-national state. The European Community is not a state, and is dominated by bureaucrats and swamped by petty regulations, but may still enable people to get along with one another.
Albania and Macedonia
An Illyrian tribe called the Albanoi are mentioned in Ptolemy's Geography of the 2nd century. Illyrians were spread all over the western Balkans, roughly on the territory that was to become Yugoslavia. The lowlands, seacoasts and towns were thoroughly Latinized, but the traditional speech and habits persisted in the uplands. The language of these people was Indo-European. Today, Albanian (Shqip) is the only survivor of this family. The Latinized people were known as Vlachs to the Slavs that arrived in the 6th century, and they likewise still survive. Indeed, Romania speaks the Vlach language, in which many words have resemblances to Albanian words. The name of the country in Shqip is Shqiperia, "Land of Eagles", but this name appears only since the Turkish conquest. Albania was governed from Constantinople when the Empire was divided in 395 CE, but religious matters were contested between Rome and Constantinople. The Vatican backed a Norman invasion in 1081, but this was soon suppressed. In 1204, much of Albania became part of the Despotate of Epirus after Emperor Michael Comnenus drove out the Venetians who had taken advantage of the Fourth Crusade, which sacked Constantinople the same year. In 1272, Charles I of Anjou founded an Albanian kingdom that lasted about a century, until the struggle with the Turk.
Albanians were not overwhelmed by the Slavs, when they appeared after the 5th century, as was the rest of the Balkans, but finally succumbed to the Ottomans in 1478. The Ottomans had driven into the Balkans by 1385, and in 1389 conquered the Serbs, as mentioned above. It is notable that nearly 90 years were required to subjugate the Albanians. Prominent in this struggle was Gjorj Kastrioti, called Skenderbeu, who fought the Turks from 1443 to 1478. About 70% of the Albanians were converted to Islam, and many played important roles in the Ottoman Empire, rising as high as Grand Vizier, and regularizing its finances. The attachment to the Ottoman Empire was so strong that Albania was the last part of the Balkans in which a national consciousness arose. Independence was achieved on 28 November 1912. However, it meant little, since Serbia (later Yugoslavia) and Italy struggled for hegemony, and this was the time of the Balkan Wars.
Ahmed Bey Zogu emerged as a leader around 1924, and turned to Mussolini for support. In 1928 a kingdom was declared, with Zog as its king. He was overthrown by Mussolini in 1939, and Albania was occupied by Italy. Albania was the springboard for Mussolini's invasion of Greece in October 1940. His failure necessitated the German attack on Yugoslavia and Greece. Between 1941 and 1944, communist partisans and nationalist guerrillas fought each other and the Italians. No Jews were deported, despite German control (there were not many Jews in Albania, anyway). The partisans, lead by Enver Hoxha (1908-1985), prevailed after Italy's surrender in 1943, and a one-party, Stalinist government was instituted. The Red Army did not have to invade Albania.
Greece punished Albania for the Italian invasion by a mass deportation of people called Cham after the war, complete with atrocities. When Tito broke with Stalin in 1948, Hoxha became even more strongly Stalinist. When Stalin died and Russia was de-Stalinized, Hoxha turned to China for friendship. Albania became more and more xenophobic and isolationist during these years. In 1967, all mosques and churches were closed and demolished. Possession of a Quran or Bible was punished by imprisonment. Albania is today a predominantly atheist state, so figures on religious affiliation should be taken with a grain of salt.
Hoxha died in 1985, and was succeeded by Ramiz Alia, who proved a weak leader. The one-party system was abandoned in 1990, and in 1992 the Democratic Party won 62% of the votes. Private worship was permitted after 1990, but public worship was not restored. As usual, the communist government was followed by corruption and organized crime, which is still prevalent, though politicians strive for reform. Albania is very poor, with many Albanians working abroad. The money they remit helps to even the balance of payments, since Albania exports very little. The population is about 3,500,000, 95% Albanian, and the total area a little less than that of Maryland. There are only 447 km of railways, two lines radiating from Durrës (ancient Dyrrachium). The country is all mountains and hills, with only 20% arable.
Hoxha is pronounced something as if it were spelled Hodzha. Albanian is really not difficult or strange to pronounce, but the orthography is unfamiliar. The letter q is pronounced as if it were ty, y is a French u, and so forth. There are two dialects of Shqip, gheg in the north and tosk (the official dialect) in the south. It was first written in the 15th century, in Greek, Cyrillic or Turkish Arab characters, but the Latin alphabet has been used since 1908.
Macedonia was a mountainous country north of classical Greece, that extended from Illyria on the west to the Aegean Sea on the east. The name probably describes the people, as tall. Although racially the same as the Dorian Greeks, they spoke a different language and were considered "barbarians" by the Greeks. However, they adopted Greek culture and were eventually even admitted to the Olympic Games. Instead of city-states, as in Hellas, they were ruled by kings. Alexander the Great was the son of Philip II, who threw off Illyrian domination, and his tutor was Aristotle. Philip V (reigned 221-179 BCE) strove to subjugate Greek city-states, who appealed to Rome for aid. Rome had thrown off its kings centuries earlier, and were eager to do the same for other states and form alliances with them. Philip called in the western Mediterranean power of Carthage as an ally. The Punic Wars began in this way. After severe setbacks, Rome was eventually victorious. There were three Macedonian wars. The third (171-168) overthrew the Macedonian kingdom, replacing it with four republics. Macedonia became the first senatorial province in 146 BCE.
When the Empire was administratively separated into western and eastern parts in 395, Macedonia fell under Constantinople. Around 600, Slavs began to migrate into Macedonia from the northeast. They were herders and farmers, and settled mainly in the hills. The coastal regions, and especially the important city of Salonika or Thessaloniki, on the Gulf of Thermae, remained mostly Greek (i.e. Roman). The Slavs were called Sklavines by the Greeks, and were probably welcome in the depopulated areas. Their petty states were called sklavinias. In 837, the First Bulgarian Empire arose under Tsar Boris. The Macedonian Skalavinias were incorporated in his empire, and Christianized after 846. This was the era of Saints Clement (d. 916) and Naum (d. 910) of Ohrid. On the death of Tsar Peter, in 969, Macedonia became independent of Bulgaria and established its capital at Ohrid. An Orthodox Patriarchate was established at this location by Tsar Samuel, but in 995 it was reduced to an archbishopric. In 1018, after Samuel's death in 1014, this state again became a theme of the Empire, which it remained until 1204. Much of the modern Macedonian identity was established in these times. The Macedonian people were now Slavs, not Dorian Greeks.
The centre of Macedonian identity is the small city of Ohrid in far southwestern Macedonia. Lake Ohrid (pronounced Okhreed) is a tectonic lake, like Lake Baikal, formed in the Tertiary Alpine orogeny. Its surface elevation is 695 m, and its maximum depth 289 m. It is surrounded by limestone mountains, the highest Mount Galichica (2255 m) on the east. Beyond Galichica is Lake Prespa, elevation 853 m and maximum depth 54 m. Water flows from Lake Prespa through the Karst topography to appear as springs feeding Lake Ohrid. Ohrid is shared with Albania, Prespa with Albania and Greece.
The ancient town on the site of Ohrid was Lychnidos, on the Via Egnatia from the Adriatic port of Dyrrachium to Salonika, the shortest road from Rome to Constantinople. Most travellers would have made the journey by sea, however. Lychnidos was an episcopate from the 4th century. It was ruined by earthquakes on 29-20 May 526. The Slavs of the Berzites tribe reconstructed it after 600 and renamed it Ohrid. It was heavily fortified as the capital of Tsar Samuel's empire, but the fortifications were largely destroyed by Emperor Basil II after 1018. There was a Norman invasion in 1081-1085, and later domination by the Latin Kingdom of Thessalonika in 1204. These threats were overcome, but in 1334 Serbian King Dushan overran Macedonia. In 1395, Chandarli Hairudin Pasha, vizier of Sultan Bayazit I, conquered Macedonia. The Macedonian archepiscopate was continued under the Turks. The Phanar Greek Patriarch was jealous of an independent Macedonian church, however, so the Ohrid archepiscopate was abolished in 1767, and its affairs translated to Constantinople. Ohrid was renamed Lychnidos at this time.
Medieval Slavic Macedonia was the cradle of Slavic literature, with the invention of the Glagolitic alphabet of 38 letters in 863, devised by Cyril and Methodius, who were Greek natives of Salonika. The language of Macedonia was the model for Old Church Slavonic, that was supposedly understandable by all Slavs. "Glagolati" means "to speak" in Old Church Slavonic. Macedonian national consciousness is largely centred on the language, which was revived in the 19th century, and on the old capital of Tsar Samuel's at Ohrid. The Bogomil heresy also arose here in the 10th century. The name of Macedonia disappeared after the Turkish conquest, and Macedonia became part of the province of Rumelia. The Sultan settled some of the Jews expelled by Spain in 1492 in Salonika. There they remained until 60,000 were turned over by the Greeks to the Germans in 1942 for deportation to Poland.
The Ottoman Empire was fraying at the edges in the 18th century, with many peripheral beys and pashas acting independently. Gheladin Bey, who ruled at Ohrid, was one of these. When the Sultan attacked and defeated him, he fled to Egypt in 1832. The whole region was infested with robbers and bandits in these years. A hopeless Macedonian rising against the Turks occurred on 2 August 1903, the religious festival of Ilinden, after which the rising is named. There were some 2100 Macedonians against 46,000 Turks. The rising was defeated at Rosanec, and the survivors committed suicide rather than fall into Turkish hands. Nijazi-Beg, the military commander at Resen, one of the Young Turks, himself rebelled on 3 July 1908 against the Sultan.
The Turks were driven out of Macedonia by the allied Serbs, Bulgars and Greeks in the First Balkan War in 1912. The allies soon fell out over the spoils, and Bulgaria fought Serbia and Greece in the Second Balkan War, in 1913. Macedonia was then partitioned. Aegean Macedonia, with Salonika, went to Greece. The large area in the northwest, Vardar, was acquired by Serbia. The remaining area, Pirin, became Bulgarian. The Greeks and Serbs maintained that there were no Serbs south of the new borders, no Greeks north of it, and no Macedonians anywhere. In Greece, use of the Macedonian language was forbidden. The Bulgarians regarded Macedonians as simply Bulgarians, for historical reasons, despite the cultural differences that had arisen over the preceding 1000 years.
In the 1941 Vienna Agreement on the disposition of Yugoslavia, 4/5 of Vardar was given to the Bulgarians, and 1/5 to Italy. After the war, Yugoslavia was restored to the status quo ante. Tito created a Macedonian Republic in Vardar, with its capital at Skopje, which became part of the Yugoslav federation. He did this to dilute Serbian influence, as well as to forestall any action by Bulgaria to recover what they considered Bulgarian. This was the essential step to the recognition of a Macedonian identity. Macedonia seceded from the crumbling Yugoslav federation in September 1991. Its flag was a red banner bearing a golden Star of Vergina. This Sun with 16 rays of two lengths had been found by archaeologists in Macedonia, and associated with Philip II, though its actual use was unknown.
Greece objected strongly to the use of the name Macedonia, and to the Star of Vergina. The flag of their own Macedonian province was a Star of Vergina on a blue background. Macedonia changed its flag in 1995, replacing the Star of Vergina by a Sun with 8 triangular rays, but would not give up their name. Greece strongly denies any Slavic heritage, even changing Slavic place names to Greek names wherever they can be found. However, Slavs penetrated even into the Peleponnesus. So far as Greece, Serbia and Bulgaria are concerned, there are no Macedonians at all (just as there are no Vlachs at all). Greek Macedonia extends beyond the River Strymon, the traditional boundary, to the River Euros, which is well into Thrace. In 1922, Greece and Turkey engaged in population transfers between Macedonia and Anatolia.
The population of the present Republic of Macedonia in 1991 was 2,033,964, 66% Macedonian, 23% Albanian and 4% Turkish, with the remainder composed of Vlachs (8571) and Serbs. The Macedonian language retains many archaic elements that have disappeared in other Slavic languages, such as the imperfect and aorist tenses. It also is more analytic, eliminating many case endings, and has a post-positive article. A special Cyrillic alphabet of 31 characters is perfectly phonetic. There is little chance of reunion with Bulgarian and Greek Macedonians. The Pirin Macedonians claim they are 250,000, but the Bulgarians claim there are only 3000 (not long ago, the Bulgarians claimed there were 0, so this is an improvement).
Communism
The failure of communism at the end of the 20th century was a remarkable development. Communism proved that it was about power, not about helping the economic underclass. Many authors now assume that democracy and communism are absolutely incompatible. Why else would it forbid the association of workers in their own unions, abolish any semblance of a free press, and drench itself in blood? Stalin, they say, murdered as many people as Hitler. Everyone should know a little of the fascinating story of communism.
Karl Marx (1818-1883) was born into a Jewish family in Trier, and received a PhD from the University of Jena. In 1843 he moved to Paris, where he formed a lasting friendship with Friedrich Engels. After the tumult of 1848, he went to Brussels, where his Communist Manifesto was published. In 1849 he emigrated to London, where he remained the rest of his life. In 1849, his primary work, Das Kapital, was published there. He is buried in Highgate cemetery, One wonders what he would have made of Lenin and Stalin. Marxism has become an important philosophical movement, though it is now discredited as a political movement. It is mostly cultivated by intellectuals, not actual workers, and seems accessible to weaker intellects. One of the chief tenets of Marxism is that value is added only as a result of labour.
Attempts to create communist governments in Europe were made after the Russian Revolution of 1917, but without success. After the Second World War, occupation by the Red Army generally ensured the creation of single-party Stalinist governments. In other places, such as Albania and YUgoslavia, victorious communist partisans accomplished this without the aid of the Red Army. Regimes so established tended to be idiosyncratic, such as those of Tito's and Hoxha's. Every country from Poland to Bulgaria had a Stalinist government after 1948. Greece was almost communist as well, but the communist partisans were defeated in a civil war by monarchist forces. Communism was nowhere a popular success, even in the German Democratic Republic (which, of course, was anything but democratic) where it worked better than elsewhere. There were attempts to liberalize the Stalinist regimes, as in Hungary in 1956 and Czechoslovakia in 1968, but they were brutally repressed. The Hungarian revolt was a rejection of communism, but the Prague Spring from 5 January to 20-21 August, when the Warsaw Pact armies arrived, was only a reform backed by the party. Imre Nagy was executed, but Alexander Dubček remained in office. De-Staliniztion proceeded in 1963-68 under Brezhnev. The end of European communism began in Poland in 1989 with the Solidarnosc movement, which rapidly spread to other countries in various forms.
Defeat of the Tsar's army by Germany and Austria led to unrest in Russia at the beginning of 1917. The February revolution deposed the Tsar and established a provisional government under Alexander Kerensky (1881-1970). In July, V. I. Lenin (1870-1924) fled to Finland and then to Switzerland. The Germans, hoping to destabilize the new government, brought Lenin and his associates back to St. Petersburg by special train from Switzerland on 16 April. Lenin had been named leader of the Russian Social Democratic Labour Party (RSDLP) in its 1903 conference. At that conference, the party had split into two parts, the Mensheviks (minority) who advocated cooperation with other Socialist parties, and the Bolsheviks (majority), who proposed domination of the government by their party. Lenin and his aide Grigory Zinoviev (1883-1936), both Bolsheviks, engineered the October Revolution, in which the Bolsheviks triumphed. An election did not give the Bolsheviks a majority, so Lenin dissolved the Constituent Assembly and created a new body in which the Bolsheviks dominated. This was the beginning of one-party rule in Russia and the end of Social Democracy. Lenin also established the Chekha, the dreaded secret police, at this time. The RSDLP became the All Russian Communist Party.
