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https://oercommons.org/courseware/lesson/88080/overview
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Chinese Revolution
Overview
Introduction
Shortly after the conclusion of World War II, the Chinese Communist Party seized power in China in 1949. Under the leadership of the party dictator, Mao Zedong, the Communists in China developed their own version of Marxist-Leninism in the 1950s and 1960s, and eventually challenged the Soviet Union for leadership of the worldwide Communist Revolution.
Learning Objectives
- Assess how the conflict between the Nationalist Party (Kuomintang) and the Chinese Communist Party was affected by external and internal developments in China.
- Identify factors that contributed to the Chinese Communist Party's victory in the Civil War.
- Examine the economic, political, and cultural changes resulting from the Chinese Revolution.
- Examine the Nationalist Party in the Chinese Revolution and settlement in Taiwan.
Key Terms / Key Concepts
Chinese Civil War: a civil war in China fought between forces loyal to the Kuomintang (KMT)-led government of the Republic of China, and forces loyal to the Communist Party of China (CPC) (The war began in August 1927 with Generalissimo Chiang Kai-shek’s Northern Expedition and ended when major hostilities ceased in 1950.)
Five Year Plan: a nationwide centralized economic plan in the Soviet Union developed by a state planning committee that was part of the ideology of the Communist Party for the development of the Soviet economy (A series of these plans was developed in the Soviet Union while similar Soviet-inspired plans emerged across other communist countries during the Cold War era.)
Great Chinese Famine: a period in the People’s Republic of China between the years 1959 and 1961 characterized by widespread famine that resulted in deaths ranging from 20 million to 43 million (Drought, poor weather, and the policies of the Communist Party of China (Great Leap Forward) contributed, although the relative weights of these contributions are disputed.)
Great Leap Forward: an economic and social campaign by the Communist Party of China (CPC) that took place from 1958 to 1961 and was led by Mao Zedong aimed at rapidly transforming the country from an agrarian economy into a socialist society through quick industrialization and collectivization (It is widely considered to have caused the Great Chinese Famine.)
Hundred Flowers Campaign: a period in 1956 in the People’s Republic of China during which the Communist Party of China (CPC) encouraged its citizens to openly express their opinions of the communist regime (Differing views and solutions to national policy were encouraged based on the famous expression by Communist Party Chairman Mao Zedong: “The policy of letting a hundred flowers bloom and a hundred schools of thought contend is designed to promote the flourishing of the arts and the progress of science.” After this brief period of liberalization, Mao abruptly changed course.)
Khrushchev’s “Secret Speech”: a report by Soviet leader Nikita Khrushchev made to the 20th Congress of the Communist Party of the Soviet Union on February 25, 1956 in which Khrushchev was sharply critical of the reign of deceased General Secretary and Premier Joseph Stalin, particularly with respect to the purges which marked the late 1930s
Kuomintang: a major political party in the Republic of China founded by Song Jiaoren and Sun Yat-sen shortly after the Xinhai Revolution of 1911; currently the second-largest political party in the country, often translated as the Nationalist Party of China or Chinese Nationalist Party (Its predecessor, the Revolutionary Alliance, was one of the major advocates of the overthrow of the Qing Dynasty and the establishment of a republic.)
Maoism: a political theory derived from the teachings of Chinese political leader Mao Zedong (1893 – 1976); developed from the 1950s until the Deng Xiaoping reforms in the 1970s, the guiding political and military ideology of the Communist Party of China (CPC) and revolutionary movements around the world
The Chinese Civil War
The Chinese Civil War, fought between forces loyal to the Nationalist Kuomintang-led government (KMT) and those loyal to the Communist Party of China (CPC), represented an ideological split between the CPC and the KMT and resulted in the establishment of the People’s Republic of China and the exodus of the nationalists to Taiwan. It continued intermittently until late 1937, when the two parties came together to form the Second United Front to counter the Japanese threat and prevent the country from crumbling. However, the alliance of the CPC and the KMT was in name only.
The level of actual cooperation and coordination between the two parties during World War II was at best minimal. In the midst of the Second United Front, the CPC and the KMT still vied for territorial advantage in “Free China” (i.e., areas not occupied by the Japanese or ruled by Japanese puppet governments). In general, developments in the Second Sino-Japanese War were to the advantage of the CPC, as its guerrilla war tactics won them popular support within the Japanese-occupied areas, while the KMT had to defend the country against the main Japanese campaigns since it was the legal Chinese government.
Under the terms of the Japanese unconditional surrender dictated by the United States, Japanese troops were ordered to surrender to KMT troops and not to the CPC, which was present in some of the occupied areas. In Manchuria, however, where the KMT had no forces, the Japanese surrendered to the Soviet Union. Chiang Kai-shek ordered the Japanese troops to remain at their posts to receive the Kuomintang and not surrender their arms to the Communists. However, in the last month of World War II in East Asia, Soviet forces launched a huge strategic offensive operation to attack the Japanese Kwantung Army in Manchuria and along the Chinese-Mongolian border. Chiang Kai-shek realized that he lacked the resources to prevent a CPC takeover of Manchuria following the scheduled Soviet departure.
A fragile truce between the competing forces fell apart on June 21, 1946, when full-scale war between the CPC and the KMT broke out. On July 20, 1946, Chiang Kai-shek launched a large-scale assault on Communist territory, marking the final phase of the Chinese Civil War. After three years of exhausting military campaigns, on October 1, 1949, Mao Zedong proclaimed the People’s Republic of China, with its capital in Beijing. Chiang Kai-shek and approximately two million Nationalist Chinese retreated from mainland China to the island of Taiwan after the loss of Sichuan (at that time, Taiwan was still Japanese territory). In December 1949, Chiang proclaimed Taipei, Taiwan, the temporary capital of the Republic of China and continued to assert his government as the sole legitimate authority in China.
During the war, both the Nationalists and the Communists carried out mass atrocities, with millions of non-combatants deliberately killed by both sides. Benjamin Valentino has estimated atrocities resulted in the deaths of between 1.8 million and 3.5 million people between 1927 and 1949. Atrocities included deaths from forced conscription, as well as massacres.
The United States and the Chinese Civil War
During World War II, the United States emerged as a major actor in Chinese affairs. As an ally, it embarked in late 1941 on a program of massive military and financial aid to the hard-pressed Nationalist government. In January 1943 the United States and Britain led the way in revising their treaties with China, bringing to an end a century of unequal treaty relations. Within a few months, a new agreement was signed between the United States and China for the stationing of American troops in China for the common war effort against Japan. In December 1943 the Chinese exclusion acts of the 1880s and subsequent laws enacted by the United States Congress to restrict Chinese immigration into the United States were repealed.
The wartime policy of the United States was initially to help China become a strong ally and a stabilizing force in postwar East Asia. As the conflict between the Nationalists and the Communists intensified, however, the United States sought unsuccessfully to reconcile the rival forces for a more effective anti-Japanese war effort. Toward the end of the war, United States Marines were used to hold Beiping and Tianjin against a possible Soviet incursion, and logistic support was given to Nationalist forces in north and northeast China.
Through the mediatory influence of the United States a military truce was arranged in January 1946, but battles between Nationalists and Communists soon resumed. Realizing that American efforts short of large-scale armed intervention could not stop the war, the United States withdrew the American mission, headed by General George C. Marshall, in early 1947.
The civil war, in which the United States aided the Nationalists with massive economic loans but no military support, became more widespread. Battles raged not only for territories but also for the allegiance of cross sections of the population.
The Nationalist government sought to enlist popular support through internal reforms. The effort was in vain, however, because of the rampant corruption in government and the accompanying political and economic chaos. By late 1948 the Nationalist position was bleak. The demoralized and undisciplined Nationalist troops proved no match for the People's Liberation Army (PLA). The Communists were well established in the north and northeast. Although the Nationalists had an advantage in numbers of men and weapons, controlled a much larger territory and population than their adversaries, and enjoyed considerable international support, they were exhausted by the long war with Japan and the attendant internal responsibilities. In January 1949 Beiping was taken by the Communists without a fight, and its name changed back to Beijing. Between April and November, major cities passed from Guomindang to Communist control with minimal resistance. In most cases the surrounding countryside and small towns had come under Communist influence long before the cities. After Chiang Kai-shek and a few hundred thousand Nationalist troops fled from the mainland to the island of Taiwan, there remained only isolated pockets of resistance. In December 1949 Chiang proclaimed Taipei, Taiwan, the temporary capital of China.
Taiwan or the Republic of China?
The resumption of the Chinese Civil War led to the ROC’s loss of the mainland to the Communists and the flight of the ROC government to Taiwan in 1949. The island of Taiwan was mainly inhabited by Taiwanese aborigines before the 17th century, when Dutch and Spanish colonies opened the island to Han Chinese immigration. After a brief rule by the Kingdom of Tungning, the island was annexed by the Qing dynasty, which was the last dynasty of China. The Qing ceded Taiwan to Japan in 1895 after the First Sino-Japanese War. While Taiwan was under Japanese rule, the Republic of China (ROC) was established on the mainland in 1912 after the fall of the Qing dynasty. Following the Japanese surrender to the Allies in 1945, the ROC took control of Taiwan. Although the ROC claimed to be the legitimate government of “all of China” until 1991, its effective jurisdiction since 1949 has been limited to Taiwan and its surrounding islands, with the main island making up 99% of its territory. The official name of the entity remains the Republic of China although its political status is highly ambiguous.
The ROC was a charter member of the United Nations. Despite the major loss of territory in 1949 when the People’s Republic of China was established by the Communists, the ROC was still recognized as the legitimate government of China by the UN and many non-communist states. However, in 1971 the UN expelled the ROC and transferred China’s seat to the People’s Republic of China (PRC). In addition, the ROC lost its membership in all intergovernmental organizations related to the UN. Most countries aligned with the West in the Cold War terminated diplomatic relations with the ROC and recognized the PRC instead.
The ROC continues to maintain relations with the UN and most of its non-governmental organizations. However, multiple attempts by the Republic of China to rejoin the UN have failed, largely due to diplomatic maneuvering by the PRC. The ROC is recognized a small number of United Nations member states and the Holy See—the Catholic Pope and territories that he governs. It maintains diplomatic relations with those countries, which means they recognize the ROC government as the representative of China but not the independent status of Taiwan as a state.
The PRC refuses to maintain diplomatic relations with any nation that recognizes the ROC, but does not object to nations conducting economic, cultural, and other exchanges with Taiwan that do not imply diplomatic relations. Therefore, many nations that have diplomatic relations with Beijing maintain quasi-diplomatic offices in Taipei. Similarly, the government in Taiwan maintains quasi-diplomatic offices in most nations under various names, most commonly as the Taipei Economic and Cultural Office. The ROC participates in most international forums and organizations under the name “Chinese Taipei” due to diplomatic pressure from the People’s Republic of China. For instance, it has competed at the Olympic Games under this name since 1984.
Taiwan's Political System
Taiwan is currently the 21st-largest economy in the world, and its high-tech industry plays a key role in the global economy. It is ranked highly in terms of freedom of the press, health care, public education, economic freedom, and human development. This status was not always the case in the history of Taiwan.
On February 28, 1947, an anti-government uprising in Taiwan was violently suppressed by the Kuomintang-led ROC government, which killed thousands of civilians. The massacre, known as the February 28 Incident, marked the beginning of the Kuomintang’s White Terror period in Taiwan, in which tens of thousands more inhabitants vanished, died, or were imprisoned. The White Terror, in its broadest meaning, was the period of martial law that lasted for 38 years and 57 days. Chiang Ching-kuo—Chiang Kai-shek’s son and successor as the president—began to liberalize the political system in the mid-1980s. In 1984, the younger Chiang selected Lee Teng-hui—a Taiwanese-born, US-educated technocrat—to be his vice president. In 1986, the Democratic Progressive Party (DPP) was formed and inaugurated as the first opposition party in the ROC to counter the KMT. A year later, Chiang Ching-kuo lifted martial law on the main island of Taiwan.
After the death of Chiang Ching-kuo in 1988, Lee Teng-hui succeeded him as president and continued to democratize the government. Under Lee, Taiwan underwent a process of localization in which Taiwanese culture and history were promoted over a pan-China viewpoint, in contrast to earlier KMT policies that promoted a Chinese identity. The original members of the Legislative Yuan and National Assembly, elected in 1947 to represent mainland Chinese constituencies and holding the seats without re-election for more than four decades, were forced to resign in 1991. The previously nominal representation in the Legislative Yuan was thus brought to an end, reflecting the reality that the ROC had no jurisdiction over mainland China and vice versa. Democratic reforms continued in the 1990s, with Lee Teng-hui being re-elected in 1996, during the first direct presidential election in the history of the ROC. By the same token, Taiwan transformed from a one-party military dictatorship dominated by the Kuomintang to a multi-party democracy with universal suffrage.
Although Taiwan is fully self-governing, most international organizations either refuse it membership or allow it to participate only as a non-state actor. Internally, the major division in politics is between the aspirations of eventual Chinese unification or Taiwanese independence, although both sides have moderated their positions to broaden their appeal. The PRC has threatened the use of military force in response to any formal declaration of independence by Taiwan or if PRC leaders decide that peaceful unification is no longer possible.
Cross-Strait Relations
The English expression “cross-strait relations” refers to relations between the PRC and the ROC by the two sides concerned and many observers, so that the relationship between China and Taiwan would not be referred to as “(Mainland) China–Taiwan relations” or “PRC–ROC relations.”
The Chinese Civil War stopped without signing a peace treaty, and the two sides are technically still at war. Since 1949, relations between the PRC and the ROC have been characterized by limited contact, tensions, and instability. In the early years, military conflicts continued while diplomatically both governments competed to be the “legitimate government of China.” On January 1, 1979, Beijing proposed the establishment of the so called Three Links: postal, commercial, and transportation. The proposal was greeted in ROC’s President Chiang Ching-kuo’s with the Three-Nos Policy (“no contact, no compromise and no negotiation”).
In 1987, the ROC government began to allow visits to China. This benefited many, especially old KMT soldiers who had been separated from their families in China for decades. This also proved a catalyst for the thawing of relations between the two sides, although difficult negotiations continued and the Three Links were officially established only in 2008.
Cross-strait investments have greatly increased since 2008. Predominantly, this involves Taiwan-based firms moving to or collaborating in joint ventures in the PRC. China remains Taiwan’s top trading partner. Cultural exchanges have also increased in frequency. The National Palace Museum in Taipei and the Palace Museum in Beijing have collaborated on exhibitions. Scholars and academics frequently visit institutions on the other side. Books published on each side are regularly republished on the other side, although restrictions on direct imports and different orthography somewhat impede the exchange of books and ideas. Religious exchange has also become frequent. Frequent interactions occur between worshipers of Matsu and Buddhists.
Maoism
The ideologies of the Chinese Communist Party in mainland China have significantly evolved since it established political power in China in 1949. Mao Zedong’s revolution that founded the PRC was nominally based on Marxism-Leninism with a rural focus (based on China’s social situations at the time). During the 1960s and 1970s, the CPC experienced a significant ideological breakdown with the Communist Party of the Soviet Union and their allies. Mao’s peasant revolutionary vision and so-called “continued revolution under the dictatorship of the proletariat” stipulated that class enemies continued to exist even though the socialist revolution seemed to be complete, giving way to the Cultural Revolution. This fusion of ideas became known officially as Mao Zedong Thought or Maoism outside of China. It represented a powerful branch of communism that existed in opposition to the Soviet Union’s Marxist revisionism.
The essential difference between Maoism and other forms of Marxism is that Mao claimed that peasants should be the essential revolutionary class in China because they were more suited than industrial workers to establish a successful revolution and socialist society in China. Maoism was widely applied as the guiding political and military ideology of the CPC. It evolved with Chairman Mao’s changing views, but its main components are “New Democracy”, “People’s war”, “Mass line”, “cultural revolution”, “three worlds”, and “agrarian socialism”.
The “New Democracy” aims to overthrow feudalism and achieve independence from colonialism. However, it dispenses with the rule predicted by Marx and Lenin that a capitalist class would usually follow such a struggle, claiming instead to enter directly into socialism through a coalition of classes fighting the old ruling order.
The original symbolism of the flag of China derives from the concept of the coalition. The largest star symbolizes the Communist Party of China’s leadership, and the surrounding four smaller stars symbolize “the bloc of four classes”: proletarian workers, peasants, the petty bourgeoisie (small business owners), and the nationally-based capitalists. This is the coalition of classes for Mao’s New Democratic Revolution.
Maoism emphasizes the “revolutionary struggle of the vast majority of people against the exploiting classes and their state structures,” which Mao termed “People’s war.” The “People’s war” maintains that “Political power grows out of the barrel of a gun.” Mobilizing large parts of rural populations to revolt against established institutions by engaging in guerrilla warfare, Maoism focuses on “surrounding the cities from the countryside.” It views the industrial-rural divide as a major division exploited by capitalism, involving industrial urban developed “First World” societies ruling over rural developing “Third World” societies.
The” Mass line” theory holds that the communist party must not be separate from the popular masses, either in policy or in revolutionary struggle. This theory runs contrary to the view of Lenin and the Bolsheviks in the Russian Revolution that the intellectual elite in the party lead the masses. To conduct a successful revolution, according to Maoism, the needs and demands of the masses must be paramount.
The “Cultural revolution” theory states that the proletarian revolution and the dictatorship of the proletariat does not wipe out bourgeois ideology. The class struggle continues, and even intensifies, during socialism. Therefore, a constant struggle against these ideologies and their social roots must be conducted. The revolution’s stated goal was to preserve “true” Communist ideology in the country by purging remnants of capitalist and traditional elements from Chinese society, and to re-impose Maoist thought as the dominant ideology within the Party. The concept was applied in practice in 1966, which marked the return of Mao Zedong to a position of power after the Great Leap Forward (a 1958 – 1961 failed economic and social campaign aimed to rapidly transform the country from an agrarian economy into a socialist society through rapid industrialization and collectivization). The movement paralyzed China politically and negatively affected the country’s economy and society to a significant degree.
The “Three Worlds” theory states that during the Cold War, two imperialist states formed the First World: the United States and the Soviet Union. The Second World consisted of the other imperialist states in their spheres of influence. The Third World consisted of the non-imperialist countries. Both the First and the Second World exploit the Third World, but the First World more aggressively so.
In its concept of “agrarian socialism”, Maoism departs from conventional European-inspired Marxism in that its focus is on the agrarian countryside rather than the industrial urban forces. This is known as agrarian socialism.
Although Maoism is critical of urban industrial capitalist powers, it views urban industrialization as a prerequisite to expand economic development and socialist reorganization to the countryside, with the goal of rural industrialization that would abolish the distinction between town and countryside.
The People's Republic of China
On October 1, 1949, the People's Republic of China was formally established, with its national capital at Beijing. "The Chinese people have stood up!" declared Mao as he announced the creation of a "people's democratic dictatorship." The people were defined as a coalition of four social classes: the workers, the peasants, the petite bourgeoisie, and the national-capitalists. The four classes were to be led by the CCP, which was meant to be the vanguard of the working class. At that time the CCP claimed a membership of 4.5 million, of which members of peasant origin accounted for nearly 90 percent. The party was under Mao's chairmanship, and the government was headed by Zhou Enlai (1898 – 1976) as premier of the State Administrative Council (the predecessor of the State Council).
The Soviet Union recognized the People's Republic on October 2, 1949. Earlier in the year, Mao had proclaimed his policy of "leaning to one side" as a commitment to the socialist bloc. In February 1950, after months of hard bargaining, China and the Soviet Union signed the Treaty of Friendship, Alliance, and Mutual Assistance, valid until 1980. The pact also was intended to counter Japan or any power's joining Japan for the purpose of aggression.
In the first year of Communist administration, moderate social and economic policies were implemented with skill and effectiveness. For the first time in decades a Chinese government was met with peace, instead of massive military opposition, within its territory. The new leadership was highly disciplined and, having a decade of wartime administrative experience to draw on, was able to embark on a program of national integration and reform. The leadership realized that the overwhelming task of economic reconstruction and achievement of political and social stability required the goodwill and cooperation of all classes of people. Results were impressive by any standard, and popular support was widespread.
By 1950 international recognition of the Communist government had increased considerably, but it was slowed by China's involvement in the Korean War. In October 1950, sensing a threat to the industrial heartland in northeast China from the advancing United Nations (UN) forces in the Democratic People's Republic of Korea (North Korea), units of the PLA—calling themselves the Chinese People's Volunteers—crossed the Yalu Jiang River into North Korea in response to North Korea's and the Soviet Union’s request for aid. Almost simultaneously the PLA forces also marched into Xizang (Tibet) to reassert Chinese sovereignty over a region that had been in effect independent of Chinese rule since the fall of the Qing dynasty in 1911.
In 1951 the UN declared China to be an aggressor in Korea and sanctioned a global embargo on the shipment of arms and war material to China. This step foreclosed any possibility that the People's Republic might replace Nationalist China (on Taiwan) as a member of the UN and as a veto-holding member of the UN Security Council, at least for the time being.
After China entered the Korean War, the initial moderation in Chinese domestic policies gave way to a massive campaign against the "enemies of the state," actual and potential. These enemies consisted of "war criminals, traitors, bureaucratic capitalists, and counterrevolutionaries." The campaign was combined with party sponsored trials attended by huge numbers of people. The major targets in this drive were foreigners and Christian missionaries who were branded as United States agents at these mass trials.
The 1951 – 52 drive against political enemies was accompanied by land reform, which had actually begun under the Agrarian Reform Law of June 28, 1950. The redistribution of land was accelerated, and a class struggle against landlords and wealthy peasants was launched. An ideological reform campaign requiring self-criticisms and public confessions by university faculty members, scientists, and other professional workers was given wide publicity. Artists and writers were soon the objects of similar treatment for failing to heed Mao's dictum that culture and literature must reflect the class interest of the working people, led by the CCP.
These campaigns were accompanied in 1951 and 1952 by the san fan ("three anti") and wu fan ("five anti") movements. The former was directed ostensibly against the evils of "corruption, waste, and bureaucratism"; its real aim was to eliminate incompetent and politically unreliable public officials and to bring about an efficient, disciplined, and responsive bureaucratic system. The wu fan movement aimed at eliminating recalcitrant and corrupt businessmen and industrialists, who were in effect the targets of the CCP's condemnation of "tax evasion, bribery, cheating in government contracts, thefts of economic intelligence, and stealing of state assets." In the course of this campaign the party claimed to have uncovered a well-organized attempt by businessmen and industrialists to corrupt party and government officials. This charge was enlarged into an assault on independent businesspeople (the “bourgeoisie”) as a whole. The number of people affected by the various punitive or reform campaigns was estimated in the millions.
The Transition to Socialism, 1953-1957
The period of officially designated "transition to socialism" corresponded to China's First Five-Year Plan(1953 – 57). The period was characterized by efforts to achieve industrialization, collectivization of agriculture, and political centralization.
The First Five-Year Plan stressed the development of heavy industry on the Soviet model. Soviet economic and technical assistance was expected to play a significant part in the implementation of the plan, and technical agreements were signed with the Soviets in 1953 and 1954.
To facilitate economic planning, the first modern census was taken in 1953; the population of mainland China was shown to be 583 million, a figure far greater than had been anticipated. Therefore, among China's most pressing needs in the early 1950s were food for its burgeoning population, domestic capital for investment, and purchase of Soviet-supplied technology, capital equipment, and military hardware. To satisfy these needs, the government began to collectivize agriculture. Despite internal disagreement as to the speed of collectivization, which at least for the time being was resolved in Mao's favor, preliminary collectivization was 90 percent completed by the end of 1956. In addition, the government nationalized banking, industry, and trade. Private enterprise in mainland China had been virtually abolished.
Major political developments included the centralization of party and government administration. Elections were held in 1953 for delegates to the First National People's Congress, China's national legislature, which met in 1954. Only communist party members could run as candidates in these elections. The congress declared the state constitution of 1954 and formally elected Mao chairman (or president) of the People's Republic; it elected Liu Shaoqi (1898 – 1969) chairman of the Standing Committee of the National People's Congress; and named Zhou Enlai premier of the new State Council. In the midst of these major governmental changes, and helping to precipitate them, was a power struggle within the CCP leading to the 1954 purge of Political Bureau member Gao Gang and Party Organization Department head Rao Shushi, who were accused of illicitly trying to seize control of the party.
The process of national integration also was characterized by improvements in party organization under the administrative direction of the secretary general of the party Deng Xiaoping (who served concurrently as vice premier of the State Council). There was a marked emphasis on recruiting intellectuals, who by 1956 constituted nearly 12 percent of the party's 10.8 million members. Peasant membership had decreased to 69 percent, while there was an increasing number of "experts", who were needed for the party and governmental infrastructures, in the party ranks.
As part of the effort to encourage the participation of intellectuals in the new regime, in mid-1956 there began an official effort to liberalize the political climate. Cultural and intellectual figures were encouraged to speak their minds on the state of CCP rule and programs. Mao personally took the lead in the movement, which was launched under the classical slogan "Let a hundred flowers bloom, let the hundred schools of thought contend." At first the party's repeated invitation to air constructive views freely and openly was met with caution. By mid-1957, however, the movement unexpectedly mounted, bringing denunciation and criticism against the party in general and the excesses of its party members in particular. Startled and embarrassed, leaders turned on the critics as "bourgeois rightists" and launched the Anti-Rightist Campaign. The Hundred Flowers Campaign, sometimes called the Double Hundred Campaign, apparently had a sobering effect on the CCP leadership.
The Great Leap Forward, 1958-1960
The anti rightist drive was followed by a militant approach toward economic development. In 1958 the CCP launched the Great Leap Forward campaign under the new "General Line for Socialist Construction." The Great Leap Forward was aimed at accomplishing the economic and technical development of the country at a vastly faster pace and with greater results. The shift to the left that the new "General Line" represented was brought on by a combination of domestic and external factors. Although the party leaders appeared generally satisfied with the accomplishments of the First Five-Year Plan, they—Mao and his fellow radicals in particular—believed that more could be achieved in the Second Five-Year Plan (1958 – 62) if the people could be ideologically aroused and if domestic resources could be utilized more efficiently for the simultaneous development of industry and agriculture. These assumptions led the party to an intensified mobilization of the peasantry and mass organizations, stepped-up ideological guidance and indoctrination of technical experts, and encouraged efforts to build a more responsive political system. The last of these undertakings was to be accomplished through a new xiafang (down to the countryside) movement, under which cadres inside and outside the party would be sent to factories, communes, mines, and public works projects for manual labor and firsthand familiarization with grassroots conditions. Although evidence is sketchy, Mao's decision to embark on the Great Leap Forward was based in part on his uncertainty about the Soviet policy of economic, financial, and technical assistance to China. That policy, in Mao's view, not only fell far short of his expectations and needs but also made him wary of the political and economic dependence in which China might find itself.
The Great Leap Forward centered on a new socioeconomic and political system created in the countryside and in a few urban areas—the people's communes. By the fall of 1958, some 750,000 agricultural producers' cooperatives, now designated as production brigades, had been amalgamated into about 23,500 communes, each averaging 5,000 households or 22,000 people. The individual commune was placed in control of all the means of production and was to operate as the sole accounting unit; it was subdivided into production brigades (generally identical with traditional villages) and production teams. Each commune was planned as a self-supporting community for agriculture, small-scale local industry (for example, the famous backyard pig-iron furnaces), schooling, marketing, administration, and local security (maintained by militia organizations). Organized along paramilitary and laborsaving lines, the commune had communal kitchens, mess halls, and nurseries. In a way, the people's communes constituted a fundamental attack on the institution of the family, especially in a few model areas where radical experiments in communal living— large dormitories in place of the traditional nuclear family housing—occurred. (But those large dormitories were quickly dropped.) The system also was based on the assumption that it would release additional manpower for such major projects as irrigation works and hydroelectric dams, which were seen as integral parts of the plan for the simultaneous development of industry and agriculture.
The Great Leap Forward was an economic failure and resulted in the Great Chinese Famine. In early 1959, amid signs of rising popular restiveness, the CCP admitted that the favorable production report for 1958 had been exaggerated. Among the Great Leap Forward's economic consequences were a shortage of food (in which natural disasters also played a part); shortages of raw materials for industry; overproduction of poor-quality goods; deterioration of industrial plants through mismanagement; and exhaustion and demoralization of the peasantry and of the intellectuals, not to mention the party and government cadres at all levels. Throughout 1959 efforts to modify the administration of the communes got under way; these were intended partly to restore some material incentives to the production brigades and teams, partly to decentralize control, and partly to house families that had been reunited as household units.
Political consequences were not inconsiderable. In April 1959 Mao, who bore the chief responsibility for the Great Leap Forward fiasco, stepped down from his position as chairman of the People's Republic. The National People's Congress elected Liu Shaoqi as Mao's successor, though Mao remained chairman of the CCP. Moreover, Mao's Great Leap Forward policy came under open criticism at a party conference at Lushan, Jiangxi Province. The attack was led by Minister of National Defense Peng Dehuai, who had become troubled by the potentially adverse effect Mao's policies would have on the modernization of the armed forces. Peng argued that "putting politics in command" was no substitute for economic laws and realistic economic policy; unnamed party leaders were also admonished for trying to "jump into communism in one step." After the Lushan showdown, Peng Dehuai, who allegedly had been encouraged by Soviet leader Nikita Khrushchev to oppose Mao, was deposed. Peng was replaced by Lin Biao, a radical and opportunist Maoist. The new defense minister initiated a systematic purge of Peng's supporters from the military.
Militancy on the domestic front was echoed in external policies. The "soft" foreign policy based on the Five Principles of Peaceful Coexistence to which China had subscribed in the mid-1950s gave way to a "hard" line in 1958. From August through October of that year, the Chinese resumed a massive artillery bombardment of the Nationalist-held offshore islands of Jinmen and Mazu, controlled by Taiwan. This was accompanied by an aggressive propaganda assault on the United States and a declaration of intent to "liberate" Taiwan.
Chinese control over Tibet had been reasserted in 1950. The socialist revolution that took place thereafter increasingly became a process of imposing Chinese culture on the Tibetans. Tension culminated in a revolt in 1958 – 59 and the flight to India by the Dalai Lama—the Tibetans' spiritual and de facto temporal leader. Relations with India, where sympathy for the rebels was aroused, deteriorated as thousands of Tibetan refugees crossed the Indian border. There were several border incidents in 1959, and a brief Sino-Indian border war erupted in October 1962 as China laid claim to Aksai Chin—nearly 103,600 square kilometers of territory that India regarded as its own. The Soviet Union gave India its moral support in the dispute, thus contributing to the growing tension between Beijing and Moscow.
The Sino-Soviet dispute of the late 1950s was the most important development in Chinese foreign relations. The Soviet Union had been China's principal benefactor and ally, but relations between the two were cooling. The Soviet agreement in late 1957 to help China produce its own nuclear weapons and missiles was terminated by mid-1959. From that point until the mid-1960s, the Soviets recalled all of their technicians and advisers from China and reduced or canceled economic and technical aid to China. The discord was occasioned by several factors.
The two countries differed in their interpretation of the nature of "peaceful coexistence." The Chinese took a more militant and unyielding position on the issue of anti-imperialist struggle, but the Soviets were unwilling, for example, to give their support on the Taiwan question. In addition, the two communist powers disagreed on doctrinal matters. The Chinese accused the Soviets of "revisionism"; the latter countered with charges of "dogmatism."
Rivalry within the international communist movement also exacerbated Sino-Soviet relations. An additional complication was the history of suspicion each side had toward the other, especially the Chinese, who had lost a substantial part of territory to Tsarist Russia in the mid-nineteenth century. Whatever the causes of the dispute, the Soviet suspension of aid was a blow to the Chinese scheme for developing industrial and high-level (including nuclear) technology.
The Sino-Soviet Split
Relations between the USSR and the PRC had begun to deteriorate in 1956 after Khrushchev revealed his “Secret Speech” at the 20th Communist Party Congress. The “Secret Speech” criticized many of Stalin’s policies, especially his purges of Party members, and it marked the beginning of Khrushchev’s de-Stalinization process. This created a serious domestic problem for Mao, who had supported many of Stalin’s policies and modeled many of his own after them.
With Khrushchev’s denouncement of Stalin, many people questioned Mao’s decisions. Moreover, the emergence of movements fighting for the reforms of the existing communist systems across East-Central Europe after Khrushchev’s speech worried Mao. Brief political liberalization introduced to prevent similar movements in China, most notably lessened political censorship known as the Hundred Flowers Campaign, backfired against Mao, whose position within the Party only weakened. This convinced him further that de-Stalinization was a mistake. Mao took a sharp turn to the left ideologically, which contrasted with the ideological softening of de-Stalinization. With Khrushchev’s strengthening position as Soviet leader, the two countries were set on two different ideological paths.
Mao’s implementation of the Great Leap Forward, which utilized communist policies closer to Stalin than to Khrushchev, included forming a personality cult around Mao, as well as instituting Stalinist economic policies. This angered the USSR, especially after Mao criticized Khrushchev’s economic policies through the plan while also calling for more Soviet aid. The Soviet leader saw the new policies as evidence of an increasingly confrontational and unpredictable China.
At first, the Sino-Soviet split manifested indirectly as criticism towards each other’s client states. China denounced Yugoslavia and Tito, who pursued a non-aligned foreign policy, while the USSR denounced Enver Hoxha and the People’s Socialist Republic of Albania, which refused to abandon its pro-Stalin stance and sought its survival in alignment with China. The USSR also offered moral support to the Tibetan rebels in their 1959 Tibetan uprising against China.
By 1960, the mutual criticism moved out in the open, when Khrushchev and Peng Zhen had an open argument at the Romanian Communist Party congress. Khrushchev characterized Mao as “a nationalist, an adventurist, and a deviationist.” In turn, China’s Peng Zhen called Khrushchev a Marxist revisionist, criticizing him as “patriarchal, arbitrary and tyrannical.” Khrushchev denounced China with an 80-page letter to the conference and responded to Mao by withdrawing around 1,400 Soviet experts and technicians from China, leading to the cancellation of more than 200 scientific projects intended to foster cooperation between the two nations. After a series of unconvincing compromises and explicitly hostile gestures, in 1962, the PRC and the USSR finally broke relations. Mao criticized Khrushchev for withdrawing from the Cuban missile crisis (1962). Khrushchev replied angrily that Mao’s confrontational policies would lead to a nuclear war.
In the wake of the Cuban missile crisis, nuclear disarmament was brought to the forefront of geopolitics. To curb the production of nuclear weapons in other nations, the Soviet Union, Britain, and the U.S. signed the Limited Test Ban Treaty in 1963. At the time, China was developing its own nuclear weaponry and Mao saw the treaty as an attempt to slow China’s advancement as a superpower. This was the final straw for Mao, who from September 1963 to July 1964 published nine letters openly criticizing every aspect of Khrushchev’s leadership. The Sino-Soviet alliance then completely collapsed, and Mao turned to other Asian, African, and Latin American countries to develop new and stronger alliances and further the PRC’s economic and ideological redevelopment.
Readjustment and Recovery, 1961-1965
Meanwhile in the early 1960s, Mao faced criticism within China as well. In 1961 the political tide in China began to swing to the right, as evidenced by the ascendancy of a more moderate leadership. In an effort to stabilize the economic front, for example, the party—still under Mao's titular leadership but under the dominant influence of Liu Shaoqi, Deng Xiaoping, Chen Yun, Peng Zhen, Bo Yibo, and others—initiated a series of corrective measures. Among these measures was the reorganization of the commune system, with the result that production brigades and teams had more say in their own administrative and economic planning. To gain more effective control from the center, the CCP reestablished its six regional bureaus and initiated steps aimed at tightening party discipline and encouraging the leading party cadres to develop populist-style leadership at all levels. The efforts were prompted by the party's realization that the arrogance of party and government functionaries had engendered only public apathy. On the industrial front, much emphasis was then placed on realistic and efficient planning; ideological fervor and mass movements were no longer the controlling themes of industrial management. Production authority was restored to factory managers. Another notable emphasis after 1961 was the party's greater interest in strengthening the defense and internal security establishment. By early 1965 the country was well on its way to recovery under the direction of the party apparatus or, to be more specific, the Central Committee's Secretariat headed by Secretary General Deng Xiaoping.
The Cultural Revolution
Key Terms / Key Concepts
Cultural Revolution: a sociopolitical movement in China from 1966 until 1976; set into motion by Mao Zedong, then Chairman of the Communist Party of China
Down to the Countryside Movement: a policy instituted by Mao Zedong in the People’s Republic of China in the late 1960s and early 1970s, instigated by what was perceived as anti-bourgeois thinking prevalent during the Cultural Revolution and resulting in certain privileged urban youth being sent to farming villages to work
Gang of Four: a political faction composed of four Chinese Communist Party officials that came to prominence during the Cultural Revolution (1966 – 76) and was later charged with a series of treasonous crimes
Red Guards: a fanatic student mass paramilitary social movement mobilized by Mao Zedong in 1966 and 1967 during the Cultural Revolution
struggle sessions: a form of public humiliation and torture used by the Communist Party of China in the Mao Zedong era, particularly during the Cultural Revolution, to shape public opinion and humiliate, persecute, or execute political rivals and class enemies.
Origins of the Cultural Revolution
In the early 1960s, Mao was on the political sidelines and in semi seclusion. By 1962, however, he began an offensive to purify the party, having grown increasingly uneasy about what he believed were the creeping "capitalist" and antisocialist tendencies in the country. As a hardened veteran revolutionary who had overcome the severest adversities, Mao continued to believe that the material incentives that had been restored to the peasants and others were corrupting the masses and were counterrevolutionary.
To stop the so-called capitalist trend, Mao launched the Socialist Education Movement, for which the primary emphasis was on restoring ideological purity, reinfusing revolutionary fervor into the party and government bureaucracies, and intensifying class struggle. There were internal disagreements, however, not on the aim of the movement but on the methods of carrying it out. Opposition came mainly from the moderates represented by Liu Shaoqi and Deng Xiaoping, who were unsympathetic to Mao's policies. The Socialist Education Movement was soon paired with another Mao campaign, the theme of which was "to learn from the People's Liberation Army." Minister of National Defense Lin Biao's rise to the center of power was increasingly conspicuous. It was accompanied by his call on the PLA and the CCP to accentuate Maoist thought as the guiding principle for the Socialist Education Movement and for all revolutionary undertakings in China.
In connection with the Socialist Education Movement, a thorough reform of the school system, which had been planned earlier to coincide with the Great Leap Forward, went into effect. The reform was intended as a work-study program, a new xiafang movement—in which schooling was slated to accommodate the work schedule of communes and factories. It had the dual purpose of providing mass education less expensively than previously offered and of re-educating intellectuals and scholars to accept the need for their own participation in manual labor. The drafting of intellectuals for manual labor was part of the party's rectification campaign, publicized through the mass media as an effort to remove "bourgeois" influences from professional workers—particularly, their tendency to have greater regard for their own specialized fields than for the goals of the party. Official propaganda accused them of being more concerned with having "expertise" than being "red".
The Militant Phase, 1966-1968
By mid-1965 Mao had gradually but systematically regained control of the party with the support of Lin Biao—Jiang Qing (Mao's fourth wife)—and Chen Boda—a leading theoretician. In late 1965 a leading member of Mao's "Shanghai Mafia," Yao Wenyuan, wrote a thinly veiled attack on the deputy mayor of Beijing—Wu Han. In the next six months, under the guise of upholding ideological purity, Mao and his supporters purged or attacked a wide variety of public figures, including State Chairman Liu Shaoqi and other party and state leaders. By mid-1966 Mao's campaign had erupted into what came to be known as the Great Proletarian Cultural Revolution—the first mass action to have emerged against the CCP apparatus itself.
Considerable intraparty opposition to the Cultural Revolution was evident. On the one side was the Mao-Lin Biao group, supported by the PLA; on the other side was a faction led by Liu Shaoqi and Deng Xiaoping, which had its strength in the regular party machine. Premier Zhou Enlai, while remaining personally loyal to Mao, tried to mediate or to reconcile the two factions.
Mao felt that he could no longer depend on the formal party organization, convinced that it had been permeated with the "capitalist" and bourgeois obstructionists. He turned to Lin Biao and the PLA to counteract the influence of those who were allegedly “‘left’ in form but ‘right’ in essence.” The PLA was widely extolled as a “great school” for the training of a new generation of revolutionary fighters and leaders.
Maoists also turned to high school students for political demonstrations on their behalf. These students, joined by some university students, came to be known as the Red Guards. Millions of Red Guards were encouraged by the Cultural Revolution group to become a “shock force” and to “bombard” with criticism both the regular party headquarters in Beijing and those at the regional and provincial levels. Red Guard activities were promoted as a reflection of Mao's policy of rekindling revolutionary enthusiasm and destroying "outdated," "counterrevolutionary" symbols and values.
Mao's ideas, popularized in the Quotations from Chairman Mao, became the standard by which all revolutionary efforts were to be judged. The "four big rights"—speaking out freely, airing views fully, holding great debates, and writing big-character posters—became an important factor in encouraging Mao's youthful followers to criticize his intraparty rivals. The "four big rights" became such a major feature during the period that they were later institutionalized in the state constitution of 1975.
The result of the unfettered criticism of established organs of control by China's exuberant youth was massive civil disorder, punctuated also by clashes among rival Red Guard gangs and between the gangs and local security authorities. The party organization was shattered from top to bottom. (The Central Committee's Secretariat ceased functioning in late 1966.) The resources of the public security organs were severely strained.
Faced with imminent anarchy, the PLA—the only organization whose ranks for the most part had not been radicalized by Red Guard-style activities—emerged as the principal guarantor of law and order and the de facto political authority. And although the PLA was under Mao's rallying call to "support the left," PLA regional military commanders ordered their forces to restrain the leftist radicals, thus restoring order throughout much of China. The PLA also was responsible for the appearance in early 1967 of the revolutionary committees—a new form of local control that replaced local party committees and administrative bodies. The revolutionary committees were staffed with Cultural Revolution activists, trusted cadres, and military commanders, the latter frequently holding the greatest power.
The radical tide receded somewhat beginning in late 1967, but it was not until after mid-1968 that Mao came to realize the uselessness of further revolutionary violence. Liu Shaoqi, Deng Xiaoping, and their fellow “revisionists” and “capitalist roaders” had been purged from public life by early 1967, and the Maoist group had since been in full command of the political scene.
Viewed in larger perspective, the need for domestic calm and stability was occasioned perhaps even more by pressures emanating from outside China. The Chinese were alarmed in 1966 – 68 by steady Soviet military buildups along their common border. The Soviet invasion of Czechoslovakia in 1968 heightened Chinese apprehensions. In March 1969 Chinese and Soviet troops clashed on Zhenbao Island (known to the Soviets as Damanskiy Island) in the disputed Wusuli Jiang (Ussuri River) border area. The tension on the border had a sobering effect on the fractious Chinese political scene and provided the regime with a new and unifying rallying call.