Peace with Germany and Austria was concluded by the Treaty of Brest-Litovsk in March 1918. This treaty was very disadvantageous to Russia, which lost Finland, Estonia, Latvia, Lithuania and Poland. It did give Lenin breathing room, however. On 30 August 1918 Lenin was assassinated by Fanya Kaplan; two bullets struck him, but he survived. The Polish-Soviet War of 1919 was inconclusive. The Communist International (Comintern) was founded in 1919 to export the revolution. The Russian Civil War then broke out between the communists (Red) and the royalists (White). Leon Trotsky was named Commissar of the Red Army, and prosecuted the war vigorously, with eventual victory around 1922. Poland was saved by Pilsudski, so communism was limited to Russia.
Communist theory was centred around a worker proletariat, which did not exist to any great extent in predominantly agricultural Russia. Bolshevik theory demanded that land be brought under state ownership, and this doctrine was implemented, with disastrous results. There were no farmers among the Bolsheviks. Agriculture soon collapsed, with even seed corn being consumed. Famine led to the embarrassing acceptance of aid from capitalist nations. Lenin met this crisis with the New Economic Policy (NEP) in 1921, restoring some private agriculture, which seems to have been ineffective.
Lenin was born Vladimir Ilyich Ulyanov in Simbirsk (Ulyanov after 1924) on the Volga, which was also Kerensky's birthplace. He adopted the revolutionary alias Lenin in 1901 to commemmorate the massacre of 270 striking gold miners on the River Lena by Tsarist troops. He died on 21 January 1924, either from syphilis (which was then common in Russia) or as a delayed consequence of Lena Kaplan's bullets. Leon Trotsky (1879-1940), born Lev Davidovich Bronshtein to a Jewish family, was originally a Menshevik, but became a Bolshevik in August 1917, returning with Lenin on the train from Switzerland. After 1922, Trotsky was pushed out by the triumvirate of Zinoviev, Kamenev and Stalin who had assumed control of the party. The 13th party conference, on January 1924 after Lenin's death, denounced the heresy of "Trotskyism" without defining it very accurately. Trotsky deplored the loss of social democracy and the rise of a central bureaucracy. He warned that it was necessary to spread the revolution to other countries, or the capitalists would unite to crush communism. Stalin championed "socialism in one country". Under Stalinism, the worker's soviets, apparently local democratic bodies, became merely rubber stamps for the bureaucracy. Any objections were referred to the Chekha.
Grigory Zinoviev (1883-1936) was a Jewish intellectual and associate of Lenin's, also aboard the train from Switzerland. Josef Stalin (1879-1953), originally Iosif Vissarionivich Dzhugashvili, was not a Russian, but a Georgian from the Caucasus. He became General Secretary of the Communist Party in 1922. His earthy character appealed to the party rank-and-file, whose support is responsible for his rise. After Lenin's death, he began to implement his ideas, blaming any opposition on "Trotskyism". Stalin replaced the NEP with forced collectivization and five-year plans. Originally allied with the intellectuals Zinoviev and Kamensky, who had helped him eliminate Trotsky, he separated from them in 1926, and they were expelled from the party in November. Confessing their mistakes, they were readmitted six months later, but their fates were sealed. They were expelled again in 1932, readmitted in 1933. The murder of Stalin's ally (earlier a rival) Kirov (1886-1934) on 1 December 1934 ignited a party purge of Trotskyites. Zinoviev, Kamenev and 14 others were expelled, arrested, tried and executed on 25 August 1936. They were exonerated in 1988 after Stalin's death. Trotsky escaped to exile in Mexico, where he was murdered in 1940 by Ramón Mercador, a servant, on Stalin's orders.
In the Great Purges of 1936-1938, practically all the original Bolsheviks of the October revolution were eliminated, except for Stalin, the sole survivor of the original Politburo. The Red Army purges ended this era. They were set off by forged documents prepared by the Reich's Reinhard Heydrich of the SD and forwarded by foreign minister Beneš of Czechoslovakia, purporting to show disloyal comments by high officers. 3 of 5 marshals, including Marshal Tukachevsky, 8 of 9 admirals, 13 of 15 full generals, 50 of 57 lieutenant generals, and 154 of 186 major generals, were liquidated. Heydrich's plan, to weaken the Red Army, was fully effective. The purges fell on many others, including kulaks (wealthy peasants). The total numbers killed are not known, but a figure of 681,692 for 1937-1938 alone is quoted.
Communism created powerful enemies between the Wars, such as Mussolini, Franco, Antonescu, J. Edgar Hoover, and Hitler. Franco was not interested in what happened outside of Spain. Mussolini and Antonescu were not powerful enough to take on Russia, and Hoover was restrained by the U. S. government. Hitler attacked Soviet Russia in hopes of a quick victory, but was disappointed. In fact, Soviet Russia was his downfall, and the Soviet victory, with the help of the United States and Britain, spread communism in Europe. The USSR was dissolved in 1991.
Stalinism was characterized by a strong, autocratic ruler ("personality cult"), bureaucratic government under central control, repression under a powerful secret police, and absence of any democratic processes, though the states were called "People's Republics". Soviets were mere rubber stamps. Communism in practice was the triumph of unbounded bureaucracy. We can perceive the tendency toward it in American government at all levels, and especially in Labour town councils in Britain. It was the model for all communist governments in central Europe in 1945-1990, with leaders like Ulbricht, Honecker, Ceausescu, Kádár, Tito, Hoxha, Gomulka, and others. After the fall of single-party governments, communism did not survive in any European country. The corruption and crime that accompanied the new liberal governments brought to light what must have existed crawling under the rocks of the Stalinist regimes.
There are many interesting stories of communist agitation between the World Wars, many of which can be found on the Internet. Perhaps it would be useful to tell the story of one "typical" communist. Béla Kohn was born in Szilágy-Cseh, Transylvania, in 1886. His father was a non-practicing Jew, and his mother a Protestant. He was educated in a Calvinist grammar school in Kolosvár, where he was a good student. He married Iren Gal. In 1906 he Magyarized his name to Kun. As Béla Kun he served in the Austro-Hungarian army in the First World War, and became a prisoner of war in 1916. When freed by the Red Army, he passionately adopted communism and rose rapidly in the party. With Soviet support, he returned to Hungary in 1919. He was a charismatic speaker, urging the formation of a communist government. In the post-war chaos, his group made life impossible for the provisional government, which abdicated in his favor. On 21 March 1919, the Hungarian Soviet Republic was declared. An army was formed that defeated the Slovaks in the north in short order. All land was nationalized, and collective farms organized, a move that enraged the agricultural sector and set it firmly against him. After a failed anti-communist coup, the Red Terror in reprisal claimed from 370 to 587 victims.
The Red Army, marching to Kun's support, suffered severe reverses in Ukraine and could not help him. A Romanian army met only feeble resistance, and took Budapest. On 1 August, Kun fled to Vienna. The communist government, the only one to exist outside of Russia, had lasted only 133 days. The White Terror instigated by the Romanians claimed from 1500 to 5000 lives, among them many Jews. Admiral Horthy, who had been with the French army in Szeged, then arrived in Budapest, and was named regent of a kingdom without a king, and formed a right-wing government. The Romanians left Budapest on 14 November 1919, and Hungary on 25 February 1920. Kun returned to the Soviet Union, where he handled defeated Whites in the Crimea by murdering them all in November 1920. The Russians did not approve of a Hungarian Jew's murdering Russians, even monarchists. However, Kun became an ally of Zinoviev's. After Zinoviev's execution in 1936, Kun became a supporter of Stalin's. This did him no good, for he was accused of Trotskyism and arrested in May 1937. He was sent to a gulag in Siberia, where he was executed in 1938 or 1939. His associate, Mátyás Rákissi, who was exiled with him, survived to return to Hungary after the war to take part in the communist government.
References
This page is still under construction, and may contain infelicities, mistyping and errors. I have used a few Unicode characters in names, which may not render correctly in some browsers.
Much of this page reflects information available on the Internet. Instead of quoting sources, which would be very time-consuming, I ask the reader to use a good search engine. I myself use the BBC search engine, which is free of ads and pop-ups, and have had good results with it. I do not claim authority in this subject, just interest, and have done the best that I can.
W. L. Langer, ed., An Encyclopedia of World History (Boston: Houghton Mifflin, 1952).
W. R.Shepherd, Historical Atlas, 8th ed. (New York: Barnes and Noble, 1956).
C. McEvedy, The New Penguin Atlas of Medieval History, 2nd ed. (London: Penguin Books, 2002). The second in a series of four Penguin historical atlases. This volume covers 400-1500 CE, with a map for every 40 years, approximately, on which the migrations can easily be followed. There is a good commentary, treating the Islamic world in detail. Trade routes are treated, but not completely satisfactorily. The amber trade on the Variangian amber route is not mentioned, nor is trade in salted fish in the Baltic. The word "devolve" is misused, and it is not clear what is meant. There are better estimates of population in these atlases than are usually encountered.
A valuable online encyclopedia is Wikipedia . It is noncommercial and free. The articles are edited by readers, and controversial subjects are flagged. Links appear in the BBC search results. Add "wiki" to your search string to increase the probability of a link to wikipedia.
The website of the Corvinus Library, Corvinus has many interesting articles on Central European history, such as Lazar's History of Hungary, and J. F. Montgomery's account of his ambassadorship to Hungary in 1933-1941.
L. R. Johnson, Central Europe (New York: Oxford University Press, 1996) is a good recent text on the subject of this article that treats certain subjects more completely, such as religious aspects and the relation to current events. Germany is included, but not Romania or the Balkans. Some anachronisms appear, such as "Romanian Wallachia" in the 15th century, more than 400 years before there was a Romania. Just Wallachia would have been sufficient. Also found is "Romanian Transylvania" long before it was Romanian at all. It is stated that Budapest was liberated from the Turks in 1686, but Budapest did not exist until 1873: in 1686 it was just Buda, with another town across the river. The editors should have questioned some spellings (breech for breach, San Souci for Sans Souci, proletariate, and the participle sieged, for example). "The dye was cast" got through as well. The book was not competently proofread by the editor before publication, just "spellchecked", which is typical of modern books.
Composed by J. B. Calvert
Created 25 September 2005
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i don't know
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The genocide of Tutsi people by Hutu militia in 1994 was in which country?
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The History Place - Genocide in the 20th Century: Rwanda 1994
Beginning on April 6, 1994, and for the next hundred days, up to 800,000 Tutsis were killed by Hutu militia using clubs and machetes, with as many as 10,000 killed each day.
Rwanda is one of the smallest countries in Central Africa, with just 7 million people, and is comprised of two main ethnic groups, the Hutu and the Tutsi. Although the Hutus account for 90 percent of the population, in the past, the Tutsi minority was considered the aristocracy of Rwanda and dominated Hutu peasants for decades, especially while Rwanda was under Belgian colonial rule.
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Central Africa
Following independence from Belgium in 1962, the Hutu majority seized power and reversed the roles, oppressing the Tutsis through systematic discrimination and acts of violence. As a result, over 200,000 Tutsis fled to neighboring countries and formed a rebel guerrilla army, the Rwandan Patriotic Front.
In 1990, this rebel army invaded Rwanda and forced Hutu President Juvenal Habyalimana into signing an accord which mandated that the Hutus and Tutsis would share power.
Ethnic tensions in Rwanda were significantly heightened in October 1993 upon the assassination of Melchior Ndadaye, the first popularly elected Hutu president of neighboring Burundi.
A United Nations peacekeeping force of 2,500 multinational soldiers was then dispatched to Rwanda to preserve the fragile cease-fire between the Hutu government and the Tutsi rebels. Peace was threatened by Hutu extremists who were violently opposed to sharing any power with the Tutsis. Among these extremists were those who desired nothing less than the actual extermination of the Tutsis. It was later revealed they had even drawn up lists of prominent Tutsis and moderate Hutu politicians to kill, should the opportunity arise.
In April 1994, amid ever-increasing prospects of violence, Rwandan President Habyalimana and Burundi's new President, Cyprien Ntaryamira, held several peace meetings with Tutsi rebels. On April 6, while returning from a meeting in Tanzania, a small jet carrying the two presidents was shot down by ground-fired missiles as it approached Rwanda's airport at Kigali. Immediately after their deaths, Rwanda plunged into political violence as Hutu extremists began targeting prominent opposition figures who were on their death-lists, including moderate Hutu politicians and Tutsi leaders.
The killings then spread throughout the countryside as Hutu militia, armed with machetes, clubs, guns and grenades, began indiscriminately killing Tutsi civilians. All individuals in Rwanda carried identification cards specifying their ethnic background, a practice left over from colonial days. These 'tribal cards' now meant the difference between life and death.
Amid the onslaught, the small U.N. peacekeeping force was overwhelmed as terrified Tutsi families and moderate politicians sought protection.
Among the peacekeepers were ten soldiers from Belgium who were captured by the Hutus, tortured and murdered. As a result, the United States, France, Belgium, and Italy all began evacuating their own personnel from Rwanda.
However, no effort was made to evacuate Tutsi civilians or Hutu moderates. Instead, they were left behind entirely at the mercy of the avenging Hutu.
Back at U.N headquarters in New York, the killings were initially categorized as a breakdown in the cease-fire between the Tutsi and Hutu. Throughout the massacre, both the U.N. and the U.S. carefully refrained from labeling the killings as genocide, which would have necessitated some kind of emergency intervention.
On April 21, the Red Cross estimated that hundreds of thousands of Tutsi had already been massacred since April 6 - an extraordinary rate of killing.
The U.N. Security Council responded to the worsening crisis by voting unanimously to abandon Rwanda. The remainder of U.N. peacekeeping troops were pulled out, leaving behind a only tiny force of about 200 soldiers for the entire country.
The Hutu, now without opposition from the world community, engaged in genocidal mania, clubbing and hacking to death defenseless Tutsi families with machetes everywhere they were found. The Rwandan state radio, controlled by Hutu extremists, further encouraged the killings by broadcasting non-stop hate propaganda and even pinpointed the locations of Tutsis in hiding. The killers were aided by members of the Hutu professional class including journalists, doctors and educators, along with unemployed Hutu youths and peasants who killed Tutsis just to steal their property.
Many Tutsis took refuge in churches and mission compounds. These places became the scenes of some of the worst massacres. In one case, at Musha, 1,200 Tutsis who had sought refuge were killed beginning at 8 a.m. lasting until the evening. Hospitals also became prime targets as wounded survivors were sought out then killed.
In some local villages, militiamen forced Hutus to kill their Tutsi neighbors or face a death sentence for themselves and their entire families. They also forced Tutsis to kill members of their own families.
By mid May, an estimated 500,000 Tutsis had been slaughtered. Bodies were now commonly seen floating down the Kigara River into Lake Victoria.
Confronted with international TV news reports depicting genocide, the U.N. Security Council voted to send up to 5,000 soldiers to Rwanda. However, the Security Council failed to establish any timetable and thus never sent the troops in time to stop the massacre.
The killings only ended after armed Tutsi rebels, invading from neighboring countries, managed to defeat the Hutus and halt the genocide in July 1994. By then, over one-tenth of the population, an estimated 800,000 persons, had been killed.
Copyright © 1999 The History Place All Rights Reserved
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Rwanda
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What Japanese word meaning 'person born before another' refers to a teacher or master of a subject, for example martial arts?
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Rwanda: What caused the decline in the Rwandan population prior to the genocide in 1994? - Quora
Quora
Africa
Rwanda: What caused the decline in the Rwandan population prior to the genocide in 1994?
The genocide in Rwanda occurred in 1994 over 100 days and led to the deaths of an estimated 800,000 people. However according to this population graph based on data by the World Bank, the decline in population occurred well before that as early as 1989:
Written Nov 9, 2012
The quick answer is that the majority rule Hutu (and then Hutu Power) government had been preaching Tutsi genocide for so long that many Tutsi and probably moderate Hutu left the country preferring exile to a refugee camp to death by machete.
The Belgians had used Tutsis to manage the Hutu "work force". The Belgians beat the Tutsi to make Hutus work. Tutsis beat Hutus to avoid further beatings. Undoubtedly, there were Tutsis that abused Hutus during these years. Regardless, the new republic government was going to be hard on Tutsis.
The first Hutu on Tutsi violence occurred in the 60's shortly after the Belgians gave up their expansionist quest after approved majority rule for the new republic. A few hundred houses burned. Then a few hundred Tutsi killed. Maybe a thousand killed later. Then systematic expulsion of Tutsis from positions of prestige and education. It is all well documented.
I cannot swear to this number, but I believe 2M Rwandans (presumably Tutsi and moderate Hutu) were in exile in 1994. A fantastically huge number to have been ignored internationally. Even if you knew nothing of Rawandan politics, you would ask why this number was so large.
As you note, the Tutsi slaughter began April 6, 1994 and continued until the end of July. Eventually the RFP defeated the Hutu militia and later the French troops (yes French troops aided the genocide) ending the killing while Hutus fled for the borders. Post-genocide killings were done on both sides.
The RFP was a rag tag bunch prior to the start of the genocide. It is not hard to understand swelling their ranks from 500 to 20K in matter of weeks once the killing started. However, it is amazing that these additional troops could be fed and armed. Possibly the RFP had plenty of food and weapons from years of accumulation.
The most recent census puts the Hutu at 84%, the Tutsi at 15%, and the Twa at 1%. (Were the Twa ever targeted for extermination?) I believe these numbers were nearly the same in 1994, so the refugees must be home again.
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i don't know
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What on a bird has a calamus, rachis and barbs?
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Feather evolution
Ornithology
Feather evolution
Among the various integumentary structures of vertebrates, feathers are the most complex. Feathers are unique in their complex branching and impressive variation in size, shape, color, and texture (Prum 1999, Prum and Williamson 2001; Figure 1). Feathers were long considered the defining anatomical feature of birds. However, many specimens of non-avian dinosaurs have been discovered in China that show that feathers are not restricted to birds (Figure 2). Specifically, most non-avian coelurosaurian theropods appeared to have feathers, with coelurosaurs being relatively small (2 – 3 m long), carnivorous dinosaurs that occurred from the mid-Triassic through the early Jurassic (230 – 200 million years ago).
Figure 1. The two basic feather types are pennaceous and plumulaceous (or downy). Both types have a calamus. The pennaceous feather also has a rachis (or shaft) from which branches the barbs. Branching off of the barbs (upper right) are barbules. The hooklets of the barbules on the distal side of barbs interlock with the barbules on the proximal side of adjacent barbs. The ‘interlocked’ barbs on each side of the rachis form the feather vanes. The plumulaceous feather has numerous non-interlocked barbs extending from the calamus (From: Prum and Brush 2003).
Figure 2. Relationships among theropods, coelurosaurs (feathered dinosaurs), and present-day birds
(Source: http://www.zoology.ubc.ca/~bio336/Bio336/Lectures/Lecture5/Overheads.html ).
In taxa more distantly related to birds, such as Sinosauropteryx (Figure 3 below), multiple tufts projecting a few millimeters from the skin have been discovered that resemble hypothesized early stages in avian feather development. These filamentous ‘feathers’ (or ‘protofeathers’; there is some disagreement concerning whether or not these integumentary structures were true feathers, e.g., Unwin 1998, Lingham-Soliar et al. 2007) were about 20 (5-40) mm long and appear to be rather homogenous over the body rather than originating in specific tracts. To some investigators, the filaments appear to be like down feathers and were probably used for insulation. They were hollow, and appeared to have a short shaft with barbs, but no barbules. In 2009, a fossil of another feathered dinosaur, Beipiaosaurus (a coelurosaurian theropod), with even simpler feathers was reported (Xu et al. 2009; Figures 4 and 5 below). These feathers consisted of single broad (about 2 mm wide) filament, were 10 to 15 centimeters long, and only present on the head, neck and tail. In taxa more closely related to birds, such as the oviraptorid Caudipteryx and dromaeosaurid Sinornithosaurus, elongate pinnate wing and tail feathers, structurally identical to the feathers of present-day birds and comprised of a central rachis, branching barbs, and barbules, have been found. In addition, fossils of a Dromaeosaurid (Microraptor) have revealed asymmetrically veined pennaceous feathers on both the forelimbs and hindlimbs (Clarke and Middleton 2006).
Figure 3. Restoration of a Sinosauropteryx (Sinosauropteryx prima) with its body covered with feathers that were likely important for thermoregulation
(From: Chuong et al. 2001, and based on Chen et al. 1998).
Figure 4. The elongated, single filament feathers of Beipiaosaurus. The yellow arrows point to feathers on the head and neck (right) and tail (above)
(From: Xu et al. 2009).
Figure 5. Artist’s conception of Beipiaosaurus, a dinosaur with broad, single-filament feather
(Image: Zhao Chuang and Xing Lida; source: http://blogs.discovermagazine.com/80beats/2009/01/13/to-attract-mates-this-dino-may-have-shaken-a-tail-feather/).
Cladogram illustrating the relationship of birds with major groups of non-avian coelurosaurian theropods. The numbers in circles at each branching node indicate the first appearance of feathers and other key morphological characters. 1, unbranched feathers; 2, uncinate processes on ribs; 3, true branched feathers; 4, retroverted pubis; 5, reversed hallux; 6, asymmetrical flight feathers; 7, pygostyle; 8, horny beak; 9, alula (bastard wing); 10, large, keeled sternum. Taxa indicated with an asterisk are known to have possessed either protofeathers or true feathers (From: Zhou et al. 2003).
Preserved evidence of archosaurian body covering
The earliest preserved scales, filaments, or feathers are from the late Jurassic; the earliest crown clade bird with feathers is from the Paleocene. Filamentous feather precursors may have originated nearly 100 million years before the origin of flight, but very few fossil deposits sample this period. Sexual dimorphism in plumage and color patterning in Late Jurassic and Early Cretaceous dinosaurs suggest that display functions played a key role in the early evolution of pinnate feathers (Source: Clarke 2013 ).
Because birds evolved from reptiles and the integument of present-day reptiles (and most extinct reptiles including most dinosaurs) is characterized by scales, early hypotheses concerning the evolution of feathers began with the assumption that feathers developed from scales, with scales elongating, then growing fringed edges and, ultimately, producing hooked and grooved barbules (Figure 6 below). The problem with that scenario is that scales are basically flat folds of the integument whereas feathers are tubular structures. A pennaceous feather becomes ‘flat’ only after emerging from a cylindrical sheath (Prum and Brush 2002). In addition, the type and distribution of protein (keratin) in feathers and scales differ (Sawyer et al. 2000). The only feature shared by feathers and scales is that they both begin development as a morphologically distinct placode – an epidermal thickening above a condensation, or congregation, of dermal cells (see Figure 8 below). Feathers, then, are not derived from scales, but, rather, are evolutionary novelties with numerous unique features, including the feather follicle, tubular feather germ (an elevated area of epidermal cells), and a complex branching structure (Prum and Brush 2002; Figure 7 below).
Figure 6. Hypothetical intermediate stage in the evolution of feathers from scales, with ‘cracks’ separating sections of a large scales into smaller, lateral plates, or protobarbs (From: Regal 1975).
Feathers are branched structures. The main branch of a typical feather is the rachis, and barbs, consisting of a barb ramus and projections called barbules, branch off the rachis (Figure above from Prum and Brush 2003). Feathers grow from the base and the different branches are generated by various mechanisms in the feather follicle. Feather growth depends on nutrients provided via the follicular cavity (dermal pulp), and the feather structure develops on the follicular (or follicle) collar (inner epidermal layer; Figure 8 below). The production of the complex branched structure involves the interaction of several processes of cellular differentiation that occurs on the follicle collar (Calcott 2009). Among present-day birds, variation in the shape and structure of the rachis, barbs, and barbules generates a variety of feather types, including flight (contour) feathers, semiplumes, bristles, down feathers, filoplumes, and powder downs (Figure 7 below).
Figure 7. Various types of feathers of present-day birds, including the contour feather (left) plus filoplumes, semiplumes, down feathers, and bristles
(From: Lucas and Stettenheim 1972).
Figure 8. Schematic diagram of the development of a feather follicle. (A) Development of the epidermal feather placode and the dermal condensation. (B) Development of a feather papilla (or elongate feather bud) via the proliferation of dermal cells. (C) Formation of the feather follicle by the invagination of a cylinder of epidermal tissue around the base of the feather papilla. (D) Cross-section of the feather follicle as indicated by the dashed line in C. The follicle consists of a series of tissue layers (from peripheral to central), including the dermis of the follicle, the epidermis of the follicle (outer epidermal layer), the follicle cavity or lumen (the space between epidermal layers), the follicle (epidermal) collar (or inner epidermal layer), and the dermal pulp (tissue at the center of the follicle). The proliferation of feather keratinocytes and most of the growth of the feather occurs in the follicle, or epidermal, collar (From: Prum 1999).
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Pennaceous feather development
Downy feather development
Based on fossil evidence, we know that the first non-avian theropods with simple, single-filament feathers lived about 190 million years ago, and that non-avian theropods with feathers having a complex branching structure like those of present-day birds (pennaceous feathers) existed about 135 million years ago. This fossil evidence raises two important questions. First, if not derived from scales, how did feathers evolve and, second, how did simple, single-filament feathers evolve to become much more complex pennaceous feathers? Of course, a related question is, given that non-avian theropods did not fly, what function or functions did these feathers serve?
Both fossil and developmental evidence suggests that feathers evolved through a series of transitional stages, each the result of a developmental evolutionary novelty or, in other words, a new mechanism of growth (Prum 1999, Prum and Brush 2002, 2003). The first feathers, like those of Beipiaosaurus , were unbranched, hollow cylinders that developed from the tubular elongation (the feather germ) of a placode (Figure 9 below). The advantage of a tubular feather germ is that growth of a structure (in this case, a feather) can occur without an increase in the size of the skin itself (in contrast to, for example, scales; Prum 2005). An important step in the evolution of the first feathers was a change in characteristics of the placode. Both scales and feathers begin development from placodes, but feather development, in contrast to scale development, requires generation of suprabasal cell populations (dermal condensations) to form the follicle (see Figure 8 above). The development of placodes where dermal condensations occur, an evolutionary novelty, required changes in gene expression and timing. However, such changes are known to be an important mechanism in the origin of morphological innovations in many other organisms (True and Carroll 2002, Prum 2005).
Figure 9. The first feathers were likely hollow cylinders (Stage I) with undifferentiated collars that developed from an evolutionary novel follicle collar
(From: Prum and Brush 2003).
Based on Prum’s (1999) model of feather evolution, the next step after the origin of the feather follicle was the differentiation of the follicle collar into barb ridges to generate barbs (Stage II; Figure 10 below). The resulting feather would consist of a tuft of barbs extending from the calamus (Figure 10 below). Such a feather is hypothesized to have evolved before the origin of the rachis (Stage IIIA) because the rachis is initially formed by the fusion of barb ridges. In addition, barbs are hypothesized to evolve before barbules because barbules develop within layers of pre-existing barb ridges (Prum 1999). Feathers comparable in structure to hypothesized Stage II feathers have been reported from fossils of non-avian theropods, such as Sinornithosaurus mellenii (Figures 11 and 12 below; Xu et al. 2001, Norell and Xu 2005).
Figure 10. The next step in feather evolution (Stage II) involved the differentiation of the follicle collar into barb ridges to generated unbranched barbs (From: Prum and Brush 2003).
Figure 11. Filamentous integumental structure of Sinornithosaurus millenii with compound structures composed of multiple filaments. These structures exhibit two types of branching structure unique to avian feathers: the filaments are joined in a basal tuft, and the filaments are joined at their bases in series along a central filament. a, Arrows indicate the distal tips of some component filaments . b , Illustrated reconstruction of the appendage showing the positions of the observed filaments (lines) and the inferred outline of the appendage (shading). Asterisk, the proximal end of the appendage. The curved position of the appendage reveals its compound structure. Each filament converges on the center of the appendage at its base. Scale bar, 5 mm (From: Xu et al. 2001).
Figure 12. Sinornithosaurus millenii , based on this skeletal drawing by Marco Auditore and others
(Source: Wikipedia; http://en.wikipedia.org/wiki/File:Sinornithosaurus.jpg).
Line drawing of reconstructed skull of Sinornithosaurus. The skull is approximately 75 mm long.
vg, venom groove; mxf, maxillary fang; sff, subfenestral fossa; fc, fossa canal.
The birdlike raptor Sinornithosaurus was venomous -- Evidence suggests that some of the most avian dromaeosaurs, such as Sinornithosaurus, were venomous. These raptors had unusual dentition and other cranial features including grooved teeth, a possible pocket for venom glands, and a groove leading from that pocket to the exposed bases of the teeth. The anterior maxillary teeth are so long and fanglike that these raptors appear to be saber-toothed. The long maxillary teeth do not appear to have been deeply inserted into the prey; the grooved fang would probably have penetrated 4 to 6 mm into the skin. This would be sufficient to cut into the subdermal tissue and allow poison to enter the bloodstream but would be too shallow to cause death or immobilization through trauma alone. The poison of Sinornithosaurus may have been similar in properties to rear-fanged snakes in that it did not kill the envenomated animal quickly but rather placed it into a rapid state of shock These features are all analogous to the venomous morphology of lizards. Sinornithosaurus and related dromaeosaurs probably fed on the abundant birds of the Jehol forests during the early Cretaceous in northeastern China (Source: Gong et al. 2010 ).
The next step in feather evolution could have involved either the development of a rachis via fusion of barbs or the development of barbules that branched from the tufts of barbs. Perrichot et al. (2008) discovered feathers from the Early Cretaceous (and preserved in amber; Figure 15 below) that had shafts (rachis) consisting of incompletely fused, still distinguishable, partially superimposed barbs. This represents an intermediate stage between Prum’s (1999) stages II and IIIa and suggests the possibility that rachis development may have preceded barbule development (Figures 13 and 14 below).
Figure 13. Hypothesized stages I–III of feather evolution. Stage I of this model assumes an unbranched, hollow filament, which developed from a cylindrical invagination of the epidermis around a papilla. In stage II, a tuft was formed by fusion of several filaments at their bases. Stage III represents the formation of a central rachis and development of serially fused barbs (III A) — to which, at a slightly later stage (III B), secondary barbs (barbules) were added. The two other stages, IV (bipinnate feathers with elaborate barbules and a closed vane) and V (the asymmetrical flight feathers of modern flying birds), are not shown (From: Sues 2001).
Figure 14. The next step in feather evolution (Stage III) could have involved either the development of a rachis via fusion of barbs (3a) or the development of barbules that branched from the tufts of barbs (3b; From: Prum and Brush 2003). The discovery of feathers from the Early Cretaceous that had shafts (rachis) consisting of incompletely fused, still distinguishable, partially superimposed barbs suggests that that rachis development (3a) may have preceded barbule development (3b).
Figure 15. Three-dimensional virtual reconstruction of a fossil feather from the Early Cretaceous (about 100 million years ago) preserved in amber. This feather could be from either a bird or a non-avian theropod. (a-c) long barbs form two vanes on each side of a relatively flattened shaft; (d) the shaft is flattened and composed of incompletely fused bases of the barbs, a stage in feather evolution that was hitherto unknown in fossil records and corresponding to an intermediate stage between the very distinct stages II and IIIa defined by Prum (1999). Scale bars, 100 µm (From: Perrichot et al. 2008).
With the development of the rachis, the next stage in feather evolution would likely have been the development of barbules (without hooklets) to generate a bipinnate, open pennaceous structure (Stage 3a + b; Figure 16 below). Subsequent evolution of differentiated proximal and distal barbules would then generate the first closed, pennaceous vane, with distal barbules growing hooklets to attach to the simpler, grooved proximal barbules of the adjacent barb (Stage 4; Figure 16 below). Finally, lateral displacement of the new barb locus by differential new barb ridge addition to each side of the follicle led to the growth of a closed pennaceous feather with an asymmetrical vane resembling modern remiges (Stage 5; Figure 16 below).
Figure 16. Hypothesized final stages in the evolution of feathers like those of modern-day birds. T he development of barbules (without hooklets) generated a bipinnate, open pennaceous feather (Stage 3a + b), and evolution of differentiated proximal and distal barbules led to the first closed, pennaceous vane, with some barbules having hooklets to firmly attach to grooved barbules of the adjacent barb (Stage 4). Differential new barb ridge addition to each side of the follicle then led to the development of a closed pennaceous feather with an asymmetrical vane (Stage 5) (From: Prum and Brush 2003).