The Ninth National Party Congress to the Demise of Lin Biao, 1969-1971
The activist phase of the Cultural Revolution—considered to be the first in a series of cultural revolutions—was brought to an end in April 1969. This end was formally signaled at the CCP's Ninth National Party Congress, which convened under the dominance of the Maoist group. Mao was confirmed as the supreme leader. Lin Biao was promoted to the post of CCP vice chairman and was named as Mao's successor. Others who had risen to power by means of Cultural Revolution machinations were rewarded with positions on the Political Bureau; a significant number of military commanders were appointed to the Central Committee. The party congress also marked the rising influence of two opposing forces, Mao's wife, Jiang Qing, and Premier Zhou Enlai. The general emphasis after 1969 was on reconstruction through rebuilding of the party, economic stabilization, and greater sensitivity to foreign affairs. Pragmatism gained momentum as a central theme of the years following the Ninth National Party Congress, but this tendency was paralleled by efforts of the radical group to reassert itself. The radical group—Kang Sheng, Xie Fuzhi, Jiang Qing, Zhang Chunqiao, Yao Wenyuan, and Wang Hongwen—no longer had Mao's unqualified support.
By 1970 Mao viewed his role more as that of the supreme elder statesman than of an activist in the policy-making process. This was probably the result as much of his declining health as of his view that a stabilizing influence should be brought to bear on a divided nation. As Mao saw it, China needed both pragmatism and revolutionary enthusiasm, each acting as a check on the other. Factional infighting would continue unabated through the mid-1970s, although an uneasy coexistence was maintained while Mao was alive.
The rebuilding of the CCP got under way in 1969. The process was difficult, however, given the pervasiveness of factional tensions and the discord carried over from the Cultural Revolution years. Differences persisted among the military, the party, and left-dominated mass organizations over a wide range of policy issues, to say nothing of the radical-moderate rivalry.
It was not until December 1970 that a party committee could be reestablished at the provincial level. In political reconstruction two developments were noteworthy. As the only institution of power for the most part left unscathed by the Cultural Revolution, the PLA was particularly important in the politics of transition and reconstruction. The PLA was, however, not a homogeneous body. In 1970 – 71 Zhou Enlai was able to forge a centrist-rightist alliance with a group of PLA regional military commanders who had taken exception to certain of Lin Biao's policies. This coalition paved the way for a more moderate party and government leadership in the late 1970s and 1980s.
The PLA was divided largely on policy issues. On one side of the infighting was the Lin Biao faction, which continued to exhort the need for “politics in command” and for an unremitting struggle against both the Soviet Union and the United States. On the other side was a majority of the regional military commanders, who had become concerned about the effect Lin Biao's political ambitions would have on military modernization and economic development. These commanders' views generally were in tune with the positions taken by Zhou Enlai and his moderate associates. Specifically, the moderate groups within the civilian bureaucracy and the armed forces spoke for more material incentives for the peasantry, efficient economic planning, and a thorough reassessment of the Cultural Revolution. They also advocated improved relations with the West in general and the United States in particular—if for no other reason than to counter the perceived expansionist aims of the Soviet Union.
Generally, the radicals' objection notwithstanding, the Chinese political tide shifted steadily toward the right of center. Among the notable achievements of the early 1970s was China's decision to seek reconciliation with the United States, as dramatized by President Richard M. Nixon's visit in February 1972. In September 1972 diplomatic relations were established with Japan.
Without question, the turning point in the decade of the Cultural Revolution was Lin Biao's abortive coup attempt and his subsequent death in a plane crash as he fled China in September 1971. The immediate consequence was a steady erosion of the fundamentalist influence of the left-wing radicals. Lin Biao's closest supporters were purged systematically. Efforts to depoliticize and promote professionalism were intensified within the PLA. These were also accompanied by the rehabilitation of those persons who had been persecuted or fallen into disgrace in 1966 – 68.
End of the Era of Mao Zedong, 1972-1976
Among the most prominent of those rehabilitated was Deng Xiaoping, who was reinstated as a vice premier in April 1973, ostensibly under the aegis of Premier Zhou Enlai but certainly with the concurrence of Mao Zedong. Together, Zhou Enlai and Deng Xiaoping came to exert strong influence. Their moderate line favoring modernization of all sectors of the economy was formally confirmed at the Tenth National Party Congress in August 1973, at which time Deng Xiaoping was made a member of the party's Central Committee (but not yet of the Political Bureau).
The radical camp fought back by building an armed urban militia, but its mass base of support was limited to Shanghai and parts of northeastern China—hardly sufficient to arrest what it denounced as “revisionist” and “capitalist” tendencies. In January 1975 Zhou Enlai, speaking before the Fourth National People's Congress, outlined a program of what has come to be known as the Four Modernizations for the four sectors of agriculture, industry, national defense, and science and technology. This program would be reaffirmed at the Eleventh National Party Congress, which convened in August 1977. Also in January 1975, Deng Xiaoping's position was solidified by his election as a vice chairman of the CCP and as a member of the Political Bureau and its Standing Committee. Deng also was installed as China's first civilian chief of PLA General Staff Department.
The year 1976 saw the deaths of the three most senior officials in the CCP and the state apparatus: Zhou Enlai in January, Zhu De (then chairman of the Standing Committee of the National People's Congress and acting head of state) in July, and Mao Zedong in September. In April of the same year, masses of demonstrators in Tiananmen Square in Beijing memorialized Zhou Enlai and criticized Mao's closest associates, Zhou's opponents. In June the government announced that Mao would no longer receive foreign visitors. In July an earthquake devastated the city of Tangshan in Hebei Province. These events, along with the deaths of the three Communist leaders, contributed to a popular sense that the “mandate of heaven” had been withdrawn from the ruling party. At best the nation was in a state of serious political uncertainty.
Deng Xiaoping, the logical successor as premier, received a temporary setback after Zhou's death, when radicals launched a major counterassault against him. In April 1976 Deng was once more removed from all his public posts, and a relative political unknown, Hua Guofeng—a Political Bureau member, vice premier, and minister of public security—was named acting premier and party first vice chairman.
Even though Mao Zedong's role in political life had been sporadic and shallow in his later years, it was crucial. Despite Mao's alleged lack of mental acuity, his influence in the months before his death remained such that his orders to dismiss Deng and appoint Hua Guofeng were accepted immediately by the Political Bureau. The political system had polarized in the years before Mao's death into increasingly bitter and irreconcilable factions. While Mao was alive—and playing these factions off against each other—the contending forces were held in check. His death resolved only some of the problems inherent in the succession struggle.
The radical clique most closely associated with Mao and the Cultural Revolution became vulnerable after Mao died, as Deng had been after Zhou Enlai's demise. In October, less than a month after Mao's death, Jiang Qing and her three principal associates—denounced as the Gang of Four—were arrested with the assistance of two senior Political Bureau members, Minister of National Defense Ye Jianying (1897 – 1986) and Wang Dongxing, commander of the CCP's elite bodyguard. Within days it was formally announced that Hua Guofeng had assumed the positions of party chairman, chairman of the party's Central Military Commission, and premier.
The Post-Mao Period, 1976-1978
The jubilation following the incarceration of the Gang of Four and the popularity of the new ruling triumvirate (Hua Guofeng, Ye Jianying, and Li Xiannian) were succeeded by calls for the restoration to power of Deng Xiaoping and the elimination of leftist influence throughout the political system. By July 1977, at no small risk to undercutting Hua Guofeng's legitimacy as Mao's successor and seeming to contradict Mao's apparent will, the Central Committee exonerated Deng Xiaoping. Deng admitted some shortcomings in the events of 1975, and finally, at a party Central Committee session, he resumed all the posts from which he had been removed in 1976.
The post-Mao political order was given its first vote of confidence at the Eleventh National Party Congress, held August 12 – 18, 1977. Hua was confirmed as party chairman, and Ye Jianying, Deng Xiaoping, Li Xiannian, and Wang Dongxing were elected vice chairmen. The congress proclaimed the formal end of the Cultural Revolution, blamed it entirely on the Gang of Four, and reiterated that “the fundamental task of the party in the new historical period is to build China into a modern, powerful socialist country by the end of the twentieth century.” Many contradictions still were apparent regarding the Maoist legacy and the possibility of future cultural revolutions. However, the stage was set for China to move in a new direction under the leadership of Deng Xiaoping.
Consequences of the Cultural Revolution
The Cultural Revolution was a sociopolitical movement, set into motion by Mao, that started in 1966 and ended in 1976 and whose stated goal was to preserve 'true’ Communist ideology in China by purging remnants of capitalist and traditional elements from Chinese society and reimposing Maoism as the dominant ideology within the Party. The Revolution marked the return of Mao to a position of power after the Great Leap Forward.
The Revolution was launched after Mao alleged that bourgeois elements had infiltrated the government and society at large, aiming to restore capitalism. He insisted that these “revisionists” be removed through violent class struggle. China’s youth responded to Mao’s appeal by forming Red Guard groups around the country. The movement spread into the military, urban workers, and the Communist Party leadership itself. It resulted in widespread factional struggles in all walks of life. In the top leadership, it led to a mass purge of senior officials, most notably Liu Shaoqi and Deng Xiaoping. During the same period, Mao’s personality cult grew to immense proportions. Millions of people were persecuted in the violent struggles that ensued across the country and suffered a wide range of abuses, including public humiliation, arbitrary imprisonment, torture, sustained harassment, and seizure of property. A large segment of the population was forcibly displaced, most notably the transfer of urban youth to rural regions during the Down to the Countryside Movement.
Mao set the scene for the Cultural Revolution by “cleansing” Beijing of powerful officials of questionable loyalty. His approach was less than transparent. He achieved this purge through newspaper articles, internal meetings, and skillfully employing his network of political allies.
The start of the Cultural Revolution brought huge numbers of Red Guards to Beijing, with all expenses paid by the government. The revolution aimed to destroy the “Four Olds” (old customs, old culture, old habits, and old ideas) and establish the corresponding “Four News,” which ranged from the changing of names and haircuts to ransacking homes, vandalizing cultural treasures, and desecrating temples. In a few years, countless ancient buildings, artifacts, antiques, books, and paintings were destroyed by the members of the Red Guards. Believing that certain liberal bourgeois elements of society continued to threaten the socialist framework, the Red Guards struggled against authorities at all levels of society and even set up their own tribunals. Chaos reigned in much of the nation.
During the Cultural Revolution, nearly all of the schools and universities in China were closed and the young intellectuals living in cities were ordered to the countryside to be “re-educated” by the peasants, where they performed hard manual labor and other work.
The Cultural Revolution led to the destruction of much of China’s traditional cultural heritage and the imprisonment of a huge number of citizens, as well as general economic and social chaos. Millions of lives were ruined during this period as the Cultural Revolution pierced every part of Chinese life. It is estimated that hundreds of thousands, perhaps millions, perished in the violence of the Cultural Revolution.
The Revolution aimed to get rid of those who allegedly promoted bourgeois ideas, as well as those who were seen as coming from an exploitative family background or belonged to one of the Five Black Categories (landlords, rich farmers, counter-revolutionaries, bad-influencers or “bad elements,” and rightists). Many people perceived to belong to any of these categories, regardless of guilt or innocence, were publicly denounced, humiliated, and beaten in so-called "struggle sessions". In their revolutionary fervor, students denounced their teachers and children denounced their parents.
During the Cultural Revolution, libraries full of historical and foreign texts were destroyed and books were burned. Temples, churches, mosques, monasteries, and cemeteries were closed down and sometimes converted to other uses, looted, and destroyed. Among the countless acts of destruction, Red Guards from Beijing Normal University desecrated and badly damaged the burial place of Confucius.
Although the effects of the Cultural Revolution were disastrous for millions of people in China, there were some positive outcomes, particularly in the rural areas. For example, the upheavals of the Cultural Revolution and the hostility towards the intellectual elite are widely accepted to have damaged the quality of education in China, especially the higher education system. However, some policies also provided many in the rural communities with middle school education for the first time, which facilitated rural economic development in the 1970s and 80s. Similarly, a large number of health personnel was deployed to the countryside. Some farmers were given informal medical training and healthcare centers were established in rural communities. This led to a marked improvement in the health and the life expectancy of the general population.
The Cultural Revolution also brought to the forefront numerous internal power struggles within the Party, many of which had little to do with the larger battles between Party leaders but resulted instead from local factionalism and petty rivalries that were usually unrelated to the Revolution itself. Because of the chaotic political environment, local governments lacked organization and stability, if they existed at all. Members of different factions often fought on the streets and political assassinations, particularly in predominantly rural provinces, were common. The masses spontaneously involved themselves in factions and took part in open warfare against other factions. The ideology that drove these factions was vague and sometimes non-existent, with the struggle for local authority being the only motivation for mass involvement.
The Cultural Revolution wreaked havoc on minority cultures in China. In Inner Mongolia, some 790,000 people were persecuted. In Xinjiang, copies of the Qur’an and other books of the Uyghur people were burned. Muslim imams were reportedly paraded around with paint splashed on their bodies. In the ethnic Korean areas of northeast China, language schools were destroyed. In Yunnan Province, the palace of the Dai people’s king was torched. The massacre of Muslim Hui people at the hands of the People’s Liberation Army in Yunnan, known as the Shadian Incident, reportedly claimed over 1,600 lives in 1975.
Impact of Cultural Revolution on Sino-Soviet Relations
The Sino-Soviet split, seen by historians as one of the key events of the Cold War, had massive consequences for the two powers and for the world. The USSR had a network of communist parties it supported. China created its own rival network to battle it out for local control of the left in numerous countries. The divide fractured the international communist movement at the time and opened the way for the warming of relations between the U.S. and China under Richard Nixon and Mao in 1971.
In China, Mao launched the Cultural Revolution (1966 – 76), largely to prevent the development of Russian-style bureaucratic communism of the USSR.The ideological split also escalated to small-scale warfare between Russia and China, with a revived conflict over the Russo-Chinese border demarcated in the 19th century (starting in 1966) and Red Guards attacking the Soviet embassy in Beijing (1967). In the 1970s, Sino-Soviet ideological rivalry extended to Africa and the Middle East, where the Soviet Union and China funded and supported opposed political parties, militias, and states.
After the regime of Mao Zedong, the PRC–USSR ideological schism no longer shaped domestic politics but continued to impact geopolitics. The initial Soviet-Chinese proxy war occurred in Indochina in 1975, where the Communist victory of the National Liberation Front (Viet Cong) and of North Vietnam in the 30-year Vietnam War had produced a post–colonial Indochina that featured pro-Soviet regimes in Vietnam (Socialist Republic of Vietnam) and Laos (Lao People’s Democratic Republic), and a pro-Chinese regime in Cambodia (Democratic Kampuchea). At first, Vietnam ignored the Khmer Rouge domestic reorganization of Cambodia by the Pol Pot regime (1975 – 79) as an internal matter, until the Khmer Rouge attacked the ethnic Vietnamese populace of Cambodia and the border with Vietnam. The counterattack precipitated the Cambodian-Vietnamese War (1975 – 79) that deposed Pol Pot in 1978. In response, the PRC denounced the Vietnamese and retaliated by invading northern Vietnam in the Sino-Vietnamese War (1979). In turn, the USSR denounced the PRC’s invasion of Vietnam. In 1979, the USSR invaded the Democratic Republic of Afghanistan to sustain the Afghan Communist government. The PRC viewed the Soviet invasion as a local ploy within Soviet’s greater geopolitical encirclement of China. In response, the PRC entered a tripartite alliance with the U.S. and Pakistan to sponsor Islamist Afghan armed resistance to the Soviet occupation (1979 – 89). Relations between China and the Soviet Union remained tense until the visit of Soviet leader Mikhail Gorbachev to Beijing in 1989.
Primary Source: Editorial of the Liberation Army Daily (Jiefangjun Bao)
Editorial of the Liberation Army Daily (Jiefangjun Bao):
Mao Tse-Tung's (Mao Zedong) Thought is the Telescope and Microscope of Our Revolutionary Cause
June 7, 1966
The current great socialist cultural revolution is a great revolution to sweep away all monsters and a great revolution that remoulds the ideology of people and touches their souls. What weapon should be used to sweep away all monsters? What ideology should be applied to arm people's minds and remould their souls? The most powerful ideological weapon, the only one, is the great Mao Tse-tung's thought.Mao Tse-tung's (Mao Zedong) thought is our political orientation, the highest instruction for our actions; it is our ideological and political telescope and microscope for observing and analysing all things, In this unprecedented great cultural revolution, we should use Mao Tse-tung's thought to observe, analyse and transform everything, and, in a word, put it in command of everything. We should use Mao Tse-tung's thought to storm the enemy's positions and seize victory .. . . . Our struggle against the black anti-Party, anti-socialist line and gangsters is a mighty, life-and-death class struggle. The enemies without guns are more hidden, cunning, sinister and vicious than the enemies with guns. The representatives of the bourgeoisie and all monsters, including the modern revisionists, often oppose the red flag by hoisting a red flag and oppose Marxism-Leninism and Mao Tse-tung's thought under the cloak of Marxism-Leninism and Mao Tse-tung's thought when they attack the Party and socialism, because Marxism-Leninism and Mao Tse-tung's thought are becoming more popular day by day, our Party and Chairman Mao enjoy an incomparably high prestige and the dictatorship of the proletariat in our country is becoming more consolidated. These are the tactics that the revisionists always use in opposing Marxism-Leninism. This is a new characteristic of the class struggle under the conditions of the dictatorship of the proletariat.The many facts exposed during the great cultural revolution show us more clearly that the anti-Party and anti-socialist elements are all careerists, schemers and hypocrites of the exploiting classes. They indulge in double-dealing. They feign compliance while acting in opposition. They appear to be men but are demons at heart. They speak human language to your face, but talk devil's language behind your back. They are wolves in sheep's clothing and man-eating tigers with smiling faces. They often use the phrases of Marxism-Leninism and Mao Tse-tung's thought as a cover while greatly publicizing diametrically opposed views behind the word "but" and smuggling in bourgeois and revisionist stuff. Enemies holding a false red banner are ten times more vicious than enemies holding a white banner. Wolves in sheep's clothing are ten times more sinister than ordinary wolves. Tigers with smiling faces arc ten times more ferocious than tigers with their fangs bared and their claws sticking out. Sugar-coated bullets are ten times more destructive than real bullets. A fortress is most vulnerable when attacked from within. Enemies who have wormed their way into our ranks are far more dangerous than enemies operating in the open. We must give this serious attention and be highly vigilant.In such a very complicated and acute class struggle, how are we to draw a clear-cut line between the enemy and ourselves and maintain a firm stand? How are we to distinguish between revolutionaries and counter-revolutionaries, genuine revolutionaries and sham revolutionaries, and Marxism-Leninism and revisionism? We must master Mao Tse-tung's thought, the powerful ideological weapon, and use it as a telescope and a microscope to observe all matters. With the invincible Mao Tse-tung's thought, with the scientific world outlook and methodology of dialectical materialism and historical materialism which have been developed by Chairman Mao, and with the sharp weapon of Chairman Mao's theory of classes and class struggle, we have the highest criterion for judging right and wrong. . . Chairman Mao teaches us, "The proletariat seeks to transform the world according to its own world outlook, so does the bourgeoisie." In the sharp clash between the two world outlooks, either you crush me, or I crush you. It will not do to sit on the fence; there is no middle road. The overthrown bourgeoisie, in their plots for restoration and subversion, always give first place to ideology, take hold of ideology and the superstructure. The representatives of the bourgeoisie, by using their position and power, usurped and controlled the leadership of a number of departments, did all they could to spread bourgeois and revisionist poison through the media of literature, the theatre, films, music, the arts, the press, periodicals, the radio, publications and academic research and schools, etc., in an attempt to corrupt people's minds and perpetrate "peaceful evolution" as ideological preparation and preparation of public opinion for capitalist restoration. If our proletarian ideology does not take over the position, then the bourgeois ideology will have free rein; it will gradually nibble away and chew you up bit by bit. Once proletarian ideology gives way, so will the superstructure and the economic base and this means the restoration of capitalism, Therefore, we must arm our minds with Mao Tse-tung's thought and establish a firm proletarian world outlook. We must use the great Mao Tse-tung's thought to fight and completely destroy the bourgeois ideological and cultural positions.Mao Tse-tung's thought is the acme of Marxism-Leninism in the present era. It is living Marxism-Leninism at its highest. It is the powerful, invincible weapon of the Chinese people, and it is also a powerful, invincible weapon of the revolutionary people the world over. Mao Tse-tung's thought has proved to be the invincible truth through the practice of China's democratic revolution, socialist revolution and socialist construction, and through the struggle in the international sphere against U.S. imperialism and its lackeys and against Khrushchev revisionism. Chairman Mao has, with the gifts of genius, creatively and comprehensively developed Marxism-Leninism. Basing himself on the fundamental theses of Marxism-Leninism, Chairman Mao has summed up the experience of the practice of the Chinese revolution and the world revolution, and the painful lesson of the usurpation of the leadership of the Party and the state of the Soviet Union by the modern revisionist clique, systematically put forward the theory concerning classes, class contradictions and class struggle that exist in socialist society, greatly enriched and developed the Marxist-Leninist theory on the dictatorship of the proletariat, and put forward a series of wise policies aimed at opposing and preventing revisionism and the restoration of capitalism. . . . Every sentence by Chairman Mao is the truth, and carries more weight than ten thousand ordinary sentences. As the Chinese people master Mao Tse-tung's thought, China will be prosperous and ever-victorious. Once the world's people master Mao Tse-tung's thought ,which is living Marxism-Leninism, they are sure to win their emancipation, bury imperialism, modern revisionism and all reactionaries lock, stock and barrel, and realize communism throughout the world step by step.The most fundamental task in the great socialist cultural revolution in our country is to eliminate thoroughly the old ideology and culture, the old customs and habits which were fostered by all the exploiting classes for thousands of years to poison the minds of the people, and to create and form an entirely new, proletarian ideology and culture, new customs and habits among the masses of the people. This is to creatively study and apply Mao Tse-tung's thought in tempestuous class struggle, popularize it and let it become closely integrated with the masses of workers, peasants and soldiers. Once the masses grasp it, Mao Tse-tung's thought will be transformed into a mighty material force. Facts show that those armed with Mao Tse-tung's thought are the bravest, wisest, most united, most steadfast in class stand and have the sharpest sight. In this great, stormy cultural revolution, the masses of workers, peasants and soldiers are playing the role of the main force -this is the result of their efforts in creatively studying and applying Mao Tse-tung's thought and arming their ideology with it. This is another eloquent proof of the fact that when the masses of workers, peasants and soldiers master the political telescope and microscope of Mao Tse-tung's thought, they are invincible and ever-triumphant. . . .The attitude towards Mao Tse-tung's thought, whether to accept it or resist it, to support it or oppose it, to love it warmly or be hostile to it, this is the touchstone to test and the watershed between true revolution and sham revolution, between revolution and counter-revolution, between Marxism-Leninism and revisionism. He who wants to make revolution must accept Mao Tse-tung's thought and act in accordance with it. A counter-revolutionary will inevitably disparage, distort, resist, attack and oppose Mao Tse-tung's thought. The "authorities" of the bourgeoisie and all monsters, including the modern revisionists, use every means to slander Mao Tse-tung's thought, and they are extremely hostile to the creative study and application of Mao Tse-tung's works by the masses of workers, peasants and soldiers. They wildly attack the creative study and application of Mao Tse-tung's works by workers, peasants and soldiers as "philistinism," "over-simplification" and "pragmatism." The only explanation is that this flows from their exploiting class instinct. They fear Mao Tse-tung's thought, the revolutionary truth of the proletariat, and particularly the integration of Mao Tse-tung's thought with the worker, peasant and soldier masses. Once the workers, peasants and soldiers master the sharp weapon of Mao Tse-tung's thought, all monsters have no ground left to stand on. All their intrigues and plots will be thoroughly exposed, their ugly features will be brought into the broad light of day and their dream to restore capitalism will be utterly shattered.The class enemy won't fall down if you don't bit him. lie still tries to rise to his feet after he has fallen. When one black- line is eliminated, another appears. When one gang of representatives of the bourgeoisie has been laid low, a new one takes the stage. We must follow the instructions of the Central Committee of the Communist Party of China and never forget the class struggle, never forget the dictatorship of the proletariat, never forget to give prominence to politics, never forget to hold aloft the great red banner of Mao Tse-tung's thought. We must firmly give prominence to politics. We must creatively study and apply still better Chairman Mao Tse-tung's works, putting stress on the importance of application. We must consider Chairman Mao's works the supreme directive for all our work. We must master Mao Tse-tung's thought and pass it on from generation to generation. This is dictated by the needs of the revolution, the situation, the struggle against the enemy, the preparations to smash aggressive war by U.S. imperialism, of opposing and preventing revisionism, preventing the restoration of capitalism, of building socialism with greater, faster, better and more economical results and of ensuring the gradual transition from socialism to communism in China. Chairman Mao is the radiant sun lighting our minds. Mao Tse-tung's thought is our lifeline. Those who oppose Mao Tse-tung's thought, no matter when they do so and what kind of "authorities" they are, will be denounced by the entire Party and the whole nation.
Source:from The Great Socialist Cultural Revolution in China (Peking: Foreign Languages Press, 1966), III, 11-17.
This text is part of the Internet Modern History Sourcebook. The Sourcebook is a collection of public domain and copy-permitted texts for introductory level classes in modern European and World history.
Unless otherwise indicated the specific electronic form of the document is copyright. Permission is granted for electronic copying, distribution in print form for educational purposes and personal use. If you do reduplicate the document, indicate the source. No permission is granted for commercial use of the Sourcebook.
© Paul Halsall, July 1998
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:Mao_Zedong_in_1959_(cropped).jpg
Mao Zedong circa 1963 - неизвестный (unknown), Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/communist-china/
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Public Domain, Library of Congress Publication
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Cold War Conflicts
Overview
Korea
At the end of World War II, the Korean peninsula had been liberated from Japanese occupation. Following the partition of the peninsula into Soviet and United States zones of occupation (North and South Korea, respectively), North Korea invaded South Korea in 1950 and launched the Korean War. In 1953, this war ended in armistice, and the two Koreas remained distinct countries and hostile to one another for the duration of the Cold War, with the North aligned with the Soviet Union and the South allied with the US.
Learning Objectives
- Analyze the Korean War in the context of the Cold War and Communist expansion.
- Examine political, social, and economic developments in North and South Korea during the Cold War.
Key Terms / Key Concepts
April Revolution: a popular uprising in April 1960 led by labor and student groups, which overthrew the autocratic First Republic of South Korea under Syngman Rhee
August Faction Incident: a 1956 attempted removal of Kim Il-sung from power by leading North Korean figures from the Soviet-Korean faction and the Yan’an faction, with support from the Soviet Union and China
Bodo League: an official “re-education” movement whose members were communists, communist sympathizers, or actual and alleged political opponents of the President of South Korea Syngman Rhee
Coup d’état of December Twelfth: a military coup d’état which took place on December 12, 1979, in South Korea
Japan–Korea Annexation Treaty: a 1910 treaty between representatives of the Empire of Japan and the Korean Empire that formally annexed Korea following the Japan–Korea Treaty of 1905
Japan–Korea Protectorate Treaty: a 1905 treaty between the Empire of Japan and the Korean Empire that deprived Korea of its diplomatic sovereignty and made it a protectorate of Imperial Japan, which was influenced by Imperial Japan’s victory in the Russo-Japanese War in 1905
Jeju uprising: an attempted insurgency on the Korean province of Jeju Island followed by a brutal anticommunist suppression campaign that lasted from April 3, 1948, until May 1949
Juche: the official state ideology of North Korea, described by the regime as Kim Il-sung’s “contribution to national and international thought,” which claims that an individual is “the master of his destiny” and calls for the economic self-reliance of North Korea
June 29 Declaration: a speech by Roh Tae-woo, presidential candidate of the ruling Democratic Justice Party of South Korea, on June 29, 1987, in which he promised significant concessions to opponents of the incumbent authoritarian regime of Chun Doo-hwan, who had been pressing for democracy
June Democracy Movement: a nationwide democracy movement in South Korea that generated mass protests from June 10 to June 29, 1987 and forced the ruling government to hold elections and institute other democratic reforms
Korean Demilitarized Zone: a highly militarized strip of land running across the Korean Peninsula that was established at the end of the Korean War to serve as a buffer zone between the Democratic People’s Republic of Korea (North Korea) and the Republic of Korea (South Korea)
Korean War: A 1950 – 1953 military conflict that began when North Korea invaded South Korea. The United Nations, with the United States as the principal force, came to the aid of South Korea
March 1st Movement: one of the earliest public displays of Korean resistance during the ruling of Korea by Japan, which was initiated by activists reading the Korean Declaration of Independence and followed by massive demonstrations
May 16 coup: a military coup d’état in South Korea in 1961, organized and carried out by Park Chung-hee and his allies who formed the Military Revolutionary Committee; an event that rendered the democratically elected government of Yun Bo-seon powerless and ended the Second Republic
Miracle on the Han River: a phrase that refers to the period of rapid economic growth in South Korea following the Korean War (1950 – 1953), during which South Korea transformed from a poor developing country to a developed country
People’s Republic of Korea: a short-lived provisional government organized with the aim to take over control of Korea shortly after the surrender of the Empire of Japan at the end of World War II
Provisional People’s Committee: the official name of the provisional government governing the northern portion of the Korean Peninsula following its post-World War II partition by the United States and the Soviet Union after the defeat of the Empire of Japan in 1945
Russo-Japanese War: a 1904 – 1905 war fought between the Russian Empire and the Empire of Japan over rival imperial ambitions in Manchuria and Korea
The United States Army Military Government in Korea: the official ruling body of the southern half of the Korean Peninsula from September 8, 1945, to August 15, 1948
Japan's Annexation of Korea
In 1897, Joseon—a Korean kingdom founded in 1392—was renamed the Korean Empire, and King Gojong became Emperor Gojong. The imperial government aimed to establish a strong and independent nation by implementing domestic reforms, strengthening military forces, developing commerce and industry, and surveying land ownership.
Russian influence was strong in the Korean Empire until Russia was defeated by Japan in the Russo-Japanese War (1904 – 1905). Japan won the war with Russia, thus eliminating Japan’s last rival to influence in Korea. Two months later, Korea was obliged to become a Japanese protectorate by the Japan-Korea Protectorate Treaty of 1905 and pro-Japanese reforms were enacted, including the reduction of the Korean Army from 20,000 to 1,000 men.
Many Korean intellectuals and scholars set up various organizations and associations, embarking on movements for independence. And in 1907 Gojong was forced to abdicate after Japan learned that he sent secret envoys to the Second Hague Conventions to protest against the protectorate treaty, leading to the accession of Gojong’s son, Emperor Sunjong.
In 1910, Japan effectively annexed Korea by the Japan-Korea Annexation Treaty. While Japan asserts that the treaty was concluded legally, this argument is not accepted in Korea because it was not signed by the Emperor of Korea, as was required, and violated international convention on external pressures regarding treaties.
Korea was controlled by Japan under a Governor-General of Korea until Japan’s unconditional surrender to the Allied Forces in 1945, with de jure sovereignty deemed to have passed from the Joseon dynasty to the Provisional Government of the Republic of Korea.
Japanese Rule Begins
After the annexation, Japan set out to repress Korean traditions and culture and implement policies primarily for Japanese benefit. European-style transport and communication networks were established across the nation to extract resources and labor. The banking system was consolidated and Korean currency abolished. The Japanese removed the Joseon hierarchy, destroyed much of the ancient imperial palace, and replaced it with the government office building.
Many Japanese settlers were interested in acquiring agricultural land in Korea even before Japanese land ownership was officially legalized in 1906. Japanese landlords included both individuals and corporations such as the Oriental Development Company. Many former Korean landowners and agricultural workers became tenant farmers after losing their entitlements almost overnight.
By 1910, an estimated 7% to 8% of all arable land was under Japanese control. This ratio increased steadily. By 1932, the ratio of Japanese land ownership increased to 52.7%. The level of tenancy was similar to that of farmers in Japan but in Korea, the landowners were mostly Japanese, while the tenants were all Koreans. As was often the case in Japan, tenants were required to pay more than half their crop as rent, forcing many to send wives and daughters into factories or prostitution so they could pay taxes. Ironically, by the 1930s, the growth of the urban economy and the exodus of farmers to the cities gradually weakened the hold of the landlords.
After Emperor Gojong died in 1919 amidst rumors of poisoning, independence rallies against the Japanese took place nationwide: the March 1st Movement. This movement was suppressed by force and about 7,000 Koreans were killed by Japanese soldiers and police. An estimated 2 million people took part in pro-liberation rallies, although Japanese records claim participation of less than half million. This movement was partly inspired by United States President Woodrow Wilson’s speech of 1919, declaring support for right of self-determination and an end to colonial rule for Europeans. No comment was made by Wilson on Korean independence.
The Provisional Government of the Republic of Korea was established in Shanghai, China, in the aftermath of March 1 Movement, which coordinated the liberation effort and resistance against Japanese control. The Provisional Government is considered the rightful government of the Korean people between 1919 and 1948, and its legitimacy is enshrined in the preamble to the constitution of the Republic of Korea (South Korea). In Korea itself, continued anti-Japanese uprisings, such as the nationwide uprising of students in November 1929, led to the strengthening of military rule in 1931. In 1929, protests by Koran high school students against Japanese occupation inspired protests nationwide that last for five months.
After the outbreaks of the Second Sino-Japanese War in 1937 and World War II, Japan attempted to exterminate Korea as a nation. The continuance of Korean culture itself became illegal. Worship at Japanese Shinto shrines was made compulsory. The school curriculum was radically modified to eliminate teaching of the Korean language and history. The Korean language was banned, Koreans were forced to adopt Japanese names, and newspapers were prohibited from publishing in Korean. Numerous Korean cultural artifacts were destroyed or taken to Japan. According to an investigation by the South Korean government, 75,311 cultural assets were stolen from Korea during this period.
Korea during World War II
Starting in 1939, organized official recruitment of Koreans to work in mainland Japan were instituted to address Japanese labor shortages that resulted from conscription of Japanese males; the recruitment of Korean workers was initially conducted through civilian agents but later involved elements of coercion. As the labor shortage increased, by 1942 the Japanese authorities extended the provisions of the National Mobilization Law to include the conscription of Korean workers for factories and mines on the Korean peninsula, Manchukuo, as well as the involuntary relocation of workers to Japan itself as needed.
Of the 5.4 million Koreans conscripted, about 670,000 were taken to mainland Japan for civilian labor. Those who were brought to Japan were often forced to work under appalling and dangerous conditions. Although Koreans were often treated better than laborers from other countries, their long work hours, as well as lack of food and medical care, still led to many deaths. The number of deaths of Korean forced laborers in Korea and Manchuria is estimated to be between 270,000 and 810,000. Most Korean atomic-bomb victims in Japan were drafted for work at military industrial factories in Hiroshima and Nagasaki.
Starting in 1944, Japan began the conscription of Koreans into the armed forces. All Korean males were drafted to either join the Imperial Japanese Army, as of April 1944, or work in the military industrial sector, as of September 1944. Ethnic Koreans were not desired by the Japanese military until 1944 when the tide of WW II turned dire. Until 1944, enlistment in the Imperial Japanese Army by ethnic Koreans was voluntary and highly competitive. The acceptance rate reveals discrimination, as it went from 14% in 1938 to a 2% acceptance rate in 1943, while, at the same time, the raw number of applicants increased from 3000 per annum to 300,000.
Around 200,000 girls and women, many from China and Korea, were forced into sexual slavery for Japanese soldiers as the so-called “comfort women.” It was not until 2015 that Japan formally apologized for enslaving Korean women and girls and offered a monetary restitution of 8.3 million dollars. By then, very few of the women and girls who survived sexual torture were still alive.
Koreans, along with many other Asians, were experimented on in Unit 731—a secret Japanese military medical experimentation unit in World War II. General Shiro Ishii, the head of Unit 731, revealed during the Tokyo War Crime Trials that 254 Koreans were killed in Unit 731. Some historians estimate up to 250,000 total people were subjected to human experiments. A Unit 731 veteran attested that most that were experimented on were Chinese, Koreans, and Mongolians.
Economic Growth Controversy
The industrialization of the Korean Peninsula began with the Joseon dynasty while Korea was still independent, but vastly accelerated under Japanese occupation. The rapid growth of the Korean economy under Japanese rule, which as historians note cannot be ignored in the analysis of the later economic success of South Korea, continues to be the subject of controversy between the two Koreas and Japan. While the growth is unquestionable, North Korea and South Korea point to alleged long-term negative repercussions caused by how the acceleration of industrialization under Japanese occupation was executed, which was for the purposes of benefiting Japan while exploiting the Korean people and marginalizing Korean history and culture, as well as while exploiting the Korean Peninsula environment.
End of World War II: Division of Korea
In November 1943, Franklin Roosevelt, Winston Churchill, and Chiang Kai-shek met at the Cairo Conference to discuss what should happen to territories occupied by Japan and agreed that Japan should lose all the territories it had conquered by force. In the declaration after the conference, Korea was mentioned for the first time. The three powers declared that they were “mindful of the enslavement of the people of Korea […] [and had] determined that in due course Korea shall become free and independent.”
At the Tehran Conference in 1943 and the Yalta Conference in 1945, the Soviet Union promised to join its allies in the Pacific War within three months of victory in Europe. On August 8, 1945, after three months to the day, the Soviet Union declared war on Japan. Soviet troops advanced rapidly, and the U.S. government became anxious that they would occupy Korea.
On August 10, 1945, two young officers—Dean Rusk and Charles Bonesteel—were assigned to define an American occupation zone. Working on extremely short notice and completely unprepared, they used a National Geographic map to decide on the 38th parallel. They chose it because it divided the country approximately in half but would also place the capital city Seoul under American control. No experts on Korea were consulted. The two men were unaware that 40 years earlier, Japan and Russia had discussed sharing Korea along the same parallel. The division placed sixteen million Koreans in the American zone and nine million in the Soviet zone. To the surprise of the Americans, the Soviet Union immediately accepted the division.
General Abe Nobuyuki, the last Japanese Governor-General of Korea, had established contact with a number of influential Koreans since the beginning of August 1945 to prepare for the evacuation of Japanese forces. Throughout August, Koreans organized people’s committee branches for the Committee for the Preparation of Korean Independence headed by Lyuh Woon-hyung, a moderate left-wing politician. On September 6, 1945, a congress of representatives convened in Seoul and founded the short-lived People's Republic of Korea.
In December 1945 at the Moscow Conference, the Allies agreed that the Soviet Union, the U.S., the Republic of China, and Britain would take part in a trusteeship over Korea for up to five years in the lead-up to independence. Most Koreans demanded independence immediately, with the exception of the Communist Party, which supported the trusteeship under pressure from the Soviet government. A Soviet-U.S. Joint Commission met in 1946 and 1947 to work towards a unified administration but failed to make progress due to increasing Cold War antagonism and Korean opposition to the trusteeship. Meanwhile, the division between the two zones deepened. The difference in policy between the occupying powers led to a polarization of politics and a transfer of population between North and South. In May 1946, it was made illegal to cross the 38th parallel without a permit.
U.S. Occupation of the South
The United States Army Military Government in Korea (USAMGIK) was the official ruling body of the southern half of the Korean Peninsula from September 8, 1945, to August 15, 1948. On September 7, 1945, General Douglas MacArthur announced that Lieutenant General John R. Hodge was to administer Korean affairs, and Hodge landed in Incheon with his troops the next day. The Provisional Government of the Republic of Korea, which had operated from China, sent a delegation with three interpreters to Hodge, but he refused to meet with them.
The USAMGIK tried to contain civil violence in the south by banning strikes and outlawing the People’s Republic of Korea and the people’s committees. Things spiraled quickly out of control, however, with a massive strike in September 1946 by 8,000 railway workers in Busan, which quickly spread to other cities in the South. On October 1, police attempts to control protesters in Daegu caused the death of three student demonstrators and injuries to many others, sparking a mass counter-attack that killed 38 policemen. In Yeongcheon, a police station came under attack on October 3 by a 10,000-strong crowd who killed over 40 policemen and the county chief. Other attacks resulted in the deaths of about 20 landlords and pro-Japanese officials. The U.S. administration responded by declaring martial law, firing into crowds of demonstrators, and killing an undisclosed number of people.
Although the military government in South Korea was hostile to leftism from the beginning, it initially tolerated the activities of left-wing political groups, including the Korean Communist Party. However, this period of reconciliation did not last long. Within a short time, the military government actively disempowered and eventually banned popular organizations that were gaining public support. The justification was the USAMGIK’s suspicion that they were aligned with the Communist bloc, despite professing a relatively moderate stance compared to the actual Korean Communist Party, which was also banned.
Among the earliest edicts promulgated by USAMGIK was to reopen all schools. No immediate changes were made in the educational system, which was simply carried over from the Japanese colonial period. In this area as in others, the military government sought to maintain the forms of the Japanese occupation system. Although it did not implement sweeping educational reforms, the military government did lay the foundations for reforms that were implemented later. In 1946, a council of about 100 Korean educators was convened to map out the future path of Korean education.
Soviet Occupation of the North
When Soviet troops entered Pyongyang, they found a local branch of the Committee for the Preparation of Korean Independence operating under the leadership of veteran nationalist Cho Man-sik. The Soviet Army allowed these people’s committees, which were friendly to the Soviet Union, to function. Colonel-General Terentii Shtykov set up the Soviet Civil Administration, taking control of the committees and placing Communists in key positions.
In 1946, a provisional government called the Provisional People's Committee was formed under Kim Il-sung, who had spent the last years of the war training with Soviet troops in Manchuria. Conflicts and power struggles ensued at the top levels of government in Pyongyang as different aspirants maneuvered to gain positions of power in the new government. The government instituted a sweeping land-reform program: land belonging to Japanese and collaborator landowners was divided and redistributed to poor farmers. Landlords were allowed to keep only the same amount of land as poor civilians who had once rented their land, thereby instituting a far more equal distribution of land. The farmers responded positively, while many collaborators and former landowners fled to the south. According to the U.S. military government, 400,000 northern Koreans went south as refugees.
Failed UN Intervention
With the failure of the Soviet-U.S. Joint Commission to make progress, the U.S. brought the problem before the United Nations in September 1947. The Soviet Union opposed UN involvement, but the UN passed a resolution on November 14, 1947, declaring that free elections should be held, foreign troops should be withdrawn, and a UN commission for Korea—the United Nations Temporary Commission on Korea—should be created. The Soviet Union boycotted the voting and did not consider the resolution to be binding, arguing that the UN could not guarantee fair elections. And in the absence of Soviet cooperation, it was decided to hold UN-supervised elections in the south only.