Fossils reveal that the plumage sported by young Similicaudipteryx , especially on the forelimbs and tail,
was substantially different from that adorning older relatives (Credit: Xing Lida and Song Qijin).
Ontogenetic development of early feathers -- Recent discoveries of feathered dinosaur specimens have greatly improved our understanding of the origin and early evolution of feathers, but little information is available on the ontogenetic development of early feathers. Xu et al. (2010) described an early juvenile specimen and a late-juvenile specimen, both referable to the oviraptorosaur Similicaudipteryx , recovered from the Lower Cretaceous (~125 million years ago) of western Liaoning, China. The two specimens have strikingly different remiges and rectrices, suggesting that a radical morphological change occurred during feather development, as is the case for modern feathers. However, both the remiges and the rectrices are proximally ribbon-like in the younger specimen, but fully pennaceous in the older specimen, a pattern not known in any modern bird. In combination with the wide distribution of proximally ribbon-like pennaceous feathers and elongate broad filamentous feathers among extinct theropods, this find suggests that early feathers were developmentally more diverse than modern ones and that some developmental features, and the resultant morphotypes, have been lost in feather evolution.
Many dinosaurian groups, such as most ornithischians , the sauropodomorphs and the basal theropods , are not included in this simplified dinosaurian cladogram. The available specimens suggest that members of these groups had scaly skin, but the possibility that they are partially covered by filamentous integumentary structures cannot be completely excluded. Preservational factors make it difficult to observe the detailed structure of the filamentous feathers in available specimens of compsognathids , tyrannosauroids , and therizinosauroids , so a ‘?’ is used to indicate uncertainty regarding the presence of morphotypes 1, 3, 4 and 5 in these groups. On the basis of the anatomical, ontogenetic, and phylogenetic distribution patterns of known feather morphotypes among non-avian dinosaurs and early birds, morphotypes 1, 2 and 7 are inferred to have been lost in feather evolution, along with their associated developmental mechanisms.
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Exceptional fossils record dinosaur feather changes
Feather evolutionary-developmental model, terminology, and stage I and II specimens from Canadian amber. (A) Current evolutionary-developmental model for feathers consists of a stage I morphology characterized by a single filament: This unfurls into a tuft of filaments (barbs) in stage II. In stage III, either some tufted barbs coalesce to form a rachis (central shaft) (IIIa), or barbules (segmented secondary branches) stem from the barbs (IIIb); then, these features combine to produce tertiary branching (IIIa+b). Barbules later differentiate along the length of each barb, producing distal barbules with hooklets at each node to interlock adjacent barbs and form a closed pennaceous (vaned) feather (stage IV). Stage V encompasses a wide range of additional vane and subcomponent specializations. Most modern birds possess stage IV or V feathers or secondary reductions from these stages Green, calamus or equivalent; blue, barbs; purple, rachis; red, barbule internodes; d.b., distal barbules; r., ramus; p.b., proximal barbules. (B) Field of filaments cut obliquely (stage I). (C) Filament clusters variably oriented (stage II). (D) Close-up of (C), showing filaments that comprise clusters. Pigmentation coupled with comparatively thick outer walls produces darker color than in isolated filaments. Scale bars, (B) and (C) 1 mm, and (D) 0.1 mm (From: McKellar et al. 2011).
Late Cretaceous dinosaur and bird feathers in Canadian amber -- The fossil record of early feathers has relied on carbonized compressions that lack fine structural detail. Specimens in amber are preserved in greater detail, but they are rare. Late Cretaceous coal-rich strata from western Canada provide the richest and most diverse Mesozoic feather assemblage yet reported from amber. The fossils described by McKeller et al. (2011) include primitive structures closely matching the protofeathers of nonavian dinosaurs, offering new insights into their structure and function. A Stage I feather (B in the figure above) contains a dense forest of regularly spaced, flexible filaments; the closest morphological match is the filamentous covering found of nonavian dinosaurs such as the compsognathid Sinosauropteryx prima. A Stage II morphotype (C and D in the figure above) consists of tight clusters composed of filaments; the most morphologically comparable compression fossils are protofeathers associated with the dromaeosaurid Sinornithosaurus millenii.
Specialized barbules. (A) Coiled barbules surrounding thickened rachis (arrow), cut obliquely. (B) Close-up of coils in isolated barbule. (C) Semi-flattened internodes and weakly expanded node of (A). Diffuse, variable barbule pigmentation produces pale overall color. (D) Isolated barb with differentiated barbules and thickened ramus, in spider’s web. (E) Barbules near distal tip of (D), with clearly defined distal and proximal barbule series (left and right sides of ramus, respectively). (F) Close-up of distal barbule in (E), showing nodal prongs and ventral tooth on basal plate (arrow) adjacent to abrupt transition into pennulum. Scale bars, (A) 0.4 mm; (B), (D), and (E) 0.2 mm; (C) and (F) 0.05 mm.
Other feathers have barbules specialized for discrete functions. In A, B, and C above, a thickened rachis is surrounded by numerous barbules with tightly coiled bases. The barbules undergo three or more complete whorls and are composed of semi-flattened internodes separated by weakly expanded node. Modern seedsnipes and sandgrouse possess belly feathers with similar basal barbule coiling, allowing water to be retained for transport to the nest for distribution to nestlings or for cooling incubating eggs. Grebes also have coiled barbules that absorb water into plumage, facilitating diving by modifying buoyancy, reducing hydrodynamic turbulence, and improving insulation. Barbules displaying all characteristics necessary for forming vaned feathers are also present in Canadian amber (D, E, and F above). These were probably borne by an animal capable of flight. Barbules are widely spaced along a thick ramus (barb shaft) adapted for rigidity and are strongly differentiated to interlock with adjacent barbs to form a vane. On the basis of the presence of a rachis and differentiated barbules, these feathers can be assigned conservatively to stages IV and V and are attributed to Late Cretaceous birds. These amber-preserved feathers demonstrate that numerous evolutionary stages were present in the Late Cretaceous, and that plumage already served a range of functions in both dinosaurs and birds.
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Evolution of feather function
Early functional hypotheses for the origin of feathers focused on their importance for flight (Steiner 1917, Heilmann 1926). However, the discovery of filamentous (and pennaceous) feathers on flightless non-avian theropods provides clear evidence that feathers evolved before the origin of flight and that the first feathers did not serve an aerodynamic function. The earliest tuft-like feathers could have served a variety of functions, including insulation, heat shielding (Regal 1975), communication (Mayr 1960), crypsis (Prum 1999), water repellency (Dyck 1985), and defense (Prum 1999).
The first cylindrical, filamentous feathers (Stage I) could have provided insulation if they were sufficiently numerous. Feathers similar in morphology to that predicted for Stage I feathers have been found on fossils of Beipiaosaurus (a coelurosaurian theropod; Xu et al. 2009). These primitive feathers consisted of single broad (about 2 mm wide) filaments, about 10 to 15 centimeters long, and were only present on the head, neck and tail. Given their morphology and distribution on the body, these feathers likely did not serve a thermoregulatory function. Rather, their localized distribution and morphology (relatively long and probably rather stiff) suggest that they served as display structures (Xu et al. 2009). However, other types of filamentous feathers in non-avian theropods more likely served a thermoregulatory function (Norell and Xu 2005). For example, the presence of dense filamentous feathers on Sinosauropteryx suggests these theropods were endothermic, and that heat retention was the primary function of the feathers (Chen et al. 1998; Figure 17 below).
Figure 17. a. Fossil of Sinosauropteryx prima. b , Drawing of skeleton and feathers along the dorsal side and tail. Dark pigmentation in the abdominal region might be some soft tissues of the viscera (From: Chen et al. 1998).
The fossil of a pigeon-sized theropod, Epidexipteryx hui, found in sediments from the Middle to Late Jurassic (152 - 168 million years ago) of northern China revealed two pairs of elongate ribbon-like tail feathers that probably served as ornaments (although they could have also helped E. hui maintain balance when moving along tree branches; Figure 18 below). These long feathers had a central shaft (rachis) but, unlike the rectrices of present-day birds, the vanes were not branched into individual filaments. Rather, they consisted of a single ribbon-like sheet. Shorter feathers also covered the body and could have served as insulation (Zhang et al. 2008). At present, Epidexipteryx is the oldest theropod known to have feathers that apparently served a display function.
Figure 18. Artists’ conception of Epidexipteryx hui showing the paired ribbon-like tail feathers that likely served as ornaments and played a role in intra- and intersexual interactions. Illustration Credit: Zhao Chuang, Xing Lida/Nature.
Epidexipteryx hui
Pennaceous (or contour) feathers have been reported for a number of theropods, including the maniraptor Protarchaeopteryx (early Cretaceous; 120-122 million years ago), the oviraptorid Caudipteryx, and the dromaeosaurids Sinornithosaurus and Microraptor gui. Both Protarchaeopteryx and Caudipteryx had pennaceous feathers (with barbules) on the forearms and tail (as well as semiplumes and down-like feathers on the rest of the body). However, the arms of these small theropods (about 0.4-0.7 kg) were relatively short and all pennaceous feathers were symmetrical, indicating that these dinosaurs could not fly or glide effectively. Some investigators have suggested that these theropods, with relatively long legs and an elevated hallux, were ground-dwelling runners (Qiang et al. 1998). However, the forelimbs of Protarchaeopteryx and Caudipteryx, although short relative to their hindlimbs, were longer than those of other theropods and some investigators have argued that such elongation (along with other characteristics, including recurved claws) suggests a more (but not exclusive) arboreal lifestyle. For example, Chatterjee and Templin (2004) argued that these theropods were largely arboreal and that their small ‘protowings’ (in combination with the pennaceous feathers on the tail) enhanced arboreal maneuvering and permitted parachuting from branch to branch or from branch to ground (Figure 19 below). Feathers on the ‘protowings’ and tail would increase drag when parachuting and, to some extent, slow the rate of descent, permitting a safer landing. Another possible function of the forearm feathers is that could have been used to increase hindlimb traction in the same manner that some present-day birds, such as Chukar Partridges (Alectoris chukar), flap their wings to improve hindlimb traction when they climb inclined surfaces like the trunk of a tree (i.e., wing-assisted incline running; Dial 2003, Clarke and Middleton 2006).
Figure 19. Although incapable of powered flight, the pennaceous feather of Protarchaeopteryx may have permitted parachuting, whereas those of Sinornithosaurus likely permitted gliding (From: Chatterjee and Templin 2004).
Other small theropods from the early Cretaceous (124-128 million years ago), including Sinornithosaurus and M. gui, had both plumulaceous and pennaceous feathers. Sinornithosaurus weighed about 1.5 kg, were likely arboreal, and, in contrast to Protarchaeopteryx and Caudipteryx, their forelimbs were as long as their hindlimbs (Figure 12 above) . The longer wings and greater wing surface area, in combination with feathers on the tail (Figure 19 above), may have allowed Sinornithosaurus to glide between perches and from elevated perches to the ground (Chatterjee and Templin 2004).
M. gui was covered by plumulaceous feathers about 25–30 mm long and feathers on the top of the head were up to 40 mm long. Some feathers on the head were pennaceous and probably served a display function. Large, asymmetric pennaceous feathers were also attached to the distal tail, forelimb, and, surprisingly, the hindlimb. Microraptor had both primary and secondary flight feathers. This pattern was mirrored on the hind legs, with flight feathers attached to the upper foot bones as well as the upper and lower leg. When first described, Xu et al. (2003) proposed that Microraptor was arboreal and glided from tree to tree with four ‘wings’ – two forelimb wings and two hindlimb wings. However, Xu et al. (2003) proposed that the legs extended out to the side (Figure 20 below) and other investigators pointed out that such a leg position was unlikely because no known bird or theropod could extend their legs in such a manner without dislocating the hip joint (Padian 2003). Thereafter, Chatterjee and Templin (2007) proposed that the wings of Microraptor gui would have been split-level (like a biplane) and not spread as originally proposed, with the hindlimb flight feathers extending horizontally and able to generate lift along with the forelimb wings (Figure 21 below). Microraptor most likely employed a phugoid (from the Greek, meaning take flight) style of gliding flight - launching itself from a perch, swooping downward in a deep U-shaped curve, and moving upward to land on a perch in another tree (Figure 21 below).
Figure 20. A reconstruction of Microraptor gui in gliding flight (Xu et al. 2003).
Tests of models of Microraptor gui
Gliding flight of the four-winged Microraptor gui -- Fossils of the remarkable dromaeosaurid Microraptor gui and relatives clearly show well-developed flight feathers on the hind limbs as well as the front limbs. No modern vertebrate has hind limbs functioning as independent, fully developed wings; so, lacking a living example, little agreement exists on the functional morphology or likely flight configuration of the hindwing. Using a detailed reconstruction based on the actual skeleton of one individual, cast in the round, Alexander et al. (2010) developed light-weight, three-dimensional physical models and performed glide tests with anatomically reasonable hindwing configurations. Models were tested with hindwings abducted and extended laterally, as well as with a previously described biplane configuration. Although the hip joint requires the hindwing to have at least 20° of negative dihedral (anhedral), all configurations were quite stable gliders. Glide angles ranged from 3° to 21° with a mean estimated equilibrium angle of 13.7°, giving a lift to drag ratio of 4.1:1 and a lift coefficient of 0.64. The abducted hindwing model’s equilibrium glide speed corresponds to a glide speed in the living animal of 10.6 m·s−1. Although the biplane model glided almost as well as the other models, it was structurally deficient and required an unlikely weight distribution (very heavy head) for stable gliding. The model with laterally abducted hindwings represents a biologically and aerodynamically reasonable configuration for this four-winged gliding animal. M. gui’s feathered hindwings, although effective for gliding, would have seriously hampered terrestrial locomotion.
Related links:
Flying Microraptor
Microraptor gui capturing a bird.
Microraptor preys on birds -- Preserved indicators of diet are extremely rare in the fossil record; even more so is unequivocal direct evidence for predator–prey relationships. O'Connor et al. (2011) report a unique specimen of the small nonavian theropod Microraptor gui from the Early Cretaceous Jehol biota, China, which has the remains of an adult enantiornithine bird preserved in its abdomen, most likely not scavenged, but captured and consumed by the dinosaur. This provides direct evidence for the dietary preferences of Microraptor and a nonavian dinosaur feeding on a bird. Further, because Jehol enantiornithines were distinctly arboreal, in contrast to their cursorial ornithurine counterparts, this fossil suggests that Microraptor may have hunted in trees, supporting inferences that this taxon was also an arborealist and providing further support for the arboreality of basal dromaeosaurids.
Photograph and line drawing of a Microraptor gui fossil with remains of its avian prey shown in blue.
Links:
First evidence that dinosaurs ate birds
Figure 21. Top, teconstruction of M. gui in dorsal view (left) showing the morphology and distribution of hindlimb feathers and orientation of the hindlimb bones (above) during gliding. Above right, cross-section showing relative position of forelimb and hindlimb wings during gliding flight. Below right, a typical staggered biplane (Stearman 75) for comparison with Microraptor; in biplane aircraft of the 1920s, there was much additional drag generated by wires and struts between the two wings, such drag-induced structures were absent in Microraptor (Chatterjee and Templin 2007). Bottom, hypothetical flight path showing a typical undulating phugoid path from an initial take-off launch at a velocity of 3 meters per sec from a perch 20-m high and landing safely at a speed of about 6.4 meters per second (From: Chatterjee and Templin 2004).
Possible scenario for the development of feathers leading to the evolution of pennaceous feathers and flight. I and II, simple feathers possibly important for thermoregulation or display; III, with increasingly arboreal lifestyles, body feathers may have provided ancestors of birds with a more aerodynamic shape useful for leaping among branches; IV and V, simple pennaceous feather on the forelimbs may have allowed parachuting; VI, larger pennaceous feathers with symmetrical vanes may have permitted gliding; VII, asymmetrical feathers may have contributed to more efficient gliding; VIII, powered flight (From: Kurochkin and Bogdanovich 2008).
Current ideas about the evolution of feathers are based on dinosaurs (theropods) that actually lived well after Archaeopteryx. Steps in the evolution of bird feathers were likely similar to those in the evolution of feathers of non-avian theropods (Graphic source: PBS - NOVA ).
Anchiornis huxleyi
A pre-Archaeopteryx troodontid theropod with feathers -- The early evolution of the major groups of derived non-avialan theropods is still not well understood, mainly because of their poor fossil record in the Jurassic. A well-known result of this problem is the ‘temporal paradox’ argument that is sometimes made against the theropod hypothesis of avian origins (i.e., how could birds evolve from theropods when the theropods seemingly most like those that gave rise to birds actually existed after birds evolved). Hu et al. (2009) report on an exceptionally well-preserved small theropod specimen collected from the earliest Late Jurassic Tiaojishan Formation (151 - 161 million years old) of western Liaoning, China. The specimen is referable to the Troodontidae, which are among the theropods most closely related to birds. This new find refutes the ‘temporal paradox’ because Anchiornis lived several million years before Archaeopteryx and provides significant information on the temporal framework of theropod divergence. Furthermore, the extensive feathering of this specimen, particularly the attachment of long pennaceous feathers to the pes (legs), sheds new light on the early evolution of feathers and demonstrates the complex distribution of skeletal and integumentary features close to the dinosaur–bird transition.
The long pennaceous leg feathers of Anchiornis, like those previously described for Microraptor and Pedopenna and Anchiornis, indicate that they served an aerodynamic function. This would imply that a four-winged condition played a role in the origin of avian flight and, because long feathers on the legs would likely impede terrestrial locomotion, also lends support to the arboreal hypothesis for the development of flight.
Photograph of the fossil Anchiornis huxleyi
Anchiornis huxleyi
Alexander, D. E., E. Gong, L. D. Martin, D. A. Burnham, and A. R. Falk. 2010. Model tests of gliding with different hindwing configurations in the four-winged dromaeosaurid Microraptor gui . Proceedings of the National Academy of Sciences USA, online early.
Calcott, B. 2009. Lineage explanations: explaining how biological mechanisms change. British Journal for the Philosophy of Science, online early.
Chatterjee, S., and R. J. Templin. 2004. Feathered coelurosaurs from China: new light on the arboreal origin of avian flight. In: Feathered dragons (P. J. Currie, E. B. Koppelhus, M. A. Shugar, and J. L. Wright, eds.), pp. 251-281. Indiana University Press, Bloomington, IN.
Chatterjee, S., and R. J. Templin. 2007. Biplane wing planform and flight performance of the feathered dinosaur Microraptor gui. Proceedings of the National Academy of Science 104: 1576-1580.
Chen, P., Z. Dong, and S. Zhen. 1998. An exceptionally well-preserved theropod dinosaur from the Yixian Formation of China. Nature 391: 147-152.
Chuong, C. M., L. Hou, P. J. Chen, P. Wu, N. Patel, and Y. Chen. 2001. Dinosaur’s feather and chicken’s tooth? Tissue engineering of the integument. European Journal of Dermatology 11: 286-292.
Clarke, J. 2013. Feathers before flight. Science 340: 690-692.
Clarke, J., and K. Middleton. 2006. Bird evolution. Current Biology 16: R350-R354.
Dial, K. P. 2003. Wing-assisted incline running and the evolution of flight. Science 299: 402-404.
Dyck, J. 1985. The evolution of feathers. Zoologica Scripta 14: 137-153.
Gong, E., L. D. Martin, D. A. Burnham, and A. R. Falk. 2010. The birdlike raptor Sinornithosaurus was venomous . Proceedings of the National Academy of Sciences USA 107: 766-768.
Heilmann, G. 1926. The origin of birds. H. F. G. Whitherby, London.
Hu, D., L. Hou, L. Zhang, and X. Xu. 2009. A pre-Archaeopteryx troodontid theropod from China with long feathers on the metatarsus . Nature 461: 640-643.
Kurochkin, E. N., and I. A. Bogdanovich. 2008. On the origin of avian flight: compromise and system approaches. Biology Bulletin 35: 1-11.
Lingham-Soliar, T., A. Feduccia, and X. Wang. 2007. A new Chinese specimen indicates that 'protofeathers' in the Early Cretaceous theropod dinosaur Sinosauropteryx are degraded collagen fibres. Proceedings of the Royal Society B 274: 1823-1829.
Lucas, A. M., and P. R. Stettenheim. 1972. Avian anatomy. Integument. Agriculture Handbook 362, U.S. Department of Agriculture, Washington, D.C.
Mayr, E. 1960. The emergence of evolutionary novelties. In: The evolution of life (S. Tax, ed.), pp. 349-380. University of Chicago Press, Chicago, IL.
McKellar, R. C., B. D. E. Chatterton, A. P. Wolfe, and P. J. Currie. 2011. A diverse assemblage of Late Cretaceous dinosaur and bird feathers from Canadan amber. Science 333: 1619-1622.
Norell, M. A., and X. Xu. 2005. Feathered dinosaurs. Annual Review of Earth and Planetary Sciences 33: 277-299.
O'Connor, J., Z. Zhou, and X. Xu. 2011. Additional specimen of Microraptor provides unique evidence of dinosaurs preying on birds . Proceedings of the National Academy of Sciences USA, early edition.
Padian, K. 2003. Four-winged dinosaurs, bird precursors, or neither? BioScience 53: 451-453.
Perrichot, V., L. Marion, D. Néraudeau, R. Vullo, and P. Tafforeau. 2008. The early evolution of feathers: fossil evidence from Cretaceous amber of France. Proceedings of the Royal Society B 275: 1197-1202.
Prum, R. O. 1999. Development and evolutionary origin of feathers. Journal of Experimental Zoology 285: 291-306.
Prum, R. O. 2005. Evolution of the morphological innovations of feathers. Journal of Experimental Zoology 304B: 570-579.
Prum, R. O., and A. H. Brush. 2002. The evolutionary origin and diversification of feathers. Quarterly Review of Biology 77: 261-295.
Prum, R. O., and A. H. Brush. 2003. Which came first, the feather or the bird? Scientific American 286: 84-93.
Prum, R. O., and S. Williamson. 2001. Theory of the growth and evolution of feather shape. Journal of Experimental Zoology 291: 30-57.
Qiang, J., P. J. Currie, M. A. Norell, and J. Shu-An. 1998. Two feathered dinosaurs from northeastern China. Nature 393: 753-761.
Regal, P. J. 1975. The evolutionary origin of feathers. Quarterly Review of Biology 50: 35-66.
Sawyer, R. H., T. Glenn, J. O. French, B. Mays, R. B. Shames, G. L. Barnes, Jr., W. Rhodes, and Y. Ishikawa. 2000. The expression of beta-keratins in the epidermal appendages of reptiles and birds. American Zoologist 40: 530-539.
Steiner, H. 1917. Das problem der diastataxie des vogelflügels. Jenaische Zeitschrift für Naturwissenschaft 55: 222-496.
Sues, H.-D. 2001. Palaeontology: ruffling feathers. Nature 410: 1036-1037.
True, J. R., and S. B. Carroll. 2002. Gene co-option in physiological and morphological evolution. Annual Review of Cell and Developmental Biology 18: 53-80.
Unwin, D. M. 1998. Feathers, filaments and theropod dinosaurs. Nature 391: 119-120.
Xu, X., X. Zheng, and H. You. 2009. A new feather type in a nonavian theropod and the early evolution of feathers. Proceedings of the National Academy of Science USA 106: 832-834.
Xu, X., X. Zheng, and H. You. 2010. Exceptional dinosaur fossils show ontogenetic development of early feathers . Nature 464: 1338- 1341.
Xu, X., Z. Zhou, and R. O. Prum. 2001. Branched integumentary structures in Sinornithosaurus and the origin of feathers. Nature 410: 200-204.
Xu, X., Z. Zhou, X. Wang, X. Kuang, F. Zhang, and X. Du. 2003. Four-winged dinosaurs from China. Nature 421: 335-340.
Zhang, F., Z. Zhou, X. Xu, X. Wang, and C. Sullivan. 2008. A bizarre Jurassic maniraptoran from China with elongate ribbon-like feathers. Nature 455: 1105-1108.
Zhou, Z., P. M. Barrett, and J. Hilton. 2003. An exceptionally preserved Lower Cretaceous ecosystem. Nature 421: 807-814.
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Feather
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The name of what baby creature is given to a stilleto heel design of two inches or less?
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Winged Wisdom Pet Bird Magazine - Feathers Part I - Pet Birds
Part I
by Linda Pesek DVM, Diplomate ABVP (Avian)
Feathers are unique to birds. They provide insulation, camouflage, protection, water repellency and display. In some species of birds, the feathers of the male and female are identical. These birds are monomorphic - meaning their sex can't be determined by their physical appearance. Other species are dimorphic - meaning the male and female look different and thus can be sexed by their appearance. Eclectus parrots are an extreme example of this. The males are green and the females red. Some species (certain ducks) have two distinct plumages or coats of feathers. The winter or eclipse plumage looks different from the breeding or nuptial plumage.
The Anatomy of a Feather
A feather is composed of several parts. The calamus is the short, tubular portion that is embedded in the feather follicle and is below the skin. The embedded tip of the calamus contains an opening known as the inferior umbilicus. The calamus of growing wings and tail feathers contains pulp (vascular connective tissue) and a small artery and vein. These young feathers are known as "blood feathers" because they will bleed if they are damaged. As these feathers mature, the pulp regresses, the vessels degenerate and the calamus becomes hollow.
The long tubular portion of the feather above the skin is the rachis. It is a continuation of the calamus above the skin. The proximal portion of the rachis (the portion nearest the body), like the calamus is also vascularized in the developing feather. The term shaft refers to both the calamus and rachis.
The vane is the portion of the feather that extends to either side of the rachis and is composed of barbs and barbules.
Barbs are slender filaments that arise from the rachis. Each barb gives rise to finer filaments known as barbules. It is these which a bird realigns when it grooms (sometimes referred to as 'zipping' their feathers). This ensures the waterproofing or insulation capabilities of the feathers. The vane of the feather may be soft and downy (plumulaceous) or compact and closely knit (pennaceous). A small opening, the superior umbilicus is located at the junction of the rachis and calamus. A small feather known as an after feather is often attached to this small opening.
Types of Feathers
Birds have several different types of feathers. Contour feathers are the predominent feathers covering the bird's body. Contour feathers can be divided into flight feathers and body feathers.
The flight feathers include those of the wing known as remiges and those of the tail known as rectrices. The remiges that arise from the periosteum of the metacarpus are known as primaries, while those arising from the periosteum of the ulna are known as secondaries. The prmaries are counted (numbered) from the nearest to the body to the furthest from the body, while the secondaries are counted from the furthest away to the nearest.
The rectrices are the large flight feathers of the tail. These are counted from the center laterally. The number of remiges and rectrices varies with the species. Flighted birds may have from 12 to 9 primaries and from 6 to 32 secondaries. Most birds have 12 rectrices or tail feathers.
Coverts are small contour feathers that cover the bases of the wing and tail feathers.
Semiplume feathers have fluffy vanes. They are found along the margins of feather tracts. They are important in thermal insulation.
Filoplumes have a long fine shaft and short barbs or barbules. They are located very close to the follicle of each contour feather. These feathers provide sensory information about the position of adjacent contour feathers.
Bristles are specialized feathers found at the base of the eyelids, nares and mouth and have a sensory function.
Down feathers are fluffy feathers that may be found over the entire body, restricted to certain areas, or even absent, depending upon the species. Down of a newly hatched chick is known as "natal" or juvenile down, while down of an adult is known as the "definitive" down.
Powder down feathers are specialized feathers that shed a white waxy powder composed of keratin. Powder down forms a waterproof barrier for contour feathers. This powder is spread through the feathers when the bird grooms. African Grey parrots, cockatiels and cockatoos produce the greatest amount of powder on their feathers. Powder down can cause irritation to people with respiratory problems and allergies.
Next month's column will cover how feathers grow, feather color, how birds groom and feather disorders.
Winged Wisdom Note: Dr. Linda Pesek graduated from the University of Pennsylvania School of Veterinary Medicine and is a Diplomate of the ABVP in Avian Practice (a Board Certified Avian Veterinarian). She has a small animal and avian practice in New York. Linda also writes columns for The Long Island Parrot Society and The Big Apple Bird Club and is a frequent lecturer at their meetings. She is the owner of an extensive collection of exotic birds.
Copyright © 2000 Linda Pesek and Winged Wisdom. All rights reserved.
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i don't know
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University of Portsmouth (UK) psychologists researching the quality of juries determined what to be the optimum number of people for effective debate?
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CRAMER_D_Ph.D._2010 | Trust (Social Sciences) | Marketing
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four
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Explorer, Chrome, Safari and Firefox are among the most globally popular what (in early 2000s)?
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Combiner le résultat 1 LISTENING Copy.pdf | Self Efficacy
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Who led the Muslim army to victory against the Meccans in the Battle of Badr, 624AD?
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Battle of Badr | Military Wiki | Fandom powered by Wikia
Army of Usama (Final Expedition)
The Battle of Badr (Arabic language: غزوة بدر), fought 13 March 624 CE (17 Ramadan , 2 AH in the Islamic calendar ) in the Hejaz region of western Arabia (present-day Saudi Arabia), was a key battle in the early days of Islam and a turning point in Muhammad 's struggle with his opponents among the Quraish [1] in Mecca. The battle has been passed down in Islamic history as a decisive victory attributable to divine intervention , or by secular sources to the strategic genius of Muhammad. It is one of the few battles specifically mentioned in the Quran. Most contemporary knowledge of the battle at Badr comes from traditional Islamic accounts, both hadiths and biographies of Muhammad , recorded in written form some time after the battle. [2]
Prior to the battle, the Muslims and Meccans had fought several smaller skirmishes in late 623 and early 624, as the Muslim ghazawāt (prophet-led battles) had become more frequent. Badr, however, was the first large-scale engagement between the two forces. Advancing to a strong defensive position , Muhammad's well-disciplined force broke the Meccan lines, killing several important Quraishi leaders including Muslims' chief antagonist Abu Jahl . [3] For the early Muslims the battle was the first sign that they might eventually defeat their enemies among the Meccans. Mecca at that time was one of the richest and most powerful cities in Arabia, fielding an army three times larger than that of the Muslims. [4] The Muslim victory also signalled other tribes that a new power had arisen in Arabia and strengthened Muhammad's position as leader of the often fractious community in Medina. [5]
Contents
Edit
Muhammad was born in Mecca around 571 CE into the Quraish tribe. In 622, to escape persecution of Muslims by the Meccans , Muhammad and many of his followers migrated from Mecca to the neighboring city of Medina. This migration is called the Hijra .