The decision to proceed with separate elections in the south was unpopular among many Koreans, who rightly saw it as a prelude to a permanent division of the country. General strikes in protest against the decision began in February 1948. In April, Jeju islanders rose up against the looming division of the country, and South Korean troops were sent to repress the rebellion. Tens of thousands of islanders were killed, and, by one estimate, 70% of the villages were burned by South Korean troops. What began as a demonstration commemorating Korean resistance to Japanese rule ended with this Jeju Uprising, an attempted insurgency against the scheduled election on the Korean province of Jeju Island. A brutal anticommunist suppression campaign by the South Korean government lasted until May 1949. Although atrocities were committed by both sides, the methods used by the South Korean government to suppress the rebels were especially cruel, including random executions of women and children. In the end, between 14,000 and 30,000 people died as a result of the rebellion, or up to 10% of the island’s population. Some 40,000 others fled to Japan to escape the fighting. The uprising flared up again with the outbreak of the Korean War.
Despite opposition to elections, on May 10, 1948, South Korea held a general election. On August 15, the Republic of Korea formally took over power from the U.S. military, with Syngman Rhee as the first president. In North Korea, meanwhile, the Democratic People’s Republic of Korea was declared on September 9, 1948, with Kim Il-sung as prime minister. On December 12, 1948, the United Nations General Assembly accepted the report of UNTCOK and declared the Republic of Korea (South Korea) to be the “only lawful government in Korea.”
Unrest continued in South Korea after independence in 1948. Since President Rhee’s regime excluded communists and leftists from southern politics, these disenfranchised groups headed for the hills to prepare for guerrilla war against the US-sponsored ROK government. While Rhee indeed aimed to eradicate communist and leftist groups, the anti-communist slogans were applied to eradicate all his actual and alleged political opponents and establish his authoritarian rule by inciting fear among the civilians with no ties to communism or politics. By early 1950, Syngman Rhee had jailed about 20,000 – 30,000 alleged communists, and about 300,000 suspected communist sympathizers enrolled in the Bodo League re-education movement.
The Bodo League gathered suspected communist sympathizers or Rhee’s political opponents, but to fulfill the enrollment quota, many civilians with no ties to communists or politics were forced to become members. The majority of the Bodo League’s members were innocent farmers and civilians who were forced into membership. The Syngman Rhee government later executed many registered members of this league and their families at the beginning of the Korean War in 1950, as suspected communist sympathizers.
On December 24, 1949, South Korean Army massacred the 86 to 88 residents of Mungyeong. The victims were massacred because they were suspected communist supporters or collaborators (though some sources say nearly one-third of the victims were children). The government blamed the crime on marauding communist bands. By 1949, South Korean forces had reduced the active number of communist guerrillas in the South from 5,000 to 1,000.
The Korean War
Soviet ruling forces departed from North Korea in 1948 and American ruling troops finally withdrew from South Korea in 1949. However, with the approval and support of the Soviet leader, Stalin and the Chinese communist leader, Mao Zedong, the North Korean Communist leader, Kim Il-sung believed that an effort to unite the Korean Peninsula under communist control would be supported by much of the South Korean population. Consequently, North Korea invaded South Korea on June 25, 1950, marking the outbreak of the Korean War.
Kim Il-sung believed that the communist guerrillas had weakened the South Korean military and that a North Korean invasion would be welcomed by much of the South Korean population. Kim began seeking Stalin’s support for an invasion in March 1949, but with Chinese Communist forces still engaged in the Chinese Civil War and American forces stationed in South Korea, Stalin did not want the Soviet Union to become embroiled in a war with the United States. By spring 1950, the strategic situation changed. The Soviets had detonated their first nuclear bomb in September 1949, American soldiers had fully withdrawn from Korea, and the Chinese Communists had established the People’s Republic of China. The Soviets had also cracked the codes used by the U.S. to communicate with the U.S. embassy in Moscow, and reading the dispatches convinced Stalin that Korea would not warrant a nuclear confrontation.
In April 1950, Stalin gave Kim permission to invade the South under the condition that Mao Zedong, the leader of China, would agree to send reinforcements if they became needed. Stalin made it clear that Soviet forces would not openly engage in combat to avoid a direct war with the Americans. Mao was concerned that the Americans would intervene but agreed to support the North Korean invasion.
Once Mao’s commitment was secured, preparations for war accelerated. Soviet generals with extensive combat experience from World War II were sent to North Korea as the Soviet Advisory Group and completed the plans for the attack.
While these preparations were underway in the North, there were frequent clashes along the 38th parallel, many initiated by the South. The Republic of Korea Army (ROK Army) was being trained by the U.S. Korean Military Advisory Group (KMAG). On the eve of the war, KMAG’s commander General William Lynn Roberts voiced utmost confidence in the ROK Army and boasted that any North Korean invasion would merely provide “target practice.” For his part, Syngman Rhee repeatedly expressed his desire to conquer the North. Despite the southward movement of the Korean’s People’s Army (KPA), U.S. intelligence agencies and UN observers claimed that an invasion was unlikely.
Outbreak of the War
At dawn on Sunday, June 25, 1950, the North Korean Korean People’s Army (KPA) crossed the 38th parallel behind artillery fire and invaded South Korea. The KPA justified its assault with the claim that ROK troops had attacked first, and that they were aiming to arrest and execute the “bandit traitor Syngman Rhee.” Fighting began on the strategic Ongjin peninsula in the west. There were initial South Korean claims that they had captured the city of Haeju, and this claim has led some scholars to argue that the South Koreans actually fired first. Within an hour, North Korean forces attacked all along the 38th parallel. The North Koreans had a combined arms force including tanks supported by heavy artillery. The South Koreans did not have any tanks, anti-tank weapons, or heavy artillery that could stop such an attack. In addition, South Koreans committed their forces in a piecemeal fashion, and these were routed within a few days.
On June 27, Rhee evacuated from Seoul with some members of the government. On June 28 at 2 a.m., the South Korean Army blew up the Hangang Bridge across the Han River in an attempt to stop the North Korean army. The bridge was detonated while 4,000 refugees were crossing it and hundreds were killed. Destroying the bridge also trapped many South Korean military units north of the Han River. In spite of such desperate measures, Seoul fell that same day. A number of South Korean National Assemblymen remained in Seoul when it fell and 48 subsequently pledged allegiance to the North. On June 28, Rhee ordered the massacre of suspected political opponents in his own country.
In five days, the South Korean forces, which had 95,000 men on June 25, were down to less than 22,000 men. In early July when U.S. forces arrived, what was left of the South Korean forces was placed under U.S. operational command of the United Nations Command.
U.S. and UN Interventions
The United States government under President Harry Truman was unprepared for this invasion. Korea was not included in the strategic Asian Defense Perimeter outlined by Secretary of State Dean Acheson. Military strategists were more concerned with the security of Europe against the Soviet Union than East Asia. At the same time, the Truman Administration was worried that a war in Korea could quickly widen into another world war, should the Chinese or Soviets decide to get involved as well. America did not initially want to get involved.
One aspect of the changing attitude toward Korea and whether to get involved was Japan, especially after the fall of China to the Communists. U.S. East Asian experts saw Japan as the critical counterweight to the Soviet Union and China in the region. While there was no United States policy that dealt with South Korea as a national interest, its proximity to Japan increased the importance of South Korea. However, a major consideration was the possible Soviet reaction in the event that the U.S. intervened. The Truman administration was fretful that a war in Korea was a diversionary assault that would escalate to a general war in Europe once the United States committed in Korea. Truman believed if aggression went unchecked, a chain reaction would be initiated that would marginalize the United Nations and encourage Communist aggression elsewhere.
On June 25, 1950, the United Nations Security Council unanimously condemned the North Korean invasion of the Republic of Korea with UN Security Council Resolution 82. The Soviet Union, a veto-wielding power, had boycotted the Council meetings since January 1950, protesting that the Republic of China (Taiwan), not the People’s Republic of China, held a permanent seat in the UN Security Council. After debating the matter, the Security Council on June 27, 1950, published Resolution 83 recommending member states provide military assistance to the Republic of Korea. On the same day, President Truman ordered U.S. air and sea forces to help the South Korean regime. On July 4, the Soviet Deputy Foreign Minister accused the United States of starting armed intervention on behalf of South Korea.
As the conflict between South Korea and North Korea reflected the international tensions of the Cold War, the U.S. military forces supported South Korea under the auspices of the UN, while Chinese forces backed North Korea with the Soviet Union providing materiel and strategic help.
U.S. Secretary of State Dean Acheson and President Truman agreed that the United States was obligated to act, comparing the North Korean invasion with Adolf Hitler’s aggression in the 1930s; they came to the conclusion that the mistake of appeasement must not be repeated. However, Truman later acknowledged that he believed fighting the invasion was essential to the American goal of the global containment of communism. In August 1950, the President and the Secretary of State obtained the consent of Congress to appropriate $12 billion for military action in Korea. Several U.S. industries were mobilized to supply materials, labor, capital, production facilities, and other services necessary to support the military objectives of the Korean War.
General Omar Bradley, Chairman of the Joint Chiefs of Staff, was faced with re-organizing and deploying an American military force that was a shadow of its World War II counterpart. Acting on Acheson’s recommendation, President Truman ordered General MacArthur to transfer material to the Army of the Republic of Korea, while giving air cover to the evacuation of U.S. nationals. The President disagreed with advisers who recommended unilateral U.S. bombing of the North Korean forces and ordered the U.S. Seventh Fleet to protect the Republic of China (Taiwan), whose government asked to fight in Korea. The United States denied ROC’s request for combat lest it provoke a communist Chinese retaliation. Because the United States sent the Seventh Fleet to “neutralize” the Taiwan Strait, Chinese Prime Minister Zhou Enlai criticized both the UN and U.S. initiatives as “armed aggression on Chinese territory.”
In September 1950, MacArthur received the top-secret National Security Council Memorandum from Truman reminding him that operations north of the 38th parallel were authorized only if “at the time of such operation there was no entry into North Korea by major Soviet or Chinese Communist forces, no announcements of intended entry, nor a threat to counter our operations militarily.” Just three days later, Zhou Enlai warned the United States that China was prepared to intervene in Korea if the United States crossed the 38th parallel. By October 1950, the UN Command repelled the North Korean People’s Army (KPA) northwards past the 38th parallel and the South Korean ROK Army crossed after them into North Korea. MacArthur subsequently made a statement demanding the KPA’s unconditional surrender. On October 7, with UN authorization, the UN Command forces followed the ROK forces northwards. The US army’s X Corps landed at Wonsan (in southeastern North Korea) and Riwon (in northeastern North Korea), already captured by ROK forces. The Eighth U.S. Army and the ROK Army advanced up western Korea and captured Pyongyang city, the North Korean capital, on October 19, 1950. At month’s end, UN forces held 135,000 KPA prisoners of war.
Taking advantage of the UN Command’s strategic momentum against the communists, General MacArthur believed it necessary to extend the Korean War into China to destroy depots supplying the North Korean war effort. President Truman disagreed and ordered caution at the Sino-Korean border.
Chinese Intervention with Soviet Support
China justified its entry into the war as a response to “American aggression in the guise of the UN.” In August 1950, Zhou Enlai informed the UN that “Korea is China’s neighbor” and “the Chinese people cannot but be concerned about a solution of the Korean question.” Thus, through neutral-country diplomats, China warned that in safeguarding Chinese national security, they would intervene against the UN Command in Korea. President Truman interpreted the communication as an “attempt to blackmail the UN” and dismissed it.
October 1, 1950, the day that UN troops crossed the 38th parallel, was also the first anniversary of the founding of the People’s Republic of China. On that day, the Soviet ambassador forwarded a telegram from Stalin to Mao and Zhou requesting that China send five to six divisions into Korea, and Kim Il-sung sent frantic appeals to Mao for Chinese military intervention. At the same time, Stalin made it clear that Soviet forces themselves would not directly intervene.
There was considerable resistance among many Chinese leaders, including senior military leaders, to confronting the U.S. in Korea. Mao strongly supported intervention and Zhou was one of the few Chinese leaders who firmly supported him. In order to enlist Stalin’s support, Zhou and a Chinese delegation arrived in Moscow on October 10. Stalin did not agree to send either military equipment or air support until March 1951. Soviet shipments of material, when they did arrive, were limited to small quantities of trucks, grenades, and machine guns. Immediately upon his return to Beijing on October 18, Zhou met with Mao and military leaders Peng Dehuai and Gao Gang. The group ordered 200,000 Chinese troops to enter North Korea.
After secretly crossing the Yalu River on October 19, the Chinese People’s Volunteer Army (PVA) 13th Army Group launched the First Phase Offensive on October 25, attacking the advancing UN forces near the Sino-Korean border. This military decision made solely by China changed the attitude of the Soviet Union. Twelve days after Chinese troops entered the war, Stalin allowed the Soviet Air Force to provide air cover and supported more aid to China. After decimating the ROK II Corps at the Battle of Onjong, the first confrontation between Chinese and U.S. military occurred on November 1, 1950. Deep in North Korea, thousands of soldiers from the PVA 39th Army encircled and attacked the U.S. 8th Cavalry Regiment with three-prong assaults—from the north, northwest, and west—and overran the defensive position flanks in the Battle of Unsan.
On December 16, 1950, President Truman declared a national emergency, which remained in force until September 1978. The next day, Kim Il-sung was deprived of the right of command of KPA by China. After that, the leading force of the war on the North Korean side became the Chinese army.
Stalemate and Armistice
From July 1951 to the end of the war, the UN Command and the Chinese PVA fought but exchanged little territory. The stalemate held although large-scale bombing of North Korea continued. Protracted armistice negotiations began in July 1951, but combat continued while the belligerents negotiated. The UN Command forces’ goal was to recapture all of South Korea and avoid losing territory. The PVA and the KPA attempted similar operations and later effected military and psychological operations to test the UN Command’s resolve to continue the war.
The on-again, off-again armistice negotiations continued for two years, first at Kaesong, on the border between North and South Korea, and then at the neighboring village of Panmunjom. A major, problematic negotiation point was prisoner of war (POW) repatriation. The PVA, KPA, and UN Command could not agree on a system of repatriation because many PVA and KPA soldiers refused to be repatriated back to North Korea, which was unacceptable to the Chinese and North Koreans. In the final armistice agreement signed in July 1953, a Neutral Nations Repatriation Commission was set up to handle the matter.
In 1952, the United States elected a new president, and in November, the president-elect, Dwight D. Eisenhower, went to Korea to learn what might end the Korean War. With the United Nations’ acceptance of India’s proposed Korean War armistice, the KPA, the PVA, and the UN Command ceased fire with the battle line approximately at the 38th parallel. Upon agreeing to the armistice, the belligerents established the Korean Demilitarized Zone (DMZ), which has since been patrolled by the KPA and ROKA, United States, and Joint UN Commands.
A Divided Korea
After the Armistice Agreement was signed in 1953, the Korean War ended but the conflict between the two Korean states continues, still shaping their economic, political, diplomatic, and social relations. The United Nations Command, supported by the United States, the North Korean People’s Army, and the Chinese People’s Volunteers, signed the Armistice Agreement on July 27, 1953 to end the Korean War fighting. The Armistice also called upon the governments of South Korea, North Korea, China, and the United States to participate in continued peace talks. The war is considered to have ended at this point, although there was no peace treaty. North Korea nevertheless still claims that it won the Korean War.
Upon agreeing to the armistice, the belligerents established the Korean Demilitarized Zone (DMZ), which has since been patrolled by the KPA and ROKA, United States, and Joint UN Commands. The Demilitarized Zone runs northeast of the 38th parallel and to the south, it travels west. It is a de facto border barrier that divides the Korean Peninsula roughly in half, running 160 miles long and about 2.5 miles wide. Within the Zone, there is a meeting-point between the two nations in the small Joint Security Area near the western end of the zone, where negotiations take place. There have been various incidents in and around the Zone, with military and civilian casualties on both sides.
Owing to the theoretical stalemate (no peace treaty has been signed) and genuine hostility between the North and the South, large numbers of troops are still stationed along both sides of the line, each side guarding against potential aggression from the other side. The armistice agreement explains exactly how many military personnel and what kind of weapons are allowed in the DMZ.
Social Landscape after the War
There were numerous atrocities and massacres of civilians throughout the Korean War, committed by both the North and South Koreans, that impacted the social landscape after the war. Many of them started on the first days of the war. South Korean President Syngman Rhee ordered what would be known as the Bodo League massacre in June 1950, initiating the killing of more than 100,000 suspected leftist sympathizers and their families by South Korean officials and right-wing groups. In occupied areas, North Korean Army political officers purged South Korean society of its intelligentsia by executing academics, government officials, and religious leaders who might lead resistance against the North. When the North Koreans retreated back home in September 1950, they forced tens of thousands of South Korean men to move to North Korea. The reasons are not clear, but the intention might have been to acquire skilled professionals.
Large numbers of people were displaced because of the war and many families were divided by the reconstituted border. In 2007, it was estimated that around 750,000 people remained separated from immediate family members, and family reunions have long been a diplomatic priority. The exact number of South Korean POWs who were detained in North Korea after the war is unknown, as is the number who still survive in North Korea. In its report to the legislature in October 2007, the South Korean Ministry of Defense reported that “a total of 41,971 South Korean soldiers were missing during the Korean War. 8,726 were repatriated through POW exchanges after the Armistice of 1953. Some 13,836 have been determined to have been killed based on other information. To date, the status of 19,409 soldiers has not been confirmed. Most of these unconfirmed were believed to have been unrepatriated POWs. Other estimates of South Korean POWs held by the North Koreans at the Armistice have been higher. Yi Hang-gu, a writer and North Korea expert currently in South Korea who served in the Korean People’s Army, has testified that he commanded former South Korean POWs who had been enlisted into the Korean People’s Army during the Korean War. He has estimated the number of South Korean POWs who survived in North Korea at the end of the fighting at about 50,000 – 60,000. The South Korean government estimates that 560 South Korean POWs still survive in North Korea.
After the war, the Chinese forces left, but U.S. forces remained in the South. Sporadic conflict continued between North and South Korea. The opposing regimes aligned themselves with opposing sides in the Cold War. Both sides received recognition as the legitimate government of Korea from the opposing blocs. In 1953, the United States and South Korea signed a defense treaty and in 1958, the United States stationed nuclear weapons in South Korea. In 1961, North Korea signed mutual defense treaties with the USSR and China.
North Korea presented itself as a champion of orthodox Communism, distinct from the Soviet Union and China. The regime developed the doctrine of Juche or self-reliance, which included extreme military mobilization. In response to the threat of nuclear war, it constructed extensive facilities underground and in the mountains. The Pyongyang Metro opened in the 1970s with capacity to double as bomb shelter.
Tensions between North and South escalated in the late 1960s with a series of low-level armed clashes known as the Korean DMZ Conflict. In 1968, North Korean commandos launched the Blue House Raid—an unsuccessful attempt to assassinate South Korean President Park Chung-hee. Shortly afterwards, the U.S. spy ship Pueblo was captured by the North Korean navy. In 1969, North Korea shot down a US EC-121 spy plane over the Sea of Japan, killing all 31 crew on board, which constitutes the largest single loss of U.S. aircrew during the Cold War. In 1969, Korean Air Lines YS-11 was hijacked and flown to North Korea. Similarly, in 1970, the hijackers of Japan Airlines Flight 351 were given asylum in North Korea. In response to the Blue House Raid, the South Korean government set up a special unit to assassinate Kim Il-sung, but the mission was aborted in 1972. In 1974, a North Korean sympathizer attempted to assassinate President Park and killed his wife, Yuk Young-soo.
In the 1970s, both North and South began building up their military capacity. It was discovered that North Korea dug tunnels under the DMZ which could accommodate thousands of troops. Alarmed at the prospect of U.S. disengagement, South Korea began a secret nuclear weapons program which was strongly opposed by Washington. In 1977, U.S. President Jimmy Carter proposed the withdrawal of troops from South Korea. There was a widespread backlash in America and in South Korea, and critics argued that this would allow the North to capture Seoul. Carter postponed the move, and his successor Ronald Reagan reversed the policy, increasing troop numbers. After Reagan supplied the South with F-16 fighters and after Kim Il-sung visited Moscow in 1984, the USSR recommenced military aid and cooperation with the North.
North Korea after the Korean War
Following the 1956 August Faction Incident (an attempted removal of Kim Il-sung from power), Kim Il-sung successfully resisted efforts by the Soviet Union and China to depose him in favor of pro-Soviet Korean officials or the pro-Chinese Yan’an faction. The last Chinese troops withdrew from the country in 1958, but North Korea remained closely aligned with China and the Soviet Union, and the Sino-Soviet split allowed Kim to play the powers off each other. At the same time, North Korea emphasized the ideology of Juche (self-reliance) to distinguish itself from both the Soviet Union and China.
In North Korea, economic recovery from the Korean War was quick — by 1957 industrial production reached 1949 levels — but reconstruction of the country depended on extensive Chinese and Soviet assistance. Koreans with experience in Japanese industries also played a significant part in this industrial recovery. Following the example of the Soviet Union under Stalin, agricultural land was collectivized between 1953 and 1958. Resistance to this move appears to have been minimal as landlords were eliminated by earlier reforms or during the war. Collectivization of farms freed up peasants to work in state owned factories in the cities.
North Korea, like all the postwar communist states, undertook massive state investment in heavy industry, state infrastructure and military strength, neglecting the production of consumer goods. The country was placed on a semi-war footing, with equal emphasis being given to the civilian and military economies. At a special party conference in 1966, members of the leadership who opposed the military build-up were removed. Industry was fully nationalized by 1959. Taxation on agricultural income was abolished in 1966. As late as the 1970s, North Korea’s Gross Domestic Product (GDP ) per capita was estimated to be equivalent to South Korea’s. By 1972, all children from age 5 to 16 were enrolled in school and more than 200 universities and specialized colleges had been established. By the early 1980s, 60 – 70% of the population was urbanized.
Economic Decline
In the 1970s, expansion of North Korea’s economy, with the accompanying rise in living standards, came to an end. North Korea’s desire to lessen its dependence on aid from China and the Soviet Union prompted the expansion of its military power, and the government believed massive expenditures could be covered by foreign borrowing and increased sales of its mineral wealth on the international market. North Korea invested heavily in its mining industries and purchased a large quantity of mineral extraction infrastructure from abroad. However, following the world 1973 oil crisis, international prices of many of North Korea’s native minerals fell, leaving the country with large debts, inability to pay them off, and an extensive network of social welfare benefits. The state began to default in 1974 and halted almost all repayments in 1985. Consequently, it was also unable to invest further in Western technology.
In 1984, Kim visited Moscow during a grand tour of the USSR where he met Soviet leader Konstantin Chernenko. Soviet involvement in the North Korean economy increased, with bilateral trade reaching its peak at $2.8 billion in 1988. In 1986, Kim met the incoming Soviet leader Mikhail Gorbachev and received a pledge of support. However, Gorbachev’s reforms and diplomatic initiatives, the Chinese economic reforms starting in 1979, and the collapse of the Eastern Bloc from 1989 to 1991 increased North Korea’s isolation. The leadership in Pyongyang responded by proclaiming that the collapse of the Eastern Bloc demonstrated the correctness of the policy of Juche. Simultaneously, the collapse of the Soviet Union in 1991 deprived North Korea of its main source of economic aid, leaving China as the isolated regime’s only major ally. Without the Soviet aid, North Korea’s economy went into a free-fall.
South Korea's Economic Growth
Although South Korea emerged from the Korean War as one of the poorest countries in the world and despite a series of authoritarian regimes lasting until the late 1980s, the South Korean economy has been one of the fastest growing and most stable in the world since the 1960s. Following the armistice that ended the Korean War fighting, South Korea experienced political turmoil under the autocratic leadership of Syngman Rhee. Throughout his rule, Rhee took additional steps to cement his control of government. In 1952 during the Korean War, he pushed through constitutional amendments, which made the presidency a directly elected position. To do this, he declared martial law, arresting opposing members of parliament, demonstrators, and anti-government groups. He was subsequently elected by a wide margin. In the 1954 elections, Rhee regained control of parliament and thereupon pushed through an amendment to exempt himself from the eight-year term limit. He was once again re-elected in 1956. Soon afterwards, his administration arrested members of the opposing party and executed its leader after accusing him of being a North Korean spy.
Rhee’s administration became increasingly repressive while dominating the political arena and in 1958, sought to amend the National Security Law to tighten government control over all levels of administration, including local government. These measures caused much outrage among the people. But despite public outcry Rhee’s administration rigged the 1960 presidential elections and won by a landslide. On the election day, however, protests by students and citizens against the irregularities of the election burst out in the city of Masan. Initially these protests were quelled with force by local police, but when the body of a student was found floating in the harbor of Masan, the whole country was enraged, and protests spread nationwide. On April 19, students from various universities and schools rallied and marched in protest in the Seoul streets in what would be called the April Revolution. The government declared martial law, called in the army, and suppressed the crowds with open fire. Subsequent protests throughout the country shook the government and after an escalated protest, Rhee submitted his official resignation and fled into exile.
A period of political instability followed, broken by General Park Chung-hee’s May 16 coup in 1961 against the weak and ineffectual government. Park took over as president, overseeing rapid export-led economic growth as well as implementing political repression. He was heavily criticized as a ruthless military dictator, who in 1972 extended his rule by creating a new constitution that gave the president sweeping (almost dictatorial) powers and permitted him to run for an unlimited number of six-year terms.
Park was assassinated in 1979, which sparked political turmoil as the previously suppressed opposition leaders all campaigned to run for president in the sudden political void. In 1979 came the Coup d'etat of December 12 led by General Chun Doo-hwan. Following the coup d’état, Chun Doo-hwan planned to rise to power through several measures. On May 17, he forced the Cabinet to expand martial law to the whole country (it had previously not applied to the island of Jejudo). The expanded martial law closed universities, banned political activities, and further curtailed the press. Chun’s assumption of the presidency triggered nationwide protests demanding democracy.
Chun and his government held South Korea under a despotic rule until 1987, when a Seoul National University student, Park Jong-chul, was tortured to death by the regime. On June 10, the Catholic Priests Association for Justice revealed the incident, igniting the June Democracy Movement around the country. Eventually, Chun’s party, the Democratic Justice Party, and its leader, Roh Tae-woo, announced the June 29 Declaration, which included the direct election of the president. Roh went on to win the election by a narrow margin. Since then, South Korea has engaged in consistent democratization efforts.
Following the Korean War, South Korea remained one of the poorest countries in the world for over a decade. In 1960, its gross domestic product per capita was $79, lower than that of some sub-Saharan countries. At the beginning of the 1960s, the government formulated a five-year economic development plan, although it was unable to act on it prior to the April Revolution. The hwan (South Korean currency) lost half of its value against the dollar between fall 1960 and spring 1961.
Park’s administration started by announcing its five-year economic development plan based on an export-oriented industrialization policy. Top priority was placed on the growth of a self-reliant economy and modernization. “Development First, Unification Later” became the slogan of the times and the economy grew rapidly with vast improvements in industrial structure, especially in the basic and heavy chemical industries. Capital was needed for such developments, so the Park regime used the influx of foreign aid from Japan and the United States to provide loans to export businesses, with preferential treatment in obtaining low-interest bank loans and tax benefits. Cooperating with the government, these businesses would later become chaebols—business conglomerates that are typically global multinationals and own numerous international enterprises controlled by a chairman with power over all the operations.
Relations with Japan were normalized by the Korea-Japan treaty ratified in 1965. The treaty brought Japanese funds in the form of loans and compensation for the damages suffered during the colonial era without an official apology from the Japanese government, sparking much protest across the nation. The government also kept close ties with the United States and continued to receive large amounts of economic and military aid. The US and South Korea agreed to mutual defense agreement in 1966. Soon thereafter, South Korea joined the Vietnam War. Economic and technological growth during this period improved the standard of living, which expanded opportunities for education. Workers with higher education were absorbed by the rapidly growing industrial and commercial sectors, and urban population surged. Construction of the Gyeongbu Expressway was completed and linked Seoul to the nation’s southeastern region and the port cities of Incheon and Busan.
Unlike in most other countries, the incredible economic growth in South Korean did not go hand in hand with democratization. Despite the authoritarian regime, South Korea’s tiger economy soared at an annual average of 10% for over 30 years in a period of rapid transformation called the Miracle on the Han River. A long legacy of openness and focus on innovation made it successful.
Despite the immense economic growth, however, the standard of living for city laborers and farmers was still low. Laborers were working for low wages to increase the price competitiveness for the export-oriented economy plan, and farmers were in near poverty as the government controlled prices. As the rural economy steadily lost ground and caused dissent among the farmers, however, the government decided to implement measures to increase farm productivity and income by instituting the Saemauel Movement (“New Village Movement”) in 1971. The movement’s goal was to improve the quality of rural life, modernize both rural and urban societies, and narrow the income gap between them.
Despite social and political unrest, the economy continued to flourish under the authoritarian rule with the export-based industrialization policy. The first two five-year economic development plans were successful, and the 3rd and 4th five-year plans focused on expanding the heavy and chemical industries, raising the capability for steel production and oil refining. As most of the development had come from foreign capital, most of the profit went back to repaying the loans and interests. In the 1980s, tight monetary laws and low interest rates contributed to price stability and helped the economy boom with notable growth in the electronics, semi-conductor, and automobile industries. The country opened up to foreign investments and GDP rose as Korean exports increased. This rapid economic growth, however, widened the gap between the rich and the poor, the urban and rural regions, and also exacerbated inter-regional conflicts. These dissensions, added to the hardline measures taken against opposition to the government, fed intense rural and student movements, which had grown since the beginning of the republic.
Vietnam
Following the end of World War II, French Indochina collapsed, and three independent states emerged by 1954: Vietnam, Laos, and Cambodia. Vietnam was divided into Capitalist, pro-Western South Vietnam, and Communist, pro-Soviet North Vietnam. In 1965 the United States sent troops to defend South Vietnam from North Vietnamese attacks and “contain” Communist expansion, thus initiating the Vietnam War.
Learning Objectives
- Examine Communist expansion in French Indochina.
- Analyze the factors in the victory of North Vietnam in the Vietnam War.
Key Terms / Key Concepts
August Revolution: a revolution launched by the Viet Minh (League for the Independence of Vietnam) against French colonial rule in Vietnam, on August 14, 1945
Cambodian Genocide: mass atrocities carried out by the Khmer Rouge regime led by Pol Pot between 1975 and 1979, in which an estimated 1.5 to 3 million people died
Democratic Kampuchea: the name of the Khmer Rouge-controlled state that between 1975 and 1979 existed in present-day Cambodia; founded when the Khmer Rouge forces defeated the Khmer Republic of Lon Nol in 1975
First Indochina War: the military conflict that began in French Indochina in December 1946 and lasted until August 1954, after fighting between French forces and their Viet Minh opponents in the South began in September 1945
Geneva Accords: the 1954 settlement that ended the First Indochina War, reached at the end of the Geneva Conference; a ceasefire that resulted in France withdrawing its troops from the region; resulted in French Indochina being split into three countries: Laos, Cambodia, and Vietnam
Geneva Conference: a 1954 conference among several nations that took place in Geneva, Switzerland, to settle outstanding issues resulting from the Korean War and discuss the possibility of restoring peace in Indochina
Khmer Issarak: a loosely structured anti-French and anti-colonial independence movement in Cambodia, formed around 1945 and composed of several factions, each with its own leader
Khmer Rouge: the name given to the followers of the Communist Party of Kampuchea in Cambodia
Operation Passage to Freedom: a term used by the United States Navy to describe its assistance in transporting 310,000 Vietnamese civilians, soldiers, and non-Vietnamese members of the French Army from communist North Vietnam to South Vietnam in 1954–55
Paris Peace Accords: a peace treaty signed on January 27, 1973, to establish peace in Vietnam and end the Vietnam War It ended direct U.S. military combat and temporarily stopped the fighting between North and South Vietnam.)
Pathet Lao: a communist political movement and organization in Laos formed in the mid-20th century, ultimately successful in assuming political power in 1975 after the Laotian Civil War
Second Indochina War: a military conflict known commonly in the United States as the Vietnam War and in Vietnam as Resistance War Against America or the American War, that occurred in Vietnam, Laos, and Cambodia from 1955 (with some sources citing 1956 or 1959 as the starting date) to the fall of Saigon on April 30, 1975
Vichy France: the common name of the French state headed by Marshal Philippe Pétain during World War II, which was the southern, unoccupied “Free Zone” of France and was a client and puppet of Nazi Germany
Viet Cong: a political organization and army, known also as the National Liberation Front, that operated in South Vietnam and Cambodia during the Vietnam War
Viet Minh: a national independence coalition formed in 1941 with the initial goal to seek independence for Vietnam from the French Empire
Vietnamization: a policy of the Richard Nixon administration to end U.S. involvement in the Vietnam War through a program to “expand, equip, and train South Vietnam’s forces and assign to them an ever-increasing combat role, at the same time steadily reducing the number of U.S. combat troops”
The End of French Indochina
In 1940, France was swiftly defeated by Nazi Germany and colonial administration of French Indochina passed to the Vichy French government, a puppet state of Nazi Germany. In September 1940, Japan launched its invasion of French Indochina, mirroring its ally Germany’s conquest of France. Keeping the French colonial administration, the Japanese ruled from behind the scenes in a parallel of Vichy France.
Indochinese communists had set up hidden headquarters in 1941, but most of the Vietnamese resistance to Japan, France, or both, including communist and non-communist groups, was based over the border in China. In 1941, Ho Chi Minh, a Vietnamese communist leader, returned to Vietnam from China to lead the Viet Minh independence movement. The “men in black” was a 10,000-member guerrilla force that operated with the Viet Minh, but Ho was soon jailed in China by Chiang Kai-shek’s local authorities. As part of the Allied fighting against the Japanese, the Chinese Nationalists formed a resistance movement— the Dong Minh Hoi—which included communists but was not controlled by them. When the movement did not provide the desired intelligence data, Ho Chi Minh was released from jail and returned to lead an underground centered on the communist Viet Minh. This mission was assisted by Western intelligence agencies, including the American Office of Strategic Services (OSS). Free French intelligence also tried to affect developments in the Vichy-Japanese collaboration.
Vichy signed the Protocol Concerning Joint Defense and Joint Military Cooperation in 1941. This agreement defined the Franco-Japanese relationship for Indochina until the Japanese abrogated it in March 1945. It gave the Japanese a total of eight airfields and allowed them to have more troops present and use the Indochinese financial system, in return for a fragile French autonomy.
In March 1945 with the collapse of Nazi Germany, the Japanese imprisoned the Vichy French and took direct control of Vietnam. After the Japanese removed the French from administrative control in Indochina, they made no attempt to impose their own direct control of the civilian administration. Primarily concerned with the defense of Vietnam against an Allied invasion, the Japanese were not interested in Vietnamese politics. However, they also understood the desirability of a certain degree of administrative continuity. It was to their advantage to install a Vietnamese government that would acquiesce in the Japanese military presence. With this in mind, the Japanese persuaded the Vietnamese emperor Bảo Đại to cooperate with Japan and declare Vietnam independent of France. In March 1945, Bảo Đại did just that. Vietnam’s new “independence,” however, rested on the government’s willingness to cooperate with Japan and accept the Japanese military presence. From March until August 1945, Vietnam enjoyed what was called “fake independence,” when all the affairs of Indochinese were still in the hands of the Japanese.
After World War II
Three conflicting visions of post-war French Indochina emerged: Western anticommunists saw the French as protectors of the area from communist expansion; nationalists and anti-colonialists wanted independence from the French; and communists focused on the expansion of communism. Lines between the movements that promoted these three visions were not always clear, and their co-existence shaped the post-war fate of French Indochina.
When the Japanese surrendered, the Viet Minh immediately launched the insurrection, which would be known as the August Revolution. People’s revolutionary committees across the countryside took over administrative positions, often acting on their own initiative, while in the cities the Japanese stood by as the Vietnamese took control. On August 19, the Viet Minh took control of Hanoi, seizing northern Vietnam in the next few days. Ho Chi Minh declared independence for the newly established Democratic Republic of Vietnam (DRV), headquartered in Hanoi, on September 2, 1945. However, the Viet Minh faced various problems in the southern part of the country. The south was politically more diverse than the north, and the Viet Minh had been unable to establish the same degree of control there that they had achieved in the north.
There were serious divisions in the independence movement in the south, where different nationalist groups competed for control. On August 25, the communists established a Provisional Executive Committee with Tran Van Giau at its head. The committee took over public administration in Saigon but followed Allied orders that the Japanese maintain law and order until Allied troops arrived.
At the Potsdam conference in July 1945, the Allies divided Indochina into two zones at the sixteenth parallel, effectively assigning the southern zone to French control and leaving the northern part to Chiang Kai-shek’s China, to accept the surrender of the Japanese. However, in the north, this occupation period became a critical opportunity for the Viet Minh to consolidate and triumph over domestic rivals.
As southern Vietnam’s disunited resistance forces struggled to push back French advances, Ho Chi Minh and the DRV started to negotiate with France in hopes of preserving national independence while avoiding war. In March 1946, the two sides reached an accord. Instead of obtaining French recognition of Vietnamese “independence,” Ho Chi Minh agreed to his government being weakly identified as a “free state” within the Indochinese Federation under the French Union. For their part, the French agreed that referendum was to be held on the issue of unifying the Vietnamese regions. This agreement entangled the French and Vietnamese in joint military operations and fruitless negotiations for several months. However, the status of southern Vietnam remained the sticking point. The March accord had left the fate of southern Vietnam (also known as Cochinchina) in flux. From June to September 1946, Ho Chi Minh met with French representatives in Vietnam and France to discuss this and other issues. However, almost immediately after the signing of the March accord, relations began to deteriorate. Negotiations broke down over the issue of the fate of southern Vietnam. As talking failed to bring results, both sides prepared for a military solution. Provocations by both French and Vietnamese troops led to the outbreak of full-scale guerrilla war on December 19, 1946. Nearly one year after the August Revolution, Vietnam and France were at war.
After World War II, the French also reestablished their control in Laos and Cambodia. In October 1945, supporters of Laotian independence announced the dismissal of the king and formed the new government of Laos: the Lao Issara. However, the Lao Issara was ill-equipped and could only await the inevitable French return. In 1946, the French forced the Lao Issara leadership to flee into exile in Thailand and formally endorsed the unity of Laos as a constitutional monarchy within the French Union
The Japanese occupation of Cambodia ended with the official surrender of Japan in August 1945 and the Cambodian puppet state lasted until October 1945. Some supporters of the kingdom’s prime minister Son Ngoc Thanh escaped to north-western Cambodia, then still under Thai control, where they banded together as one faction in the Khmer Issarak movement. Although their fortunes rose and fell during the immediate postwar period, by 1954 the Khmer Issarak operating with the Viet Minh by some estimates controlled as much as 50 percent of Cambodia’s territory. King Sihanouk reluctantly proclaimed a new constitution in May 1947. And while it recognized him as the “spiritual head of the state,” it reduced him to the status of a constitutional monarch of a Cambodia within the French Union.
Independence in Indochina
The division of Vietnam into the communist North and pro-Western South led to the First Indochina War. Viet Minh forces fought against the French Union from 1946 until the Geneva Conference of 1954 that forced France to abandon all claims to the colonies of Indochina, including Laos and Cambodia.
The first few years of the war involved a low-level rural insurgency against French authority. However, after the Chinese communists reached the northern border of Vietnam in 1949, the conflict turned into a conventional war between two armies equipped with modern weapons supplied by the United States and the Soviet Union. French Union forces included colonial troops from the whole former empire (Moroccan, Algerian, Tunisian, Laotian, Cambodian, and Vietnamese ethnic minorities), French professional troops, and units of the French Foreign Legion. The use of French recruits was forbidden by the government to prevent the war from becoming even more unpopular at home. It was called the “dirty war” by the Leftist intellectuals in France. The French military efforts were made more difficult due to the limited usefulness of armored tanks in a jungle environment, lack of strong air forces for air cover and carpet bombing, and use of unreliable foreign recruits from other French colonies.
On the other hand, General Vo Nguyen Giap—the military leader of the Viet Minh—is considered by historians to be one of the greatest strategists of the 20th century. He used efficient and novel tactics: direct fire artillery, convoy ambushes, and amassed anti-aircraft guns to impede land or air supply deliveries. He also recruited a sizable regular army facilitated by wide popular support and employed a guerrilla warfare doctrine, which Chinese Communists had developed. General Vo Nguyen Giap also had access to simple and reliable war materials provided by the Soviet Union. This combination proved fatal for the Viet Minh’s opponents, culminating in a decisive French defeat at the Battle of Dien Bien Phu and independence for the peoples of French Indo-China
Laos and Cambodian Independence
After the French reasserted conrol over Laos after World War II, the Lao Issara government fled to Thailand, where they maintained opposition to the French until 1949, when the group split over questions regarding relations with the Viet Minh and the communist Pathet Lao was formed. The Franco-Lao General Convention of 1949 provided most members of the Lao Issara with a negotiated amnesty and sought appeasement by establishing the Kingdom of Laos as a quasi-independent constitutional monarchy within the French Union. In 1950 additional powers were granted to the Royal Lao Government, including training and assistance for a national army. In 1953, the Franco–Lao Treaty of Amity and Association transferred remaining French powers to the independent Royal Lao Government. By 1954, the defeat at Dien Bien Phu brought eight years of fighting with the Viet Minh during the First Indochinese War to an end, and France abandoned all claims to the colonies of Indochina, including Laos.
In Cambodia, the French had also been able to reimpose the colonial administration in Phnom Penh with the withdrawal of japanese forces. The Cambodian prince, Sihanouk’s “royal crusade for independence” resulted in grudging French acquiescence to his demands for a transfer of sovereignty. A partial agreement was struck in October 1953. Sihanouk then declared that independence had been achieved and returned in triumph to Phnom Penh. As a result of the Geneva Conference, Cambodia gained full independence from France and was able to bring about the withdrawal of the Viet Minh troops from its territory.
The Geneva Agreements
The 1954 Geneva Conference produced an agreement between the French and Viet Minh military commands (but not the pro-Western State of Vietnam) that divided Vietnam along the 17th Parallel, escalating tensions between the North and the South and leading to the Second Indochina War (Vietnam War). The Geneva Conference took place between April 26 and July 20, 1954 in Geneva, Switzerland. The Soviet Union, the United States, France, the United Kingdom, and the People’s Republic of China were present throughout the conference. The conference produced a set of documents known as the Geneva Accords or Geneva Agreements.
The Question of Indochina
While the delegates began to assemble in Geneva in late April, the discussions on Indochina did not begin until May 8. The Viet Minh had achieved their decisive victory over the French Union forces at Dien Bien Phu the previous day. The Western allies did not have a unified position on what the Conference should achieve in relation to Indochina. The French delegation was keen to preserve something of France’s position in the region. The Unites States had been supporting the French in Indochina for many years, and the Republican Eisenhower administration wanted to ensure that it could not be accused of having lost Indochina to the communists, mainly because its leaders had previously accused the previous Truman administration of having lost China when the communists successfully dominated that country.
On May 10, Pham Van Dong, leader of the Democratic Republic of Vietnam (DRV; North) delegation set out their position, proposing a ceasefire, separation of the opposing forces, a ban on the introduction of new forces into Indochina, exchange of prisoners, independence and sovereignty for Vietnam, Cambodia, and Laos, elections for unified governments in each country, withdrawal of all foreign forces, and the inclusion of representatives of the independence movements from Laos and Cambodia, Pathet Lao, and Khmer Issarak in the Conference. On May 12, the State of Vietnam (South) rejected any partition of the country, and the United States expressed a similar position the next day. The United States countered with what became known as the “American Plan,” with the support of South Vietnam and the United Kingdom. It provided for unification elections under the supervision of the United Nations, but this proposal was rejected by the Soviet delegation.
Although behind the scenes the U.S. and French governments continued to discuss the terms for possible U.S. military intervention in Indochina, by mid-June it was clear such intervention would not receive much support among allies. The United States began to consider the possibility that, rather than supporting the French in Indochina, it might be preferable for the French to leave and for the United States to support the new Indochinese states. Unwilling to support the proposed partition or intervention, by mid-June the United States decided to withdraw from major participation in the Conference.
The Soviet and Chinese representatives also argued that the situations in Vietnam, Cambodia, and Laos were not the same and should be treated separately. Consequently, Pham Van Dong agreed the Viet Minh would be prepared to withdraw their forces from Laos and Cambodia provided no foreign bases were established in Indochina. This represented a major blow to the DRV, as they had tried to ensure that the Pathet Lao and Khmer Issarak would join the governments in Laos and Cambodia, respectively, under the leadership of the DRV. The Chinese likely sought to ensure that Laos and Cambodia were not under Vietnam’s influence in the future, but under China’s.
Geneva Accords
After lengthy negotiations, on July 20 the remaining issues were resolved as the parties agreed that the partition line should be at the 17th parallel and that the elections for reunification should be in July 1956, two years after the ceasefire. The Agreement on the Cessation of Hostilities in Vietnam was signed only by French and Viet Minh military commands, completely bypassing the State of South Vietnam.
The Geneva Accords, issued on July 21, 1954, set out a “provisional military demarcation line” running approximately along the 17th Parallel “on either side of which the forces of the two parties shall be regrouped after their withdrawal.” A 3-mile (4.8 km) wide demilitarized zone was expected on each side of the demarcation line and French Union forces were to regroup to the south of the line while Viet Minh to the north. Free movement of the population between the zone would be open for 300 days and neither zone was to join any military alliance or seek military reinforcement. The International Control Commission (ICC), comprising Canada, Poland (at the time under the Soviet control), and India as chair, was established to monitor the ceasefire. Because the Commission was to decide on issues unanimously, Poland’s presence in the ICC provided the Soviet Union and the communists with effective veto power over supervision of the treaty.
The unsigned Final Declaration of the Geneva Conference called for reunification elections, which the majority of delegates expected to be supervised by the ICC. The Viet Minh never accepted ICC authority over such elections. The agreement was signed by the communist Democratic Republic of Vietnam, France, the People’s Republic of China, the Soviet Union, and the United Kingdom. The State of South Vietnam under emperor Bao Dai rejected the agreement, while the United States stated that it “took note” of the ceasefire agreements and declared that it would “refrain from the threat or use of force to disturb them.” Separate accords were signed by the signatories with the Kingdom of Cambodia and the Kingdom of Laos in relation to Cambodia and Laos respectively.
Outcomes
In October 1954, the last French Union forces left Hanoi. In May 1955, French Union forces withdrew from Saigon to a coastal bases and in April 1956, the last French forces left Vietnam.
Many communist sympathizers viewed South Vietnam as a French colonial and later American puppet regime. Simultaneously, many viewed North Vietnam as a communist puppet state. After the cessation of hostilities, a large migration took place. North Vietnamese, especially Catholics, intellectuals, business people, land owners, anti-communist democrats, and members of the middle-class, moved south of the Accords-mandated ceasefire line during Operation Passage to Freedom. The ICC reported that at least 892,876 North Vietnamese were processed through official refugee stations, while journalists estimated that as many as 2 million more might have fled. Around 52,000 people from the South went North, mostly Viet Minh members and their families.
The mass emigration of northerners was facilitated primarily by the French Air Force and Navy. American naval vessels supplemented the French in evacuating northerners to Saigon, the southern capital. The operation was accompanied by a large humanitarian relief effort, bankrolled in the main by the United States government in an attempt to absorb a large tent city of refugees that had sprung up outside Saigon.
With the withdrawal of the French, the United States replaced the French as a political backup for Ngo Dinh Diem, then Prime Minister of the State of Vietnam (South Vietnam). In 1954, the Vietnamese emperor, Bai Dai had appointed him to be Prime Minister, but with American support, Diem ousted this emperor in 1955. In a referendum on the future of the State of Vietnam in 1955, Diem rigged the poll supervised by his brother and was credited with 98.2% of the vote, including 133% in Saigon. Three days later, he declared South Vietnam to be an independent state under the name Republic of Vietnam (ROV), with himself as president. Likewise, Ho Chi Minh and other communist officials always won at least 99% of the vote in North Vietnamese “elections.”
Diem asserted his power in South Vietnam as a military dictator, and refused to hold national elections in 1956, citing that the South did not sign and thus was not bound to the Geneva Accords. Diem maintained that it was impossible to hold free elections in the communist North. He went on to attempt to crush communist opposition in South Vietnam. Diem also launched the “Denounce the Communists” campaign, during which communists and other anti-government elements were arrested, imprisoned, tortured, or executed. He instituted the death penalty against any activity deemed communist in 1956. Between 1954 and 1957 there was large-scale but disorganized opposition to his government in the South Vietnamese countryside, which the Diem government succeeded in quelling.
North Vietnam violated the Geneva Accords as well by failing to fully withdraw Viet Minh troops from South Vietnam, stifling the movement of North Vietnamese refugees and conducting a massive military build-up with assistance from the Soviet Union that more than doubled the number of armed divisions in the North Vietnamese army. In 1957, independent observers from India, Poland, and Canada representing the International Control Commission (ICC) under the terms of the Geneva Accords, stated that fair, unbiased elections to unite Vietnam under the terms of the Geneva Accords were not possible, with the ICC reporting that neither South nor North Vietnam had honored the armistice agreement. By mid-1957 through 1959, incidents of violence increased across South Vietnam directed against Diem's regime. There had been some division among former Viet Minh groups in South Vietnam, whose main goal was to hold the elections promised in the Geneva Accords, leading to “wildcat” activities separate from the other communists and anti-government activists. In 1960, North Vietnam ordered the National Liberation Front in South Vietnam, known more commonly as the Viet Cong, to unite all these activists, including non-communists to oppose the government of South Vietnam. Earlier in 1959, North Vietnam had invaded Laos and used 30,000 men to build invasion routes to South Vietnam through Laos and Cambodia by 1961. About 40,000 communists soldiers infiltrated into South Vietnam from 1961 to 1963. North Vietnam sent 10,000 troops of the North Vietnamese Army to attack the south in 1964, and this figure increased to 100,000 in 1965.
The Vietnam War
The 20-year-long Vietnam War between the communist North and pro-Western South backed by the United States has had tragic consequences for the entire region, including the victory of communists in Vietnam, the rise of the Khmer Rouge to power in Cambodia, a massive refugee crisis, and the lasting impact that the use of chemicals by the U.S. military had on the region’s population..
Because of the ongoing conflict and constant tensions, the beginning date of the Second Indochina War, known in the US as the Vietnam War and in Vietnam as the American War, is a matter of debate. U.S. government reports currently cite November 1, 1955, as the commencement date of the “Vietnam Conflict” because that was when the U.S. Military Assistance Advisory Group (MAAG) in Indochina (deployed to Southeast Asia under President Truman) was reorganized into country-specific units and MAAG Vietnam was established. Other start dates include when Hanoi authorized Viet Cong forces in South Vietnam to begin a low-level insurgency in December 1956, or September 26, 1959, when the first battle occurred between the Viet Cong and the South Vietnamese army. Eventually, by 1965, the war pitted the Communist Vietnam People’s Army (VPA) and the Viet Cong against United States troops and the United States-backed ARVN (Republic of Vietnam soldiers). The war would last until 1975.
Vietnamization
After US Marines came under attack from the Viet Cong at the Pleiku airbase in 1965, President Lyndon Johnson ordered additional troops to the region. The number of US troops in Vietnam quickly escalated to nearly 200,000 by the end of 1965 and peaked at over 500,000 in 1968. The US strategy involved a massive aerial bombing operation against North Vietnam (Operation Rolling Thunder) to cut off the Viet Cong (VC) in South Vietnam from their supplies. The US military also conducted "search and destroy" missions in which helicopter gunships landed US ground troops to find and fight VC guerillas, while US warplanes overhead sprayed the thick jungle with napalm and Agent Orange (a defoliant) to flush them out. In 1967 the US military initiated the New Relocation Program in which US troops forced Vietnamese farmers and their families from villages, which were suspected of harboring VC guerillas, to move to special restricted areas so that they could not aid the VC.
Contrary to popular myths perpetuated by Hollywood movies, US servicemen were quite effective in combating VC troops. Moreover, the US strategy was quite sound in theory. The underlying principle of this strategy was the assumption that the US could wear down the VC and win a long drawn-out war of attrition. The VC, the US military theorized, would soon become tired of war and have to tolerate the anti-Communist South Vietnamese government. Through this strategy, the US would not need to mount an invasion of North Vietnam, which could lead to an expanded war against China and the Soviet Union. This strategy, however, did not take into consideration either the dogged determination of the VC or the impatience of American voters, whose support was vital to the war effort.
The VC guerillas considered themselves patriots defending their beloved country from foreign invaders, just as they had fought invading Mongols in the 13th century or the Japanese in World War II. Despite heavy US bombardment, the flow of supplies and new troops from North Vietnam to the VC along the so-called Ho Chi Minh Trail increased between 1965 and 1968. The US public grew tired and impatient concerning the war's progress well before the VC.
In January 1968 the VC launched a surprise offensive against US and South Vietnamese forces during the Vietnamese New Year celebration (Tet). This Tet Offensive from a military standpoint was a total failure for the VC, whose forces were defeated and sustained heavy casualties. The American people however were shocked that the VC were even able to mount such an attack since the Johnson administration had told them repeatedly that war was being waged successfully and the VC were on the run. Soon after the Tet Offensive, Johnson's approval rating in public opinion polls plummeted to 35% and he consequently announced his intention not to seek the Democratic nomination for president in the upcoming1968 election.
Following the escalation of the war under US presidents Kennedy and Johnson, President Richard Nixon began troop withdrawals in 1969, but not before escalating matters himself. Nixon promised in his successful 1968 presidential campaign to end the Vietnam War with “honor.” His plan, called the Nixon Doctrine, was to build up the ARVN so that they could take over the defense of South Vietnam. The policy became known as Vietnamization.
On October 10, 1969, Nixon ordered a squadron of 18 B-52s loaded with nuclear weapons to race to the border of Soviet airspace to convince the Soviet Union, in accord with the madman theory, that he was capable of anything to end the war.
Nixon also pursued negotiations and began to pursue détente (relaxation policy) with the Soviet Union and rapprochement with China. This policy helped to decrease global tensions. Détente led to nuclear arms reduction on the part of both superpowers, but Nixon was disappointed that China and the Soviet Union continued to supply the North Vietnamese with aid. Beginning in 1970, American troops were withdrawn from border areas where most of the fighting took place and instead redeployed along the coast and interior.
Cambodia
President Nixon, as part of his strategy to end the Vietnam war, sought to end North Vietnam’s use of Cambodian territory to funnel supplies to VC forces along the Ho Chi Minh Trail. Prince Norodom Sihanouk of Cambodia had proclaimed his country neutral since 1955, but the communists had used Cambodian soil as a base. Sihanouk tolerated their presence because he wished to avoid being drawn into a wider regional conflict. Under pressure from Washington, however, he changed this policy in 1969. In 1970, Prince Sihanouk was deposed by his pro-American prime minister Lon Nol. North Vietnam invaded Cambodia in 1970 at the request of Khmer Rouge deputy leader Nuon Chea. In that same year, U.S. and ARVN forces launched an invasion into Cambodia to attack NVA and Viet Cong bases. After meeting resistance, ARVN forces retreated and fled along roads littered with their own dead. The operation was a fiasco and represented a clear failure of Vietnamization.
Vietnamization was again tested by the Easter Offensive of 1972, a massive conventional NVA invasion of South Vietnam. The NVA and Viet Cong quickly overran the northern provinces and in coordination with other forces attacked from Cambodia, threatening to cut the country in half. This invasion occurred as U.S. troop withdrawals continued as planned, leaving South Vietnamese ground troops to stop the North Vietnamese forces largely by themselves. American air power, however, responded, beginning Operation Linebacker. US air force assaults and South Vietnamese forces together halted the North Vietnamese offensive. It became clear that without American air power South Vietnam could not survive.
No Peace after Paris Peace Accords
Nixon’s National Security Advisor, Henry Kissinger, was meanwhile continuing secret negotiations with North Vietnam’s Le Duc Tho in Paris, France. On January 15, 1973, Nixon announced the suspension of offensive action against North Vietnam. The Paris Peace Accords on “Ending the War and Restoring Peace in Vietnam” were signed on January 27, 1973, officially ending direct U.S. involvement in the Vietnam War. A cease-fire was declared across North and South Vietnam. U.S. prisoners of war were released. The agreement guaranteed the territorial integrity of Vietnam and, like the Geneva Conference of 1954, called for national elections in the North and South. The last remaining American ground troops were withdrawn by the end of March 1973. U.S. naval and air forces remained in the Gulf of Tonkin, as well as Thailand and Guam.
Despite the accords, military conflict between the South and the North continued. The final series of increasingly large-scale and ambitious offensive operations by North Vietnam and the Viet Cong began in December 1974. The eventual goal of these operations was to defeat the armed forces and force the surrender of the government of South Vietnam. The operational plan for what would be known as the Ho Chi Minh Campaign called for the capture of Saigon before May 1. By the end of April, the ARVN had collapsed on all fronts except in the Mekong Delta. Thousands of refugees streamed southward ahead of the main communist onslaught. Chaos, unrest, and panic broke out as hysterical South Vietnamese officials and civilians scrambled to leave Saigon. Martial law was declared. On April 30, 1975, NVA troops entered the city of Saigon and quickly overcame all resistance, capturing key buildings and installations.
Aftermath in Southeast Asia
On July 2, 1976, North and South Vietnam were merged to form the Socialist Republic of Vietnam. Despite speculation that the victorious North Vietnamese would massacre South Vietnamese, there is a widespread consensus that no mass executions took place. However, in the years following the end of the war, up to 300,000 South Vietnamese were sent to reeducation camps, where many endured torture, starvation, and disease while being forced to perform hard labor. In addition, 200,000 to 400,000 Vietnamese boat people died at sea, according to the United Nations High Commissioner for Refugees.
Phnom Penh, the capital of Cambodia, fell to the communist Khmer Rouge on April 17, 1975. Under the leadership of Pol Pot, the Khmer Rouge would eventually kill 1 – 3 million Cambodians out of a population of around 8 million in one of the bloodiest genocides in history. After repeated border clashes in 1978, Vietnam invaded Cambodia and ousted the Khmer Rouge, who were being supported by China, in the Cambodian-Vietnamese War. In response, China invaded Vietnam in 1979. The two countries fought a brief border war, known as the Sino-Vietnamese War.
The Pathet Lao overthrew the monarchy of Laos in December 1975, establishing the Lao People’s Democratic Republic under the leadership of a member of the royal family: Souphanouvong. The change in regime was relatively peaceful, although 30,000 former officials were sent to reeducation camps, often enduring harsh conditions for several years.
Over 3 million people left Vietnam, Laos, and Cambodia in the Indochina refugee crisis. Most Asian countries were unwilling to accept the refugees, many of whom fled by boat and were known as boat people. Between 1975 and 1998, an estimated 1.2 million refugees from Vietnam and other Southeast Asian countries resettled in the United States, while Canada, Australia, and France resettled over 500,000. China accepted 250,000 people. Of all the countries of Indochina, Laos experienced the largest refugee flight in proportional terms, as 300,000 people out of a total population of 3 million crossed the border into Thailand. Included among their ranks were about 90% of the educated and professional elites. Vietnam retained its pro-Soviet orientation after the war and remained an important ally of the USSR in the region.
Estimates of casualties in the Vietnam War vary widely. They include both civilian and military deaths in North and South Vietnam, Laos, and Cambodia. Civilian deaths caused by both sides amounted to a significant percentage of total deaths, perhaps from 30% to nearly 50%. Civilian deaths caused by communist forces, which included the Viet Cong, North Vietnamese Army, Pathet Lao, and Khmer Rouge, mostly resulted from assassinations and terror tactics. Civilian deaths caused by the armed forces of the governments of South Vietnam, Cambodia, Laos, the United States, South Korea, and other allies were primarily the consequence of extensive aerial bombing and the use of massive firepower in military operations conducted in heavily populated areas.
One of the most controversial aspects of the U.S. military effort in Southeast Asia was the widespread use of chemical defoliants between 1961 and 1971. They were used to defoliate large parts of the countryside to prevent the Viet Cong from being able to hide their weapons and encampments under the foliage. These chemicals continue to change the landscape, cause diseases and birth defects, and poison the food chain today. Vietnamese victims affected by Agent Orange attempted a class action lawsuit against Dow Chemical and other U.S. chemical manufacturers, but District Court Judge Jack B. Weinstein dismissed their case. They appealed, but the dismissal was cemented in 2008 by the Court of Appeals for the Second Circuit. As of 2006, the Vietnamese government estimates that there are over 4,000,000 victims of dioxin poisoning in Vietnam, although the United States government denies any conclusive scientific links between Agent Orange and the Vietnamese victims of dioxin poisoning. In some areas of southern Vietnam, dioxin levels remain at over 100 times the accepted international standard. The U.S. Veterans Administration has listed prostate cancer, respiratory cancers, multiple melanoma, diabetes type 2, B-cell lymphomas, soft-tissue sarcoma, chloracne, porphyria cutanea tarda, peripheral neuropathy, and spina bifida in children of veterans exposed to Agent Orange.
Cambodia and the Khmer Rouge
The history of the Khmer Rouge is tied to the history of the communist movement in Indochina. In 1951, the Indochinese Communist Party (ICP) was reorganized into three national units: the Vietnam Workers’ Party, the Lao Issara (in Laos), and the Kampuchean (or Khmer) People’s Revolutionary Party (KPRP). According to a document issued after the reorganization, the Vietnam Workers’ Party would continue to “supervise” the smaller Laotian and Cambodian movements. Most KPRP leaders and rank-and-file seem to have been either Khmer Krom, or ethnic Vietnamese living in Cambodia. The party’s appeal to indigenous Khmers appears to have been minimal.
During the 1950s, Khmer students in Paris organized their own communist movement, which had little if any connection to the hard-pressed party in their homeland. From their ranks came the men and women who returned home and took command of the party apparatus during the 1960s, led an effective insurgency against Lon Nol from 1968 until 1975, and established the regime of Democratic Kampuchea. Some members of the Paris group, most notably Pol Pot and Leng Sary, turned to Marxism-Leninism and joined the French Communist Party. In 1951, the two men went to East Berlin to participate in a youth festival. This experience is considered a turning point in their ideological development. Meeting with Khmers who were fighting alongside the Viet Minh, they became convinced that only a tightly disciplined party organization and a readiness for armed struggle could achieve revolution. They transformed the Khmer Students Association (KSA), to which most of the 200 or so Khmer students in Paris belonged, into an organization for nationalist and leftist ideas. After returning to Cambodia in 1953, Pol Pot threw himself into party work.
In the 1960s, Pol Pot emerged as the leading communist in Cambodia. In 1960, 21 leaders of the KPRP held a secret congress in a vacant room of the Phnom Penh railroad station and addressed the question of cooperation with or resistance to Prince Sihanouk (head of the Cambodian state). As a result of this meeting, the KPRP was renamed the Workers’ Party of Kampuchea (WPK). In 1962, Tou Samouth, the WPK secretary, was murdered by the Cambodian government. A year later, Pol Pot was chosen to succeed Tou Samouth as the party’s general secretary. Pol Pot was also put on a list of 34 leftists who were summoned by Sihanouk to join the government and sign statements saying Sihanouk was the only possible leader for the country. Pol Pot and one more leader, Chou Chet, however, were the only people on the list who escaped. The region where Pol Pot moved to was inhabited by tribal minorities, the Khmer Loeu, whose rough treatment (including resettlement and forced assimilation) at the hands of the central government made them willing recruits for a guerrilla struggle. In 1965, Pol Pot made a visit of several months to North Vietnam and China.
In 1968, the Khmer Rouge was officially formed, and its forces launched a national insurgency across Cambodia. Although North Vietnam had not been informed of the decision, its forces provided shelter and weapons to the Khmer Rouge after the insurgency started. Vietnamese support for the insurgency made it impossible for the Cambodian military to effectively counter it. For the next two years the insurgency grew as Sihanouk did very little to stop it. As the insurgency grew stronger, the party finally openly declared itself to be the Communist Party of Kampuchea (CPK).
The political appeal of the Khmer Rouge increased as a result of the situation created by the removal of Sihanouk as head of state in 1970. Premier Lon Nol, with the support of the National Assembly, deposed Sihanouk. Sihanouk, in exile in Beijing, made an alliance with the Khmer Rouge and became the nominal head of a Khmer Rouge-dominated government-in-exile (known by its French acronym, GRUNK) backed by China. After Sihanouk showed his support for the Khmer Rouge by visiting them in the field, their ranks swelled from 6,000 to 50,000 fighters. Many of the new recruits for the Khmer Rouge were apolitical peasants who fought in support of the Prince, not for communism. Sihanouk’s popular support in rural Cambodia allowed the Khmer Rouge to extend its power and influence to the point that by 1973 it exercised de facto control over the majority of Cambodian territory, although only a minority of its population. Many people in Cambodia who helped the Khmer Rouge against the Lon Nol government thought they were fighting for the restoration of Sihanouk. By 1975, with the Lon Nol government running out of ammunition, it was clear that it was only a matter of time before the government would collapse. On April 17, 1975, the Khmer Rouge captured Phnom Penh.
Khmer Rouge Regime
The Khmer Rouge carried out a radical program that included isolating the country from all foreign influences; closing schools, hospitals, and factories, abolishing banking, finance, and currency; outlawing all religions; confiscating all private property; and relocating people from urban areas to collective farms where forced labor was widespread. The purpose of this policy was to turn Cambodians into “Old People” (as opposed the urban populations known as “New People”) through agricultural labor.
The Khmer Rouge attempted to turn Cambodia into a classless society by depopulating cities. The entire population was forced to become farmers in labor camps. The total lack of agricultural knowledge by the former city dwellers made famine inevitable. Rural dwellers were often unsympathetic or too frightened to assist them. Such acts as picking wild fruit or berries were seen as “private enterprise” and punished by death. The Khmer Rouge forced people to work for 12 hours, without adequate rest or food. These actions resulted in massive deaths through executions, work exhaustion, illness, and starvation. Commercial fishing was banned in 1976, resulting in a loss of primary food sources for millions of Cambodians, 80% of whom rely on fish as their only source of animal protein.
Money was abolished, and books were burned. Teachers, merchants, and almost the entire intellectual elite of the country were murdered to make agricultural communism a reality, as Pol Pot envisioned it. The planned relocation to the countryside resulted in the complete halting of almost all economic activity.
All religion was banned. Any people seen taking part in religious rituals or services were executed. Thousands of Buddhists, Muslims, and Christians were killed for exercising their beliefs. Family relationships not sanctioned by the state were also banned and family members could be put to death for communicating with each other. Married couples were only allowed to visit each other on a limited basis. If people were seen engaged in sexual activity, they would be killed immediately. In many cases, family members were relocated to different parts of the country with all postal and telephone services abolished. Almost all freedom to travel was abolished. Almost all privacy was eliminated. People were not even allowed to eat in privacy. Instead, they were required to eat with everyone in the commune.
Fall of Khmer Rouge Regime
In 1978, Pol Pot, fearing a Vietnamese attack, ordered a pre-emptive invasion of Vietnam. At the end of the same year, the Vietnamese armed forces, along with the Kampuchean United Front for National Salvation, an organization that included many dissatisfied former Khmer Rouge members, invaded Cambodia and captured Phnom Penh in January 1979. Despite a traditional Cambodian fear of Vietnamese domination, defecting Khmer Rouge activists assisted the Vietnamese and with Vietnam’s approval became the core of the new People’s Republic of Kampuchea. At the same time, the Khmer Rouge retreated west and continued to control certain areas near the Thai border for the next decade.
The Khmer Rouge survived into the 1990s as a resistance movement operating in western Cambodia from bases in Thailand. In 1996, following a peace agreement, Pol Pot formally dissolved the organization, and died shortly thereafter in 1998. Currently, Cambodia is officially a multiparty democracy but in reality, it is a communist-party state dominated by Prime Minister Hun Sen, a recast Khmer Rouge official in power since 1985.
Cambodian Genocide
The Khmer Rouge government arrested, tortured, and eventually executed anyone suspected of belonging to several categories of supposed “enemies.” These “enemies” including anyone with connections to the former Cambodian government or with foreign governments along with professionals and intellectuals. Among these categories were also ethnic Vietnamese, Chinese, Thai, and other minorities in the Eastern Highlands, Cambodian Christians, Muslims, and Buddhist monks, and “economic saboteurs”—a category that included many former urban dwellers deemed guilty of sabotage due to their lack of agricultural ability. Those who were convicted of treason were taken to a top-secret prison called S-21. The prisoners were rarely given food and, as a result, many people died of starvation. Others died from the severe physical mutilation caused by torture.
Modern research has located 20,000 mass graves from the Khmer Rouge era all over Cambodia. Various studies have estimated the death toll at between 740,000 and 3 million, most commonly between 1.4 million and 2.2 million, with perhaps half of those deaths due to executions and the rest from starvation and disease. The Cambodian Genocide Program at Yale University estimates the number of deaths at approximately 1.7 million (21% of the population of the country). A UN investigation reported 2 – 3 million dead, while UNICEF estimates that 3 million had been killed. An additional 300,000 Cambodians starved to death between 1979 and 1980, largely as a result of the after-effects of Khmer Rouge policy.
The Khmer Rouge regime targeted various ethnic groups during the genocide, forcibly relocated minority groups, and banned the use of minority languages. The Khmer Rouge banned by decree the existence of ethnic Chinese, Vietnamese, Muslim Cham, and 20 other minorities, which altogether constituted 15% of the population at the beginning of the Khmer Rouge’s rule.
Because of the intense opposition to the Vietnam War, particularly among Western intellectuals, many Western scholars denied the genocide perpetrated by the Khmer Rouge regime. Despite the eye-witness accounts by journalists prior to their expulsion during the first few days of Khmer Rouge rule and the later testimony of refugees, many academics in the United States, United Kingdom, France, Australia, and other countries portrayed the Khmer Rouge favorably or at least were skeptical about the stories of Khmer Rouge atrocities. None of them, however, were allowed to visit Cambodia under Khmer Rouge rule and few actually talked to the refugees whose stories they believed to be exaggerated or false. Some Western scholars believed that the Khmer Rouge would free Cambodia from colonialism, capitalism, and the ravages of American bombing and invasion during the Vietnam War. Cambodian scholar Sophal Ear has titled the pro-Khmer Rouge academics as the “Standard Total Academic View on Cambodia” (STAV).
With the takeover of Cambodia by Vietnam in 1979 and the discovery of incontestable evidence, the Khmer Rouge atrocities proved to be entirely accurate. Some former enthusiasts for the Khmer Rouge recanted their previous views, others diverted their interest to other issues, and a few continued to defend the Khmer Rouge. A few months before his death in 1998, Nate Thayer interviewed Pol Pot. During the interview, Pol Pot stated that he had a clear conscience and denied responsibility for the genocide. In 2013, the Cambodian Prime Minister Hun Sen passed legislation that makes the denial of the Cambodian genocide and other war crimes committed by the Khmer Rouge illegal.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:80-G-420027_Inchon_Invasion,_September_1950.jpg
Unites States forces landing at Inchon, Korea in September 1950 - Unknown Marine, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-koreas/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/indochina/
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2025-03-18T00:36:52.298664
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/88081/overview",
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https://oercommons.org/courseware/lesson/88082/overview
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Asia
Overview
Postwar Japan
The conflict between the United States and Japan during World War II utterly devastated Japan. Following this conflict, Japan demilitarized its government and society under US occupation and staged a remarkable economic revival. By the 1970s, Japan emerged as one the largest economies in the world.
Learning Objectives
Examine the transformation of Japanese government into a pro-western constitutional political system.
Analyze the causes for Japan’s economic recovery after World War II.
Key Terms / Key Concepts
Article 9 of the Japanese Constitution: a clause in the Constitution of Japan outlawing war to settle international disputes involving the state
Japan Self-Defense Forces: the unified military forces of Japan established in 1954 and controlled by the Ministry of Defense
keiretsu: a set of companies with interlocking business relationships and shareholdings; an informal business group that maintained dominance over the Japanese economy for the second half of the 20th century
San Francisco Peace Treaty: a treaty predominantly between Japan and the Allied Powers officially signed by 48 nations on September 8, 1951 that ended the Allied post-war occupation of Japan and returned sovereignty to Japan
V-J Day: a term used to refer to the day on which Japan surrendered in World War II, in effect ending the war
Yoshida Doctrine: a strategy named after Japan’s first Prime Minister after World War II—Shigeru Yoshida—that declared the reconstruction of Japan’s domestic economy with security guaranteed by an alliance with the United States
zaibatsu: a Japanese term for industrial and financial business conglomerates whose influence and size allowed control over significant parts of the Japanese economy from the Meiji period until the end of World War II
The 1947 Japanese Constitution
The loss of World War II placed Japan in the precarious position of a country occupied by the Allied, primarily American forces, which shaped its post-war reforms. These reforms included the Constitution of 1947, with Article 9 outlawing war as a means to settle international disputes involving the state.
Japan surrendered to the Allies on August 14, 1945, when the Japanese government notified the Allies that it had accepted the Potsdam Declaration—a statement that called for the surrender of all Japanese armed forces during World War II. This date, known as Victory over Japan or V-J Day, marked the end of World War II and the beginning of a long road to recovery for Japan.
U.S. President Harry Truman appointed General Douglas MacArthur as Supreme Commander for the Allied Powers (SCAP) to supervise the occupation of Japan. During the war, the Allied Powers planned to divide Japan among themselves for the purposes of occupation, as was done with Germany. Under the final plan, however, SCAP was given direct control over the main islands of Japan (Honshu, Hokkaido, Shikoku, and Kyushu) and the immediately surrounding islands, while outlying possessions were divided between the Allied powers.
On September 6, Truman approved a document titled “US Initial Post-Surrender Policy for Japan,” which set two main objectives for the occupation: eliminating Japan’s war potential and turning it into a western-style nation with pro-American orientation. The Japanese emperor was permitted to remain on the throne, but was ordered to renounce his claims to divinity, which had been a pillar of the State Shinto system. Allied (primarily American) forces were set up to supervise the country. MacArthur was technically supposed to defer to an advisory council set up by the Allied powers but in practice he hardly did so.
Article 9 of the Japanese Constitution
The wording of the Potsdam Declaration (“The Japanese Government shall remove all obstacles…”) and the initial post-surrender measures taken by MacArthur suggest that neither he nor his superiors in Washington intended to impose a new political system on Japan unilaterally. Instead, they hoped to encourage Japan’s new leaders to initiate reforms on their own. Already in 1945, however, MacArthur’s staff and Japanese officials were at odds over the most fundamental issue, the writing of a new constitution. Emperor Hirohito, Prime Minister Kijūrō Shidehara, and most of the cabinet members were extremely reluctant to take the drastic step of replacing the 1889 Meiji Constitution, which outlined a form of mixed constitutional and absolute monarchy, with a more liberal document.
In late 1945, the Japanese Prime Minister, Shidehara appointed Jōji Matsumoto, state minister without portfolio, head of a committee of constitutional scholars to suggest revisions to the1889 Meiji Constitution. This Matsumoto Commission’s recommendations were quite conservative. MacArthur rejected them outright and ordered his staff to draft a completely new document. Much of this work was done by two senior army officers with law degrees, Milo Rowell and Courtney Whitney, although others chosen by MacArthur had substantial influence. Although the document’s authors were non-Japanese, they took into account the Meiji Constitution, the demands of Japanese lawyers, the opinions of pacifist political leaders, and especially the draft presented by the Constitution Research Association, private group of Japanese lawyers led by Takano Iwasaburo and Suzuki Yasuzo. MacArthur gave the authors less than a week to complete the draft, which was presented to surprised Japanese officials in February 1946.
The MacArthur draft, which proposed a unicameral legislature, was changed at the insistence of the Japanese to allow a bicameral one, with both houses being elected. In most other important respects, the government adopted the February draft, with its most distinctive features: the symbolic role of the Emperor, the prominence of guarantees of civil and human rights, and the renunciation of war. That last clause became one of the most symbolic components of Japan’s new constitution. Known as Article 9, it outlaws war as a means to settle international disputes involving the state.
The source of the pacifist clause is disputed. According to the Allied Supreme Commander Douglas MacArthur, the provision was suggested by Prime Minister Shidehara, who “wanted it to prohibit any military establishment for Japan—any military establishment whatsoever.” Shidehara’s perspective was that retention of arms would be “meaningless” for the Japanese in the post-war era, because any substandard post-war military would no longer gain the respect of the people and would actually cause people to obsess with the subject of rearming Japan. Shidehara admitted to his authorship in his 1951 published memoirs, where he described how the idea came to him on a train ride to Tokyo. MacArthur himself confirmed Shidehara’s authorship on several occasions. However, according to some interpretations, the inclusion of Article 9 was mainly brought about by the members of the Government Section of Supreme Commander for the Allied Powers, especially Charles Kades—one of Douglas MacArthur’s closest associates. The article was endorsed by the Diet of Japan in November 1946. Kades rejected the proposed language that prohibited Japan’s use of force “for its own security,” believing that self-preservation was the right of every nation.
It was decided that in adopting the new document, the Meiji Constitution would not be violated, but instead remain the law of the land in name. Thus, the new Japanese constitution was adopted as an “amendment” to the existing Meiji Constitution in accordance with the provisions of Article 73 of that document. Under Article 73, the new “revised” constitution was formally submitted to the Imperial Diet by the Emperor.
Japan's Post-WWII Growth
Although Article 9 intended to prevent the country from ever becoming an aggressive military power again, the United States was soon pressuring Japan to rebuild its army as a bulwark against communism in Asia, after the Chinese Civil War and the Korean War. During the Korean War, U.S. forces largely withdrew from Japan to deploy to Korea, leaving the country almost totally defenseless. As a result, a new National Police Reserve armed with military-grade weaponry was created. In 1954, the Japan Self-Defense Forces (JSDF) were founded as a full-scale military in all but name. To avoid breaking the constitutional prohibition on military force, they were officially founded as an extension to the police force. Traditionally, Japan’s military spending has been restricted to about 1% of its gross national product, although this is by popular practice, not law, and this figure has fluctuated. The JSDF slowly grew to considerable strength, and Japan now has the eighth largest military budget in the world.
All the major sectors of the Japanese society, government, and economy were liberalized in the first few years, and the reforms won strong support from the liberal community in Japan. Shigeru Yoshida served as prime minister in 1946 – 47 and 1948 – 54; he played a key role in guiding Japan through the occupation. His policies, known as the Yoshida Doctrine, proposed that Japan should forge a tight relationship with the United States and focus on developing the economy rather than pursuing a proactive foreign policy.
Although the Japanese economy was extremely weakened in the immediate postwar years, an austerity program implemented in 1949 by finance expert Joseph Dodge ended inflation. Under this austerity program, tax increases and government budget cuts decreased government debt. In 1949, the Yoshida cabinet created the Ministry of International Trade and Industry (MITI) with the mission of promoting economic growth through close cooperation between the government and big business. MITI sought successfully to promote manufacturing and heavy industry and to encourage exports. The factors behind Japan’s postwar economic growth included technology and quality control techniques imported from the West, close economic and defense cooperation with the United States, non-tariff barriers to imports, and long work hours. Japanese corporations successfully retained a loyal and experienced workforce through the system of lifetime employment, which assured their employees a safe job. The Korean War (1950 – 53) proved a major boon to Japanese business. And, by 1955, the Japanese economy had grown beyond prewar levels and became the second largest in the world by 1968.
Japan became a member of the United Nations in 1956 and further cemented its international standing in 1964 when it hosted the Olympic Games in Tokyo. Japan was a close ally of the United States during the Cold War, although this alliance did not have unanimous support from the Japanese people. Japan also successfully normalized relations with the Soviet Union in 1956, despite an ongoing dispute over the ownership of the Kuril Islands, and with South Korea in 1965, despite an ongoing dispute over the ownership of the islands of Liancourt Rocks. In accordance with U.S. policy, Japan recognized the Republic of China on Taiwan as the legitimate government of China after World War II; it then switched its recognition to the People’s Republic of China in 1972.
Japanese Economic Policies after World War II
Japan’s impressive economic growth after World War II depended on a number of factors, including the nation’s prewar experience, the advantageous conditions of the post-war occupation by the Allied forces, the high level and quality of investment that persisted through the 1980s, a well-educated and disciplined labor force, economies of scale, and global politics.
Japan experienced dramatic political and social transformation under the Allied occupation in 1945 – 1952. US General Douglas MacArthur, the Supreme Commander of Allied Powers, served as Japan’s de facto leader and played a central role in implementing reforms, many inspired by the New Deal of the 1930s. The occupation sought to decentralize power in Japan by breaking up the zaibatsu—industrial and financial business conglomerates in the Empire, whose influence and size allowed control over significant parts of the Japanese economy. The occupation also transferred ownership of agricultural land from landlords to tenant farmers and promoted labor unionism. Other major goals were demilitarization and democratization of Japan’s government and society. The cabinet became responsible not to the Emperor but to the elected National Diet. The Emperor was permitted to remain on the throne but ordered to renounce his claims to divinity. Japan’s new constitution guaranteed civil liberties, labor rights, and women’s suffrage. The San Francisco Peace Treaty of 1951 officially normalized relations between Japan and the United States. The occupation ended in 1952, although the U.S. continued to administer a number of the Ryukyu Islands, with Okinawa the last to be returned in 1972.
The zaibatsu had been the heart of economic and industrial activity within the Empire of Japan and held great influence over Japanese national and foreign policies. Under the Allied occupation after the surrender of Japan, a partially successful attempt was made to dissolve the zaibatsu. Many of the economic advisors accompanying the SCAP administration had experience with the New Deal program and were highly suspicious of monopolies and restrictive business practices, which they felt to be both inefficient and a form of corporatocracy (control of society by business corporations) and thus inherently anti-democratic.
In the aftermath of the war, about 40% of the nation’s industrial plants and infrastructure were destroyed and production reverted to levels of about 15 years earlier. U.S. assistance after World War II totaled about $1.9 billion during the occupation, or about 15% of the nation’s imports and 4% of gross national product (GNP) in that period. About 59% of this aid was in the form of food, 15% in industrial materials, and 12% in transportation equipment. A variety of U.S.-sponsored measures during the occupation, such as land reform, contributed to the economy’s later performance by increasing competition. Finally, the economy benefited from foreign trade because it was able to expand exports rapidly enough to pay for imports of equipment and technology without falling into debt. New factories were equipped with the best modern machines, giving Japan an initial competitive advantage over the victor states, who then had older factories.
The early post-war years were devoted to rebuilding the lost industrial capacity, with major investments made in electric power, coal, steel, and chemicals. By the mid-1950s, production matched prewar levels. Released from the demands of military-dominated government, the economy not only recovered its lost momentum but also surpassed the growth rates of earlier periods. Between 1953 and 1965, GDP expanded by more than 9% per year, manufacturing and mining by 13%, construction by 11%, and infrastructure by 12%. In 1965 these sectors employed more than 41% of the labor force, whereas only 26% remained in agriculture. Millions of former soldiers joined a well-disciplined and highly educated work force to rebuild Japan.
Japan’s highly acclaimed post-war education system contributed strongly to the modernizing process. The world’s highest literacy rate and high education standards were major reasons for Japan’s success in achieving a technologically advanced economy.
The mid-1960s ushered in a new type of industrial development as the economy opened itself to international competition in some industries and developed heavy and chemical manufacturers. Whereas textiles and light manufacturing maintained their profitability internationally, products such as automobiles, electronics, ships, and machine tools assumed new importance. The value added to manufacturing and mining grew at the rate of 17% per year between 1965 and 1970. Growth rates moderated to about 8% and evened out between the industrial and service sectors between 1970 and 1973 as retail trade, finance, real estate, information technology, and other service industries streamlined their operations.
Oil Crisis
Japan faced a severe economic challenge in the mid-1970s. The 1973 oil crisis shocked economies that had become dependent on imported petroleum. During this time, Japan experienced its first post-war decline in industrial production, along with severe price inflation. The recovery that followed the first oil crisis revived the optimism of most business leaders, but the maintenance of industrial growth in the face of high energy costs required shifts in the industrial structure.
Although the investment costs were high, many energy-intensive industries successfully reduced their dependence on oil during the late 1970s and 1980s and enhanced their productivity, as changing price conditions favored conservation and alternative sources of industrial energy. Advances in microcircuitry and semiconductors in the late 1970s and 1980s led to new growth industries in consumer electronics and computers and to higher productivity in established industries. These adjustments increased the energy efficiency of manufacturing and expanded knowledge-intensive industries. Additionally, the service industries expanded in an increasingly postindustrial economy.
Factors of Growth
Complex economic and institutional factors affected Japan’s post-war growth. First, the nation’s prewar experience provided several important legacies. The Tokugawa period (1600 – 1867) bequeathed a vital commercial sector in burgeoning urban centers, a relatively well-educated elite, a sophisticated government bureaucracy, productive agriculture, highly developed financial and marketing systems, and a national infrastructure of roads. And the buildup of industry during the Meiji period to the point where Japan could vie for world power was an important prelude to post-war growth from 1955 to 1973 and provided a pool of experienced labor.