Following the Hijra, tensions between Mecca and Medina escalated and hostilities broke out in 623 when the Muslims began a series of raids on Quraishi caravans in order to economically pressurize Mecca who's chief's were plotting and gaining allies against Medina . Since Medina was located just off Mecca's main trade route, the Muslims were in an ideal position to do this. Even though many Muslims were Quraish themselves, they believed that they were entitled to such raids because the Meccans had expelled them from their property, homes and tribes, a serious offense in hospitality-oriented Arabia. [6] It also provided a means for the Muslim community to carve out an independent economic position at Medina, where their political position was far from secure.[ citation needed ] The Meccans obviously took a different view.Their caravns had always been under protection since many tibes saw them as the "Custodians" or "Keepers" of "The House of God" [7] and they saw the Muslim raids as banditry at best, as well as a potential threat to their livelihood and prestige. [8]
In late 623 and early 624, the Muslim ghazawāt grew increasingly brazen and commonplace. In September 623, Muhammad himself led a force of 200 in an unsuccessful raid against a large caravan. Shortly thereafter, the Meccans launched their own "raid" against Medina, although its purpose was just to steal some livestock which belonged to the Muslims. [9] In January 624, the Muslims ambushed a Meccan caravan near Nakhlah , only forty kilometers outside of Mecca, killing one of the guards and formally inaugurating a blood feud with the Meccans. [10] Worse, from a Meccan standpoint, the raid occurred in the month of Rajab , a truce month sacred to the Meccans in which fighting was prohibited and a clear affront to their pagan traditions. [8]
Battle
Edit
A map of the Badr campaign
In the spring of 624, Muhammad received word from his intelligence sources that one of the richest trade caravans of the year, commanded by Abu Sufyan and guarded by thirty to forty men, was travelling from Syria to Mecca[ citation needed ]. Because of the caravan's size, or perhaps because of the previous failures to intercept a caravan, Muhammad gathered an army of over 313 men, the largest army the Muslims had ever put in the field. The goods contained in the caravan were the belongings of the Muslims which were taken by the Meccans following the migration to Madinah. [11]
The march to Badr
Edit
Muhammad's forces included Abu Bakr , Umar, Ali , Hamza , Mus`ab ibn `Umair , Az-Zubair bin Al-'Awwam , Ammar ibn Yasir , and Abu Dharr al-Ghifari . The Muslims also brought seventy camels and two horses, meaning that they either had to walk or fit three to four men per camel. [12] However, many early Muslim sources indicate that no serious fighting was expected, [13] and the future Caliph Uthman stayed behind to care for his sick wife Ruqayyah , the daughter of the Prophet. [14] Salman the Persian also couldn't join the battle, as he was still not a free man. [15]
Many of the Quraishi nobles, including Amr ibn Hishām , Walid ibn Utba , Shaiba, and Umayah ibn Khalaf , joined the Meccan army. Their reasons varied: some were out to protect their financial interests in the caravan; others wanted to avenge Ibn al-Hadrami, the guard killed at Nakhlah; finally, a few must have wanted to take part in what was expected to be an easy victory against the Muslims. [16] Amr ibn Hishām is described as shaming at least one noble, Umayah ibn Khalaf, into joining the expedition. [17]
By this time Muhammad's companions were approaching the wells where he planned to either waylay the caravan, or to fight the Meccan army at Badr, along the Syrian trade route where the caravan would be expected to stop or the Meccan army to come for its protection. However, several Muslim scouts were discovered by scouts from the caravan [18] and Abu Sufyan made a hasty turn towards Yanbu . [19]
The Muslim plan
—Quran: Al-Anfal 8:7
“
Behold! Allah Promised Me that He would definitely help me. I'm taking an oath by Allah's Excellent Name, Here will be the grave of Abu Jahl, and here will lay Utba ibn Rabi'ah (Prophet mentioned 14 different unbeliever leaders' names and signed they graves before the battle).
”
—Muhammad - Sahih Muslim
When the word reached the Muslim army about the departure of the Meccan army, Muhammad immediately called a council of war , since there was still time to retreat and because many of the fighters there were recent converts (called Ansar or "Helpers" to distinguish them from the Quraishi Muslims), who had only pledged to defend Medina. Under the terms of the Constitution of Medina , they would have been within their rights to refuse to fight and leave the army. However, according to tradition, they pledged to fight as well, with Sa'd bin 'Ubada declaring, "If you [Muhammad] order us to plunge our horses into the sea, we would do so." [20] However, the Muslims still hoped to avoid a pitched battle and continued to march towards Badr.
By 11 March both armies were about a day's march from Badr. Several Muslim warriors (including, according to some sources, Ali ) who had ridden ahead of the main column captured two Meccan water carriers at the Badr wells. Expecting them to say they were with the caravan, the Muslims were horrified to hear them say they were with the main Quraishi army. [20] Some traditions also say that, upon hearing the names of all the Quraishi nobles accompanying the army, Muhammad exclaimed "Mecca hath thrown unto you the best morsels of her liver." [21] The next day Muhammad ordered a forced march to Badr and arrived before the Meccans.
The Badr wells were located on the gentle slope of the eastern side of a valley called "Yalyal". The western side of the valley was hemmed in by a large hill called 'Aqanqal. When the Muslim army arrived from the east, Muhammad initially chose to form his army at the first well he encountered. Hubab ibn al-Mundhir , however, asked him if this choice was divine instruction or Muhammad's own opinion. When Muhammad responded in the latter, Hubab suggested that the Muslims occupy the well closest to the Quraishi army, and block off the other ones. Muhammad accepted this decision and moved right away.
The Meccan plan
— Abu Jahl
By contrast, while little is known about the progress of the Quraishi army from the time it left Mecca until its arrival just outside Badr, several things are worth noting: although many Arab armies brought their women and children along on campaigns both to motivate and care for the men, the Meccan army did not. Also, the Quraish apparently made little or no effort to contact the many allies they had scattered throughout the Hijaz. [22] Both facts suggest the Quraish lacked the time to prepare for a proper campaign in their haste to protect the caravan. Besides it is believed since they knew they had outnumbered the Muslims by three to one, they expected an easy victory.
When the Quraishi reached Juhfah, just south of Badr, they received a message from Abu Sufyan telling them the caravan was safely behind them, and that they could therefore return to Mecca. [23] At this point, according to Karen Armstrong, a power struggle broke out in the Meccan army. Abu Jahl wanted to continue, but several of the clans present, including Banu Zuhrah and Banu Adi , promptly went home. Armstrong suggests they may have been concerned about the power that Abu Jahl would gain from crushing the Muslims. The Banu Hashim tribe wanted to leave, but was threatened by Abu Jahl to stay. [24] Despite these losses, Abu Jahl was still determined to fight, boasting "We will not go back until we have been to Badr." During this period, Abu Sufyan and several other men from the caravan joined the main army. [25]
The day of battle
Further information: List of participants at the Battle of Badr
At midnight on 13 March, the Quraish broke camp and marched into the valley of Badr. It had rained the previous day and they struggled to move their horses and camels up the hill of 'Aqanqal. After they descended from 'Aqanqal, the Meccans set up another camp inside the valley. While they rested, they sent out a scout, Umayr ibn Wahb to reconnoitre the Muslim lines. Umayr reported that Muhammad's army was small, and that there were no other Muslim reinforcements which might join the battle. [26] However, he also predicted extremely heavy Quraishi casualties in the event of an attack (One hadith refers to him seeing "the camels of [Medina] laden with certain death"). [27] This further demoralized the Quraish, as Arab battles were traditionally low-casualty affairs, and set off another round of bickering among the Quraishi leadership. However, according to Arab traditions Amr ibn Hishām quashed the remaining dissent by appealing to the Quraishi's sense of honor and demanding that they fulfill their blood vengeance. [28]
The battle began with champions from both armies emerging to engage in combat. Three of the Ansar emerged from the Muslim ranks, only to be shouted back by the Meccans, who were nervous about starting any unnecessary feuds and only wanted to fight the Quraishi Muslims. So Hamza approached forward and called on Ubayda and Ali to join him. The Muslims dispatched the Meccan champions in a three-on-three melee. Hamza killed his opponent Utba ibn Rabi'ah ; Ali killed his opponent Walid ibn Utba ; Ubayda was wounded by his opponent Shaybah ibn Rabi'ah , but eventually killed him. So this was a victorious traditional 3 on 3 combat for the Muslims.
Now both armies began striking arrows at each other. A few Muslims and an unknown number of Quraish warriors were killed. Before the real attack began, Muhammad had given orders for the Muslims to attack with their ranged weapons, and only engage the Quraish with melee weapons when they advanced. [29] Now he gave the order to charge, throwing a handful of pebbles at the Meccans in what was probably a traditional Arabian gesture while yelling "Defaced be those faces!" [30] [31] The Muslim army yelled "Yā manṣūr amit!" [32] "O thou whom God hath made victorious, slay!" and rushed the Quraishi lines. The Meccans, understrength and unenthusiastic about fighting, promptly broke and ran. The battle itself only lasted a few hours and was over by the early afternoon. [30] The Qur'an describes the force of the Muslim attack in many verses, which refer to thousands of angels descending from Heaven at Badr to terrify the Quraish. [31] [33] It should be noted that Muslim sources take this account literally, and there are several hadith where Muhammad discusses the Angel Jibreel and the role he played in the battle.
Aftermath
Edit
The Battle of Badr was extremely influential in the rise of two men who would determine the course of history on the Arabian peninsula for the next century. The first was Muhammad, who was transformed overnight from a Meccan outcast into a major leader. Marshall Hodgson adds that Badr forced the other Arabs to "regard the Muslims as challengers and potential inheritors to the prestige and the political role of the [Quraish]." Shortly thereafter he expelled the Banu Qaynuqa , one of the Jewish tribes at Medina that had been threatening his political position, and who had assaulted a Muslim woman which led to their expulsion for breaking the peace treaty. At the same time Abd-Allah ibn Ubayy , Muhammad's chief opponent in Medina, found his own position seriously weakened. Henceforth, he would only be able to mount limited challenges to Muhammad. [34]
The other major beneficiary of the Battle of Badr was Abu Sufyan . The death of Amr ibn Hashim, as well as many other Quraishi nobles [35] gave Abu Sufyan the opportunity, almost by default, to become chief of the Quraish. As a result, when Muhammad marched into Mecca six years later, it was Abu Sufyan who helped negotiate its peaceful surrender. Abu Sufyan subsequently became a high-ranking official in the Muslim Empire, and his son Muawiya would later go on to found the Umayyad Caliphate.
In later days having fought at Badr became so significant that Ibn Ishaq included a complete name-by-name roster of the Muslim army in his biography of Muhammad. In many hadiths, individuals who fought at Badr are identified as such as a formality, and they may have even received a stipend in later years. [36] The death of the last of the Badr veterans occurred during the First Islamic civil war . [37]
As Paul K. Davis sums up, "Mohammed's victory confirmed his authority as leader of Islam; by impressing local tribes that joined him, the expansion of Islam began." [38]
Historical sources
Edit
The Battle of Badr is one of the few battles explicitly discussed in the Qur'an. It is even mentioned by name as part of a comparison with the Battle of Uhud .
Qur'an: Al-i-Imran 3:123–125 ( Yusuf Ali ). "Allah had helped you at Badr, when ye were a contemptible little force; then fear Allah; thus May ye show your gratitude. Remember thou saidst to the Faithful: "Is it not enough for you that Allah should help you with three thousand angels (Specially) sent down? "Yea, – if ye remain firm, and act aright, even if the enemy should rush here on you in hot haste, your Lord would help you with five thousand angels Making a terrific onslaught."
According to Abdullah Yusuf Ali , the term "gratitude" may be a reference to discipline. At Badr, the Muslim forces had allegedly maintained firm discipline, whereas at Uhud they broke ranks to pursue the Meccans, allowing Meccan cavalry to flank and rout their army. The idea of Badr as a furqan, an Islamic miracle, is mentioned again in the same surah.
Qur'an: Al-i-Imran 3:13 ( Yusuf Ali ). "There has already been for you a Sign in the two armies that met (in combat): One was fighting in the cause of Allah, the other resisting Allah; these saw with their own eyes Twice their number. But Allah doth support with His aid whom He pleaseth. In this is a warning for such as have eyes to see."
Badr is also the subject of Sura 8: Al-Anfal , which details military conduct and operations. "Al-Anfal" means "the spoils" and is a reference to the post-battle discussion in the Muslim army over how to divide up the plunder from the Quraishi army. Though the Sura does not name Badr, it describes the battle, and several of the verses are commonly thought to have been from or shortly after the battle.
Traditional Muslim accounts
Main article: Historiography of early Islam
Most knowledge of the Battle of Badr comes either from the traditional Islamic accounts, Quran and Hadiths (records of the life and times of Muhammad). In the English speaking world, it is not known if there are earlier written records other than the traditional Islamic accounts since Arabic at that time in the Hijaz was primarily an oral language. People relied mostly on oral traditions.
Muslim scholars interpret the Book of Isaiah 21:13–17 as a prophecy of the Battle of Badr[ citation needed ]:(13) The oracle concerning Arabia. In the thickets in Arabia you will lodge, O caravans of Dedanites. (14) To the thirsty bring water, meet the fugitive with bread, O inhabitants of the land of Tema. (15) For they have fled from the swords, from the drawn sword, from the bent bow, and from the press of battle. (16) For thus the Lord said to me, "Within a year, according to the years of a hireling, all the glory of Kedar will come to an end; (17) and the remainder of the archers of the mighty men of the sons of Kedar will be few; for the LORD, the God of Israel, has spoken."
Executions
A painting from Siyer-i Nebi , Ali beheading Nadr ibn al-Harith in the presence of Muhammad and his companions .
After the battle Muhammad decided to return to Medina. While Muhammad was returning to Medina, he reportedly received a revelation regarding the distribution of war booty. [39]
According to Muslim scholar Saifur Rahman al Mubarakpuri, two captives – Nadr bin Harith and Uqbah bin Abi Muait – were decapitated by Ali because they equaled to "criminals of war in modern terminology". [40] [41]
In modern culture
Edit
"Badr" has become popular among Muslim armies and paramilitary organizations. " Operation Badr " was used to describe Egypt 's offensive in the 1973 Yom Kippur War as well as Pakistan's actions in the 1999 Kargil War . Iranian offensive operations against Iraq in the late 1980s were also named after Badr. [42] During the 2011 Libyan civil war , the rebel leadership stated that they selected the date of the assault on Tripoli to be the 20th of Ramadan, marking the anniversary of the Battle of Badr. [43]
The Battle of Badr was featured in the 1976 film The Message, and the 2004 animated movie Muhammad: The Last Prophet .
See also
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Muhammad
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Arthroscopy refers to surgery performed on what parts of the human body?
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Battle of Badr
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Battle of Badr
The Battle of Badr fought Saturday, 13 March 624 AD (17 Ramadan, 2 AH in the Islamic calendar) in the Hejaz region of western Arabia (present-day Saudi Arabia), was a key battle in the early days of Islam and a turning point in Muhammad's struggle with his opponents among the Quraish[1] in Mecca. The battle has been passed down in Islamic history as a decisive victory attributable to divine intervention, or by secular sources to the strategic genius of Muhammad. It is one of the few battles specifically mentioned in the Quran. Most contemporary knowledge of the battle at Badr comes from traditional Islamic accounts, both hadiths and biographies of Muhammad, recorded in written form some time after the battle.[2]
Prior to the battle, the Muslims and Meccans had fought several smaller skirmishes in late 623 and early 624, as the Muslim ghazawat (prophet-led battles) had become more frequent. Badr, however, was the first large-scale engagement between the two forces. Advancing to a strong defensive position, Muhammad's well-disciplined force broke the Meccan lines, killing several important Quraishi leaders including Muhammad's chief antagonist, 'Amr ibn Hisham.[citation needed] For the early Muslims the battle was the first sign that they might eventually defeat their enemies among the Meccans. Mecca at that time was one of the richest and most powerful cities in Arabia, fielding an army three times larger than that of the Muslims.[citation needed] The Muslim victory also signalled other tribes that a new power had arisen in Arabia and strengthened Muhammad�s position as leader of the often fractious community in Medina.
The Battle of Badr fought Saturday, 13 March 624 AD (17 Ramadan, 2 AH in the Islamic calendar) in the Hejaz region of western Arabia (present-day Saudi Arabia), was a key battle in the early days of Islam and a turning point in Muhammad's struggle with his opponents among the Quraish[1] in Mecca. The battle has been passed down in Islamic history as a decisive victory attributable to divine intervention, or by secular sources to the strategic genius of Muhammad. It is one of the few battles specifically mentioned in the Quran. Most contemporary knowledge of the battle at Badr comes from traditional Islamic accounts, both hadiths and biographies of Muhammad, recorded in written form some time after the battle.[2]
Prior to the battle, the Muslims and Meccans had fought several smaller skirmishes in late 623 and early 624, as the Muslim ghazawat (prophet-led battles) had become more frequent. Badr, however, was the first large-scale engagement between the two forces. Advancing to a strong defensive position, Muhammad's well-disciplined force broke the Meccan lines, killing several important Quraishi leaders including Muhammad's chief antagonist, 'Amr ibn Hisham.[citation needed] For the early Muslims the battle was the first sign that they might eventually defeat their enemies among the Meccans. Mecca at that time was one of the richest and most powerful cities in Arabia, fielding an army three times larger than that of the Muslims.[citation needed] The Muslim victory also signalled other tribes that a new power had arisen in Arabia and strengthened Muhammad�s position as leader of the often fractious community in Medina.