More important to successes were the level and quality of investment that persisted through the 1980s. Investment in capital equipment, which averaged more than 11% of GNP during the prewar period, rose to about 20% of GNP during the 1950s and to more than 30% in the late 1960s and 1970s. During the economic boom of the late 1980s, the rate still hovered around 20%. Japanese businesses imported the latest technologies to develop the industrial base. As a latecomer to modernization, Japan was able to avoid some of the trial and error needed by other nations to develop industrial processes. In the 1970s and 1980s, Japan improved its industrial base through licensing from the US, patent purchases, and imitation and improvement of foreign inventions. In the 1980s, industry stepped up its research and development, and many firms became famous for their innovations and creativity.
Japan’s labor force contributed significantly to economic growth. Before and immediately after World War II, the transfer of numerous agricultural workers to modern industry resulted in rising productivity and only moderate wage increases. As population growth slowed and the nation became increasingly industrialized in the mid-1960s, wages rose significantly although labor union cooperation generally kept salary increases within the range of gains in productivity.
The nation also benefited from economies of scale. Although medium-sized and small enterprises generated much of the nation’s employment, large facilities were the most productive. Many industrial enterprises consolidated to form larger, more efficient units. While the zaibatsu were dissolved after the war, the keiretsu—large, modern industrial enterprise groupings—emerged. The coordination of activities within these groups and the integration of smaller subcontractors into the groups enhanced industrial efficiency.
Finally, circumstances beyond Japan’s direct control contributed to its success. International conflicts tended to stimulate the Japanese economy until the devastation at the end of World War II. The Russo-Japanese War (1904 – 5), World War I (1914 – 18), the Korean War (1950 – 53), and the Second Indochina War (1954 – 75) brought economic booms to Japan, as militaries needed supplies and created a demand for Japanese goods.
The American-Japanese Relationship during the Cold War
Japan has remained one of the strongest and most reliable allies of the United States since the post-World War II occupation of the country by the Allied forces, despite ongoing tensions over the U.S. military presence on Japanese territories and economic competition between the two countries. In legal terms, the official end of Allied occupation with the San Francisco Peace Treaty in 1952, finally placed Japan’s relations with the United States on equal footing, but this equality was initially largely nominal.
As the disastrous results of World War II subsided and trade with the United States expanded, Japan’s self-confidence grew, which gave rise to a desire for greater independence from United States influence. During the 1950s and 1960s, this feeling was evident in the Japanese attitude toward United States military bases on the four main islands of Japan and in Okinawa Prefecture, which occupied the southern two-thirds of the Ryukyu Islands.
The government had to balance left-wing pressure advocating dissociation from the United States with the claimed need for military protection. Recognizing the popular desire for the return of the Ryukyu Islands and the Bonin Islands (also known as the Ogasawara Islands), in 1953 the United States relinquished its control of the Amami group of islands at the northern end of the Ryukyu Islands. However, it made no commitment to return Okinawa, which was then under United States military administration for an indefinite period as provided in Article 3 of the peace treaty. Popular agitation culminated in a unanimous resolution adopted by Japan’s legislature in 1956, calling for a return of Okinawa to Japan.
Military Alliance and New Challenges
Bilateral talks on revising the 1952 security pact began in 1959, and the new Treaty of Mutual Cooperation and Security was signed in Washington in 1960, despite the protests in Japan of left-wing political parties and mass demonstrations. Under the new treaty, both the US and Japan assumed an obligation to assist each other in case of armed attack on territories under Japanese administration. It was understood, however, that Japan could not come to the defense of the United States because it was constitutionally forbidden to send armed forces overseas under Article 9 of its Constitution. The scope of the new treaty did not extend to the Ryukyu Islands, but appended minutes to the treaty made clear that in case of an armed attack on the islands both governments would consult and take appropriate action. Unlike the 1952 security pact, the new treaty provided for a ten-year term, after which it could be revoked upon one year’s notice by either party. The treaty included general provisions on the further development of international cooperation and improved future economic cooperation.
Both countries worked closely to fulfill the promise of the United States, under Article 3 of the peace treaty, to return all Japanese territories acquired in war. In 1968, the United States returned the Bonin Islands (including Iwo Jima) to Japanese administration control. In 1971, after eighteen months of negotiations, the two countries signed an agreement for the return of Okinawa to Japan in 1972.
A series of new issues arose in 1971. First, Nixon’s dramatic announcement of his forthcoming visit to the People’s Republic of China surprised the Japanese. Many were distressed by the failure of the United States to consult in advance with Japan before making such a fundamental change in foreign policy. Second, the government was again surprised to learn that without prior consultation, the United States had imposed a 10 percent surcharge on imports, a decision certain to hinder Japan’s exports to the United States. Relations between Tokyo and Washington were further strained by the monetary crisis involving the revaluation of the Japanese yen. These events marked the beginning of a new stage in relations, a period of adjustment to a changing world situation that was not without episodes of strain in both political and economic spheres, although the basic relationship remained close.
The political issues between the two countries were essentially security-related and derived from efforts by the United States to induce Japan to contribute more to its own defense and regional security. The economic issues tended to stem from the ever-widening United States trade and payments deficits with Japan, which began in 1965 when Japan reversed its imbalance in trade with the United States and for the first time achieved an export surplus.
New Global Factors
The United States withdrawal from Indochina in 1975 and the end of the Vietnam War meant that the question of Japan’s role in the security of East Asia and its contributions to its own defense became central in the dialogue between the two countries. The Japanese government, constrained by constitutional limitations and strongly pacifist public opinion, responded slowly to U.S. pressures for a more rapid buildup of the JSDF. It steadily increased its budgetary outlays for those forces, however, and indicated its willingness to shoulder more of the cost of maintaining the United States military bases in Japan. In 1976, the United States and Japan formally established a subcommittee for defense cooperation, and military planners of the two countries conducted studies relating to joint military action in the event of an armed attack on Japan.
Under American pressure Japan worked toward a comprehensive security strategy with closer cooperation with the United States for a more reciprocal and autonomous basis. This policy was put to the test in 1979, when radical Iranians seized the United States embassy in Tehran, taking 60 hostages. Japan reacted by condemning the action as a violation of international law. At the same time, Japanese trading firms and oil companies reportedly purchased Iranian oil that became available when the United States banned oil imported from Iran. This action brought sharp criticism from the U.S. of Japanese government “insensitivity” for allowing the oil purchases and led to a Japanese apology and agreement to participate in sanctions against Iran in concert with other allies.
Following the Iran hostages incident, the Japanese government took greater care to support U.S. international policies designed to preserve stability and promote prosperity. Japan was prompt and effective in announcing and implementing sanctions against the Soviet Union following the Soviet invasion of Afghanistan in 1979. In 1981, in response to United States requests, it accepted greater responsibility for defense of seas around Japan, pledged greater support for United States forces in Japan, and persisted with a steady buildup of the JSDF.
Close TIes and New Challenges
A relatively new stage of Japan-United States cooperation in world affairs emerged in the 1980s with the election of Prime Minister Yasuhiro Nakasone, who enjoyed a particularly close relationship with US President, Ronald Reagan. Nakasone reassured U.S. leaders of Japan’s determination against the Soviet threat, closely coordinated policies with the United States toward such Asian trouble spots as the Korean Peninsula and Southeast Asia, and worked cooperatively with the United States in developing China policy. The Japanese government welcomed the increase of United States forces in Japan and the western Pacific, continued the steady buildup of the JSDF, and positioned Japan firmly on the side of the United States against the threat of Soviet expansion. Japan continued to cooperate closely with United States policy in these areas following Nakasone’s term of office, although the political leadership scandals in Japan in the late 1980s made it difficult for newly elected President George H. W. Bush to establish the close personal ties that marked the Reagan years. Despite complaints from some Japanese businesses and diplomats, the Japanese government remained in basic agreement with U.S. policy toward China and Indochina. The government held back from large-scale aid efforts until conditions in China and Indochina were seen as more compatible with Japanese and U.S. interests.
The main area of noncooperation with the United States in the 1980s was Japanese resistance to repeated U.S. efforts to get Japan to open its market to foreign goods, as well as change other economic practices seen as adverse to U.S. economic interests. Furthermore, changing circumstances at home and abroad created a crisis in Japan-United States relations in the late 1980s. Japan’s growing investment in the United States—the second largest investor after Britain—led to complaints from some American constituencies. Moreover, Japanese industry seemed well-positioned to use its economic power to invest in high-technology products, in which United States manufacturers were still leaders. The United States’ ability to compete under these circumstances was seen by many Japanese and Americans as hampered by heavy personal, government, and business debt and a low savings rate. The breakup of the Soviet bloc in Eastern Europe with the end of the Cold War forced the Japanese and United States governments to reassess their longstanding alliance against the Soviet threat. Some Japanese and United States officials and commentators continued to emphasize the common dangers to Japan-United States interests posed by the continued strong Russian military presence in Asia.
India after World War II
Immediately following World War II, British India secured its independence and became partitioned into the countries of Hindu dominated India and Muslim dominated Pakistan, which caused many issues for the peoples who had to relocate. Additionally, in the decades following the war, India faced the challenges of feeding its large population and preserving its democracy, while remaining unaligned (neutral) during the Cold War.
Learning Objectives
- Examine the causes of the partition of British India.
- Analyze the consequences of this partition for the history of Indian subcontinent.
- Identify the economic and political challenges facing democratic India during the Cold War years.
Key Terms / Key Concepts
All India Muslim League: a political party established during the early years of the 20th century in the British Indian Empire that strongly advocated for the establishment of a separate Muslim-majority nation-state: Pakistan
Direct Action Day: August 16, 1946, originally announced by the Muslim League Council to peacefully highlight the Muslim demand for a separate state, became a day of widespread riot and manslaughter between Hindus and Muslims
Green Revolution: a set of technology research and development initiatives occurring between the 1930s and the late 1960s that increased agricultural production worldwide, particularly in the developing world, by the late 1960s
Indian National Congress: one of two major political parties in India, founded in 1885 during the British Raj that became a pivotal participant in the Indian independence movement
Naxalism: ideology associated with, as well as an informal name given to, communist groups that follow Maoism and were born out of the Sino-Soviet split in the Indian communist movement
Partition of Bengal: a 1905 division of Bengal that separated the largely Muslim eastern areas from the largely Hindu western areas; an event that initiated the divide between Muslims and Hindus in India
Two-Nation Theory: argues that the primary identity and unifying denominator of Muslims in the South Asian subcontinent is their religion, rather than their language or ethnicity, and therefore Indian Hindus and Muslims are two distinct nations, regardless of ethnic or other commonalities
vote bank: a loyal bloc of voters from a single community that consistently backs a certain candidate or political formation in democratic elections
vote bank politics: the practice of creating and maintaining loyal blocs of voters through divisive policies
Partition and Religious Tensions in British India
The partition of British India into Hindu-dominated India and Muslim-dominated Pakistan was a victory of the Muslim League’s vision of a separate state for Indian Muslims. It resulted in the biggest population relocations in history, as well as massive unrest and political tensions that continue until today.
Indian society under the British rule was, in fact, very diverse and did not easily match the predominant nationalist paradigms of what a nation should be. In general, the British-run government and British commentators consciously used the term “people of India” and avoided speaking of an “Indian nation.” This was cited as a key reason for British control of the country; they employed the logic that since Indians were not a nation, they were not capable of national self-government. While some Indian leaders insisted that Indians were one nation, others agreed that Indians were not yet a nation while recognizing that they could become one. Because the territory consisted of multiple religious, linguistic, and ethnic backgrounds division could be easily based on one of the existing differences. In this multitude of cultures, the main factor of division would become religion, specifically a growing divide between the two largest religious groups: Muslims and Hindus.
The political event that sowed the seed of division was the partition of Bengal. In 1905, then-Viceroy Lord Curzon divided the largest administrative subdivision in British India—the Bengal Province—into the Muslim-majority province of Eastern Bengal and Assam and the Hindu-majority province of West Bengal (present-day Indian states of West Bengal, Bihar, and Odisha). Curzon’s act, the Partition of Bengal, would transform nationalist politics in the territory.
The Hindu elite of Bengal, who owned land in East Bengal that was leased out to Muslim peasants, protested staunchly. The Hindu protests against the partition of Bengal led the Muslim elite in India to organize the All India Muslim League in 1906. The League favored the partition of Bengal since it gave them a Muslim majority in the eastern half. The Muslim elite expected that a new province with a Muslim majority would directly benefit Muslims aspiring to political power. Due to Hindu protests, the British government rescinded the partition of Bengal in 1911. To placate Muslims, King George V announced that the capital of British India would be moved from Calcutta to Delhi, a Muslim stronghold.
While the Muslim League was for decades a small elite group, it grew rapidly once it became an organization that reached out to the masses, gaining hundreds of thousands of members in regions with significant Muslim populations. Muslim League leader Muhammad Ali Jinnah was then well-positioned to negotiate with the British.
With the outbreak of World War II in 1939, the Viceroy Lord Linlithgow declared war on India’s behalf without consulting Indian leaders, leading the Indian National Congress provincial ministries to resign in protest. The Muslim League, in contrast, supported Britain in the war effort and maintained its control of the government in three major provinces: Bengal, Sind, and the Punjab.
Two-Nation Theory
Jinnah repeatedly warned that Muslims would be unfairly treated in an independent India dominated by the Congress. In 1940 in Lahore, the League passed the “Lahore Resolution,” demanding that “the areas in which the Muslims are numerically in majority as in the North-Western and Eastern zones of India should be grouped to constitute independent states in which the constituent units shall be autonomous and sovereign.” As the Congress was secular, it strongly opposed having any religious state and insisted there was a natural unity to India. It repeatedly blamed the British for “divide and rule” tactics based on prompting Muslims to think of themselves as alien from Hindus. In response, Jinnah rejected the notion of a united India and emphasized that religious communities were more basic than an artificial nationalism, proclaiming the Two-Nation Theory.
The Two-Nation Theory argues that the primary identity and unifying denominator of Muslims in the South Asian subcontinent is their religion, rather than their language or ethnicity; therefore, Indian Hindus and Muslims are two distinct nations, regardless of ethnic or other commonalities. This ideology was directly linked to the Muslim demands for the creation of Pakistan.
Partition of British India
In 1942, with the Americans supporting independence for India, Winston Churchill—the wartime Prime Minister of Britain—sent an offer of dominion status to the Indian National Congress. With dominion status, India would have become self-governing, but with the British monarch as the nominal Head of State, just as in Canada and Australia. In return, the Indian National Congress would support the British war effort. Not wishing to lose the support of the allies in India, the British had already secured, including the Muslim League, the offer included a clause stating that no part of the British Indian Empire would be forced to join the proposed post-war Dominion. As a result of this provision, the proposals were rejected by the Indian National Congress, which since its founding as a polite group of lawyers in 1885, saw itself as the representative of all Indians of all faiths. In 1942, the Indian National Congress initiated mass public protests, which became known as Quit India Movement and demanded the immediate orderly withdrawal of the British out of India. With their resources and attention already spread thin by a global war, the nervous British government in response, immediately jailed the Congress leaders and kept them in jail until August 1945. The Muslim League was now free for the next three years to spread its message. Consequently, the Muslim League’s ranks surged during the war.
In 1946, new elections were called in India. Earlier, at the end of the war in 1945, the colonial government announced the public trial of three senior officers of Subhas Chandra Bose’s defeated Indian National Army (INA) who stood accused of treason. This army had supported the Japanese in the war in a bid to win independence from Brtish rule. Now as the trials began, the Indian National Congress leadership, although ambivalent towards the INA, chose to defend the accused officers. The subsequent convictions of the officers, the public outcry against the convictions, and the eventual remission of the sentences created positive propaganda for the Congress, which only helped in the party’s subsequent electoral victories in eight of the eleven provinces. The negotiations between the Congress and the Muslim League, however, stumbled over the issue of the partition. Jinnah proclaimed August 16, 1946, the Direct Action Day with the stated goal of highlighting, peacefully, the demand for a Muslim homeland in British India. The following day violent Hindu-Muslim riots broke out in Calcutta and quickly spread throughout British India.
The “Direct Action” was announced by the Muslim League Council to show the strength of Muslim feelings both to British and to the Indian National Congress because Muslims feared that if the British just pulled out, they would surely suffer at the hands of overwhelming Hindu majority. This resulted in the worst communal riots that British India had seen.
As independence approached, the violence between Hindus and Muslims in the provinces of Punjab and Bengal continued unabated. With the British army unprepared for the potential for increased violence, the new viceroy, Louis Mountbatten, advanced the date for the transfer of power, allowing less than six months for a mutually agreed plan for independence. In June 1947, the nationalist leaders, including Sardar Patel, Nehru and Abul Kalam Azad on behalf of the Congress and Jinnah representing the Muslim League, agreed to a partition of the country along religious lines in stark opposition to Gandhi’s views. The predominantly Hindu areas were assigned to the new state of India and predominantly Muslim areas to the new state of Pakistan. The plan included a partition of the Muslim-majority provinces of Punjab and Bengal. With the speedy passage through the British Parliament of the Indian Independence Act of 1947, at 11:57 p.m. on August 14, 1947, Pakistan was declared a separate state, and just after midnight, on August 15, 1947, India became a sovereign state. Both Pakistan and India had the right to remain in or remove themselves from the British Commonwealth. In 1949, India decided to remain in the Commonwealth.
Consequences of the Partition
The great majority of Indians remained in place with independence, but in border areas millions of people (Muslim, Sikh, and Hindu) relocated across the newly drawn borders. In Punjab, where the new border lines divided the Sikh regions in half, there was much bloodshed. In Bengal and Bihar, where Gandhi’s presence assuaged communal tempers, the violence was more limited. In the riots which preceded the partition in the Punjab Province, it is believed that between 200,000 and 2 million people were killed in the retributive genocide between the religions. UNHCR estimates 14 million Hindus, Sikhs, and Muslims were displaced during the partition. It was the largest mass migration in human history. According to Richard Symonds, at the lowest estimate, half a million people perished and 12 million became homeless as a result of the forced migrations.
The Partition was a highly controversial arrangement and remains a cause of tension on the Indian subcontinent today. Some critics allege that British haste to withdraw led to increased cruelties during the Partition. Because independence was declared prior to the actual Partition, it was up to the new governments of India and Pakistan to keep public order. No large population movements were contemplated, and the plan called for safeguards for minorities on both sides of the new border. Both states failed, however, resulting in a complete breakdown of law and order. Many died in riots, massacres, or just from the hardships of their flight to safety.
Massive population exchanges occurred between the two newly formed states in the months immediately following Partition. The 1951 Census of Pakistan identified the number of displaced persons in Pakistan at 7,226,600, presumably all Muslims who had entered Pakistan from India. Similarly, the 1951 Census of India enumerated 7,295,870 displaced persons, apparently all Hindus and Sikhs who had moved to India from Pakistan immediately after the Partition.
As a result of this violent and disastrous partition, the two nations of India and Pakistan have been hostile to one another ever since. The decision of the Hindu Maharaja Hari Singh to make Muslim-dominated Jammu and Kashmir an independent state in the aftermath of the 1947 establishment of independent India and Pakistan has resulted in a violent territorial conflict that continues until today. Jammu and Kashmir, the largest of the princely states, had a predominantly Muslim population ruled by the Hindu Maharaja Hari Singh. He decided to stay independent because he expected that the state’s Muslims would be unhappy with accession to India and the Hindus and Sikhs would become vulnerable if he joined Pakistan. Pakistan made various efforts to persuade the Maharaja of Kashmir to join Pakistan. Faced with the Maharaja’s decision, the Muslim League agents clandestinely worked to encourage the local Muslims to revolt in Poonch. Muslim League officials assisted and possibly organized a large-scale invasion of Kashmir by Pathan tribesmen. The authorities in Pakistani Punjab waged a private war by obstructing supplies of fuel and essential commodities to Jammu and Kashmir.
Indo-Pakistani War of 1947
The violence in the eastern districts of Jammu that started in September 1947 developed into a widespread massacre of Muslims around October 20, organized and perpetrated by the local Hindus. The Maharaja himself was implicated in some instances. A team of British observers commissioned by India and Pakistan identified 70,000 Muslims killed, while the Azad Kashmir Government claimed that 200,000 Muslims were killed. About 400,000 Muslims fled to West Pakistan and many believed that the Maharaja ordered the killings in Jammu. The rebel forces in the western districts of Jammu organized under the leadership of Sardar Ibrahim, a Muslim Conference leader. They took control of most of the western parts of the State by October 22. On October 24, they formed a provisional Azad Kashmir (free Kashmir) government based in Palandri. Today, Azad Kashmir is a self-governing administrative division of Pakistan. The territory lies west of the Indian-administered state of Jammu and Kashmir.
Following the Muslim revolution in the Poonch and Mirpur area and Pakistani -backed Pashtun tribal intervention, the Maharaja asked for Indian military assistance. India set the condition that Kashmir must accede to India for it to receive assistance. The Maharaja complied and the Government of India recognized the accession of the princely state to India. Indian troops were sent to the Jammu and Kashmir but Pakistan refused to recognize the accession of Kashmir to India. Governor General Mohammad Ali Jinnah ordered to move Pakistani troops to Kashmir at once. However, the Indian and Pakistani forces were still under joint command. With its accession to India, Kashmir became legally Indian territory and the British officers could not a play any role in an inter-dominion war.
Rebel forces from the western districts of the state and the Pakistani Pakhtoon tribesmen made rapid advances. In the Kashmir valley, National Conference volunteers worked with the Indian Army to drive out the raiders. The resulting Indo-Pakistani war, known also as the First Kashmir War, lasted until the end of 1948. In May 1948, the Pakistani army officially entered the conflict, in theory to defend the Pakistan border. The historian, C. Christine Fair notes that this was the beginning of Pakistan using irregular forces and asymmetric warfare to ensure plausible deniability, which has continued ever since.
Prime Ministers Nehru of India and Liaquat Ali Khan of Pakistan met in December, when Nehru informed Khan of India’s intention to refer the dispute to the United Nations under article 35 of the UN Charter. Complex negotiations boiled down to the difference between India requiring an asymmetric treatment of the two countries in the withdrawal arrangements, regarding Pakistan as an aggressor, and Pakistan insisting on parity. The UN mediators tended towards parity, which did not satisfy India. In the end, no withdrawal was ever carried out, with India insisting that Pakistan had to withdraw first and Pakistan contending that there was no guarantee that India would withdraw afterwards. No agreement could be reached between the two countries on the process of demilitarization.
The root of conflict between the Kashmiri insurgents and the Indian government is tied to a dispute over local autonomy. Democratic development was limited in Kashmir until the late 1970s and by 1988, many of the democratic reforms introduced by the Indian Government had been reversed. In 1987, a disputed state election created a catalyst for the insurgency when it resulted in some of the state’s legislative assembly members forming armed insurgent groups. In 1988, a series of demonstrations, strikes and attacks on the Indian Government began the Kashmir Insurgency.
Indo-Pakistani War of 1965
Following its failure to seize Kashmir in 1947, Pakistan supported numerous covert groups in Kashmir using operatives based in its New Delhi embassy. After its military pact with the United States in the 1950s, it studied guerrilla warfare through engagement with the U.S. military. In 1965, it decided that the conditions were ripe for a successful guerrilla war in Kashmir. Under a strategy code named Operation Gibraltar, Pakistan dispatched groups into Indian-administered Kashmir, the majority of whose members were volunteers recruited from Pakistan-administered Kashmir and trained by the Army. About 30,000 infiltrators are estimated to have been dispatched in August 1965 as part of the Operation Gibraltar. The plan was for the infiltrators to mingle with the local populace and incite them to rebellion. Meanwhile, guerrilla warfare would commence, destroying bridges, tunnels, highways, and Indian Army installations and airfields, creating conditions for an armed insurrection in Kashmir. Using the newly acquired sophisticated weapons through the American arms aid, Pakistan believed that it could achieve tactical victories in a quick, limited war. However, the Operation Gibraltar failed as the Kashmiris did not revolt. Instead, they turned in infiltrators to the Indian authorities in substantial numbers and the Indian Army ended up fighting the Pakistani Army regulars.
On September 1, Pakistan launched an attack across the Cease Fire Line, targeting Akhnoor in an effort to cut Indian communications into Kashmir. In response, India broadened the war by launching an attack on Pakistani Punjab across the international border. The war lasted until September 23, ending in a stalemate. Following the Tashkent Agreement, both sides withdrew to their pre-conflict positions and agreed not to interfere in each other’s internal affairs.
Indo-Pakistani War of 1971
Another phase of the conflict took place from December 3 to the Fall of Dhaka on December 16, 1971. The war began with preemptive aerial strikes on 11 Indian air stations that led to the commencement of hostilities with Pakistan and Indian entry into the war of independence in East Pakistan on the side of Bengali nationalist forces. During the war, Indian and Pakistani military forces simultaneously clashed on the eastern and western front and ended the war after the Eastern Command of Pakistan military signed the Instrument of Surrender, marking the formation of East Pakistan as the new nation of Bangladesh (with India’s support). Approximately between 90,000 and 93,000 Pakistani servicemen were taken prisoners by the Indian Army. It is estimated that between 300,000 and 3 million civilians were killed in Bangladesh.
As a follow-up to the war, a bilateral summit was held at Simla, where India pushed for peace in South Asia. At stake were over 5,000 square miles of Pakistan’s territory captured by India during the conflict and over 90,000 prisoners of war held in Bangladesh. India was ready to return them in exchange for a “durable solution” to the Kashmir issue. The Simla Agreement was formulated and signed by the two countries, whereby they resolved to settle their differences by peaceful means through bilateral negotiations and maintain the sanctity of the Line of Control. The agreement also stated that the two sides would meet again for establishing durable peace. The envisioned meeting never occurred.
India in the Cold War
Both the Soviet Union and the United States played roles in resolving conflicts involving India, since India remained unaligned in the Cold War and refused to join a side. In 1947, Jawaharlal Nehru became the first Prime Minister of an independent India, which became the world's largest democratic nation with a federal system of government, not unlike the United States. Nehru, however, didn't want India to take sides in the Cold War, and India continued to enjoy good relations with the Soviet Union. Nehru himself was a Socialist, who opposed the Capitalist system of the United States.
China's Role
In 1962, troops from the People’s Republic of China and India clashed in territory claimed by both. China won a swift victory in the war, resulting in Chinese annexation of the region they call Aksai Chin that has continued since. Another smaller area, the Trans-Karakoram, was demarcated as the Line of Control (LOC) between China and Pakistan, although some of the territory on the Chinese side is claimed by India as part of Kashmir. The line that separates India from China in this region is known as the “Line of Actual Control.”
The Green Revolution
India’s Green Revolution has produced extreme increases in food production, turning India from an import- and food aid-dependent state to a self-sufficient one. However, it has left many poor farmers out of the gains of modern agriculture and contributed to serious environmental and public health issues.
The Green Revolution refers to scientific research and the development of technology between the 1930s and the late 1960s that increased agricultural production worldwide, particularly in the developing world, beginning most markedly in the late 1960s. This work was based on the earlier research of agrarian geneticist Nazareno Strampelli in the 1920s and 1930s. Norman Borlaug (often called the Father of the Green Revolution) received the Nobel Peace Prize in 1970. His scientific research and technical innovation involved the development of high-yielding varieties of cereal grains, expansion of irrigation infrastructure, modernization of management techniques, and distribution of hybridized seeds, synthetic fertilizers, and pesticides to farmers. These innovations are credited with saving over a billion people from starvation.
Before the mid-1960s, India’s large population relied on imports and food aid to meet domestic requirements. However, two years of severe drought in 1965 and 1966 convinced the government to reform the agricultural policy. India adopted significant policy reforms focused on the goal of food grain self-sufficiency. This ushered in India’s Green Revolution. It began with the decision to adopt superior-yielding, disease-resistant wheat varieties in combination with better farming knowledge to improve productivity. The state of Punjab led India’s green revolution and earned the distinction of being the country’s breadbasket.
The initial increase in production was centered on the irrigated areas of the states of Punjab, Haryana, and western Uttar Pradesh. With the farmers and the government officials focusing on farm productivity and knowledge transfer, India’s total grain production soared. A hectare of Indian wheat farm that produced an average of 0.8 tonnes in 1948, produced 4.7 tonnes of wheat in 1975 from the same land. Such rapid growth in farm productivity enabled India to become self-sufficient by the 1970s. It also empowered the smallholder farmers to seek further means to increase food staples produced per hectare. By 2000, Indian farms were adopting wheat varieties capable of yielding 6 tonnes of wheat per hectare.
With agricultural policy success in wheat, India’s Green Revolution technology spread to rice. However, since irrigation infrastructure was very poor, Indian farmers innovated tube-wells to harvest ground water. When gains from the new technology reached their limits in the states of initial adoption, the technology spread in the 1970s and 1980s to the states of eastern India: Bihar, Odisha and West Bengal. The lasting benefits of the improved seeds and new technology extended principally to the irrigated areas, which account for about one-third of the harvested crop area. India also adopted IR8, a semi-dwarf rice variety developed by the International Rice Research Institute (IRRI), that could produce more grains of rice per plant when grown with certain fertilizers and irrigation. In 1968, Indian agronomist S.K. De Datta published his findings that IR8 rice yielded about 5 tons per hectare with no fertilizer and almost 10 tons per hectare under optimal conditions. This was 10 times the yield of traditional rice. IR8 was a success throughout Asia and dubbed the “miracle rice.” In the 1960s, rice yields in India were about two tons per hectare. By the mid-1990s, they had risen to six tons per hectare. In the 1970s, rice cost about $550 a ton. In 2001, it cost under $200 a ton.
In the 1980s, Indian agriculture policy shifted to emphasize other agricultural commodities like oil seeds, fruit, and vegetables. Farmers began adopting improved methods and technologies in dairying, fisheries, and livestock to meet the diversified food needs of a growing population.
Criticism
A main criticism of the effects of the Green Revolution is the cost for small farmers using high-yielding varieties, with their associated demands of increased irrigation systems and pesticides. A case study has demonstrated that the Indian farmers who buy Monsanto BT cotton seeds, sold on the idea that these seeds produced “natural insecticides,” still must pay for expensive pesticides and irrigation systems. This might lead to increased borrowing to finance the change from traditional seed varieties. Many farmers have difficulty paying for the expensive technologies and the gains of the Green Revolution are hardly available to all Indian farmers, particularly those cultivating smaller land plots.
The increased usage of fertilizers and pesticides for high-yielding varieties has also led to decreased soil fertility while the use of electric tube wells decreased groundwater table below the previous level. The negative environmental impacts of the Green Revolution are barely beginning to show their full effects. The widespread chemical pollution in communities that utilize pesticides and herbicides is creating a public health problem that has disproportionately impacted women. In the state of Punjab, touted as a success of Green Revolution, cancer rates have skyrocketed. In a 2008 study by Punjabi University, a high rate of genetic damage among farmers was attributed to pesticide use. Ignorance on the appropriate use of pesticides resulted in heavy use, improper disposal, the use of pesticides as kitchen containers, and contamination of drinking water with heavy metals.
The Green Revolution brought a modern approach to agriculture by incorporating irrigation systems, genetically modified seed variations, insecticide and pesticide usage, and numerous land reforms. It had an explosive impact, providing unprecedented agricultural productivity in India and turning the country from a food importer to an exporter. Yet the Green Revolution also caused agricultural prices to drop, which damaged India’s small farmers.
The World's Largest Democracy
Since the 1947 independence, India has been a constitutional republic and representative democracy, but religious and caste-related violence, terrorism, and corruption continue to challenge the Indian democratic system.
As the seventh largest (by area) and the second most populous country in the world, the Republic of India is the largest democracy by electorate. India is a federation with a parliamentary system governed under the Constitution of India, which serves as the country’s supreme legal document. It is a constitutional republic and representative democracy in which “majority rule is tempered by minority rights protected by law.” Federalism in India defines the power distribution between the federal government and the states. The government abides by constitutional checks and balances. The Constitution of India, which came into being in 1950, states in its preamble that India is a sovereign, socialist, secular, democratic republic. India’s form of government, traditionally described as “quasi-federal” with a strong center and weak states, has grown increasingly federal since the late 1990s as a result of political, economic, and social changes.
The federal government comprises executive, legislative, and judicial branches. The President of India is the head of state and is elected indirectly by a national electoral college for a five-year term. The Prime Minister of India is the head of government and exercises most executive power. Appointed by the president, the prime minister is by custom supported by the party or political alliance holding the majority of seats in the lower house of parliament and leads the Council of Ministers. The legislature of India is the bicameral (two houses) parliament. The upper house is the Rajya Sabha (“Council of States”) with 245 members, who are elected indirectly by the state and territorial legislatures. They serve six-year terms. The lower house is the Lok Sabha (“House of the People”) with 545 members, all but two directly elected by popular vote for five-year terms. India has a unitary three-tier independent judiciary that comprises the Supreme Court, 24 High Courts, and a large number of trial courts.
India is a federation composed of 29 states and seven union territories. All states and two union territories have their own governments. The executive of each state is the Governor (equivalent to the president of India), whose role is ceremonial. The real power resides with the Chief Minister (equivalent to the Prime Minister) and the state council of ministers. States may either have a unicameral (one house) or bicameral legislature, varying from state to state.
India has a multi-party system, with a number of national as well as regional parties. As with any other democracy, political parties represent different sections among the Indian society and regions and their core values play a major role in the politics of India. Through the elections, any party may gain simple majority in the lower house. Coalitions are formed in case no single party gains a simple majority in the lower house. Unless a party or a coalition have a majority in the lower house, a government cannot be formed by that party or the coalition.
In recent decades, Indian politics has become a dynastic affair. This phenomenon is seen both at the national and state levels. One example of dynastic politics has been the Nehru–Gandhi family, which produced three Indian prime ministers and is leading the Indian National Congress party. At the state level too, a number of political parties are led by family members of the previous leaders.
Challenges of Indian Democracy
The Indian society is very diverse, with substantial differences in religion, region, language, race, and caste. In the traditional Hindu caste system, each person is born into a distinct social class or caste (i.e. farmers, merchants, artisans, priests), and people can not ever change their preordained caste. India's diverse population has led to the rise of political parties with agendas catering to one or a mix of these groups. Some parties openly profess their focus on a particular group while others claim to be universal in nature but tend to draw support from sections of the population. For example, the Rashtriya Janata Dal (the National People’s Party) wins votes through vote bank politics among the Hindu Yadav caste and Muslim population of Bihar, and the All India Trinamool Congress does not have any significant support outside West Bengal. The narrow focus and vote banks of most parties, even in the central government and central legislature, sidelines national issues such as economic welfare and national security. Moreover, internal security is also threatened as incidences of political parties instigating and leading violence between two opposing groups of people is a frequent occurrence. Terrorism, Naxalism (Communist ideology associated with the ideas of Mao Zedong), religious violence, and caste-related violence are important issues that have affected the political environment of the Indian nation.
Economic Policies after Independence
Economic issues like poverty, unemployment, and development have substantially influenced politics, although different parties proposed dramatically different approaches. Garibi hatao (eradicate poverty) has been a slogan of the Indian National Congress for a long time. The Communist Party of India (Marxist) has vehemently supported left-wing politics like land-for-all and right to work.
Indian economic policy after independence was influenced by the colonial experience and its exploitative nature, as well as by British social democracy and the planned economy of the Soviet Union. Domestic policy tended towards protectionism, with a strong emphasis on import substitution industrialization, economic interventionism, a large government-run public sector, business regulation, and central planning. At the same time, trade and foreign investment policies were relatively liberal. Steel, mining, machine tools, telecommunications, insurance, and power plants, among other industries, were effectively nationalized in the mid-1950s. Economists referred to the rate of growth of the Indian economy in the first three decades after independence as the Hindu rate of growth because of the unfavorable comparison with growth rates in other Asian countries such as South Korea and Japan.
The Arab World in the Non-Aligned Movement
After World War II the Arab world, which straddled north Africa and Asia, was at an intersection of two postwar developments: the Cold War and decolonization. In response to both developments Arab peoples sought to establish their independence. In the case of decolonization Arab peoples sought to establish their independence from the colonial empires that had controlled them. With respect to the Cold War Arab peoples endeavored not to be controlled by either the United States or the Soviet Union. In these efforts to establish their sovereignty in the context of decolonization and the Cold War Arab peoples used their material resources and relative ethnic, national, and religious solidarity as leverage. Their relative success added another set of powers to the mulipolar world that emerged after the Second World War and matured after the Cold War.
Learning Objectives
- Evaluate the impact of decolonization on the Cold War.
Key Terms / Key Concepts
Suez Canal Crisis: an invasion by Israel, England, and France into Egypt to regain control of the vital Suez Canal that ended in their defeat by Nasser, supported by both the U.S. and the Soviet governments
NATO: an intergovernmental military alliance signed on April 4, 1949 and including the five Treaty of Brussels states (Belgium, the Netherlands, Luxembourg, France, and the United Kingdom) plus the United States, Canada, Portugal, Italy, Norway, Denmark, and Iceland
Warsaw Pact: a collective defense treaty among the Soviet Union and seven other Soviet satellite states in Central and Eastern Europe during the Cold War
Non-Aligned Movement: decentralized group of nations not siding with either the U.S. or the Soviet Union during the Cold War
Following Egypt's political triumph in the1856 Suez Canal Crisis—known in the Arab World as the Tripartite Aggression, Nasser and the ideology associated with him rapidly gained support in other Arab countries from Iraq in the east to French-occupied Algeria in the west. Numerous Arab countries, notably Iraq, North Yemen, and Libya underwent the toppling of conservative regimes and their replacement with revolutionary republican governments; meanwhile, Arab countries under Western occupation—chiefly Algeria and South Yemen—saw the growth of insurrections aimed at national liberation. Contemporaneously, the already staunchly Arab nationalist Syria united with Egypt in the short-lived federal union of the United Arab Republic. A number of other attempts to unite the Arab states in various configurations were made, but all ultimately failed.
In turn, the monarchies, namely Saudi Arabia, Jordan, and Morocco (and, following their independence in the early 1970s, the Gulf states) drew closer together as they sought to counter Egyptian influence through a variety of direct and indirect means. In particular, Saudi Arabia and Jordan, hitherto rivals due to the competing claims of their respective dynasties, cooperated closely in support of the royalist faction in the North Yemen Civil War that had become a proxy war between Egypt and Saudi Arabia following the establishment of the Nasserist Yemen Arab Republic in 1962.
The expression “Arab Cold War” was coined by American political scientist and Middle East scholar Malcolm H. Kerr in his 1965 book of that title. Despite the moniker, however, the Arab Cold War was not a clash between capitalist and communist economic systems. Indeed, apart from the Marxist government of South Yemen, all Arab governments expressly rejected communism and criminalized the activities of communist activists within their territories. Moreover, Arab governments have not actively sought membership in either NATO or the Warsaw Pact, with nearly all of the Arab states joining the Non-Aligned Movement. Because conflicts in the period varied over time and with different locations and perspectives, the Arab Cold War is dated differently, depending on sources. Jordanian sources, for example, date the commencement of the Arab Cold War as April 1957, while Palestinian sources note the period of 1962 to 1967 as being most significant to them within the larger Arab context.
What tied the Arab Cold War to the wider global confrontation between the United States and the Soviet Union was that the United States backed the conservative Saudi Arabian-led monarchies, while the Soviet Union supported the Egyptian-led republics adhering to Arab socialism, notwithstanding their suppression of domestic Arab communist movements. In tandem with this was the Arab revolutionary nationalist republican support for anti-American, anti-Western, anti-imperialist, and anti-colonial revolutionary movements outside the Arab World, such as the Cuban Revolution, as well as the Arab monarchical support for conservative governments in predominantly Muslim countries, such as Pakistan.
Due to a number of factors, the Arab Cold War is considered to have ended by the late 1970s. The unmitigated success of the State of Israel in the Six Day War of 1967 severely undermined the strategic strength of both Egypt and Nasser. Though the subsequent resolution to the North Yemen Civil War brokered by Nasser and King Faisal of Saudi Arabia was a victory for the Egyptian-backed Yemeni republicans, the intensity of the Egyptian-Saudi Arabian rivalry faded dramatically, as attention was focused on Egypt's efforts to liberate its own territory now under Israeli occupation.
Nasser's death in 1970 was followed by the presidency of Anwar Sadat, who departed radically from Nasser's revolutionary platform, both domestically and in regional and international affairs. In particular, Sadat sought intimate strategic cooperation with Saudi Arabia under King Faisal, forging a relationship that was crucial to Egypt's successes in the first part of the October War of 1973. Capitalizing on those initial successes, Sadat completed his departure from Nasserism by abandoning Egypt's strategic partnership with the Soviet Union in favor of the United States, and by making peace with the State of Israel in 1978 in exchange for the evacuation of all Israeli forces and settlers from Egyptian territory. Sadat's peace treaty not only alienated Nasserists and other secular Arab nationalists, but enraged Islamists—who denounced him as an apostate.
Sadat’s policies led to Egypt being suspended from the Arab League, which caused its virtual isolation in the region. Egypt being isolated while Islamism rose in popularity culminated in the 1979 Iranian Revolution; the revolution established Shi'a Iran as a regional power vowing to topple the predominantly Sunni governments of Arab states, both republican and monarchical alike.
As the outbreak of the Iran-Iraq War heralded the beginning of the 1980s, Egypt under Sadat—and still suspended from the Arab League—made common cause with Saudi Arabia in supporting Sunni-led Iraq against Shi'a Iran. Simultaneously, Sunni-Shi'a strife elsewhere in the region, notably Lebanon, took on the character of a new proxy conflict between Shia and Sunni Muslim regional powers.
Islamic Revival
Though far smaller in population than Egypt, the Kingdom of Saudi Arabia had oil wealth and prestige as the land of Mecca and Medina—the two holiest cities of Islam. To use Islam as a counterweight to Gamal Abdel Nasser's Arab nationalism, Saudi Arabia sponsored an international Islamic conference in Mecca in 1962. It created the Muslim World League, which was dedicated to spreading Islam and fostering Islamic solidarity. The League was effective in promoting Islam, particularly conservative Wahhabi Islam, as well as served to combat “radical alien ideologies” in the Muslim world, such as Arab socialism.
Learning Objectives
- Describe how Egyptian President Abdel Nasser’s idea of Arab nationalism affected Arab-Israeli relations from 1956-1973.
- Analyze how the political, ethnic, and religious history of Palestine during the 19th and 20th centuries shaped the creation of Israel after the Second World War.
Key Terms / Key Concepts
Gamal Abdel Nasser: Egyptian military and political leader who was also the president of Egypt from 1956 – 1970
Arab nationalism: after World War II, movement that promotes unity among Arab people
Particularly after the Six-Day War, Islamic revival strengthened throughout the Arab world. After Nasser's death in 1970, his successor, Anwar Sadat, emphasized religion and economic liberalization rather than Arab nationalism and socialism. In Egypt's “shattering” 1967 defeat, “Land, Sea and Air” had been the military slogan; in the perceived victory of the October 1973 war, it was replaced with the Islamic battle cry of Allahu Akbar. While the October 1973 war was started by Egypt and Syria to take back the land conquered in 1967 by Israel, according to the French political scientist Gilles Kepel the actual victors were the Arab oil-exporting countries, whose embargo against Israel's Western allies stopped Israel's counter-offensive. The embargo's political success enhanced the prestige of its participants and the reduction in the global supply of oil sent oil prices soaring (from $3 US per barrel to nearly $12) and with them, oil exporter revenues. This resulted in Arab oil-exporting states taking a dominant position of within the Muslim world. The most dominant of which was Saudi Arabia, the largest exporter by far.
In Egypt, the Muslim Brotherhood, which had been suppressed by the Egyptian government and aided by Saudi Arabia, was allowed to publish a monthly magazine, and its political prisoners were gradually released. At universities, Islamists took control and drove (anti-Sadat) student leftist and Pan-Arabist organizations underground. By the late 1970s, Sadat called himself “The Believer President.” He banned most sales of alcohol and ordered Egypt's state-run television to interrupt programs with salat (Islamic call to prayer) on the screen five times a day and to increase religious programming.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:Macarthur_hirohito2.jpg
Emperor Hirohito and General MacArthur at their first meeting, September, 1945 - U.S. Army photographer Lt. Gaetano Faillace, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/japanese-recovery/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-indian-subcontinent/
https://creativecommons.org/licenses/by-sa/4.0/
Suez Crisis. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Suez_Crisis. License: CC BY-SA: Attribution-ShareAlike
Cold War. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Cold_War. License: CC BY-SA: Attribution-ShareAlike
https://en.wikipedia.org/w/index.php?title=Arab_Cold_War&oldid=1087958323
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Oceania During the Cold War
Overview
Who are We?: Oceania in the Cold War
The militaries of Australia and New Zealand played a significant role in the Pacific Theater of World War II. They had firmly supported and led Allied resistance against the Imperial Japanese forces. In effect, they had held their own and proved as strong as any Western European nation. Following World War II’s Allied victory, Australia and New Zealand began to question their status and position in global affairs—particularly with the advent of the Cold War. Throughout the Cold War, both countries experienced numerous challenges and triumphs as they searched for identity. Similarly, many Pacific Island nations sought fought for and won their independence from their European colonizers, notably Indonesia. For much of Oceania, the Cold War was a time wherein the search for identity was paramount.
Learning Objectives
- Evaluate the challenges faced by Australia and New Zealand during the Cold War.
- Analyze the independence movements in Indonesia and Papua New Guinea.
Key Terms / Key Concepts
ANZUS: Australia-New Zealand-United States defense alliance
Australia Act of 1986: document that cuts all legal ties between Australia and Great Britain
Cultural Assimilation: Australian attempts to assimilate Aborigines into Western lifestyles
Child-removal: Australian program in which white Australians forcefully removed Aborigine children from their homes
Indonesian War of Independence: war between Indonesia and the Dutch, 1945 – 1949
Māori urbanization: New Zealand programs in the 1960s to assimilate and westernize Māori people
Papua New Guinea: independent, Pacific Island established in 1975
Statute of Westminster Approval Act: 1947 act that cut all legal ties between New Zealand and Great Britain
Stolen Generation: name given to Aborigine children who were removed from their families and placed into white, Australian homes to assimilate into western culture
The Republic of Indonesia: independent Indonesia state established in 1949
Australia during the Cold War
During the Cold War, Australia faced many of the same challenges domestically and internationally as the United States. It underwent its own version of the Red Scare, as fear of communism spread. Moreover, Australian forces served in both the Korean and Vietnam Wars. Because of increased tension in Asia and Europe, Australia signed a military alliance, ANZUS, with the United States in 1951. Separately, New Zealand would also sign ANZUS, thus forming a military alliance between the United States and Australia, and New Zealand and the United States.
Immigration to Australia
One of the earliest developments Australia faced during the Cold War was increased immigration. Eastern Europeans immigrated to Australia following the creation of the Soviet Bloc, while Chinese immigrants fled during the ascension of communist leader, Mao Zedong. In a reversal of previous policy, Australia welcomed immigrants from throughout the Pacific and Asia because they needed a labor force to help with the development of Australian industry and infrastructure following World War II. Most of the immigrants were hired to work in unskilled manufacturing.
In response to the growing immigration, the Australian prime minister passed the Migration Act of 1958 which undid many of the restrictive clauses of the 1901 Immigration Restriction Act, thus significantly diminishing the “White Australia” policies. By the early 1970s, the policies had vanished entirely and a multicultural Australia was born.
Australia and the "Stolen Generation"
When Australia was opening its arms to immigrants from Asia and the rest of the world, it was still failing to open its arms to its own people. Aborigine land reserves were governed by the federal government. The reserves were also considered public land that could be used for additional purposes without Aboriginal consent. Moreover, the federal government had no power to make treaties or negotiate with the Aborigines. Those powers rested alone with the governments of Australia’s six states. Until the 1960s, the governments refused to grant rights or negotiate with the Aborigines. Instead, they continued to allow low wages to be paid to Aborigine workers on cattle ranches and forbade them from consuming alcohol.
One of the most contentious, and now embarrassing moments, in Australia’s history began in 1951 when the Australian government passed legislature in favor of cultural assimilation. Under official government policy, Aborigines would be forced to adopt western practices and live as white Australians. Several measures were placed on the Aborigines to try and “westernize” them, with mixed success.
Most heinous of the actions carried out by the Australian government were the practices and policies of child-removal. From the 1910s to the 1970s, children of Aborigine descent, especially mixed-race children, were removed from their Aboriginal homes and placed in state-run facilities. Often these facilities were hundreds of miles from their families. As wards of the state, these children were taught to dress, act, and think as if they were white Australians. They were forced to speak only English, relinquish their former identities, and learn white Australian professions.
By the time the practice of child-removal ended in 1973, roughly 10 – 15% of Aborigine children had been removed from their parents and their homes. These children are remembered today as Australia’s “Stolen Generation.”
The Australia Act of 1986
Australia had emerged as a strong, Western power during the World Wars and the Cold War. As such, it also craved independence from Britain. In the 1980s, Australia followed the pattern of Canada and New Zealand and prepared to sever its legal connections to Great Britain. In 1986, two acts were passed, collectively known as the Australia Act of 1986. This legislation granted full legal rights to Australia and effectively ended any legal and constitutional ties between Australia and Great Britain. Australia emerged as a totally sovereign commonwealth free to exercise independence in law-making, although the Queen of England remains a figurehead monarch.
New Zealand in the Cold War
Despite their close connections, New Zealand is a country quite different from Australia in its people and politics. During the 1940s, it, like many western nations, experienced relative prosperity. But after the war, New Zealand also struggled to establish its purpose and identity.
The Early Cold War and the Quest for Identity
After World War II, New Zealanders enjoyed relative economic stability and growing nationalism. As such, it was unsurprising that they also sought greater independence from Great Britain. In 1947, it signed the Statute of Westminster Adoption Act. This promoted New Zealand to the status of a Commonwealth in the British Empire, rather than a Dominion. Additionally, the passage of the act gave New Zealanders three new measures that increased their independence: citizenship as New Zealanders (rather than British), a reformed and updated constitution, and the exclusive right for New Zealand to make and administer its own laws. In this fashion, New Zealand established itself as an independent nation-state.
One of the first acts undertaken by the freshly created New Zealand parliament was to push for stronger military connections. With the rise of communist China and Soviet-led Eastern Europe in the late 1940s and early 1950s, New Zealand realized that it needed protection in case a world war should again erupt. As its counterpart Australia had done, New Zealand signed a military alliance with the United States, ANZUS, in 1951. Simultaneously, this aligned the country with Western powers and solidly against communism.
New Zealand's Social Challenges
From the 1940s to early 1960s, New Zealand was a peculiar place for foreigners because of it was seemingly locked in a time warp. Hotels closed at 6 PM, restaurants did not sell alcohol, and shops were strictly controlled. Families were expected to be at home on the weekends.
Once mass travel began, New Zealand society changed. People, especially young men, traveled abroad. Mass communication arrived and pulled New Zealand into contact with the rest of the world. And by the 1980s, New Zealand was booming as a tourist destination, one that could boast of sophisticated wines and exquisite dinners for those seeking a cosmopolitan experience. It also grew to cater to extreme athletes because it promoted itself as “the adventure capital of the world.”
Māori Urbanization
Historically, New Zealand has proven more liberal and progressive than Australia in its attitudes toward its indigenous peoples: the Māori. Generally, white New Zealanders had worked with the Māori, instead of considering them a primitive exhibition. And many Māori fought with the white New Zealanders during World War II.
In the 1960s, the Māori began moving into New Zealand’s cities, and Māori urbanization took off. This movement marked a significant departure from the traditional way of life for the Māori, who had been primarily hunter-gather peoples or farmers prior to World War II. Although the Māori thrived in the cities, with increased pay and improved education, they were not free from racial discrimination. In contrast to the Aborigines, though, the Māori proved far more willing and able to adapt to Western culture, while still promoting their heritage. Their culture is nationally renowned through the Haka dance performed by New Zealand sports teams before each match; this is most famously done by the All Blacks—New Zealand’s national rugby team.
The Indonesian War for Independence
Australia and New Zealand were not the only countries searching for independence and identity after World War II. In fact, most of the Pacific Island nations were. Most of them were still under European control following World War II. After decades of colonial exploitation, bitter occupation, and combat during World War II, nearly every Pacific Island nation desired freedom. More than most, Indonesia stood ready to fight for their independence.
Indonesia's Battle for Freedom Begins
The Indonesian War for Independence began in August 1945. Two days after the surrender of Japan to the Allies, the Indonesians declared independence from Holland. The subsequent war pitted the Indonesian forces against their old colonizers, the Dutch. Although the war was drawn out over four years, it was evident from the beginning that the Dutch did not have their heart invested in the battle. They were, instead, recovering from years of Nazi German occupation and the loss of many of their own people in World War II. And public sentiment was never in favor of yet another war. Dutch troops arrived war-weary and weak. Indonesian troops were inexperienced but high-spirited. For the next four years, the two sides were relatively evenly matched.
The new world order proved as essential to an Indonesian victory as the battlefield. The United Nations and the UN Security Council severely criticized Dutch involvement in Indonesia. The United States, Australia, and India voiced criticism of Dutch actions in Indonesia. Under pressure from the United Nations, the Dutch withdrew in 1949. That same year, the Republic of Indonesia was created.
Indonesia established itself as a republic following the Dutch departure. It also established a model of Pacific Island independence that many smaller island nations would follow. Today, it is the world’s largest island nation, consisting of 17,000 islands. It also constitutes the world’s largest Muslim country and is the fourth most populous in the world.
Papua New Guinea
Papua New Guinea is an island nation north of Australia that is famous for its rich biodiversity, tropical waters, and dense rainforests. It is equally rich in its languages, religions, and cultures. Historically, however, this large island nation has struggled to retain its independence.
During the late 1800s, Papua New Guinea was divided and colonized by both England and Imperial Germany in the eastern half of the country, and Holland in the western half. From 1919 – 1975, New Guinea was under control of its powerful southern neighbor, Australia, and by extension became a possession of the British Empire. During World War II, New Guinea was at the heart of a major campaign between the Allies and the Japanese that resulted in hundreds of thousands of casualties.
Following World War II, New Guinea sought independence. The effort to secure independence was not smooth. It was fraught with political and social upheaval and discord.
In 1975, New Guinea achieved independence from Australia with its promotion to the status of the Commonwealth. By achieving this status, New Guinea can create and administer its own laws and government. It also joined the Commonwealth of Nations as an independent state and is a member of the United Nations.
Attributions
Images courtesy of Wikimedia Commons
Matsuda, Matt K. Pacific Worlds: A History of Seas, Peoples, and Cultures. Cambridge
University Press, Cambridge: 2012. 300-301.
Smith, Roy. Australia: Journey through a Timeless Land. National Geographic,
Washington, DC. 54-55.
Welsh, Frank. Australia: A New History of the Great Southern Land. Overlook Press,
New York: 2004. 420-461; 525-9.
Insight Guides: New Zealand. Ed. Tom Le Bas. Langenscheidt Publishers, Inc., New
York: 2009. 42-47.
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Africa
Overview
Decolonization: Libya and Congo
When World War II ended, the economies of most of the Western European nations were shattered. And yet, the end of the war ushered in waves of independence movements across Africa. Africans, who had been treated as second or third-class citizens by the colonizers for nearly a century, saw the time was ripe for severing ties with their colonial “parent” countries. Between the mid-1940s and early 1960s, numerous countries across Africa fought for, and won, their independence.
Learning Objectives
- Compare and contrast the decolonization processes across Northwest Africa and Congo.
- Evaluate the successes and challenges of decolonization for Africans.
Key Terms / Key Concepts
Arab nationalism: after World War II, movement that promotes unity among Arab people
Muammar Gaddafi: brutal Arab nationalist, politician, and military leader in Libya (1969 – 20)
Libyan Revolution: 1969 Revolution that overthrew the Libyan king and installed military dictator, Muammar Gaddafi
Patrice Lumumba: Congolese politician and independence activist who became prime minister of Congo
Évolués: in Congo, the new middle class of “Europeanized” Africans
Force Publique: Belgian-operated military and police force in Congo
Congo Crisis: period of political crisis and upheaval during Congo’s early stages of independence (1960 – 65)
Joseph-Desiré Mobutu: Congolese military and political leader who was president of Congo, and later, Zaire
Zaire: name for Congo under President Mobutu (1965 – 1997)
The Libyan Arab Republic
Background
From 1943 to 1951, Libya was under Allied occupation. The British military administered the two former Italian Libyan provinces, while the French-administered the province of Fezzan. Under the terms of the 1947 peace treaty with the Allies, Italy relinquished all claims to Libya.
Kingdom of Libya
On November 21, 1949, the UN General Assembly passed a resolution stating that Libya should become independent before January 1, 1952. On December 24, 1951, Libya declared its independence as the United Kingdom of Libya—a constitutional and hereditary monarchy—led by King Idris, Libya’s only monarch.
The discovery of significant oil reserves in 1959 and the subsequent income from petroleum sales enabled Libya, one of the world’s historically poorest nations, to establish an extremely wealthy state. Although oil drastically improved the Libyan government’s finances, resentment among some factions began to build over the increased concentration of the nation’s wealth in the hands of King Idris. This discontent mounted with the rise of Arab nationalism throughout North Africa and the Middle East, so while the continued presence of Americans, Italians, and British in Libya aided in the increased levels of wealth and tourism following WWII, it was seen by some as a threat.
Libyan Revolution: Gaddafi
On September 1, 1969, a small group of military officers led by 27-year-old army officer Muammar Gaddafi staged a coup d’état against King Idris, launching the Libyan Revolution. Gaddafi was referred to as the “Brother Leader and Guide of the Revolution” in government statements and the official Libyan press.
On the birthday of Muhammad in 1973, Gaddafi delivered a “Five-Point Address.” He announced the suspension of all existing laws and the implementation of Sharia. He said that the country would be purged of the “politically sick”; a “people’s militia” would “protect the revolution”; and there would be an administrative revolution and a cultural revolution. Gaddafi set up an extensive surveillance system: 10 to 20 percent of Libyans worked in surveillance for the Revolutionary committees, which monitored place in government, factories, and the education sector. Gaddafi executed dissidents publicly and the executions were often rebroadcast on state television channels. Additionally, he employed his network of diplomats and recruits to assassinate dozens of critical refugees around the world.
In 1977, Libya officially became the “Great Socialist People’s Libyan Arab Jamahiriya.” Gaddafi officially passed power to the General People’s Committees and, henceforth, claimed to be no more than a symbolic figurehead, but domestic and international critics claimed the reforms gave him virtually unlimited power. Dissidents against the new system were not tolerated, with punitive actions including capital punishment authorized by Gaddafi himself. The new government he established was officially referred to as a form of direct democracy, though the government refused to publish election results. Gaddafi was ruler of Libya until the 2011 Libyan Civil War, when he was deposed with the backing of NATO. Since then, Libya has experienced instability.
A New Start for Congo
Background: Belgian Rule
Colonial rule in the Congo began in the late 19th century. King Leopold II of Belgium attempted to persuade his government to support colonial expansion around the then-largely unexplored Congo Basin. The Belgian government’s ambivalence eventually led Leopold to create the colony on his own account. With support from several Western countries who viewed Leopold as a useful buffer between rival colonial powers, Leopold achieved international recognition in 1885 for a personal colony: the Congo Free State. By the turn of the century, however, the violence of Free State officials against indigenous Congolese and the ruthless system of economic extraction led to intense diplomatic pressure on Belgium to take official control of the country, which it did in 1908, when the Belgian Congo was created.
During the 1940s and 1950s, the Congo experienced an unprecedented level of urbanization. The colonial administration developed programs aimed at making the territory into a “model colony.” One of the results of these measures was the development of a new middle class, in the cities, of Europeanized African “évolués”. By the 1950s the Congo had a wage labor force twice as large as that of any other African colony. The Congo’s rich natural resources, including uranium, led to substantial interest in the region from both the Soviet Union and the United States as the Cold War developed. Much of the uranium used by the U.S. nuclear program during World War II was Congolese.
Nationalist Politics
An African nationalist movement developed in the Belgian Congo during the 1950s, primarily among the évolués. The movement consisted of several parties and groups which were divided on ethnic and geographical lines and opposed to one another. The largest, the Mouvement National Congolais (MNC), was a united front organization dedicated to achieving independence “within a reasonable” time. It was created around a charter that was signed by, among others, Patrice Lumumba. Lumumba became a leading figure within the MNC, and by the end of 1959, the party claimed 58,000 members. Although it was the largest of the African nationalist parties, the MNC had many different factions that took differing stances on many issues. It was increasingly polarized between moderate évolués and the more radical mass membership.
Major riots broke out in Léopoldville, the Congolese capital, on January 4, 1959, after a political demonstration turned violent. The colonial army, the Force Publique, used force against the rioters. Total casualties may have been as high as 500. The nationalist parties’ influence expanded outside the major cities for the first time, and nationalist demonstrations and riots became a regular occurrence over the next year, bringing large numbers of black people from outside the évolué class into the independence movement. Many blacks began to test the boundaries of the colonial system by refusing to pay taxes or abide by minor colonial regulations.
Independence from Belgium
Congolese, supported by Lumumba, started arguing for independence from Belgium. They projected a target date of June 30, 1960. Belgians began campaigning against Lumumba. They accused him of being a communist to little effect. On June 30, 1960, King Baudouin—the last king of the Belgian Congo, gave a speech in which he presented the end of colonial rule in the Congo. Immediately after, Lumumba gave an unscheduled speech in which he angrily attacked colonialism and described independence as the crowning success of the nationalist movement.
The Congo Crisis
The Congo Crisis was a period of political upheaval and conflict in the Democratic Republic of the Congo between 1960 and 1965 that was a series of civil wars, as well as a proxy in the Cold War, for which the Soviet Union and United States supported opposing factions; it was initially caused by a mutiny of the white leadership in the Congolese army and resulted in the execution of Prime Minister Patrice Lumumba. Around 100,000 people were killed during the crisis.
Minimal preparations had been made for Congo once it became independent. Many issues remained unresolved. In the first week of July, a mutiny broke out in the army and violence erupted between black and white civilians. Belgium sent troops to protect fleeing whites; two areas of the country—Katanga and South Kasai—seceded with Belgian support. Amid continuing unrest and violence, the United Nations deployed peacekeepers, but the UN Secretary-General Dag Hammarskjöld refused to use these troops to help the central government in Léopoldville fight the secessionists. Prime Minister Patrice Lumumba called for assistance from the Soviet Union. who promptly sent military advisors and other support.
The involvement of the Soviets split the Congolese government and led to an impasse between Lumumba and the Congolese president. Mobutu, in command of the army, broke this deadlock with a coup d’état, expelled the Soviet advisors, and established a new government effectively under his control. Lumumba was placed in captivity and subsequently executed in 1961.
Mobatu and Zaire
During the Congo Crisis, military leader Joseph-Desiré Mobutu ousted the nationalist government of Patrice Lumumba and eventually took authoritarian control of the Congo, renaming it Zaire in 1971. Mobutu then attempted to purge the country of all colonial cultural influence.
Mobutu's Rise to Power
In 1960, Lumumba appointed Joseph-Désiré Mobutu as Chief of Staff of the Armée Nationale Congolaise—the Congolese National Army. Violence soon erupted in the southern part of Congo. Concerned that the United Nations force was inadequate, Lumumba turned to the Soviet Union for assistance, receiving massive military aid and about a thousand Soviet technical advisers in six weeks. Lumumba’s rivals tried to overthrow Lumumba through a coup de-tat. Both sides of the conflict ordered Mobutu to arrest the other.
Mobutu accused Lumumba of pro-communist sympathies, thereby hoping to gain the support of the United States, but Lumumba fled to Stanleyville where he set up his own government. The USSR again supplied Lumumba with weapons and he was able to defend his position. In November 1960, he was captured and sent to Katanga. Mobutu still considered him a threat and on January 17, 1961, ordering him arrested and publicly beaten. Lumumba then disappeared from the public view. It was later discovered that he was murdered the same day by the secessionist forces. On January 23, 1961, Mobutu was promoted to major-general.
Mobutu's Coup
With the government hanging by a thread, Mobutu seized power in a bloodless coup on November 25, a month after his 35th birthday. Under state of emergency, Mobutu assumed sweeping—almost absolute—powers for five years. In his first speech upon taking power, Mobutu told a large crowd at Léopoldville’s main stadium that since politicians had brought the country to ruin in five years, “for five years, there will be no more political party activity in the country.” Parliament was reduced to a rubber-stamp before being abolished altogether, though it was later revived. The number of provinces was reduced and their autonomy curtailed, resulting in a highly centralized state. In 1971 Mobutu changed of the country to “Republic of Zaire.”
Zaire under Mobutu
Facing many challenges early in his rule, Mobutu was able to co-opt many people; those he could not, he dealt with forcefully. In 1966 four cabinet members were arrested on charges of complicity in an attempted coup, tried by a military tribunal, and publicly executed in an open-air spectacle witnessed by over 50,000 people. Uprisings by former Katangan gendarmeries were crushed, as was an aborted revolt led by white mercenaries in 1967. By 1970, nearly all potential threats to his authority had been smashed, and, for the most part, law and order was brought to most of the country. That year marked the pinnacle of Mobutu’s legitimacy and power. Despite rampant corruption, Mobutu had the support of the United States because of his staunch opposition to Communism.
Decolonization: Egypt and South Africa
After World War II, nearly every African country fought for independence from their European colonizers. Each had a unique strategy and story. But each country also experienced the common desire to govern themselves, and establish socities in which African people were no longer second-class citizens.
Learning Objectives
- Compare and contrast the decolonization processes in Egypt and South Africa
- Evaluate the successes and challenges of decolonization for Africans
Key Terms / Key Concepts
Bantustans: in South Africa, the English notions of “traditional homelands” for black-Africans
apartheid: segregation of society and facilities in South Africa (1948 – early 1990s)
Nelson Mandela: successful South African lawyer and independence leader who called for the end of apartheid and South African independence
Egyptian Revolution of 1952: Egypt’s breakaway from English colonial rule that was led by Colonel Nasser
Gamal Abdel Nasser: Egyptian military and political leader who was also the president of Egypt from 1956 – 1970
Suez-Canal Crisis: an invasion by Israel, England, and France into Egypt to regain control of the vital Suez Canal that ended in their defeat by Nasser
Six-Day War: brief and critical war in which Israel was invaded by a coalition of Arab States including Egypt, Syria, and Jordan, and in which Israel won
Anwar Sadat: president of Egypt between 1970 – 1981 who sought to win Western favor
Egypt-Israel Peace Treaty: peace treaty between Egypt and Israel (1979) witnessed by the United States
Yom Kippur War: invasion of Israel by an Arab Coalition of Syria and Egypt (1973)
Camp David Accords: political documents signed between the Israeli and Egyptian heads of state, and witnessed by the United States at Camp David (1978)
Egypt
The Kingdom of Egypt was established in 1922 following the Unilateral Declaration of Egyptian Independence, but the Kingdom was only nominally independent since the British continued to have varying degrees of political control and military presence until 1952.
Background: British Involvement in Egypt Post-Independence
On September 23, 1945, after the end of World War II, the Egyptian government demanded the modification of the treaty to terminate the British military presence and to allow the annexation of the Anglo-Egyptian Sudan. Three years later with new government leadership under Colonel Gamal Abdel Nasser, the UK agreed to withdraw its troops in the Anglo–Egyptian Agreement of 1954; the British withdrawal was completed in June 1956. This is the date when Egypt gained full independence, although Nasser had already established an independent foreign policy that caused tension with several Western powers.
The Egyptian Revolution of 1952
The Egyptian Revolution of 1952 began on July 23, 1952, by the Free Officers Movement—a group of army officers led by Gamal Abdel Nasser. The revolution’s initial goal was to overthrow King Farouk, who the military blamed for Egypt’s poor performance in the 1948 war with Israel. From July 22 – 26, 1952, a group of disaffected army officers led by Muhammad Naguib and Gamal Abdel Nasser were able to achieve the goal, and King Farouk was removed from power. But the movement also had more ambitious political aims: the creation of a republic, the end of British occupation, and the independence of neighboring Sudan. The revolutionary government adopted a staunchly nationalist, anti-imperialist agenda, expressed chiefly through Arab nationalism and international non-alignment.
The revolution was faced with immediate threats from Western imperial powers, particularly France and the United Kingdom, who had occupied Egypt since 1882. Both European countries were wary of rising nationalist sentiment in territories under their control throughout the Middle East and Africa. The ongoing state of war with Israel also posed a serious challenge, as the Free Officers increased Egypt’s already strong support of the Palestinians. These issues conflated four years after the revolution, when Egypt was invaded by Britain, France, and Israel in the Suez Crisis of 1956. Despite enormous military losses, the war was seen as a political victory for Egypt, especially as it left the Suez Canal in uncontested Egyptian control for the first time since 1875, erasing what was considered a mark of national humiliation. This strengthened the appeal of the revolution in other Arab and African countries.
Agrarian reform and huge industrialization programs were initiated in the first 15 years of the revolution, leading to an unprecedented period of infrastructure building and urbanization. By the 1960s, Arab socialism became a dominant theme, transforming Egypt into a centrally planned economy. Fear of a Western-sponsored counter-revolution, domestic religious extremism, potential communist infiltration, and the ongoing conflict with Israel were all cited as reasons for severe and longstanding restrictions on political opposition and the prohibition of a multi-party system. These restrictions would remain in place until the presidency of Anwar Sadat from 1970 on, during which many of the policies of the revolution were scaled back or reversed.
The early successes of the revolution encouraged numerous other nationalist movements in other Arab and African countries, such as Algeria and Kenya, where there were anti-colonial rebellions against European empires. It also inspired the toppling of existing pro-Western monarchies and governments in the region and on the continent.
After the Revolution
Nasser was appointed president in 1956. He announced a new constitution on January 16 at a popular rally, setting up a system of government in which the president had the power to appoint and dismiss ministers. Nasser was elected as the second president of the Republic on June 23. In 1957, Nasser announced the formation of the National Union paving the way to July elections for the National Assembly, the first parliament since 1952. Nasser served as president until his death in 1970. Despite his defeat in the Six-Day War with Israel, he remained popular among his people and within neighboring Syria.
Sadat and Cold War Influences
The Sadat era in Egypt refers to the presidency of Anwar Sadat, the 11-year period of Egyptian history spanning from the death of president Gamal Abdel Nasser in 1970 through Sadat’s presidency. The presidency of Anwar Sadat saw many changes in Egyptian politics and policy: breaking with Soviet Union to make Egypt an ally of the United States, initiating the peace process with Israel, reinstituting the multi-party system, and abandoning socialism. Sadat’s presidency saw many changes in Egypt’s direction, reversing some of the economic and political principles of Nasser by breaking with Soviet Union to make Egypt an ally of the United States, initiating the peace process with Israel, reinstituting the multi-party system, and abandoning socialism by launching the Infitah economic policy. His term in office ended abruptly on October 6, 1981 when fundamentalists assassinated him.
The Yom Kippur War (1973) a began when the coalition launched a joint surprise attack on Israel on Yom Kippur, the holiest day in Judaism, which occurred that year during the Muslim holy month of Ramadan. Egyptian and Syrian forces crossed ceasefire lines to enter the Israeli-held Sinai Peninsula and Golan Heights, respectively. After Israel lost the defensive war, Egypt and Israel came together for negotiations with Israel, culminating in the Egypt-Israel Peace Treaty in which Israel traded the Sinai to Egypt for peace. This led to Egypt’s estrangement from most other Arab countries and Sadat’s assassination several years later.
Relations with the United States
Sadat instigated momentous change in foreign relations, shifting Egypt from a policy of confrontation with Israel to one of peaceful accommodation through negotiations. Following the Sinai Disengagement Agreements of 1974 and 1975, Sadat created a fresh opening for progress by his dramatic visit to Jerusalem in November 1977. This led to an invitation from President Jimmy Carter of the United States to President Sadat and Israeli Prime Minister Begin to enter trilateral negotiations at Camp David.
The outcome was the historic Camp David Accords, signed by Egypt and Israel and witnessed by the U.S. on September 17, 1978. The accords led to the March 26, 1979, signing of the Egypt–Israel Peace Treaty, by which Egypt regained control of the Sinai in May 1982. Throughout this period, U.S.–Egyptian relations steadily improved, and Egypt became one of America’s largest recipients of foreign aid. Sadat’s willingness to break ranks by making peace with Israel earned him the enmity of most other Arab states, however, which was the instigation for the 1977 a short border war between Egypt and Libya.
South Africa
Much of South Africa’s history, particularly of the colonial and post-colonial eras, is characterized by clashes of culture, violent territorial disputes between European settlers and indigenous people, dispossession and repression, and other racial and political tensions.
Background: English Annexation
During the Napoleonic Wars, South Africa was annexed by the British and officially became their colony in 1815. Britain encouraged settlement on the Cape. The changing of the Cape from Dutch to British excluded the Dutch farmers in the area: the Boers. This period also marked the rise in power of the Zulu under their king Shaka Zulu. Subsequently, several conflicts arose between the British, Boers, and Zulus.
The Boers successfully resisted British encroachments during the First Boer War (1880 – 1881), using guerrilla warfare tactics that were well-suited to local conditions. The British returned with greater numbers, more experience, and new strategy in the Second Boer War (1899 – 1902), but they suffered heavy casualties through attrition. By 1902, 26,000 Boers (mainly women and children) had died of disease, hunger, and neglect in concentration camps. On May 31, 1902, a superficial peace came with the signing of the Treaty of Vereeniging. Under its terms, the Boer republics acknowledged British sovereignty, while the British committed themselves to reconstruction of the areas under their control.
Within the country, anti-British policies among white South Africans focused on independence. During the Dutch and British colonial years, racial segregation was mostly informal, though some legislation was enacted to control the settlement and movement of native people, including the Native Location Act of 1879 and the system of pass laws.
Power was held by the ethnic European colonists, and black citizens remained marginalized in society. The British High Commissioner Lord Alfred Milner introduced legal “segregation,” later known as apartheid. The authorities imposed harsh taxes and reduced wages. Resentment was rampant as racial tensions escalated.
Apartheid
The National Party in South Africa imposed apartheid in 1948, which institutionalized racial segregation through a series of legislation that established strict racial classification, forced relocation of nonwhites to “tribal homelands,” and segregated public facilities and institutions. It also prevented marriages between racial groups. It racially divided South Africa from 1948 to 1991.
Places of residence were determined by racial classification. Between 1960 and 1983, 3.5 million nonwhite South Africans were removed from their homes and forced into segregated neighborhoods in one of the largest mass removals in modern history. Most of these targeted removals were intended to restrict the black population to ten designated “tribal homelands.” These removals included people relocated due to slum clearance programs, labor tenants on white-owned farms, the inhabitants of the so-called “black spots” (black-owned land surrounded by white farms), the families of workers living in townships close to the homelands, and “surplus people” from urban areas, including thousands of people from the Western Cape. Relocated peoples also lost their citizenship of South Africa as they were moved into bantustans.
The NP also passed a string of legislation that became known as petty apartheid. Acts passed under petty apartheid were meant to separate nonwhites from daily life. Blacks were not allowed to run businesses or professional practices in areas designated as “white South Africa” unless they had a permit. Transport and civil facilities were segregated. Black buses stopped at black bus stops and white buses at white ones. Trains, hospitals, and ambulances were segregated. Because there were fewer white patients and white doctors preferred to work in white hospitals, conditions in white hospitals were much better than those in often overcrowded and understaffed black hospitals.
Apartheid Opposition and Abolishment
Apartheid sparked significant international and domestic opposition, resulting in some of the most influential global social movements of the twentieth century. It was the target of frequent condemnation in the United Nations and brought about an extensive arms and trade embargo on South Africa. During the 1970s and 1980s, internal resistance to apartheid became increasingly militant, prompting brutal crackdowns by the National Party administration and violence that left thousands dead or imprisoned. Some reforms of the apartheid system were undertaken, but these measures failed to appease most activist groups.
Nelson Mandela and the End of Apartheid
Nelson Mandela, a successful South African lawyer, strongly opposed apartheid. Throughout the 1940s and through the early 1960s, Mandela strongly campaigned to end racial segregation and to overthrow the white-only government of South Africa. For his efforts, he was charged with treason and frequently arrested. His final arrest came in 1962 after a failed attempt to overthrow the government. Twenty-seven years later, he was released from prison to enormous fanfare.
Between 1987 and 1993, the white-only National Party entered negotiations with the African National Congress—the leading anti-apartheid political movement. They sought to end segregation and introduce majority rule. In 1990, Nelson Mandela and other prominent African National Congress leaders were released from detention. Apartheid legislation was abolished in mid-1991, pending the multiracial elections set for April 1994. Mandela was elected the president of the African National Congress in 1991. Within three years, he was elected the first President of South Africa. After serving his term of four years, Mandela semi-retired from politics. He later received numerous awards for his work, including the Nobel Peace Prize.
Primary Source: The Case for Apartheid, 1953
The following speech was given before the Rotary Club of London on August 19, 1953. A supporter of apartheid explains why it is the best policy for all races in South Africa.
A. L. Geyer (1953)
"The Case for Apartheid"
As one of the aftermaths of the last war, many people seem to suffer from a neurotic guiltcomplex with regard to colonies. This has led to a strident denunciation of the Black African's wrongs, real or imaginary, under the white man's rule in Africa. It is a denunciation, so shrill and emotional, that the vast debt owed by Black Africa to those same white men is lost sight of (and, incidentally, the Black African is encouraged to forget that debt). Con fining myself to that area of` which I know at least a very little, Africa south of the Equator, I shall say this without fear of reasonable contradiction: ever) millimetre of progress in all that vast area is due entirely to the White Man. You are familiar with the cry that came floating over the ocean from the West-a cry that "colonialism" is outmoded and pernicious, a cry that is being vociferously echoed by a certain gentleman in the East. (This refers to Jawaharlal Nehru, Prime Minister of India.)
May I point out that African colonies are of comparatively recent date Before that time Black Africa did have independence for a thousand years and more-and what did she make of it? One problem, I admit, she did solve most effectively. There was no overpopulation. Interminable savage inter tribal wars, witchcraft, disease, famine, and even cannibalism saw to that.
Let me turn to my subject, to that part of Africa south of the Sahara which, historically, is not part of Black Africa at all - my own country. Its position is unique in Africa as its racial problem is unique in the world.
- South Africa is no more the original home of its black Africans, the Bantu than it is of its white Africans. Both races went there as colonists and, what is more, as practically contemporary colonists. In some parts the Bantu arrived first, in other parts the Europeans were the first comers.
- South Africa contains the only independent white nation in all Africa ~. South African nation which has no other homeland to which it could retreat; a nation which has created a highly developed modern state, and t which occupies a position of inestimable importance
- South Africa is the only independent country in the world in which white people are outnumbered by black people. Including all coloured races or peoples the proportion in Brazil is 20 to 1. In South Africa it is 1 to 4.
This brings me to the question of the future. To me there seems to be two possible lines of development: Apartheid or Partnership. Partnership means Cooperation of the individual citizens within a single community, irrespective of race.... (It) demands that there shall be no discrimination whatsoever in trade and industry, in the professions and the Public Service. Therefore, whether a man is black or a white African, must according to this policy be as irrelevant as whether in London a man is a Scotsman or an Englishman. I take it: that Partnership must also aim at the eventual disappearance of all social segregation based on race. This policy of Partnership admittedly does not envisage immediate adult suffrage. Obviously, however, the loading of the franchise in order to exclude the great majority of the Bantu could be no wore than a temporary expedient.... (In effect) "there must one day be black domination, in the sense that power must pass to the immense African majority. Need I say more to show that this policy of Partnership could, in South Africa, only mean the eventual disappearance of the white South African nation? And will you be greatly surprised if I tell you that this white nation is not prepared to commit national suicide, not even by slow poisoning? The only alternative is a policy of apartheid, the policy of separate development. The germ of this policy is inherent in almost all of our history, implanted there by the force of circumstances.... Apartheid is a policy of self preservation. We make no apology for possessing that very natural urge. But it is more than that. It is an attempt at selfpreservation in a manner that will enable the Bantu to develop fully as a separate people.
We believe that, for a long time to come, political power will have to remain with the whites, also in the interest of our still very immature Bantu. But we believe also, in the words of a statement by the Dutch Reformed Church in 1950, a Church that favours apartheid, that "no people in the world worth their salt, would be content indefinitely with no say or only indirect say in the affairs of the State or in the country's socioeconomic organisation in which decisions are taken about their interests and their future."
The immediate aim is, therefore, to keep the races outside the Bantu areas apart as far as possible, to continue the process of improving the conditions and standards of living of the Bantu, and to give them greater responsibility for their own local affairs. At the same time the longrange aim is to develop the Bantu areas both agriculturally and industrially, with the object of making these areas in every sense the national home of the Bantu - areas in which their interests are paramount, in which to an ever greater degree all professional and other positions are to be occupied by them, and in which they are to receive progressively more and more autonomy.
- From Union of South Africa Government: Information Pamphlet (New York, 1953), reprinted in Ruth E. Gordon and Clive Talbot, eds., From Dias to Vorster: Source Material on South African History 14881975 (Goodwood, S.A.: Nasou, n.d.), pp. 409 410.
Attributions
Images courtesy of Wikimedia Commons
Boundless World History:
“Independence in the Maghreb”
https://courses.lumenlearning.com/boundless-worldhistory/chapter/independence-in-the-maghreb/
https://creativecommons.org/licenses/by-sa/4.0/
“The Democratic Republic of Congo”
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-democratic-republic-of-the-congo/
“Egypt”
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/egypt/
“South Africa”
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/south-africa/
Geyer, A.L. "The Case for Apartheid." 1953. Hosted by: Fordham University.
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Latin America
Overview
Introduction
Latin America held a unique position in the Cold War, because of the geographical and cultural importance of the region to the United States. Many Latin American states struggled by allying themselves to the United States during this period. To understand the period, it is important to recognize the political powers of populism and military dictatorships that would come to dominate the period and region. As a way to understand the challenges of Latin America, an example of the period would be Argentina.
Learning Objectives
- Evaluate the role of the Cold War on the relationship of Latin America.
- Analyze the impact of the Cold War on Latin American society.
Latin America Following World War II
Latin America struggled throughout the Cold War period, mostly because of the issues of political proximity and relationship to the United States. As the United States saw the expansion of the Soviet Union in Europe and Asia as proximity, so too did the United States see Latin America as fertile grounds to expand their goals and agendas of capitalism.
To understand the period, it is important to recognize the political powers of populism and military dictatorships, that because of political corruption would yield to democracies by the 1990s. that would come to dominate the period and region. As a way to understand the challenges of Latin America, an example of the period would be Argentina.
Argentina After World War II: From Peronism to Dictatorship
Argentina following the Great Depression struggled throughout the Infamous Decade of the 1930s. The country saw a radical rise in political instability and economic conditions worsened. The majority of the goods produced in Argentina’s farms struggled to find a market in Europe or the United States. This would compound the political instability due to the limitations of economics and the spread radicalism. In 1943, a military dictatorship replaced a struggling democracy. By 1945, things began to change in Argentina.
Learning Objectives
- Evaluate Peronism's affects on Argentin in the 20th century
- Analyze the importance of the Dirty War on Argentina.
Key Terms / Key Concepts
disappeared: a person who is secretly abducted or imprisoned by a state or political organization, or by a third party with the authorization, support, or acquiescence of a state or political organization, especially if there is a refusal to acknowledge the person’s fate or whereabouts, which essentially places the victim outside the protection of the law
hyperinflation: in economics, when a country experiences very high and accelerating rates of inflation, which erodes the real value of local currency and causes the population to minimize their holdings of said money
military junta: an oligarchic form of government that differs from a civilian dictatorship in a number of ways, including motivations for seizing power, the institutions through which rule is organized, and the ways in which leaders leave positions of power (Many military juntas have viewed themselves as saving the nation from corrupt or myopic civilian politicians. Military leaders often rule as a junta, selecting one as the head.)
Peronism: also called Justicialism, an Argentine political movement based on the political legacy of former President Juan Domingo Peron and his second wife, Eva Peron
Peronism
The Argentinian political movement Peronism is based on three main principles: social justice, economic independence, and political sovereignty. Developed by Juan Domingo Perón in the 1940s, this political ideology was built on points of populism as a political movement. Populism is a political style where the leadership builds a coalition of ordinary people that feel their concerns are disregarded by established elite groups. This style of leadership usually is led by charismatic leaders that attempt to build coalitions of populations by showing how the ordinary people are left behind and abandoned by the political establishment.
Perón rose to power by harnessing the tensions inside of Argentina in the middle of the 1940s. Perón first rose to power as part of the military dictatorship of the 1943 rebellion. He could have had any position of power, but instead chose to be the secretary of unions because he understood the tensions that the everyday people felt. Perón built a political coalition that followed him based on the industrialization of Argentina during World War II. Many inside of Argentina had Italian and German heritage, and this would provide a unique blend of politics inside the country during World War II. Argentina would be the last country in the Americas to join the Allied forces because of the allegiance to Italy and Germany from ex-patriotic families. Perón used this tension to great effect domestically by painting the United States as an empire and his position of Peronism as a justified removal of the United States from Argentine politics.
Peronism, or Justicialism, is an Argentine political movement based on the political legacy of former President Juan Domingo Peron and his second wife, Eva Peron. The Justicialist Party derives its name from the concept of social justice. In 1945 Perón won the presidential election of Argentina by building a case of social justice and having one of the most famous radio actresses of Argentina as his significant other. The use of radio and mass media were key to Perón’s success and a way to incorporate his movement inside of Argentina. Radio programs, books, and newspaper articles were created to support the supremacy of Peronism and to stop political opposition. After winning the presidency, Perón would go on to take over radio stations and newspaper organizations in Argentina. This was a way to remove freedom of the press. By removing political opposition’s ability to speak about problems facing Argentina, Perón would come to dominate the country throughout the late 1940s into the early 1950s.