Background
Muhammad was born in Mecca around 571 AD into the Quraish tribe. In 622, to escape persecution of Muslims by the Meccans, Muhammad and many of his followers migrated from Mecca to the neighboring city of Medina. This migration is called the Hijra.
Following the hijra, tensions between Mecca and Medina escalated and hostilities broke out in 623 when the Muslims began a series of raids (called ghazawat in Arabic) on Quraishi caravans. Ghazawat (s. ghazw) were plundering raids organized by nomadic Bedouin warriors against either rival tribes or wealthier, sedentary neighbors. Since Medina was located just off Mecca's main trade route, the Muslims were in an ideal position to do this. Even though many Muslims were Quraish themselves, they believed that they were entitled to such raids because the Meccans had expelled them from their property, homes and tribes, a serious offense in hospitality-oriented Arabia.[3] Also, there was a tradition in Arabia of poor tribes raiding richer tribes. It also provided a means for the Muslim community to carve out an independent economic position at Medina, where their political position was far from secure. The Meccans obviously took a different view, seeing the Muslim raids as banditry at best, as well as a potential threat to their livelihood and prestige.[4]
In late 623 and early 624, the Muslim ghazawat grew increasingly brazen and commonplace. In September 623, Muhammad himself led a force of 200 in an unsuccessful raid against a large caravan. Shortly thereafter, the Meccans launched their own "raid" against Medina, although its purpose was just to steal some livestock which belonged to the Muslims.[5] In January 624, the Muslims ambushed a Meccan caravan near Nakhlah, only forty kilometers outside of Mecca, killing one of the guards and formally inaugurating a blood feud with the Meccans.[6] Worse, from a Meccan standpoint, the raid occurred in the month of Rajab, a truce month sacred to the Meccans in which fighting was prohibited and a clear affront to their pagan traditions.[4]
The battle
In the spring of 624, Muhammad received word from his intelligence sources that one of the richest trade caravans of the year, commanded by Abu Sufyan and guarded by thirty to forty men, was travelling from Syria to Mecca[citation needed]. Because of the caravan's size, or perhaps because of the previous failures to intercept a caravan, Muhammad gathered an army of over 313 men, the largest army the Muslims had ever put in the field. The goods contained in the caravan were the belongings of the Muslims which were taken by the Meccans following the migration to Madinah.[7]
The march to Badr
Muhammad's forces included Abu Bakr, Umar, Ali, Hamza, Mus`ab ibn `Umair, Az-Zubair bin Al-�Awwam, Ammar ibn Yasir, and Abu Dharr al-Ghifari. The Muslims also brought seventy camels and two horses, meaning that they either had to walk or fit three to four men per camel.[8] However, many early Muslim sources indicate that no serious fighting was expected,[9] and the future Caliph Uthman stayed behind to care for his sick wife Ruqayyah, the daughter of the Prophet.[10] Salman the Persian also couldn't join the battle, as he was still not a free man.[11]
Many of the Quraishi nobles, including Amr ibn Hisham, Walid ibn Utba, Shaiba, and Umayah ibn Khalaf, joined the Meccan army. Their reasons varied: some were out to protect their financial interests in the caravan; others wanted to avenge Ibn al-Hadrami, the guard killed at Nakhlah; finally, a few must have wanted to take part in what was expected to be an easy victory against the Muslims.[12] Amr ibn Hisham is described as shaming at least one noble, Umayah ibn Khalaf, into joining the expedition. [13]
By this time Muhammad's companions were approaching the wells where he planned to either waylay the caravan, or to fight the Meccan army at Badr, along the Syrian trade route where the caravan would be expected to stop or the Meccan army to come for its protection. However, several Muslim scouts were discovered by scouts from the caravan[14] and Abu Sufyan made a hasty turn towards Yanbu.[15]
The Muslim plan
When the word reached the Muslim army about the departure of the Meccan army, Muhammad immediately called a council of war, since there was still time to retreat and because many of the fighters there were recent converts (called Ansar or "Helpers" to distinguish them from the Quraishi Muslims), who had only pledged to defend Medina. Under the terms of the Constitution of Medina, they would have been within their rights to refuse to fight and leave the army. However, according to tradition, they pledged to fight as well, with Sa'd bin 'Ubada declaring, "If you [Muhammad] order us to plunge our horses into the sea, we would do so."[16] However, the Muslims still hoped to avoid a pitched battle and continued to march towards Badr.
By 11 March both armies were about a day's march from Badr. Several Muslim warriors (including, according to some sources, Ali) who had ridden ahead of the main column captured two Meccan water carriers at the Badr wells. Expecting them to say they were with the caravan, the Muslims were horrified to hear them say they were with the main Quraishi army.[16] Some traditions also say that, upon hearing the names of all the Quraishi nobles accompanying the army, Muhammad exclaimed "Mecca hath thrown unto you the best morsels of her liver."[17] The next day Muhammad ordered a forced march to Badr and arrived before the Meccans.
The Badr wells were located on the gentle slope of the eastern side of a valley called "Yalyal". The western side of the valley was hemmed in by a large hill called 'Aqanqal. When the Muslim army arrived from the east, Muhammad initially chose to form his army at the first well he encountered. Hubab ibn al-Mundhir, however, asked him if this choice was divine instruction or Muhammad's own opinion. When Muhammad responded in the latter, Hubab suggested that the Muslims occupy the well closest to the Quraishi army, and block off the other ones. Muhammad accepted this decision and moved right away.
Behold! Allah Promised you one of the two (enemy) parties, that it should be yours: Ye wished that the one unarmed should be yours, but Allah Willed to justify the Truth according to His Words and to cut off the roots of the Unbelievers;
The Meccan plan
By contrast, while little is known about the progress of the Quraishi army from the time it left Mecca until its arrival just outside Badr, several things are worth noting: although many Arab armies brought their women and children along on campaigns both to motivate and care for the men, the Meccan army did not. Also, the Quraish apparently made little or no effort to contact the many tribes allies they had scattered throughout the Hijaz.[18] Both facts suggest the Quraish lacked the time to prepare for a proper campaign in their haste to protect the caravan. Besides it is believed since they knew they had outnumbered the Muslims by three to one, they expected an easy victory.
When the Quraishi reached Juhfah, just south of Badr, they received a message from Abu Sufyan telling them the caravan was safely behind them, and that they could therefore return to Mecca.[19] At this point, according to Karen Armstrong, a power struggle broke out in the Meccan army. Abu Jahl wanted to continue, but several of the clans present, including Banu Zuhrah and Banu Adi, promptly went home. Armstrong suggests they may have been concerned about the power that Abu Jahl would gain from crushing the Muslims. A contingent of Banu Hashim, hesitant to fight their own clansmen, also left with them.[20] Despite these losses, Abu Jahl was still determined to fight, boasting "We will not go back until we have been to Badr." During this period, Abu Sufyan and several other men from the caravan joined the main army.[21]
[The] Arabs will hear how we marched forth and of our mighty gathering, and they will stand in awe of us forever.
The day of battle
At midnight on 13 March, the Quraish broke camp and marched into the valley of Badr. It had rained the previous day and they struggled to move their horses and camels up the hill of 'Aqanqal. After they descended from 'Aqanqal, the Meccans set up another camp inside the valley. While they rested, they sent out a scout, Umayr ibn Wahb to reconnoitre the Muslim lines. Umayr reported that Muhammad's army was small, and that there were no other Muslim reinforcements which might join the battle.[22] However, he also predicted extremely heavy Quraishi casualties in the event of an attack (One hadith refers to him seeing "the camels of [Medina] laden with certain death").[23] This further demoralized the Quraish, as Arab battles were traditionally low-casualty affairs, and set off another round of bickering among the Quraishi leadership. However, according to Arab traditions Amr ibn Hisham quashed the remaining dissent by appealing to the Quraishi's sense of honor and demanding that they fulfill their blood vengeance.[24]
The battle began with champions from both armies emerging to engage in combat. Three of the Ansar emerged from the Muslim ranks, only to be shouted back by the Meccans, who were nervous about starting any unnecessary feuds and only wanted to fight the Quraishi Muslims. So Hamza approached forward and called on Ubayda and Ali to join him. The Muslims dispatched the Meccan champions in a three-on-three melee. Hamza killed his opponent Utba; Ali killed his opponent Walid ibn Utba; Ubayda was wounded by his opponent Shayba, but eventually killed him. So this was a victorious traditional 3 on 3 combat for the Muslims.
Now both armies began striking arrows at each other. A few Muslims and an unknown number of Quraish warriors were killed. Before the real attack began, Muhammad had given orders for the Muslims to attack with their ranged weapons, and only engage the Quraish with melee weapons when they advanced.[25] Now he gave the order to charge, throwing a handful of pebbles at the Meccans in what was probably a traditional Arabian gesture while yelling "Defaced be those faces!"[26][27] The Muslim army yelled "Ya man?ur amit!"[28] "O thou whom God hath made victorious, slay!" and rushed the Quraishi lines. The Meccans, understrength and unenthusiastic about fighting, promptly broke and ran. The battle itself only lasted a few hours and was over by the early afternoon.[26] The Qur'an describes the force of the Muslim attack in many verses, which refer to thousands of angels descending from Heaven at Badr to terrify the Quraish.[27][29] It should be noted that Muslim sources take this account literally, and there are several hadith where Muhammad discusses the Angel Jibreel and the role he played in the battle.
Aftermath
Casualties and prisoners
Al-Bukhari lists Meccan losses as seventy dead and seventy captured.[30] This would be 15%�16% of the Quraishi army, unless the actual number of Meccan troops present at Badr was significantly lower, in which case the percentage of troops lost would have been higher. 'Ali alone accounted for 18 of the dead Meccans.[31] Muslim losses are commonly listed at fourteen killed, about 4% of their engaged forces.[27] Sources do not indicate the number of wounded on either side.
During the course of the fighting, the Muslims took a number of Meccan Quraish prisoner. Their fate sparked an immediate controversy in the Muslim army.[32] The initial fear was that the Meccan army might rally and that the Muslims couldn't spare any men to guard the prisoners. Sa'eed and Umar were in favor of killing the prisoners, but Abu Bakr argued for clemency. Muhammad eventually sided with Abu Bakr, and most prisoners were spared, either because of clan relations (one was Muhammad's son-in-law), desire for ransom, or the hope that they would later convert to Islam (in fact, several later did).[33] At least two high-ranking Meccans, including Umayyah, were executed after the battle for their open enmity towards the Muslims, and two other Quraysh who had dumped a bucket of sheep excrement over Muhammad during his days at Mecca were also killed during the return to Medina.[34] In the case of Umayyah, his former slave Bilal was so intent on killing him that his companions even stabbed one of the Muslims guarding Umayyah.[35]
Shortly before he departed Badr, Muhammad also gave the order for over twenty of the dead Quraishis to be buried in the well at Badr.[36] Multiple hadiths refer to this incident, which was apparently a major cause for outrage among the Quraish of Mecca. Shortly thereafter, several Muslims who had been recently captured by allies of the Meccans were brought into the city of Mecca and executed in revenge for the defeat.[37]
According to the traditional blood feud (similar to Blood Law) any Meccans related to those killed at Badr would feel compelled to take vengeance against members of the tribe who had killed their relatives. On the Muslim side, there was also a heavy desire for vengeance, as they had been persecuted and tortured by the Quraishi Meccans for years. However, after the initial executions, the surviving prisoners were quartered with Muslim families in Medina and treated well, as kin .
Implications
The Battle of Badr was extremely influential in the rise of two men who would determine the course of history on the Arabian peninsula for the next century. The first was Muhammad, who was transformed overnight from a Meccan outcast into a major leader. Marshall Hodgson adds that Badr forced the other Arabs to "regard the Muslims as challengers and potential inheritors to the prestige and the political role of the [Quraish]." Shortly thereafter he expelled the Banu Qaynuqa, one of the Jewish tribes at Medina that had been threatening his political position, and who had assaulted a Muslim woman which led to their expulsion for breaking the peace treaty. At the same time Abd-Allah ibn Ubayy, Muhammad's chief opponent in Medina, found his own position seriously weakened. Henceforth, he would only be able to mount limited challenges to Muhammad.[38]
The other major beneficiary of the Battle of Badr was Abu Sufyan. The death of Amr ibn Hashim, as well as many other Quraishi nobles[39] gave Abu Sufyan the opportunity, almost by default, to become chief of the Quraish. As a result, when Muhammad marched into Mecca six years later, it was Abu Sufyan who helped negotiate its peaceful surrender. Abu Sufyan subsequently became a high-ranking official in the Muslim Empire, and his son Muawiya would later go on to found the Umayyad Caliphate.
In later days having fought at Badr became so significant that Ibn Ishaq included a complete name-by-name roster of the Muslim army in his biography of Muhammad. In many hadiths, individuals who fought at Badr are identified as such as a formality, and they may have even received a stipend in later years.[40] The death of the last of the Badr veterans occurred during the First Islamic civil war.[41]
As Paul K. Davis sums up, "Mohammed�s victory confirmed his authority as leader of Islam; by impressing local tribes that joined him, the expansion of Islam began."[42]
Historical sources
Badr in the Qur'an
The Battle of Badr is one of the few battles explicitly discussed in the Qur'an. It is even mentioned by name as part of a comparison with the Battle of Uhud.
Qur'an: Al-i-Imran 3:123�125 (Yusuf Ali). �Allah had helped you at Badr, when ye were a contemptible little force; then fear Allah; thus May ye show your gratitude.� Remember thou saidst to the Faithful: "Is it not enough for you that Allah should help you with three thousand angels (Specially) sent down?� "Yea, � if ye remain firm, and act aright, even if the enemy should rush here on you in hot haste, your Lord would help you with five thousand angels Making a terrific onslaught.��
According to Abdullah Yusuf Ali, the term "gratitude" may be a reference to discipline. At Badr, the Muslim forces had allegedly maintained firm discipline, whereas at Uhud they broke ranks to pursue the Meccans, allowing Meccan cavalry to flank and rout their army. The idea of Badr as a furqan, an Islamic miracle, is mentioned again in the same surah.
Qur'an: Al-i-Imran 3:13 (Yusuf Ali). �There has already been for you a Sign in the two armies that met (in combat): One was fighting in the cause of Allah, the other resisting Allah; these saw with their own eyes Twice their number. But Allah doth support with His aid whom He pleaseth. In this is a warning for such as have eyes to see.�
Badr is also the subject of Sura 8: Al-Anfal, which details military conduct and operations. "Al-Anfal" means "the spoils" and is a reference to the post-battle discussion in the Muslim army over how to divide up the plunder from the Quraishi army. Though the Sura does not name Badr, it describes the battle, and several of the verses are commonly thought to have been from or shortly after the battle.
Traditional Muslim accounts
Most knowledge of the Battle of Badr comes either from the traditional Islamic accounts, Quran and Hadiths (records of the life and times of Muhammad). In the English speaking world, it is not known if there are earlier written records other than the traditional Islamic accounts since Arabic at that time in the Hijaz was primarily an oral language. People relied mostly on oral traditions.
Muslim exegs interpret the Book of Isaiah 21:13�17 as a prophecy of the Battle of Badr:(13) The oracle concerning Arabia. In the thickets in Arabia you will lodge, O caravans of Dedanites. (14) To the thirsty bring water, meet the fugitive with bread, O inhabitants of the land of Tema. (15) For they have fled from the swords, from the drawn sword, from the bent bow, and from the press of battle. (16) For thus the Lord said to me, "Within a year, according to the years of a hireling, all the glory of Kedar will come to an end; (17) and the remainder of the archers of the mighty men of the sons of Kedar will be few; for the LORD, the God of Israel, has spoken."