One of the key problems that historians have with Peronism is that from the outside, it appears like a dictatorship or authoritarianism. Part of Perón’s success was not from domestic challenges, but instead from a serendipitous moment of post-war economics. Throughout World War II, Argentina supplied war materials, such as wheat and spam, to England. After the war ended, England had a massive debt to Argentina for the years of support. Therefore, when England began to repay Argentina in the late 1940s it caused an economic boom period for the country. Perón was at the right place at the right time because many of his policies of economic and social justice were able to be funded by these repayments. For example, he was able to pass public health reform in Argentina, union rights, and paid maternity leave, because all were funded by repayments. However, as the English funds began to dry up at the turn of the 1950s, Perón’s spending and the growth of government programs did not remain stable. Without the economic funding to support this growth, Argentina, and thus Perón, suffered.
Ideology
The pillars of the Peronist ideal, known as the “three flags,” are social justice, economic independence, and political sovereignty. Peronism is considered a third-position ideology because it rejects both capitalism and communism. It advocates corporatism as a means for mediating tensions within society, with the state responsible for negotiating compromises if conflicts arise. Traditionally, its adherents come primarily from the working class and unions, and the ideology has been described as proletarian in nature. Peronism, however, is a generally ill-defined ideology, with contradictory statements sometimes expressed.
The legacy of Peron is thought to transcend the confines of any political party in modern times and blend into the broader political landscape of Argentina.
Peron’s ideas were widely embraced by a variety of groups in Argentina across the political spectrum. Peron’s personal views later became a burden on the ideology, however. For example, his anti-clericalism did not strike a sympathetic chord with upper-class Argentinians. Peron’s public speeches were consistently nationalist and populist. In fact, Peronism draws many parallels with corporate nationalism due to the nationalization of many Argentinian corporations during Peron’s administrations. At the same time, labor unions became more corporate in nature, ceding the right to strike in the early to mid-1940s.
Defenders of Peronism describe the doctrine as populist in that they believe it embodies the interests of the masses, especially the most vulnerable members of society. Admirers hold Peron in esteem for his administration’s anti-imperialism, non-alignment, and socially progressive initiatives. Peron’s governments made social security universal, education free for all who qualified, and provisions for one paid week off before every major examination for working students. Vast low-income housing projects were created, and paid vacations became standard. All workers were guaranteed free medical care and mothers were given three paid months off prior to and after giving birth. Workers’ recreation centers were constructed all over the country, including a vast resort in the lower Sierras de Cordoba that included eight hotels, riding stables, swimming pools, movie theaters, and scores of cabins.
From the perspective of Peron’s opponents, however, Peronism was an authoritarian ideology. Peron was often compared to fascist dictators, accused of demagoguery, and his policies derided as too populist. Claiming to be an embodiment of Argentinian nationality, Peron’s government often silenced dissent by accusing opponents of being unpatriotic. Peron’s corporatism also drew attack from socialists who accused his administration of preserving capitalist exploitation and class division. Conservatives, on the other hand, rejected his modernist ideology and felt their status was threatened by the ascent of Peron’s governing officials. Liberals condemned Peron for his regime’s arbitrariness and dictatorial tendencies.
Influence and Contributions of Eva Peron
Eva Peron, popularly known as Evita, was instrumental as a symbol of hope to the common laborer during her husband’s first five-year plan. Her strong ties to the poor lent credibility to Juan Peron’s first presidential term and ushered in a new wave of supporters to his regime. She was loathed by the elite due to her humble origins, but she was adored by the poor for her work with the sick, elderly, and orphans. She was involved in behind-the-scenes work to secure women’s suffrage in 1947 and supported a women’s movement that concentrated on the rights of women, the poor, and the disabled. The extent of her role in her husband’s first term remains disputed, although it is clear that she was responsible for introducing social justice and equality into the national discourse. It is speculated that Eva’s influence on her husband led to the stipulations within the five-year plans that called for full employment, public healthcare and housing, labor benefits, raises, and humanitarian relief efforts.
Evita established the Eva Peron Foundation in 1948. Enjoying an annual budget of approximately 50 million USD, which was nearly equivalent to one percent of Argentinian GDP at the time, the Foundation had 14,000 employees and founded hundreds of new schools, clinics, old-age homes, and holiday facilities. It also distributed hundreds of thousands of household necessities, as well as paid for physicians’ visits, scholarships, and other benefits. During the 1951 presidential campaign, Evita replaced Juan Peron’s ailing running mate, Hortensio Quijano, to become the official candidate for vice president. Her political hopes, however, were defeated by her own health problems and opposition to the Peron-Evita ticket from within the military. On September 28 of the same year, an attempted coup was launched against Peron by General Benjamin Andres Menendez and elements within the Argentine Army. Though they were unsuccessful, they proved the final nail in the coffin of the first lady’s political ambitions. She died the following July.
Following the death of Eva Perón, Juan and his leadership struggled to lead in Argentina. Between 1952 and 1955, Juan Perón saw the economic fortunes turn, as Argentina struggled to support the new programs that he installed in the country. Mounting pressure on Perón from religious and military groups would start because of the massive changes that he brought to the country. By 1955, the military and navy rose up against Perón and pushed the leader into exile.
Between 1955 to 1958, Argentina was under a military dictatorship. This was a difficult time for the country because, in an attempt to remove any and all references to Peronism, the military dictatorship outlawed and jailed anyone who referenced Perón, Evita, unions, or any other references to the leadership. This government had great difficulty in establishing cohesion throughout the period.
Between 1958 to 1970, Argentina struggled as the military dictatorship turned power to civilians and allowed a democracy to return to Argentina.
The governments of the 1950s and 1960s struggled to find cohesion, many in the country wanted the populist leader Juan Perón to return to Argentina. The governments had very big problems creating national plans, presidential elections saw winners with total votes of about 30% of the total population. This meant that government parties had difficulty establishing political and economic power. At the same time, the economy of Argentina became increasingly tied to the United States. The two countries were very similar in products that they sold around the world, and this would mean that Argentine products often suffered at the market place due to the United States position of power in the Cold War.
Many called on the government to end the ban on Peronism in the 1960s. There was a period of tremendous changes inside of Argentina. The country would experience many of the same social movements of the youth that the United States and Europe saw during the same period. This would mean political and cultural troubles for Argentina in the period.
By 1970, the end of the ban on Peronism meant that the former president of Argentina was able to run for a third term in power. He was swept into office but there were significant problems with Perón in the 1970s. First, he was old, in his mid-70s. Much of his campaign focused on the return of unions and discussion of returning Argentina to the 1950s. This was another problem for many of the youth who did not understand Peronism’s goals and had a difficult time in seeing connections between Peronism and the youth movements that swept the country. Second, much of Perón’s charisma in the 1950s was his use of his wife Eva, yet by his third term he had a younger wife, Isabel, who was born and raised in Venezuela. Having limited understandings of Argentine culture and politics, Isabel struggled to connect Perón to his electoral base, as Evita had two decades before. Perón died in 1974, at the age of 78. His sudden death created a ripple effect in Argentine politics that would create a very deadly military dictatorship and the origins of the Dirty War.
National Reorganization and the Dirty War
The Dirty War began as the government became increasingly fearful and repressive of leftist dissidents. Also known as the Process of National Reorganization, The Dirty War was the name used by the Argentina Military Government for a period of state terrorism in Argentina from roughly 1974 to 1983. During this time, the military, security forces, and right-wing death squads such as the Argentine Anticommunist Alliance (Triple A), hunted down and killed left-wing guerrillas, political dissidents, and anyone believed to be associated with the socialist movement. A total of 7,158 left-wing activities, terrorists, and militants were victimized, including trade unionists, students, journalists, and Marxist and Peronist guerrillas. Official records account for 13,000 missing people, known as the “disappeared.” Meanwhile, leftist guerrillas accounted for 6,000 casualties among military and police forces, as well as civilians.
Background
The military, supported by a significant number of the general populace involved in the Radical and Socialist parties, opposed Juan Peron’s populist government and attempted to overthrow his regime once in 1951 and twice in 1955 before finally succeeding on a third attempt in 1955 during the Revolucion Libertadora. After the military took control, Peronism was outlawed.
Peronists began organizing a resistance movement centered around workplaces and trade unions, and the working classes sought economic and social improvements. Over time, as democratic rule was partially restored and promises to allow freedom of expression and other political liberties to Peronists was not respected, resistance groups militarized, forming guerrillas groups.
Jorge Ricardo Masetti, the leader of the Guevarist People’s Guerrillas Army (EGP) that infiltrated Bolivia’s army in 1964, is considered by some to be Argentina’s first disappeared person. Prior to 1973, the major revolutionary groups within Argentina were the Peronist Armed Forces (FAP), the Marxist-Leninist-Peronist Revolutionary Armed Forces (FAR), and the Marxist-Leninist Armed Forces of Liberation (FAL). Over time, many of these guerrillas forces combined or were effectively eradicated by the government. For example, FAR joined the Montoneros, formerly an urban group of intellectuals and students, and FAP and FAL were absorbed into the Marxist People’s Revolutionary Army (ERP). Meanwhile, the EGP and the Peronist Uturuncos were small enough to be overcome by government forces and ceased to exist. By the early 1970s, the consolidated guerrillas groups that remained were kidnapping and assassinating high-ranking military and police officers almost weekly.
A Decade of Violence
The extreme left bombed and destroyed numerous military and police buildings in its campaign against the government, but unfortunately a number of civilian and non-governmental buildings were targeted as well. For instance, the Sheraton Hotel in Buenos Aires was bombed in 1972, killing a woman and injuring her husband. A crowded theater in downtown Buenos Aires was also bombed in 1975. In 1978, a powerful bomb meant to kill an Argentine admiral ripped through a nine-story apartment building, killing three civilians and trapping many others under the debris.
In 1973, as Juan Peron returned from exile, the Ezeiza massacre marked the end of an alliance between left- and right-wing factions of Peronism. In the subsequent year, Peron withdrew his support of the Montoneros shortly before his death. During the presidency of his widow Isabel Martinez de Peron, the far-right paramilitary death squad Triple A emerged, increasing armed struggles. In 1975, Isabel signed a number of decrees empowering the military and the police to step up efforts to destroy left-wing subversion, particularly the ERP. Isabel was ousted from power the subsequent year, 1976, by a military coup.
U.S. Involvement
The United States was very interested in the conflict involving Argentina’s domestic politics. Much of this has to do with the Cold War and fears of a communist takeover in Argentina. The United States began the heavy involvement in Argentine politics during the rise of Perón in the 1940s, yet because of the leaders’ presentation of the United States as an imperial nation, much of the United States’s efforts went in vain.
By the 1950s, following Perón’s exile, the United States was able to begin to have a bigger impact in Argentine life. For example, United States corporations began buying Argentine television stations and putting on US programs such as “I Love Lucy” and the “Andy Griffith Show.” This was a radical change for both Argentina and the Southern Cone, because Argentine media had historically been the major hub of most of the media created in Latin America. United States television influence created a radical shift not only in Argentina but also to the rest of South America.
Throughout the 1960s and early 1970s, the United States became increasingly afraid of communism spreading throughout Latin America, and following the Cuban Revolution, these fears put a bigger emphasis on Latin American life and culture. The Nixon government was hyper focused on Latin America and started a program known as Operation Condor, which focused on how to increase United States influence in Chile and Argentina, so as to stop the spread of socialism and communism in both states.
In August 2016, the U.S. State Department released 1,080 pages of declassified State Department documents that revealed a growing hostility between the administration of US President Jimmy Carter and the 1976 junta that overthrew Isabel. The previous administration under Gerald Ford was strongly sympathetic to the junta, with Secretary of State Henry Kissinger even advising Argentina’s Foreign Minister, Cesar Guzzetti, to carry out anti-Communist policies before Congress was back in session. However, Carter took issue in particular with Argentina’s growing list of human rights violations. Despite this, there is no documentation suggesting that the U.S. government had direct involvement or knowledge of the developments leading up to or following the coup that ousted Isabel.
The National Reorganization Process
The juntas, led by Jorge Rafael Videla until 1981 and subsequently by Roberto Viola and Leopoldo Galtieri until 1983, organized and carried out strong repression of political dissidents via the government’s military and security forces, which they referred to as their National Reorganization Process. They were responsible for illegal arrests, torture, killings, and the forced disappearance of an estimated 9,000 to 30,000 people. Assassinations occurred via mass shootings and throwing live citizens from airplanes to their death in the ocean below. Additionally, 12,000 prisoners, many of whom had not been convicted via any legal processes, were detained in a network of 340 secret concentration camps located throughout Argentina. The government coordinated actions with other South American dictatorships as well.
Faced with increasing public opposition and severe economic problems, the military tried to regain popularity by occupying the disputed Falkland Islands. It suffered a lopsided defeat against Great Britain, which was in possession of the territories, during the subsequent Falklands War, and was forced to resign governing powers in disgrace; this paved the way for the restoration of Argentinian democracy.
Alfonsín's Presidency
Raul Ricardo Alfonsin Foulkes was an Argentine lawyer, politician, and statesman who served as the President of Argentina from December 10, 1983 until July 8, 1989. He was elected a deputy in the legislature of the Buenos Aires province in 1958 during the presidency of Arturo Frondizi and a national deputy during the presidency of Arturo Umberto Illia. Although Alfonsín began his administration well-liked due to his prosecution of war crimes and consolidation of Argentina’s democratic institutions, his inability to prevent worsening economic crises caused his popularity to decline. Alfonsín was then able to move into the presidency. Alfonsín opposed both sides of the Dirty War and filed several writs of Habeas corpus, requesting the freedom of victims of forced disappearances during the National Reorganization Process. He denounced the crimes of the military dictatorships of other countries and opposed actions of both sides of the Falklands War. He became the leader of the Radical Civil Union (UCR) following Ricardo Balbin’s death and was the Radical candidate for president during the 1983 elections, which he won.
Alfonsín’s presidential inauguration was attended by Isabel Peron in a sign of support, despite internal recriminations regarding the Peronist defeat. Left-wing terrorism had been neutralized by this time, but both parties were eager to prevent the return of right-wing military rule, and there were factions within the military eager to reinstate an authoritarian government.
Alfonsin assumed the presidency after the darkest period of dictatorial rule in Argentina’s modern history. Three days after assuming the office of president, Alfonsín sent a bill to Congress to revoke the self-amnesty law established by the military, as he had promised to do while on the campaign trail. He also ordered the initiation of judicial cases against guerrillas and military leaders, as well as the extradition of guerrillas leaders living abroad. These acts were well-received by groups such as the Mothers of the Plaza de Mayo that were seeking reparations for the actions of the military during the Dirty War.
Prosecution of the Military
The Trial of the Juntas began at the Supreme Court in April 1985 and lasted the remainder of the year. It was the first time the leaders of a military coup were put on trial in Argentina. In December, the tribunal handed down life sentences for Jorge Videla and former Navy Chief Emilio Massera, as well as a 17-year sentence for Roberto Eduardo Viola. The trials were followed by bomb attacks and rumors of military protests and coups. In order to appease the military, Alfonsin proposed the full stop law, which set a deadline for Dirty War-related prosecutions. The Congress approved the law despite strong public opposition. Prosecutors rushed to start cases before the deadline, filing 487 charges against 300 officers, 100 of whom were still in active service.
Two officers refused to appear in court, starting mutinies in Cordoba and Campo de Mayo. The rebels were referred to as Carapintadas, which is Spanish for “painted faces”—a reference to their use of military camouflage. The General Confederation of Labor (CGT) called for a general strike in support of Alfonsin, and large masses rallied in the Plaza de Mayo to support the government. Alfonsin negotiated directly with the rebels and secured their surrender. However, the timing was exploited by the military and opposition parties, and they painted the outcome as a surrender by Alfonsin.
Alfonsin’s first priority in office was to consolidate democracy in the country, incorporate the armed forces into their standard role within a civilian government, and prevent further military coups. He used budget and personnel cuts to attempt to reduce the political power of the military. Despite the revocation of self-amnesty and prosecution of senior officers, Alfonsin was willing to dismiss charges against lower-ranking military personnel under the principle of command responsibility. He also created the National Commission on the Disappearance of Persons (CONADEP), composed of several well-known personalities, to document cases of forced disappearances, human rights violations, and abduction of children. In its “Nunca mas” report, the CONADEP revealed the wide scope of crimes committed during the Dirty War and how the Supreme Council of the military supported the military’s actions against guerrillas.
Relationship with Unions
Labor unions were still controlled by Peronist elements, and Alfonsin sought to reduce their influence, fearing they would become destabilizing forces for the fledgling democracy. He rejected their custom of holding single-candidacy internal elections and felt union administrations were totalitarian rather than a genuine reflection of the demands of the workforce. He proposed changing the laws by which those internal elections abided and removing union leaders appointed during the millitary junta. The CGT rejected the proposal, claiming it was too interventionist, and prompted Peronist politicians to vote against it. The law was approved by the Chamber of Deputies, but it failed to pass in the senate by one vote. A second bill was proposed that simply called for new internal elections, without changing the laws by which they abided, and that bill was approved. As a result, the labor unions remained largely Peronist.
Alfonsin made use of a regulation established during the junta that allowed the president to regulate the level of wages, and authorized wage increases every 3 months to keep up with inflation. The CGT rejected this and proposed instead that wages should be determined by free negotiations. Alfonsin allowed strike actions, forbidden during the junta, which also allowed the unions to expand their influence. There were 13 general strikes and thousands of minor labor conflicts during his administration. Conflicts centered around high inflation, and the unions remained supportive of the president in the face of military rebellions and despite political differences.
Economic Policy
Alfonsin began his term with many economic problems. Argentina’s foreign debt was nearly 43 billion dollars by the end of 1983, and the country narrowly prevented a sovereign default in 1982. During that year, GDP fell by 5.6% and manufacturing profits fell by 55%. Unemployment was around ten percent, and inflation was nearly 209%. It also seemed unlikely the country would receive badly needed foreign investment.
Many possible solutions, such as devaluation of the currency, privatization of industry, or restrictions on imports, would have proven unpopular. Instead, Bernardo Grinspun, the first minister of the economy, arranged to increase wages, which caused inflation to decrease significantly. Negotiations were also entered to obtain more favorable terms on the country’s foreign debt, but those were unsuccessful. Grinspun resigned in March 1985 when debt reached $1 billion. He was succeeded by Juan Vital Sourrouille, who developed the Austral plan.
The Austral plan was a success in the short term. It froze prices and wages, choking inflation for some time; put a temporary hold on the printing of paper money; arranged for spending cuts, and established a new currency: the Austral. However, inflation rose again by the end of 1985, the CGT opposed the wage freeze, and the business community opposed the price freeze.
With the support of the World Bank, Alfonsin’s government attempted new measures to improve the state of Argentina’s economy in 1987. The government increased taxes and privatizations and decreased spending. However, many of these measures could not be effectively enforced, and the government lost the 1987 midterm elections. Many of the large unions that previously supported the government attempted to distance themselves from it, and the business community was unable to suggest a clear course of action to resolve the crisis that was unraveling.
A “spring plan” was proposed to keep the economy stable until general elections took place in 1989. The plan consisted of freezing prices and wages, as well as reducing the federal deficit; it earned even worse public reception than the Austral plan, with no political parties fully endorsing it. Meanwhile, the World Bank and IMF refused to extend credit to Argentina, and many big exporters refused to sell dollars to their central bank, depleting reserves. The austral was devalued in February 1989 and the already high inflation evolved into hyperinflation. As a result, Alfonsin’s government lost the general election to Peronist Carlos Menem.
Argentina as an Example during the Cold War
Argentina struggled with the relationship of the United States and the Soviet Union in the period between 1955 – 1989. The ups and downs that the Argentine population saw are very similar to that of other Latin American states. Many countries in Latin America attempted to follow ideas of democracy; instead they experienced the brutal dictatorships that often accompanied the period of decolonization for the rest of the world. Taking the ups and downs of Argentina as a case study, in the next section, the examination of other Latin American states in the period is going to demonstrate the problems of the Cold War in this region of the world.
Chile in the Cold War
Many of the problems of Argentina were similar to what was happening in Chile. The country suffered significantly due to the Great Depression. The Ibanez government was very repressive. Following World War II, the country had some economic rebounding because of political and cultural links with Europe. Yet, the United States’s fear of a socialist state in Latin America again drove many of the policies and problems that Chile would face in the late 1960s – 1980s. The Dirty War in Argentina was linked to the Operation Condor in Chile, where a president died and a brutal dictator rose to power with the backing of the United States.
Learning Objectives
- Evaluate the role of the United States on Chile in the Cold War.
- Analyze the impoact of Allende's death on Chile.
- Evaluate the problems of the military dictatorship in Chile.
Key Terms / Key Concepts
ceasefire: a temporary stoppage of war in which each side agrees with the other to suspend aggressive actions
command responsibility: sometimes referred to as superior responsibility, the legal doctrine of hierarchical accountability in cases of war crimes
disappeared: a person who is secretly abducted or imprisoned by a state or political organization, or by a third party with the authorization, support, or acquiescence of a state or political organization, especially if there is a refusal to acknowledge the person’s fate or whereabouts, which essentially places the victim outside the protection of the law
hyperinflation: in economics, when a country experiences very high and accelerating rates of inflation, which erodes the real value of local currency and causes the population to minimize their holdings of said money
military junta: an oligarchic form of government that differs from a civilian dictatorship in a number of ways, including motivations for seizing power, the institutions through which rule is organized, and the ways in which leaders leave positions of power (Many military juntas have viewed themselves as saving the nation from corrupt or myopic civilian politicians. Military leaders often rule as a junta, selecting one as the head.)
The Birth of Mass Politics, 1952-1964
Due to the protectionist policies of the radical governments and their predecessors, Chile had developed a strong, national industry, which led to a renewal of the economic and social structure of the country. For the first time in its history, agriculture ceased being the primary productive sector; instead, mining and the service sector became increasingly important to the national economy. At the same time, Chile’s political climate was becoming increasingly divided. The 1952 presidential election was carved up among many competing parties, including conservatives, liberals, socialists, radicals, and an emerging centrist Christian Democrat Party; the latter receiving support from a large specter of personalities. Additionally, for the first time in Chile’s history, women’s suffrage was legalized.
Four candidates stood up in the 1952 election. Arturo Matte was the centrist candidate presented by the Conservative and Liberal parties; Salvador Allende served as the Socialist Party’s candidate in his first candidacy to the presidency; the Radical Party supported Pedro Enrique Alfonso; and General Carlos Ibanez ran for the office as an independent. Ibanez campaigned on a platform of eliminating political corruption, but he remained vague in his proposals and provided no clear position as to his position within the political spectrum. He won the election on September 5, 1952, with 46.8% of the popular vote.
Ibanez’s election was ratified by Congress, and he took office on December 4.
Once in office, Ibanez focused on rallying his supporters to win a majority in the 1953 legislative elections. His supporters consisted of the right-wing Partido Agrario Laborista (PAL) and dissidents within the Socialist Party, which had formed the Popular Socialist Party. Some feminist political unions also lent their support to Ibanez. Many such supporters stacked Ibanez’s initial cabinet, which despite its internal fragility, helped to win some seats in the 1953 elections. Nonetheless, Ibanez remained at the mercy of a unified opposition during his tenure as president.
Ibanez left much of the governing during his second term to his cabinet, and indeed his second term progressed as a modest political success. Ibanez won the support of many left-wingers by repealing the Ley de Defensa de la Democracia (Law for the Defense of Democracy), which had banned the Communist Party. However, in 1954, a copper mine strike spread across the country, and Ibanez proclaimed a state of siege in response. Congress immediately opposed this executive measure and put an end to it. Ibanez also froze wages and prices in order to put an end to the chronic inflation of the Chilean economy. Unfortunately, these same policies stopped growth and inflation continued to skyrocket, leading to relative civil unrest.
A movement of Ibanistas, consisting mainly of young army officers and inspired by the movement surrounding Argentine President Juan Domingo Peron, formed groups aimed at creating a new dictatorship under Ibanez. Controversy erupted when the public learned that Ibanez met with these conspirators. Additionally, Ibanez’s hostility towards the Federacion de Estudiantes de la Universidad de Chile student trade union led to outbreaks of violence during demonstrations. As a result, PAL withdrew itself from Ibanez’s government, leaving him isolated. Meanwhile, the Radicals, Socialists, and Communists organized the Frente de Accion Popular (Front for Popular Action) and concentrated their efforts around presidential candidate Salvador Allende.
Allende and Popular Unity
Salvador Allende was the president of Chile from 1970 until 1973 and the head of the Popular Unity government. He was the first ever Marxist to be elected to the national presidency of a democratic country. Although the 1970 Chilean presidential election was lawful, the Chilean Senate declared the Allende government unlawful in August 1973 due to its practice of unconstitutional expropriation of private property. Allende’s presidency was cut short by a military coup shortly thereafter.
The United States was distrustful of Chile’s President Salvador Allende due to his Marxist beliefs and policies, leading to a military coup ousting Allende from power that was strongly encouraged by the CIA.
Chilean Presidential Election, 1970
Allende ran with the Popular Unity coalition during the 1970 presidential election. Succeeding the FRAP left-wing coalition, it was comprised primarily of leftist political parties, including the Socialist Party, the Communist Party, the Radical Party, the Party of the Radical Left (until 1972), the Social Democratic Party, MAPU, or Movimient de Accion Popular Unitario, and the Christian Left, which joined the coalition in 1971. Allende won a plurality of the popular vote at 36.2%, with a platform promising nationalization of the mineral industry and income/land redistribution. Conservative former president Jorge Alessandri, the candidate from the National Party, received slightly fewer votes, approximately 34.9%. According to the Chilean constitution, Congress had to decide between the two candidates with the most votes, and according to precedent, Congress tended to choose the candidate with the largest number of votes.
An active campaign against Allende’s confirmation within Congress resulted from the Congressinal decision, including clandestine efforts to prevent Allende from being inaugurated. In the end, his presidency was only ratified once he signed a Statute of Constitutional Guarantees, convincing the majority of Christian Democratic senators who favored Alessandri of Allende’s allegiance to democracy. Having signed this statute, members of the Christian Democratic Party in the Senate were willing to vote in favor of granting the presidency to Allende.
"The Chilean Way to Socialism"
While in office, Allende pursued a policy he called “La via chilena al socialismo,” or “the Chilean way to socialism.” This policy included nationalization of certain large-scale industries—such as copper and healthcare, land redistribution, the continuation of the educational policies of his predecessor Eduardo Frei Montalva, and a program guaranteeing free milk for children. Eduardo Frei’s government already partially nationalized the copper industry by acquiring a 51% share in foreign-owned mines, but copper remained the primary U.S. business in Chile during this time.
Early on, Congress supported Allende’s extensive vision for government involvement in the economy, especially since the Popular Unity and Christian Democratic parties combined had a clear majority in the legislature. However, the government’s efforts to pursue these policies led to strong outpouring of opposition from landowners, some middle-class sectors, financiers, the Roman Catholic Church, and the rightist National Party. Eventually, the Christian Democrats united with the National Party in Congress as opposition grew.
The Popular Unity coalition itself was far from perfectly united around the platform of the president. Allende himself was a more moderate representative of the Socialist Party and was committed to the principles of democracy. He was supported by the Communist Party, which, although less committed to the principles of representative democracy, favored a cautious and gradual approach to the vast reforms that had been proposed. By contrast, the radical left wing of the Socialist Party wanted an immediate disruption to the existing capitalist system, even if it meant resorting to violent means.
During his first year in office, Allende’s government achieved economic growth, reductions in inflation and unemployment, redistribution of income, and increases in consumption. The government also significantly increased salaries and wages, reduced taxes, and introduced free distribution of certain items deemed necessities. Groups previously excluded from the state labor insurance scheme, such as the self-employed or those employed by small businesses, were included for the first time. Additionally, pensions were increased for widows, invalids, orphans, and the elderly. And the National Milk Plan provided more than 3 million liters of milk per day in 1970, free of charge.
Foreign Relations
Soviet Union
Allende’s predecessor, Eduardo Frei, had improved relations with the USSR, and in February 1970, Frei’s government signed Chile’s first cultural and scientific agreement with the Soviet Union. When Allende assumed the presidency, he attempted to maintain normal relations with the United States. However, as a result of Chile’s nationalization of the copper industry, the US cut off credits and increased its support to the opposition. As a result, Allende’s government was forced to seek alternative sources of trade and finance. Chile gained commitments from the USSR to invest approximately $400 million in Chile over the course of the next six years, though that number was smaller than the amount Allende hoped to receive. Trade between the two countries did not significantly increase and mainly involved the purchase of Soviet equipment. When Allende visited the USSR in late 1972 to request more aid and additional lines of credit, he was turned down. In mid-1973, the USSR approved the delivery of weaponry to the Chilean army. However, when news of an attempted army coup to overthrow Allende reached Soviet officials, the shipment was redirected to another country.
U.S. Opposition to Allende
U.S. opposition to Allende began several years before he was elected President of Chile, but it escalated once the prospect of a second Marxist regime being established in the Western Hemisphere became more likely (the first being Fidel Castro’s government in Cuba). The administration of U.S. President Richard Nixon was already embroiled in the Vietnam War and the broader Cold War with the Soviet Union. The U.S. government intended to encourage Allende’s resignation, overthrow, or defeat by the presidential election of 1976. To this end, the Nixon administration clandestinely funded independent and non-state media and labor unions within Chile and directed other governmental entities to not begin new bilateral economic aid commitments with the government of Chile. The United States did, however, provide humanitarian aid to Chile, as well as forgave old loans valued at $200 million from 1971 to 1972. The United States also did not invoke the Hickenlooper Amendment, which would have required an immediate cut-off of U.S aid due to Allende’s nationalizations. Allende received new sources of credit valued between $600 million and $950 million in 1972 and $547 million by June 1973. The International Monetary Fund also loaned $100 million to Chile during the Allende years.
The U.S. government used two tactics when countering Allende’s government. “Track I” was a State Department initiative designed to thwart Allende by subverting Chilean elected officials within the bounds of the Chilean constitution. This tactic excluded the CIA. Track I was expanded to encompass a number of policies with the ultimate goal of creating conditions that would encourage a coup. “Track II” was a CIA operation overseen by Henry Kissinger and the CIA’s director of covert operations: Thomas Karamessine. Track II excluded the State Department and Department of Defense. The goal of Track II was to find and support Chilean military officers who would engage in a coup.
Crisis: Congressional Resolutions
On August 22, 1973, the Christian Democrats and the National Party members of the Chamber of Deputies voted 81 to 47 in favor of a resolution that asked the authorities to preserve Chilean democracy in face of the threat Allende’s government presented. They believed Allende’s policies infringed upon the freedoms guaranteed by the Chilean constitution and accused Allende of attempting to establish a totalitarian order upon the country. Most accusations centered around a perceived disregard for the separation of powers and the erosion of legislative and judicial prerogatives in favor of granting these powers to the executive branch of government. Finally, the resolution condemned the creation and development of government-protected armed forces. President Allende’s efforts to reorganize the military and police forces were characterized as nefarious attempts to use the armed and police forces for partisan ends, destroy their institutional hierarchy, and politically infiltrate their ranks.
Two days later on August 24, 1973, Allende responded point-by point to the accusations. He accused Congress of encouraging sedition, civil war, and even a coup. He also pointed out that the declaration failed to obtain the required two-thirds majority constitutionally required to bring an accusation against the president and argued that the legislature was trying to usurp the executive role.
1973 Chilean Coup D'etat
In early September 1973, Allende floated the idea of resolving the congressional resolution crisis with a referendum. However, the Chilean military seized the opportunity created by the Chamber of Deputies’ August 22nd Resolution to oust Allende on September 11, 1973. As the Presidential Palace was surrounded and bombed, Allende committed suicide.
A September 2000 report released by the CIA using declassified documents related to the military coup found that the CIA had probably approved of and encouraged the 1973 coup, but there was no evidence that the U.S actually participated in it. This view has been challenged by some historians, such as Tim Weiner and Peter Kornbluh, who have stated that the covert support of the United States was crucial to the preparation for the coup, the coup itself, and the consolidation of the regime afterward.
The Pinochet Years
Pinochet’s regime represented a violent swing to authoritarianism following Allende’s Marxist administration. Augusto Jose Ramon Pinochet Ugarte was the President of Chile between 1973 and 1990, as well as Commander-in-Chief of the Chilean Army from 1973 to 1998. He was also the president of the Government Junta of Chile between 1973 and 1981. His rule of Chile is considered a dictatorship. Pinochet assumed power in Chile following a U.S.-backed coup d’etat on September 11, 1973, which overthrew the democratically elected Popular Unity government of President Salvador Allende and ended civilian rule. In December 1974, the ruling millitary junta appointed Pinochet the Supreme Head of the Nation by joint decree.
Human Rights Violations
Human rights violations during the military government of Chile refer to human rights abuses, persecution of opponents, political repression, and state terrorism committed by the Chilean armed forces and the police, government agents, and civilians in the service of security agencies. According to the Commission of Truth and Reconciliation (Rettig Commission) and the National Commission on Political Imprisonment and Torture (Valech Commission), the number of direct victims of human rights violations in Chile accounts for at least 35,000 people: 28,000 tortured, 2,279 executed, and 1,248 missing. In addition, some 200,000 people suffered exile and an unknown number went through clandestine centers and illegal detention. The systematic human rights violations committed by the military government of Chile under Pinochet included gruesome acts of physical and sexual abuse, as well as psychological damage. From September 11, 1973, to March 11, 1990, Chilean armed forces, the police, and those aligned with the millitary junta were involved in institutionalizing fear and terror in Chile.
Political Suppression
Following its assumption of power in 1973, the government junta formally banned socialist, Marxist, and other leftist parties that comprised former President Salvador Allende’s Popular Unity coalition. On September 13, 1973, the junta dissolved Congress and outlawed or suspended all political activities, including suspension of the 1925 constitution. Eduardo Frei, Allende’s predecessor as president, initially supported the coup along with other Christian Democratic politicians. Later, however, they assumed opposition roles to the military rulers, though by that time many of them already lost much of their public influence. The Catholic Church, which first expressed its approval of military rule over Allende’s Marxist government, was now led by Cardinal Raul Silva Henriquez, one of the most outspoken critics of the regime’s social and economic policies.
From 1974 to 1977, the DINA (National Intelligence Directorate) and other agencies, such as the Joint Command, were the main institutions that committed acts of repression. It was during this period that most forced disappearances took place. In DINA-established interrogation and detention camps, former members of Allende’s Marxist government and Leftist movements like Movimiento de Izquierda Revolucionario were incarcerated and brutally tortured. A large proportion of the Chilean population was vulnerable to government surveillance.
Disappearances
“Disappearing subversives” was a central instrument of state terror administered by the Chilean military regime. According to the Rettig Report, 1,248 people were “disappeared” by the Pinochet regime. This number remains a source of contention, however, as hundreds of bodies have yet to be discovered. Many who disappeared were neither given the chance to escape nor to become asylum seekers elsewhere, and their bodies were deliberately hidden in undisclosed locations. Many people were last seen in detention or torture centers run by intelligence agencies of the military regime.
Following General Pinochet’s arrest in 1998, Chile made a renewed effort to uncover the atrocities of the past. For the first time in several decades, human rights lawyers and members of the armed forces investigated where the bodies of the disappeared were buried. On January 7, 2000, Chilean President Ricardo Lagos made a 15-minute nationwide address, revealing that the armed forces had uncovered information on the fate of approximately 180 people who had disappeared. According to Lagos, the bodies of at least 150 of these people were thrown into lakes, rivers, and the Pacific Ocean. The whereabouts of hundreds of more bodies remain unknown.
Economy and Free Market Reforms
After the military took over the government in 1973, a period of dramatic economic changes began. The Chilean economy was still faltering in the months following the coup. As the millitary junta itself was not particularly skilled in remedying the persistent economic difficulties, it appointed a group of Chilean economists who were educated at the University of Chicago. This group, known as the Chicago Boys, was given financial and ideological support from Pinochet, the United States, and international financial institutions. They advocated laissez-faire, free-market, neo-liberal, and fiscally conservative policies in stark contrast to the extensive nationalization and centrally-planned economic programs supported by Allende. As a result, Chile was drastically transformed from an economy isolated from the rest of the world with strong government intervention into a liberalized, world-integrated economy where market forces were left free to guide most of the economy’s decisions.
From an economic point of view, the era can be divided into two periods. The first, from 1973 to 1982, corresponds to the period when most of the reforms were implemented. The period ended with the international debt crisis and the collapse of the Chilean economy. Unemployment was extremely high, above 20 percent, and a large proportion of the banking sector had become bankrupt. The following period was characterized by new reforms and economic recovery. Some economists argue that the recovery was due to a turnaround of Pinochet’s free market policy; during this time he renationalized many of the industries that were nationalized under Allende and fired the Chicago Boys from their government posts.
Social Consequences
The economic policies espoused by the Chicago Boys and implemented by the junta initially caused several economic indicators to decline for Chile’s lower classes. Between 1970 and 1989, there were large cuts to incomes and social services. Wages decreased by eight percent. Family allowances in 1989 were 28% of what they had been in 1970 and budgets for education, health, and housing dropped more than 20% on average. Massive increases in military spending and cuts in funding to public services coincided with falling wages and steady rises in unemployment. The junta relied on the middle class, huge foreign corporations, and foreign loans to maintain itself.
Financial conglomerates became major beneficiaries of the liberalized economy. Large foreign banks reinstated the credit cycle, and international lending organizations such as the World Bank, International Monetary Fund, and Inter-American Development Bank also lent vast sums to Pinochet’s regime. Additionally, many foreign multinational corporations returned to Chile, such as International Telephone and Telegraph (ITT), Dow Chemical, and Firestone, which was previously expropriated by Allende.
Relationship with the United States
Overall, the United States maintained significantly friendlier relations with Pinochet than it did with Allende. A document titled “CIA Activities in Chile,” released by the U.S. Central Intelligence Agency (CIA) in 2000, revealed that the CIA actively supported the millitary junta after the overthrow of Allende and made many of Pinochet’s officers paid contacts of the CIA or U.S. military despite records detailing human rights abuses. The United States provided substantial support to the military regime between 1973 and 1979, although it criticized Chile in public. In 1976, the United States went beyond verbal condemnation of the regime and placed an embargo on arms sales to Chile that remained in effect until the restoration of democracy in 1989. Presumably, as international concerns grew surrounding Chilean repression, the United States did not want to be seen as an accomplice to the junta. Other prominent U.S. allies like the UK, France, and West Germany, however, did not block arms sales to Pinochet and benefited from the lack of American competition.
The Chilean Constitution of 1988
Due to pressure from big business, the international community, and general unease with his rule, Pinochet was denied a second eight-year term as president during the 1988 national plebiscite.
Following the September 11, 1973 coup d’etat, Army General Augusto Pinochet was designated president of the newly established millitary junta government. He and Air Force General Gustavo Leigh, Navy Admiral Jose Toribio Merino, and Carabinero Chief General Cesar Mendoza verbally agreed to rotate presidential duties; but, shortly thereafter, the junta established an advisory committee and Pinochet staffed it with his loyal Army officers. One of the first recommendations brought forward by the advisory committee was to do away with a rotating presidency, arguing it would lead to too many administrative problems and confusion.
In March 1974, Pinochet verbally attacked the Christian Democratic Party and stated there was no set timetable for the country’s return to civilian rule. Concurrently, a commission set up by the junta was working on drawing up a new constitution. By October 5, 1978, the commission had finished its work. During the next two years, the proposed outline was studied by the Council of State, presided over by former president Jorge Alessandri. In July 1980, a draft of the constitution was presented to Pinochet and the governing junta.
On September 11, 1980, seven years after the coup d’etat that brought the millitary junta to power, a constitutional referendum took place in which the new constitution was approved by 67% of voters. Some observers, however, argued that the referendum was carried out in a highly irregular way and the outcome was thus fraudulent. Nonetheless, the new constitution took effect on March 11, 1981, and established a transition period of eight years during which Pinochet would continue to exercise executive power and the junta would yield legislative powers. Before the end of that period, a candidate for president was to be proposed by the Commanders in Chief of the Armed Forces and Carabinero Chief General for a subsequent term of eight years, and the proposed candidate would need to be ratified by registered voters in a national plebiscite. On August 30, 1988, Pinochet was declared the presidential candidate.
Plebiscite of October 8, 1988
The millitary junta began to shift leadership tactics in the late 1970s. Due to increasing resistance and attendant problems with General Pinochet’s rule, Air Force General Gustavo Leigh was expelled from the junta in 1978 and replaced by General Fernando Matthei. Throughout the 1980s, the government gradually permitted greater freedom of assembly, speech, and association, including trade union activities. In 1985, Cesar Mendoza, a member of the junta since 1973, was forced to resign as a result of the Caso Degollados (“slit throats case”) in which three Communist Party members were assassinated. The following year, Carmen Gloria Quintana, a woman detained by an army patrol during a street demonstration against Pinochet, was burned alive in what became known as the Caso Quemado (“burnt alive case”). These horrofoc events rallied those who believed the country should move towards a more democratic form of governance. It was in this context that the 1988 Chilean national plebiscite took place, in which voters would accept or reject a single candidate proposed by the millitary junta.
The plebiscite presented two choices to voters: vote yes and extend Pinochet’s mandate for another eight years, or vote no and Pinochet and the junta would continue in power for only one more year. The outcome was that Pinochet was denied a second eight-year term by 54.5% of the vote. Presidential and parliamentary elections would take place three months before Pinochet’s term expired, with the newly elected president and Congress taking office March 11, 1990. The fact that the dictatorship respected the results is attributed to pressure from big business, the international community, and general popular unease with Pinochet’s rule.
Open presidential and congressional elections were held in December 1989, and the new democratically-elected president, Patricio Aylwin of the Christian Democratic Party, assumed power as planned in March. Due to the transitional provisions of the constitution, Pinochet remained as Commander-in-Chief of the Army until March 1998
The Guatemalan Civil War
The Guatemalan Civil War spanned nearly four decades and took place from 1960 to 1996. It stemmed from a number of institutionalized grievances among different social classes, and included a large-scale, one-sided campaign of violence against the civilian population by the state. It was fought between the government of Guatemala and various leftist rebel groups supported chiefly by ethnic Maya indigenous people and Ladino peasants, who together make up the rural poor. The government forces of Guatemala have been condemned for committing genocide against the Maya population of Guatemala during the civil war and for widespread human rights violations against civilians.
Learning Objectives
Analyze the Guatemalan Civil War on the population.