Executions
After the battle Muhammad decided to return to Medina. While Muhammad was returning to Medina, he reportedly received a revelation regarding the distribution of war booty.
According to Muslim scholar "Saifur Rahman al Mubarakpuri", a Quran verse was revealed ordering the execution of one of the captives, Nadr bin Harith. After this revelation, Nadr bin Harith was subsequently beheaded by Ali.[43][44]
Later the command to kill Uqba bin Abu Muayt was given, and he was subsequently beheaded by Asim Bin Thabit Ansari (some sources say Ali beheaded him).[45]
In modern culture
"Badr" has become popular among Muslim armies and paramilitary organizations. "Operation Badr" was used to describe Egypt's offensive in the 1973 Yom Kippur War as well as Pakistan's actions in the 1999 Kargil War. Iranian offensive operations against Iraq in the late 1980s were also named after Badr. During the 2011 Libyan civil war, the rebel leadership stated that they selected the date of the assault on Tripoli to be the 20th of Ramadan, marking the anniversary of the Battle of Badr.[46]
The Battle of Badr was featured in the 1976 film The Message, and the 2004 animated movie Muhammad: The Last Prophet.
References
Books and articles
1.Ali, Abdullah Yusuf (1987). The Holy Qur'an: Text, Translation & Commentary. Tahrike Tarsile Qur'an; Reissue edition. ISBN 0-940368-32-3.
2.Armstrong, Karen (1992). Muhmmad: Biography of the Prophet. HarperCollins. ISBN 0-06-250886-5.
3.Crone, Patricia (1987). Meccan Trade and the Rise of Islam. Blackwell.
4.Hodgson, Marshall (1974). The Venture of Islam: The Classical Age of Islam. University of Chicago Press. ISBN 0-226-34683-8.
5.Lings, Martin (1983). Muhammad: His Life Based on the Earliest Sources. Inner Traditions International. ISBN 0-89281-170-6.
6.Nicolle, David (1993). Armies of the Muslim Conquest. Osprey Publishing. ISBN 1-85532-279-X.
7.Ramadan, Tariq (2007). In the Footsteps of the Prophet. United States of America: Oxford University Press. ISBN 0-19-530880-8.
8.Watt, W. Montgomery (1956). Muhammad at Medina. Oxford University Press.
This article uses material from the Wikipedia article "Basmala" , which is released under the Creative Commons Attribution-Share-Alike License 3.0 .
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i don't know
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Chutzpah is Yiddish slang for?
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Jewish Law - Commentary/Opinion - The Supreme Chutzpah
The Supreme Chutzpah
THE SUPREME CHUTZPAH
Jack Achiezer Guggenheim
Last term something novel occurred at the nation's highest court. A decision of the U.S. Supreme Court used the word "chutzpah" for the first time. The decision was written by Justice Antonin Scalia in National Endowment for the Arts v. Finley, and addressed the interaction between government funding and free speech. Chutzpah is a Yiddish word connoting brazenness. A federal court in the Northern District of Illinois noted in a decision a couple of years ago that chutzpah means shameless audacity; impudence; brass. Leo Rosten's The Joys of Yiddish defines chutzpah as a Yiddish idiom meaning "gall, brazen nerve, effrontery." But neither English translation can do the word justice; neither definition can fully capture the audacity simultaneously bordering on insult and humor which the word chutzpah connotes. As a federal district court in the District of D.C. noted in 1992 that chutzpah is "presumption-plus-arrogance such as no other word, and no other language can do justice to.''
Perhaps the classic "legal" definition of chutzpah is the closest; a person who kills his parents and pleads for the court's mercy on the ground of being an orphan. However, in defining chutzpah in the context of American jurisprudence it is also important to note, as a court in the federal district of New Jersey did in 1995, that "Legal chutzpah is not always undesirable, and without it our system of jurisprudence would suffer.''
Part of the uniqueness of Yiddish words like chutzpah is that their meaning varies depending on context and degree. In the right circumstances and to the right degree chutzpah may intimate spunk. But in the wrong situation or to an improper degree, chutzpah implies insolence. In fact chutzpah can have such negative connotation that the word itself has occasionally caused litigation. For example, Senator Charles Schumer was sued, unsuccessfully, on the basis that his statement, "In Brooklyn, we have a word for something like that - chutzpah" was false and defamatory.
The unique shades and subtleties that Yiddish allows has made it a language of choice in recent American jurisprudence when English fails to provide a word with the proper connotation. The Seventh Circuit noted in 1995, Yiddishisms such as chutzpah "have become absorbed into standard English and are now applied to members of all racial and ethnic groups." According to Judge Alex Kozinski of the Ninth Circuit, Yiddish is quickly supplanting Latin as the spice in American legal argot. The earliest reported case that uses a Yiddish word is believed to be a New York surrogate court's decision of 1929. As Judge Kozinski has noted, more recently the U.S. Court of Appeals for the Second Circuit incorrectly defined a bagel; the word "kibbitz" has appeared in at least 10 decisions; the word "maven" has appeared in at least four decisions; the word "klutz" has appeared in at least three decisions; and the word "schmooze" in at least one decision.
Chutzpah made its federal debut in a 1973 opinion. Since then the Court of Federal Claims has created a "Chutzpah Championship;" the D.C. Circuit a "Chutzpah Award," and the Federal Circuit a "Chutzpah Doctrine." It was only a matter of time until the U.S. Supreme Court invoked its own chutzpah. National Endowment for the Arts v. Finley, a case that addressed the government's right to choose which expression to sponsor, provided the perfect forum for the Court to exercise its own right to express itself.
It was especially apropos that Justice Scalia used the term. Justice Scalia has been admired even by his ideological dissenters for his appropriate sense of humor in discussing deeply important subjects such as religion and politics. Furthermore, Justice Scalia, a devout Catholic raised in Queens, has repeatedly called for more expressions of tradition and religion in American society. The use of the word chutzpah, with its historical roots and association with Judaism, may fulfill such a role. It also comports with his legal philosophy. He favors the "nonpreferentialist" view which posits that government may support religion in general but not in a way that prefers any particular religion. For Justice Scalia to use a term of a Jewish cultural language in a Supreme Court decision could be viewed as in keeping with the nonpreferentialist legal doctrine.
In National Endowment for the Arts, a number of performance artists and an artists' organization brought an action against the NEA, claiming that the denial of grant applications violated the artists' constitutional rights. Justice Scalia felt exasperation for both the artists' challenge to the statute and the NEA's interpretation of the statute, and even Justice Sandra Day O'Connor's majority decision. In his concurrence, he agreed with the majority that the statute was constitutional. However, he apparently found that the NEA's interpretation of the statute as merely instructional and not mandating viewpoint based discrimination was truly chutzpah, writing: "It takes a particularly high degree of chutzpah for the NEA to contradict this proposition, since the agency itself discriminates - in favor of artistic (as opposed to scientific, or political, or theological) expression."
It is interesting to note that although Justice Scalia felt the need to define the words "decency" and "respect" and called on the use of the American Heritage Dictionary to do so, he did not define "chutzpah," no doubt because the word is so obviously a part of the English lexicon.
What does increasing use of the word chutzpah signify? Perhaps it reflects the developing mosaic of the United States. American Jewish lawyers initially faced discrimination in the United States. Large law firms were closed and bar associations turned a cold shoulder. But now a Yiddish term is used in a U.S. Supreme Court decision with hardly any notice. The salad bowl has replaced the mixing pot, and the cucumbers, tomatoes, and even the avocados are becoming accepted. And maybe this is the most fantastic chutzpah of all; while the world has an unfortunate history of prejudice, in America tolerance and pluralism are becoming traditional values.
Jack Achiezer Guggenheim, a graduate of Columbia Law School and Yeshiva University, is a clerk for Judge Lawrence M. Baskir, U.S. Court of Federal Claims. This essay was adapted from an article in the Kentucky Law Journal, Volume 87 Book 2, and is reprinted with the permission of the author.
Copyright � 1997-2008 by Ira Kasdan. All rights reserved.
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Audacity
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What Italian term, adopted into English, refers to a mixed language enabling communication between different national groups?
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Is Chutzpah a slang word? Can we use it in normal conversation and also in essays or Blogs? - Quora
Quora
It's not slang. It's a Yiddish word. Treat it how you would treat any other foreign language word in English.
Also, from what I've read, in Yiddish, it's not really a compliment.
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No, its not a slang word.
In fact,it's a High German(Yiddish) word which means unbelievable gall; insolence; audacity(fearless daring).
You can definitely use it in any normal conversation,essays or blogs.
For example:
He takes the cake for chutzpah!
It takes a certain chutzpah for an operatic and concert performer to take art songs into a cabaret setting.
Working for yourself requires entrepreneurial spirit and chutzpah.
How they came together is a story of friendship and courtship, of bereavement and a bit of chutzpah.
Though the long jump remains her weakest event, her chances of making good on her chutzpah appear to be improving.
120 Views
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i don't know
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Talaq is a form of what under Islamic (sharia) law?
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TALAQ | Islamic Sharia
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TALAQ
Due to the financial responsibilities which he has to bear, the right to divorce in Islam is primarily given to the husband. A Muslim who wishes to divorce his wife is therefore advised – in the first instance – to ask for an arbitration meeting, arranged by elders of the couple so that a reconciliation may be reached. If such efforts fail and the man sincerely thinks he cannot live a harmonious life with his wife, he may divorce her either verbally or in writing. In both cases, it is recommended for there to be two witnesses present on the occasion of the pronouncement of such a divorce.
A man should (a) divorce only once and (b) only during the time when his wife is not on her menses and (c) there has been no sexual contact with her since the time of her last menses.
After a divorce is pronounced by a husband, his wife must wait for a given period (‘iddat’). During this period, the wife is allowed to stay in the same house, but they can not have sexual relation amongst them.The man is allowed to take her back either verbally saying “I TAKE YOU BACK“, or physically, by having intimate relation with her. if, after this waiting period, the husband fails to take his wife back, then the wife is completely divorced, and must leave the matrimonial home immediately.
It is also recommended to have two witnesses present in the case, where the husband decides to take back (‘ruju’) his wife, before the end of the iddat.
Where a man has pronounced three divorces, on three different occasions, he can neither take back his former wife, nor remarry her.
The Council issues a divorce certificate on the basis of “talaq nama”, signed by the applicant in the presence of two witnesses. The man is required to pay the dower amount in full to the woman.
PROCEDURE FOR TALAQ
1. All new and prospective clients, must download the Talaq Form, fill it in and post or E-Mail to the Islamic Shari’a Council, detailing the main reasons for their (the applicant) seeking a divorce.
2. Upon obtaining a fully completed application form with the relevant details from the applicant – amongst which is included a contact address for the wife, and a copy of the client’s passport, nikkah nama / civil marriage certificate, decree nisi / absolute – the Council will register the application. An application will not be registered if any details or documents requested on the application form are not included on or with a submitted application form.
3. The Council will then send a talaq nama to the husband. He must sign this in front of two witnesses and return it to the Council.
4. The Council keeps the wife of the proceedings by letter. The letter notifies the wife that she has a period of thirty days in which to respond. If the Council receives no response from the wife within this period, the Council will then ask the husband to (a) verify the address of his wife, and (b) ensure that the full amount of dower – agreed at time of marriage – has been paid in full: the Council will only consider the full amount of dower to have been paid by the husband, where this amount is indentical to the full dower amount, as originally specified at the time of marriage.
5. After all of the above stages have been reached, the Council will issue two original copies of Islamic divorce; one will be sent, with the dower amount, by post to the woman, and one copy will be forwarded to the applicant.
The Council conducts Islamic divorces only
It does not conduct cases as part of the UK legal or judicial systems
For advice regarding a civil divorce, please consult a qualified, legal representative.
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Divorce
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What is the Latin term for a reigning queen, often shown after first name as a formal title?
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Islamic Divorce – Illegitimate Code
Islamic Divorce
Marriage Day (Photo credit: Fikra)
We covered a lot of topics in class today, divorce, legitimacy, custody and inheritance. This blog entry is only about divorce though, because I find it interesting, especially since there are some peculiarities about the Law in Malaysia when it comes to annulment of marriages.
First, there is the standard talaq that is initiated by the husband. There are several categories of it but essentially: talaq raj’i, talaq bain sughra, and talaq bain kubra.
Talaq Raj’i is more a form of separation than an annulment, which is governed by S.51 of the Act. Essentially, the couple can choose to revoke their divorce, at any time, during the cleansing period Iddah of about 3 months. This is the lightest form of divorce with the least consequence.
Talaq Bain Sughra is a real divorce, which is governed by the same S.51 of the Act. In this case, the divorce cannot be revoked but the couple can choose to re-marry again, after the Iddah period has passed. In my opinion, this is a real divorce in the true sense of the word.
Talaq Bain Kubra is a final divorce, which is governed by the same S.51 and S.14 of the Act. In this case, the divorce cannot be revoked and the couple cannot choose to re-marry again, even after the Iddah period. This divorce is final and binding. They can only re-marry after the wife re-marries and re-divorces someone else first.
Also, the number of times a couple divorces is also considered. If a couple is divorced three times (talaq tiga), the divorce is considered final – of the last category. This is unlikely to happen in real-life as most cases of talaq tiga are done at a go, usually in a fit of anger.
Next, there is the issue of method of divorce. The most simple, obvious and direct method is Talaq Sarih which is basically the husband telling the wife in the face that he divorces her. The second method, which is fast gaining popularity is Talaq Kinayah which is an indirect method such as divorce via SMS, or through the use of ambiguous words.
Regardless of methodology and category of divorce, a marriage can only be annulled in the Court. This is governed by S.124 of the Act that does not allow any form of divorce outside of the Courts. A grace period of 7-days is give to the couple to report any divorce to the Courts and this is governed by S.55A(1) of the Act.
Typically, during the process of the divorce, the Court will appoint an arbitration committee to arbitrate as most divorces are messy and this is governed by S.47-S.49 of the Act. They can take several rounds of arbitration and finally, the recommendations are forwarded back to the Court.
Secondly, there is Khul’ governed by S.49 of the Act that essentially allows the wife to initiate the divorce. This form of divorce essentially allows the wife to ‘buy’ herself out by paying the husband a fee. To me, this is an interesting form of divorce. However, it is generally only accepted if there are irreconcilable differences on the part of the wife.
Thirdly, there is Fasakh governed by S.52 of the Act that is essentially a court ordered divorce. The grounds for such a divorce are many and listed in great detail in the Act. Some interesting examples are when the husband is imprisoned for more than 3 years, failure to perform marital obligations for a year, husband was impotent at time of marriage, insanity and also a partner suffering from an STI.
Fourthly, there is Ta’liq goverend by S.50 of the Act. This form of divorce is unique in Malaysia as it is sourced from Malay Adat instead of from Islamic Authority. Essentially, my take on this is that it’s a form of divorce by contract, where both parties agreed verbally to divorce under specific conditions. Once these conditions are met, the wife can initiate the divorce.
From the list of cases given for our reading, this form of divorce is the most common in Malaysia as it is also the easiest to do. From case law, one can almost make all kinds of requirements and conditions that when met causes the marriage to be voidable.
Finally, there is Li’an which is a very special case of divorce where the husband catches the wife in the act of adultery with another person. He can then apply for a divorce by taking an oath. This is governed by S.50A and S.110 of the Act. This form of divorce is final.
That’s it – a quick description of the various forms of divorce under Malaysian Islamic Law. Of course, there are a lot more details to cover but those are details that I’ll have to cover for my own examinations.
My take on it is that the freedom to divorce is generally in the hands of the husband, while the wife is allowed to initiate divorce under specific conditions. This may seem biased but this has to be balanced with what happens after divorce. The wife can file for all sorts of claims that are biased to her instead.
Therefore, my reading of the Law is that Islamic Law allows one to easily get married and to easily get out of it as well (in the sense that the rules and regulations are all nicely laid out). I think that this is essential for a way of life that encourages marriage and procreation by reducing the risk and consequence of failure.
Till death to us part may sometimes be taken too literally.
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