Key Terms / Key Concepts
ceasefire: a temporary stoppage of war in which each side agrees with the other to suspend aggressive actions
command responsibility: sometimes referred to as superior responsibility, the legal doctrine of hierarchical accountability in cases of war crimes
corporatism: also known as corporativism, corporatism is the sociopolitical organization of society by major interest, or corporate, groups
disappeared: a person who is secretly abducted or imprisoned by a state or political organization, or by a third party with the authorization, support, or acquiescence of a state or political organization, especially if there is a refusal to acknowledge the person’s fate or whereabouts, which essentially places the victim outside the protection of the law
genocide: the intentional act to destroy a people (usually defined as an ethnic, national, racial, or religious group) in whole or in part
guerrilla: a participant in an irregular form of warfare in which small groups engage in military tactics including ambushes, sabotage, raids, petty warfare, hit-and-run tactics, and mobility to fight a larger and less mobile traditional military
After the 1871 revolution, the Liberal government of Justo Rufino Barrios escalated coffee production in Guatemala, which required much land and many workers. To support these needs, Barrios established the Settler Rule Book, which forced the native population to work for Criollo and German settler landowners in return for low wages. Barrios also confiscated the native population’s land, which had been protected during Spanish rule and the Conservative government of Rafael Carrera. Barrios redistributed the confiscated indigenous land to his Liberal friends, who in turn became important landowners. While societies established through Spanish colonilzation had an inherent class division, this confiscation and redistribution of lands from one class to another drove a further wedge between classes.
By the 1940s Guatemalan society was composed of three sharply defined classes:
- Criollos were a minority group who descended from both the ancient families of the Spaniards that conquered Central America and the Natives who had been conquered by the Spaniards. As of the 1920s, the Criollos led the country both politically and intellectually by virtue of their education, which, although poor by European standards of the time, remained superior to that of the rest of the people in the country. That was partially because Criollo families controlled or owned most of the cultivated areas of Guatemala and were the only group allowed in either of the main political parties.
- The Guatemalan middle class, Ladinos, was composed of people with heritage from the native and black populations, as well as that of Criollos. Ladinos held almost no political power in the 1920s and made up the bulk of artisans, storekeepers, tradesmen, and minor officials. In the eastern part of the country, many Ladinos were agricultural laborers.
- The majority of the Guatemalan population was composed of indigenous peoples referred to as “Indios.” Many had no formal education and served as soldiers or agricultural workers. Within the indigenous population were further categories: “Mozos colonos” settled on plantations and were given small piece of land to cultivate on their own in return for their work on the plantation itself, while “mozos jornaleros” were day-laborers who were contracted to work for certain periods of time and paid a daily wage in return. Both of these categories typically worked to pay off debts to higher class individuals, who in turn encouraged the assumption of further debt on the part of the indigenous person. Often, due to the large amount of debt and small amount of pay, a mozo essentially became an indentured servant to the owner of their debt. If a mozo refused to work or attempted to run away, the owner of their debt could have them pursued and even imprisoned.
Some indigenous people remained independent tillers, who lived in remote provinces and survived by growing a subsistence crop of maize, beans, or wheat. Occasionally a small margin of their crop would be available for sale in town markets, but the travel to get to these markets could be arduous, given the mountainous terrain and lack of infrastructure.
Initial Phases of the Civil War
Democratic elections during the Guatemalan Revolution in 1944 and 1951 brought popular leftist governments to power, but a United States backed coup d’état in 1954 installed the military regime of Carlos Castillo Armas, followed by a series of conservative military dictators.
On November 13, 1960, a group of left-wing junior military officers from the national military academy led a failed revolt against the autocratic government of General Ydigoras Fuentes, who usurped power in 1958 following the assassination of incumbent Armas. The surviving officers fled into the hills of eastern Guatemala and later established communication with the Cuban government of Fidel Castro. By 1962, those surviving officers had established an insurgent movement known as the MR-13 (Movimiento Revolucionario 13 Noviembre), named after the date of the initial officers’ revolt. Through the early phase of the conflict, the MR-13 was a principal component of the insurgent movement in Guatemala.
The MR-13 later initiated contact with the outlawed PGT (Guatemalan Labour Party)—composed and led by middle-class intellectuals and students—and a student organization called the Movimiento 12 de Abril (April 12 Movement). These groups merged into a coalition guerrillas organization called the Rebel Armed Forces (FAR) in December 1962. Also affiliated with the FAR was the FGEI (Edgar Ibarra Guerrillas Front). The MR-13, PGT, and FGEI each operated in different parts of the country as three separate “frentes” (fronts). The MR-13 established itself in the mostly Ladino departments of Izabal and Zacapa. The FGEI established itself in Sierra de las Minas, and the PGT operated as an urban guerrillas front. Each of these three “frentes” (comprising no more than 500 combatants) was led by former members of the 1960 army revolt who has been trained in counterinsurgency warfare by the United States.
As well as fighting between government forces and rebel groups, the conflict included a large-scale, coordinated campaign of one-sided violence by the Guatemalan state against the civilian population from the mid-1960s onward. The military intelligence services (G2 or S2) and an affiliated intelligence organization were responsible for coordinating killings and “disappearances” of opponents of the state, suspected insurgents, and those deemed by the intelligence services to be collaborators. The afilliated intelligence organization was known as La Regional or Archivo and was headquartered in an annex of the presidential palace.
The Guatemalan state was the first in Latin America to engage in widespread use of forced disappearances against its opposition, with the number of disappeared estimated at between 40,000 and 50,000 from 1966 until the end of the war. In rural areas where the insurgency maintained its strongholds, the repression amounted to wholesale slaughter of the peasantry and massacres of entire villages, starting in Izabal and Zacapa (1966 – 68) and later in the predominantly Mayan western highlands. In the early 1980s, the killings reached the scale of genocide.
Domination by Military Rulers
In 1970, Colonel Carlos Manuel Arana Osorio became the first of a series of military dictators representing the Institutional Democratic Party, or PID. The PID dominated Guatemalan politics for 12 years via electoral fraud favoring two of Arana’s proteges: General Kjell Eugenio Laugerud Garcia in 1974 and General Romeo Lucas Garcia in 1978. Also during the 1970s, continuing social discontent gave rise to an insurgency among large populations of indigenous people and peasants, who traditionally bore the brunt of unequal land tenure. The PID lost its grip on Guatemalan politics when General Efraín Ríos Montt, together with a group of junior army officers, seized power in a military coup on March 23, 1982.
During the 1980s, the Guatemalan military assumed almost absolute government power for five years. It successfully infiltrated and eliminated enemies in every socio-political institution of the nation, including the political, social, and intellectual classes. In the final stage of the civil war, the military developed a parallel, semi-visible, low profile, but high-effect, control of Guatemala’s national life.
Mejia Victores Regime and Democratic Transition
Ríos Montt was deposed on August 8, 1983, by his own Minister of Defense, General Óscar Humberto Mejía Victores. Mejía Victores became de facto president and justified the coup by characterizing Montt’s regime as corrupt and its officials as abusing their positions of power within the government. Montt remained in politics and founded the Guatemalan Republican Front party in 1989. He was elected President of Congress in 1995 and 2000. By the time Mejia Victores assumed power, the counterinsurgency under Lucas Garcia and Montt had largely succeeded in its objective of detaching the insurgency from its civilian support base. Additionally, G2 had infiltrated most political institutions, eradicating opponents in the government through terror and selective assassinations. The counterinsurgency program had militarized Guatemalan society, creating a fearful atmosphere that suppressed most public agitation and insurgency. The military had consolidated its power in virtually all sectors of society.
Due to international pressure, as well as pressure from other Latin American nations, Mejía Victores allowed a gradual return to democracy in Guatemala. On July 1, 1984, an election was held for representatives to a Constituent Assembly to draft a democratic constitution. On May 30, 1985, the Constituent Assembly finished drafting a new constitution, which took effect immediately. General elections were scheduled and civilian candidate Vinicio Cerezo was elected as president. The gradual revival of democracy did not end the disappearances and death squad killings, however, as extrajudicial state violence had become an integral part of the political culture.
The Democratic Era: Cerezo Administration
Vinicio Cerezo, a civilian politician and the presidential candidate of the Guatemalan Christian Democracy, won the first election held under the new constitution with almost 70% of the vote. Upon its inauguration in January 1986, President Cerezo’s civilian government announced that its top priorities would be to end the political violence and establish rule of law. Reforms included new laws of habeas corpus and amparo (court-ordered protection), the creation of a legislative human rights committee, and the establishment in 1987 of the Office of Human Rights Ombudsman. The Supreme Court also embarked on a series of reforms to fight corruption and improve legal system efficiency.
With Cerezo’s election, the military moved away from governing and returned to the more traditional role of providing internal security, specifically by fighting armed insurgents. The first two years of Cerezo’s administration were characterized by a stable economy and a marked decrease in political violence. Dissatisfied military personnel made coup attempts in May 1988 and May 1989, but military leadership supported the constitutional order. However, the government was heavily criticized for its unwillingness to investigate or prosecute cases of human rights violations.
Presidential and congressional elections were held on November 11, 1990. After the second-round ballot, Jorge Antonio Serrano Elías was inaugurated on January 14, 1991, completing the first transition from one democratically elected civilian government to another. Because his Movement of Solidarity Action (MAS) Party gained only 18 of 116 seats in Congress, Serrano entered into a tenuous alliance with the Christian Democrats and the National Union of the Center (UCN).
Serrano Administration
The Serrano administration’s record was mixed. It had some success in consolidating civilian control over the army, replacing a number of senior officers and persuading the military to participate in peace talks with the Guatemalan National Revolutionary Unity, or URNG, an umbrella organization representing leftist beliefs among the Guatemalan people, particularly the poor. He took the politically unpopular step of recognizing the sovereignty of Belize, which until then was officially though fruitlessly claimed by Guatemala. The Serrano government reversed the economic slump it inherited, reducing inflation and creating real growth.
Then on May 25, 1993, Serrano illegally dissolved Congress and the Supreme Court and attempted to restrict civil freedoms, allegedly in order to fight corruption. The auto-coup failed due to the unified efforts of most elements of Guatemalan society to protest Serrano’s actions, international pressure, and the army’s enforcement of the decisions of the Court of Constitutionality, which ruled against the attempted takeover. Subsequently, Serrano fled the country and pursuant to the provisions of the 1985 constitution, the Guatemalan Congress elected the Human Rights Ombudsman, Alfonso Guillermo de León Marroquín, to complete Serrano’s presidential term as of June 5, 1993.
De León was not a member of any political party and lacked a political base. Nonetheless, he enjoyed strong popular support. During his time in office, he launched an ambitious anti-corruption campaign within Congress and the Supreme Court, demanding the resignations of all members of the two bodies.
Renewed Peace Process, 1994-1996
Under de León, the peace process, now brokered by the United Nations, took on new life. The government and the URNG signed agreements on human rights (March 1994), resettlement of displaced persons (June 1994), historical clarification (June 1994), and indigenous rights (March 1995). They also made significant progress on a socioeconomic and agrarian agreement.
National elections for president, Congress, and municipal offices were held in November 1995. With almost 20 parties competing in the first round, the presidential election came down to a January 7, 1996, run-off in which National Advancement Party (PAN) candidate Álvaro Arzú Irigoyen defeated Alfonso Portillo Cabrera of the Guatemalan Republican Front (FRG) by just over two percent of the vote. Arzú won because of his strength in Guatemala City, where he previously served as mayor, and in the surrounding urban area. Portillo won all of the rural departments except Petén.
Under the Arzú administration, peace negotiations were concluded, and the government and URNG, which became a legal party, signed peace accords ending the 36-year internal conflict in December 1996. The General Secretary of the URNG, Comandante Rolando Morán, and President Álvaro Arzú jointly received the UNESCO Peace Prize for their efforts to end the civil war and attain the peace agreement. The United Nations Security Council adopted Resolution 1094 on January 20, 1997, deploying military observers to Guatemala to monitor the implementation of the peace agreements.
Legal Charges of Crimes Against Humanity
In total, an estimated 200,000 civilians were killed or “disappeared” during the conflict, most at the hands of the military, police, and intelligence services. Victims of the repression included indigenous activists, suspected government opponents, returning refugees, critical academics, students, left-leaning politicians, trade unionists, religious workers, journalists, and street children. The “Comisión para el Esclarecimiento Histórico” has estimated that 93% of the violence committed during the conflict was carried out by government forces and 3% by guerrillas.
In 2009, Guatemalan courts sentenced the first person to be convicted of the crime of ordering forced disappearances: Felipe Cusanero. This was followed by the 2013 trial of former president Montt for the killing and disappearances of more than 1,700 indigenous Ixil Maya during his 1982-83 rule. The accusations of genocide derived from the “Memoria del Silencio” report written by the UN-appointed Commission for Historical Clarification, which held that genocide could have occurred in Quiché between 1981 and 1983.
Montt was the first former head of state to be tried for genocide by his own country’s judicial system; he was found guilty the day following the conclusion of his trial and sentenced to 80 years in prison. A few days later, however, the sentence was reversed, and the trial was rescheduled due to alleged judicial anomalies. The trial began again in 2015. The court decided, due to his alleged senility, that a closed-door trial would resume in January 2016, and that if Montt were found guilty, a jail sentence would be precluded given his health condition.
From the Somozas to the Sandinistas in Nicaragua
In the 20th century, Nicaragua transitioned from an oligarchic dictatorship to the revolutionary government of a democratic socialist political party.
Learning Objectives
- Evaluate the Nicaraguan Civil War on the United States foreign policy.
Key Terms / Key Concepts
ceasefire: a temporary stoppage of war in which each side agrees with the other to suspend aggressive actions
guerrilla: a participant in an irregular form of warfare in which small groups engage in military tactics including ambushes, sabotage, raids, petty warfare, hit-and-run tactics, and mobility to fight a larger and less mobile traditional military
Sandinista National Liberation Front (FSLN): now a democratic socialist political party, but previously a Nicaraguan resistance organization opposed to the hereditary Somoza dictatorship
Somoza Dynasty, 1927-1979
Over the course of its history, Nicaragua has experienced several military dictatorships; the longest was the hereditary dictatorship of the Somoza family, who ruled for 43 years during the 20th century. The Somoza family came to power as part of a U.S.-engineered pact in 1927 that stipulated the formation of the Guardia Nacional (National Guard) to replace the marines who had long reigned in Nicaragua. Anastasio Somoza slowly eliminated officers in the National Guard who might have stood in his way, then deposed President Juan Bautista Sacasa to become Nicaragua’s new president on January 1, 1937, in a rigged election.
When Anastasio was shot and mortally wounded by Liberal Nicaraguan poet Rigoberto Lopez Perez on September 21, 1956, his eldest son, Luis Somoza Debayle, was appointed president by Congress and officially took charge of the country. He is remembered as moderate, but he was only in power for a few years before dying of a heart attack. His successor as president was Rene Schick Gutierrez, widely considered a puppet of the Somoza family.
The Somoza family was among a few families or groups of influential firms that reaped most of the benefits of the country’s growth from the 1950s to the 1970s. When Anastasio Somoza Debayle was deposed by the Sandinistas in 1979, the family’s worth was estimated between U.S. $500 million and $1.5 billion. In 1972 when an earthquake destroyed nearly 90% of Managua, Anastasio Somoza Debayle siphoned off relief money instead of helping to rebuild the city. Even the economic elite were reluctant to support Somoza following his actions, as he had acquired monopolies in industries that were key to rebuilding the nation.
Nicaraguan Revolution, 1960s-1990
In 1961, Carlos Fonseca, along with two others, founded the Sadinista National Liberation Front (FSLN), which was a return to the influence of the historical figure of Augusto Cesar Sandino—the charismatic leader of Nicaragua’s nationalist rebellion against the U.S. occupation of the country. The December 1972 Managua earthquake was a major turning point in the revival of the Sandinistas, stoking violent opposition to the government during a time of heightened international attention. The Sandinistas even received some support from Cuba and the Soviet Union during this period.
On December 27, 1974, a group of nine FSLN guerrillas invaded a party at the home of a former Minister of Agriculture, killing him and three guards in the process of taking hostage several leading government officials and prominent businessmen. In return for the hostages, they succeeded in getting the government to pay $2 million US ransom. Additionally, they effected the broadcast of an FSLN declaration on the radio and in the opposition newspaper La Prensa, the release of 14 FSLN members from jail, as well as flights to Cuba for the raiders and the released FSLN members. The incident humiliated the government and greatly enhanced the prestige of the FSLN. Anastasio Somoza Debayle, in his memoirs, refers to this action as the beginning of a sharp escalation in terms of Sandinista attacks and government reprisals.
Martial law was declared in 1975, and the National Guard began to raze villages in the jungle suspected of supporting the rebels. Human rights groups condemned the actions, but U.S. President Gerald Ford refused to break the alliance with Somoza.
The country tipped into full-scale civil war with the 1978 murder of Pedro Chamorro—a Nicaraguan journalist and publisher who opposed violence against the regime. Fifty thousand people turned out for his funeral. Many assumed that Somoza ordered his assassination because there was evidence implicating Somoza’s son and other members of the National Guard. A nationwide strike commenced in protest, demanding an end to the dictatorship. At the same time, the Sandinistas stepped up their rate of guerrillas activity. Several towns, assisted by Sandinista guerrillas, expelled their National Guard units. Somoza responded with increasing violence and repression. When León became the first city in Nicaragua to fall to the Sandinistas, he responded with aerial bombardment.
The U.S. media grew increasingly unfavorable in its reporting on the situation in Nicaragua. Realizing that the Somoza dictatorship was unsustainable, the Carter administration attempted to force him to leave Nicaragua. Somoza refused and sought to maintain his power through the National Guard. At that point, the U.S. ambassador sent a cable to the White House saying it would be “ill-advised” to call off the bombing, because such an action would help the Sandinistas gain power. When ABC reporter Bill Stewart was executed by the National Guard and graphic film of the killing was broadcast on TV, the American public became more hostile to Somoza. In the end, President Carter refused Somoza further military aid, believing that the repressive nature of the government led to popular support for the Sandinista uprising.
Beginning of the Sandinista Period
In May 1979, another general strike was called, and the FSLN launched a major push to take control of the country. By mid-July, they had Somoza and the National Guard isolated in Managua. As Nicaragua’s government collapsed and the National Guard commanders escaped with Somoza, the rebels advanced on the capital victoriously.
On July 19, 1979, a new government was proclaimed under a provisional junta headed by 33-year-old Daniel Ortega. The FSLN took over a nation plagued by malnutrition, disease, and pesticide contamination. Lake Managua was considered dead because of decades of pesticide runoff, toxic chemical pollution from lakeside factories, and untreated sewage. Additionally, soil erosion and dust storms were also a problem in Nicaragua due to deforestation. To tackle these crises, the FSLN created the Nicaraguan Institute of Natural Resources and the Environment.
The Sandinistas were victorious in the national election of November 4, 1984, gathering 67% of the vote. The election was certified “free and fair” by the majority of international observers, although the Nicaraguan political opposition and the Reagan administration claimed political restrictions were placed on the opposition by the government. The primary opposition candidate was the U.S.-backed Arturo Cruz, who succumbed to pressure from the United States government not to take part in the 1984 elections. Other opposition parties, such as the Conservative Democratic Party and the Independent Liberal Party, were free to denounce the Sandinista government and participate in the elections. Later, historians such as Christopher Andrews did find evidence that the FSLN was actively suppressing right-wing opposition parties while leaving moderate parties alone.
Communist Leanings and U.S. Contras
American support for the Somoza family soured diplomatic relations with Nicaragua. The FSLN government was committed to a Marxist ideology, with many leading Sandinista individuals continuing long-standing relationships with the Soviet Union and Cuba. U.S. President Carter initially hoped that continued American aid to the new government would keep the Sandinistas from forming a Marxist-Leninist government aligned with the Soviet bloc, but the Carter administration allotted the Sandinistas minimal funding, and the Sandinistas resolutely turned away from the United States, investing Cuban and East European assistance into a new army of 75,000. The buildup included T-55 heavy tanks, heavy artillery, and HIND attack helicopters; this was an unprecedented military buildup that made the Sandinista Army more powerful than all of its neighbors combined.
The first challenge to the powerful new army came from the Contras—groups of Somoza’s National Guard that had fled to Honduras and were organized, trained, and funded by CIA elements involved in cocaine trafficking in Central America. The Contra chain of command included some ex-National Guardsmen, including Contra founder and commander Enrique Bermúdez. One prominent Contra commander, however, was ex-Sandinista hero Edén Pastora, aka “Commadante Zero,” who rejected the Leninist orientation of his fellow commandantes.
The Contras operated out of camps in neighboring Honduras to the north and Costa Rica to the south. They engaged in a systematic campaign of terror among the rural Nicaraguan population in order to disrupt the social reform projects of the Sandinistas. The Contra campaign and supporting Reagan administration came under criticism for the brutality and numerous human rights violations related to these operations, including the destruction of health centers, schools, and cooperatives at the hands of the rebels.
With the election of Ronald Reagan in 1980, relations between the United States and the Sandinista regime became an active front in the Cold War. The Reagan administration insisted that the Sandinistas posed a Communist threat, reacting particularly to the support provided to them by Cuban president Fidel Castro, as well as the Sandinistas’ close military relations with the Soviets and Cubans. Opposition to the Sandanistas also furthered the Reagan administration’s desire to protect U.S. interests in the region, which were threatened by the policies of the Sandinista government.
The U.S. quickly suspended aid to Nicaragua and expanded the supply of arms and training to the Contra rebels in neighboring Honduras, as well as allied groups based in Costa Rica. American pressure against the Nicaraguan government escalated throughout 1983 and 1984. Meanwhile, the Contras began a campaign of economic sabotage and disrupted shipping by planting underwater mines in Nicaragua’s Port of Corinto, an action condemned by the International Court of Justice as illegal. The UN General Assembly also passed a resolution in order to pressure the U.S. to pay the fine. The U.S. refused to pay restitution and claimed that the ICJ was not competent to judge the case.
On May 1, 1985, Reagan issued an executive order that imposed a full economic embargo on Nicaragua, which remained in force until March 1990. However, in 1982, legislation was enacted by the U.S. Congress to prohibit further direct aid to the Contras. Reagan’s officials attempted to illegally supply them out of the proceeds of arms sales to Iran and third-party donations, triggering the Iran-Contra Affair of 1986 – 87.
Mutual exhaustion, Sandinista fears of Contra unity and military success, and mediation by other regional governments led to the Sapoa ceasefire between the Sandinistas and the Contras on March 23, 1988. Subsequent agreements were designed to reintegrate the Contras and their supporters into Nicaraguan society in preparation for general elections.
Colombia and the FARC
FARC’s guerrilla movement against the Colombian government, an active conflict since 1964, has been fraught with violence, human rights abuses, and numerous attempts to broker a lasting peace. The Revolutionary Armed Forces of Colombia—People’s Army (FARC) is a guerrilla movement involved in the continuing Colombian armed conflict since 1964. It employs a variety of military tactics in addition to more unconventional methods, including terrorism. The FARC-EP, formed during the Cold War as a Marxist-Leninist peasant force, promotes a political line of agrarianism and anti-imperialism. The operations of the FARC-EP were funded by kidnap and ransom, illegal mining, extortion or taxation of various forms of economic activity, and the taxation, production, and distribution of illegal drugs. The United Nations has estimated that 12% of all killings of civilians in the Colombian conflict have been committed by FARC and ELN guerrillas, with 80% committed by right-wing paramilitaries, and the remaining eight percent committed by security forces.
Learning Objectives
- Evaluate the civil war in Colombia.
History of the Conflict
Communists were active throughout rural and urban Colombia immediately following World War I. The Colombian Communist Party (PCC) began establishing “peasant leagues” in rural areas and “popular fronts” in urban areas, calling for improved living and working conditions, education, and rights for the working class. However, many of the PCC’s attempts at organizing peasants were met with violent repression by the Colombian government and the landowning class. These groups began networking together to present a defensive front against the state-supported violence of large landholders. Members organized strikes, protests, and land seizures, and organized communist-controlled “self-defense communities” in southern Colombia that were able to resist state military forces while providing for the subsistence needs of the populace.
In 1961, a guerrilla leader and long-time PCC organizer named Manuel Marulanda Vélez declared an independent “Republic of Marquetalia.” The Lleras government attempted unsuccessfully to drive out the guerrillas, due to fear that a revolution similar to that of Cuba’s may develop. Several army outposts were set up in the area and the Colombian government began routinely attacking communist groups, hoping to reassimilate territories under the influence of communists. In 1964, Manuel Marulanda Vélez and other PCC members formed FARC. Sixteen thousand Colombian troops attacked the community, which only had 48 armed fighters. Marulanda and 47 others fought against government forces at Marquetalia and then escaped into the mountains along with other fighters. These 48 men formed the core of FARC, which later grew in size to hundreds of fighters.
Initially, FARC rejected any involvement in the emerging phenomenon of drug growing and trafficking, but during the 1980s the group gradually came to accept it as it became a burgeoning business. Taxes on drug producers and traffickers were introduced as a source of funding and increased income from the “coca boom” allowed them to expand into an irregular army able to stage large-scale attacks on Colombian troops. This in part led to the Seventh Guerrilla Conference held by FARC in 1982, which called for a major shift in FARC’s strategy.
FARC had historically been doing most of its fighting in rural areas and was limited to small-scale confrontations with Colombian military forces. FARC began sending fighters to Vietnam and the Soviet Union for advanced military training. They also planned to move closer to middle-sized cities, as opposed to only remote rural areas, as well as closer to areas rich in natural resources to create a strong economic infrastructure. It was also at this conference that FARC added the initials “EP”, for “Ejército del Pueblo” or “People’s Army”, to the organization’s name.
Uribe Agreement and the Union Patriótica
Also in the early 1980s, President Belisario Betancur began discussing the possibility of peace talks with the guerrillas. This led to the 1984 La Uribe Agreement, which called for a ceasefire that lasted from 1984 until 1987. In 1985, members of the FARC-EP, along with a large number of other leftist and communist groups, formed a political party known as the Union Patriótica (“Patriotic Union”, UP). The UP sought constitutional reform, more democratic local elections, political decentralization, and the end of the two-party system dominated by Liberal and Conservative parties. They also pursued socioeconomic reforms such land redistribution, greater health and education spending, the nationalization of foreign businesses, Colombian banks, transportation, and greater public access to mass media.
While many members of the UP were involved with the FARC-EP, the large majority of them were not and came from a wide variety of backgrounds such as labor unions and socialist parties. In the cities, the FARC-EP began integrating itself with the UP and forming Juntas Patrióticas (or “solidarity cells”)—small groups of people associated with labor unions, student activist groups, and peasant leagues, who traveled into the barrios discussing social problems, building support for the UP, and determining the sociopolitical stance of the urban peasantry. The UP performed better in elections than any leftist party in Colombia’s history. In 1986, UP candidates won 350 local council seats, 23 deputy positions in departmental assemblies, nine seats in the House, and six seats in the Senate. The 1986 Presidential candidate, Jaime Pardo Leal, won 4.6% of the national vote.
During the ceasefire, the Colombian government continued its negotiations with the FARC-EP and other armed groups, some of which were successful. Some groups that demobilized during this period include the EPL, the ERP, the Quintin Lame Armed Movement, and the M-19. Towards the end of 1990, however, the army, with no advance warning and while negotiations were still ongoing, attacked a compound known as Casa Verde, which houses the National Secretariat of the FARC-EP. The Colombian government argued that the attack was caused by the FARC-EP’s lack of commitment to the peace process.
Peace Negotiations
On June 3, 1991, dialogue resumed between the Simon Bolivar Guerrilla Coordinating Board and the government. The conflict did not halt, however, and armed attacks by both sides continued. The renewed negotiations were broken off in 1993 when no agreement could be reached.
A letter written by a group of Colombian intellectuals, including Gabriel Garcia Marquez, to the Coordinating Board was published denouncing the approach taken by the FARC-EP and the dire consequences it was having on the country. The Coordinating Board disappeared not long afterwards, and the guerrilla groups continued their activities independently.
Renewed negotiations began on November 7, 1998, under President Andres Pastrana, who granted FARC-EP a 42,000-square-kilometer (16,200-square-mile) safe haven as a confidence-building measure. Unfortunately, the peace talks ended on February 21, 2002, due to a series of high-profile guerrilla actions, including the hijacking of an aircraft, sieges on a number of small towns and cities, several political kidnappings, and the arrest of the Irish Colombia Three—a group of Irish Republican Army members who allegedly were training FARC-EP militants to make bombs. Afterwards, Pastrana ordered the armed forces to start retaking the FARC-EP controlled zone.
The Uribe and Santos Administrations
For most of the period between 2002 and 2005, the FARC-EP was believed to be in strategic withdrawal due to the increasing military and police actions of President Alvaro Uribe; this led to the capture or desertion of many fighters and medium-level commanders. Uribe ran for office on an anti-FARC-EP platform and was determined to defeat the guerrillas in a bid to restore confidence in the country. Uribe’s own father was killed by FARC-EP in an attempted kidnapping in 1983. Nonetheless, FARC interventions and violence continued throughout Uribe’s administration and well into that of his successor: Juan Manuel Santos.
Military offensives carried out under former President Uribe and President Santos have significantly reduced the number of FARC combatants and the amount of FARC territorial control; this has pushed guerrillas to more remote and sparsely populated regions, often close to territorial or internal borders.
On June 23, 2016, a ceasefire accord was signed between the FARC-EP and Colombian government. Under the accord, the Colombian government agreed to support massive investment for rural development and facilitate the FARC’s reincarnation as a political party. FARC promised to help to eradicate illegal drug crops, remove landmines in areas of conflict, and offer reparations to victims. FARC leaders can avoid prosecution by acts of reparation to victims and other community work. However, during a referendum held October 2, 2016, Colombians voted to reject the peace deal with FARC by 50.2% to 49.8%.
The government met with victims and peace opponents after the referendum was rejected, receiving over 500 proposed changes, and continued to negotiate with FARC.
A revised agreement was announced on November 12, 2016, which would require parliamentary approval rather than a nationwide referendum. Among the reported 60 new or modified t erms was a provision for FARC assets to be distributed for victim compensation. FARC members would be able to establish a political party and be granted full immunity for full confession and cooperation, although drug trafficking would be assessed on a case-by-case basis. Peace terms would be enforced by a Special Justice for the Peace, who would report to the Constitutional Court and not to an international body. Additionally, both Parliament and the Special Justice would have the ability to modify terms of the agreement as seen necessary. The Colombian government and FARC signed the revised peace deal on November 24, 2016, and Congress approved it on November 30, 2016.
Primary Source: What is Peronísm? 1948
Juan Domingo Perón is among the most contentious figures in the modern political history of South America. On the one hand, many commentators are prepared to argue that he was a fascist, but others see in Perónism, which long retained the support of the Argentine working class, real elements of a social justice movement combined with severely compromised leadership.
Perón, an army officer, siezed power in 1944 with a group of other officers. During the Argentine presidential election of 1946, Perón claimed to be a democrat who would accept any outcome. And it seems that, with the support of his hugely popular wife Eva Duarte de Perón (Evita)[1919-1952], he won that election quite fairly. His government was a sort of populist dictatorship, characterized by genuine efforts to raise the living standards of the urban poor, but also quite dramatic levels of petty corruption. He was initially support by the army, nationalists, and the Catholic heirarchy as well as the trade union support secured by Evita.
After Evita's death in 1952, and the severe economic problems which followed the failure of his nationalist economic measures, he was overthrown by a coup in 1955, and sent into exile. After 18 years of military rule, he was allowed to return in 1971, and won the presidential election of 1973. He was succeeded in office in 1974 by his third wife Isabel Martínez de Perón (Eva had been number two), who was herself displaced by a military coup in 1976. That period of military rule ended in 1982, and by 1989 yet another Perónist government came to power - headed by Carlos Saúl Menem. As of 1998 Argentina is still governed by the Perónist Party, although it must be noted that Menem's policies are very different than Perón's.
What is Perónism?
Speech of 20 August, 1948
In Congress a few days ago, some of our legislators have asked what Perónismis. Perónism is humanism in action; Perónism is a new political doctrine, which rejects all the ills of the politics of previous times; in the social sphere it is a theory which establishes a little equal ity among men, which grants them similar opportunities and assures them of a future so that in this land there may be no one who lacks what he needs for a living, even though it may be necessary that those who are wildly squandering what they possess may be deprived of the right to do so, for the benefit of those who have nothing at all; in the economic sphere its aim is that every Argentine should pull his weight for the Argentines and that economic policy which maintained that this was a permanent and perfect school of capitalist exploitation should be replaced by a doctrine of social economy under which the distribution of our wealth, which we force the earth to yield up to us and which furthermore we are elab orating, may be shared out fairly among all those who have contributed by their efforts to amass it.
That is Perónism. And Perónism is not learned, nor just talked about: one feels it or else disagrees. Perónism is a question of the heart rather than of the head. Fortunately I am not one of those Presidents who live a life apart, but on the contrary I live among my people, just as I have always lived; so that I share all the ups and downs, all their successes an all their disappointments with my working class people. I feel an intimate satisfaction when I see a workman who is well dressed or taking his family to the theatre. I feel just as satisfied as I would feel if I were that workman myself. That is Perónism.
One Single Class of Men
I have never been of the opinion that in this world there should be groups of men against other groups, nations against nations and much less can I admit that men should be enemies because they profess a different religion. How could it be admitted, how could it be explained that anti-Semitism should exist in Argentina? In Argentina there should not be more than one single class of men: men who work together for the welfare of the nation, without any discrimination whatever. They are good Argentines, no matter what their origin, their race or their religion may be, if they work every day for the greatness of the Nation, and they are bad Argentines, no matter what they say or how much they shout, if they are not laying a new stone every day towards the construction of the building of the happiness and grandeur of our Nation.
That is the only discrimination which Argentina should make among its inhabitants: those who are doing constructive work and those who are not; those who are benefactors to the country and those who are not. For this reason in this freest land of the free, as long as I am President of the Republic, no one will be persecuted by anyone else.
The Twenty Truths of the Perónist JusticialismFrom a speech of 17th October 1950 made at the Plaza de Mayo.
1., True democracy is the system where the Government carries out the will of the people defending a single objective: the interests of the people.
2. Perónism is an eminently popular movement. Every political clique is opposed to the popular interests and, therefore, it cannot be a Perónist organization.
3. A Perónist must be at the service of the cause. He who invoking the name of this cause is really at the service of a political clique or a "caudillo" (local political leader) is only a Perónist by name.
4. There is only one class of men for the Perónist cause: the workers.
5. In the New Argentina, work is a right which dignifies man and a duty, because it is only fair that each one should produce at least what he consumes.
6. There can be nothing better for a Perónist than another Perónist.
7. No Perónist should presume to be more than he really is, nor should he adopt a position inferior to what his social status should be. When a Perónist starts to think that he is more important than he really is, he is about to become one of the oligarchy.
8. With reference to political action the scale of values for all Perónists is as follows: First, the Homeland; afterwards the cause, and then, the men themselves.
9. Politics do not constitute for us a definite objective but only a means of achieving the Homeland's welfare represented by the happiness of the people and the greatness of the nation.
10. The two main branches of Perónism are the Social Justice and the Social Welfare. With these we envelop the people in an embrace of justice and love.
11. Perónism desires the establishment of national unity and the abolition of civil strife. It welcomes heroes but does not want martyrs.
12. In the New Argentina the only privileged ones are the children.
13. A Government without a doctrine is a body without a soul. That is why Perónism has established its own political, economic and social doctrines: Justicialism.
14. Justicialism is a new philosophical school of life. It is simple, practical, popular and endowed with deeply Christian and humanitarian sentiments.
15. As a political doctrine, Justicialism establishes a fair balance between the rights of the individual and those of the community.
16. As an economic doctrine, Justicialism achieves a true form of social economy by placing capital at the service of the national economy and this at the service of social welfare.
17. As a social doctrine, Justicialism presides over an adequate distribution of Social Justice giving to each person the social rights he is entitled to.
18. We want a socially just, an economically free and a politically independent Argentina.
19. We are an organized State and a free people ruled by a centralized government.
20. The best of this land of ours is its people
.Juan Perón
October 17, 1950, Year of the Liberator General San Martin
Source:
from Juan Domingo Perón, Perónist Doctrine. Edited by the Perónist Party. (Buenos Aires, 1952)
Attributions
Source image provided by Wikimedia Commons: Che and Castro
https://ru.wikipedia.org/wiki/%D0%A2%D1%80%D0%B8%D1%83%D0%BC%D1%84_%D1%80%D0%B5%D0%B2%D0%BE%D0%BB%D1%8E%D1%86%D0%B8%D0%B8#/media/%D0%A4%D0%B0%D0%B9%D0%BB:CheyFidel.jpg
Chapters adapted from:
https://www.coursehero.com/study-guides/boundless-worldhistory/argentina/
https://www.coursehero.com/study-guides/boundless-worldhistory/chile/
https://www.coursehero.com/study-guides/boundless-worldhistory/brazil/
https://www.coursehero.com/study-guides/boundless-worldhistory/conflict-across-latin-america/
https://www.coursehero.com/study-guides/boundless-worldhistory/crisis-points-of-the-cold-war/
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2025-03-18T00:36:52.674756
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"title": "Statewide Dual Credit World History, The Catastrophe of the Modern Era: 1919-Present CE",
"author": null
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https://oercommons.org/courseware/lesson/88093/overview
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End of the Cold War
Overview
Collapse of the Soviet Union
By 1982, it was clear the Soviet Union’s economy was failing. Once the breadbasket of the world, the Soviet Union was forced to import grain from the United States starting in the 1970s. Yet, even this development could not predict that in less than a decade, the Soviet Union would cease to exist. In America, Ronald Reagan gambled that if the United States government invested millions of dollars in developing its military, the Soviets would follow suit and that such an investment on the side of the Soviets would lead to their bankruptcy. It was a risky gamble. But the Soviet government continued to invest extensively in new military technology—technology that cost a fortune, even though it did not have the funds for such an expense. Meanwhile, this build-up of the military at the expense of the Soviet economy was a key topic of Soviet politics that drove decisions about leadership.
Learning Objectives
- Analyze how and why the Soviet Union collapsed.
- Examine the impact, internally and abroad, of the collapse of the Soviet Union.
Key Terms / Key Concepts
Belavezha Accords: document signed by leaders of Russia, Belarus, and Ukraine that ended the Soviet Union
Boris Yeltsin: President of Russia from 1991 – 1999
Chernobyl: nuclear power plant near Pripyat, Ukraine; site of the worst nuclear disaster in world history
fall of the Berlin Wall: monumental event in 1989 that united the two Germanies, and facilitated the end of the Cold War
glasnost: policy of “openness” during Gorbachev years
KGB: main domestic and foreign intelligence and security force for the Soviet Union
Lech Wałęsa: head of the Solidary Movement and in 1990; the President of Poland
Mikhail Gorbachev: last General Secretary of the Soviet Union of liberalizing politics; won Western support and helped bring about an end to the Soviet Union
perestroika: policy of “economic restructuring” during the Gorbachev years
Ronald Reagan: president of the United States during the 1980s
Solidarity Movement: Polish movement that peacefully, and successfully opposed Soviet policies during the 1980s
Ukrainian independence: monumental moment in 1991 when Ukraine peacefully separated from the Soviet Union, thus signaling the collapse of the Soviet Union
Vladimir Putin: President of Russia (2000-2008; 2012-Present)
Yuri Andropov: General Secretary of the Soviet Union from 1982 – 1984
Andropov Years
In November 1982, Yuri Andropov was appointed the new General Secretary of the Soviet Union. Andropov had maneuvered his way into power both through his KGB connections and by gaining the support of the military with his promise not to cut defense spending. At age 69, he was the oldest General Secretary ever appointed. He would also be the last of the “old guard Soviets”—men who sought to maintain Stalinist ideology in which the Soviet Union was strong, authoritarian, and uncompromising.
Andropov's Domestic Policies
Andropov’s domestic policy leaned heavily towards restoring discipline and order to Soviet society. He rejected radical political and economic reforms. . In tandem with these economic experiments, Andropov launched an anti-corruption drive that reached high into the government and party ranks. This measure was undertaken to preserve and protect Andropov’s power as General Secretary of the Soviet Union. Unlike his political predecessors who possessed several mansions and luxury cars, Andropov lived a modest life.
Andropov began a thorough house-cleaning throughout the Communist party and state bureaucracy, a decision made easy by the fact that the Central Committee had an average age of 69. This fact suggested that the politicians had served under several previous General Secretaries, and that they may not be entirely loyal to Andropov and his policies. He replaced more than one-fifth of the Soviet ministers and regional party secretaries, and more than one-third of the department heads within the Central Committee apparatus. As a result, he replaced the aging leadership with younger, more vigorous administrators. But Andropov’s ability to reshape the top leadership was constrained by his own age and poor health and the influence of his rivals.
Andropov's Relationship wiht the United States
U.S.-Soviet relations deteriorated rapidly beginning toward the end of Andropov’s leadership in March 1983. The first significant blow to the relationship that year was when President Ronald Reagan dubbed the Soviet Union an “evil empire.” The official Soviet press agency, TASS, accused Reagan of “thinking only in terms of confrontation and bellicose, lunatic anti-communism.” Further deterioration occurred when on September 1, the Soviets shot down of Korean Air Lines Flight 007; the plane was carrying 269 people, including a sitting U.S. congressman, Larry McDonald. The incident was further fueled, by Reagan’s stationing of intermediate-range nuclear missiles in Western Europe. It was a show of force by the United States against the Soviet Union, which was suffering from economic setbacks and internal discontent. Moreover, the U.S. undermined Soviet-supported governments around the developing world by supplying arms to anti-communist resistance movements such as those in Afghanistan, Nicaragua, and Angola. .
Andropov's Death
Andropov’s health declined rapidly during the tense summer and fall of 1983, and he became the first Soviet leader to miss the anniversary celebrations of the 1917 Revolution. He died in February 1984 of kidney failure after disappearing from public view for several months. His most significant legacy to the Soviet Union was his discovery and promotion of Mikhail Gorbachev.
A Noblest Man?: Mikhail Gorbachev
In March 1985, the Soviet Union introduced a new General Secretary: Mikhail Gorbachev. The new leader was stately and stocky, nearly bald, and famously had a prominent birthmark on his scalp. Moreover, Gorbachev was relatively young. At the time of his appointment, he was only in his mid-fifties, and of a different generation than all his immediate predecessors. No one knew entirely what to expect from Gorbachev. He was intellectual, but he had a sly humor about him and was frequently self-deprecating. He adored his wife and preferred the comfort of family, sports, and intellectual pursuits to Communist party events. Importantly, he publicly claimed to maintain the Soviet Empire and its Socialist principles, but he also promoted democratization, intellectualism, and a general “openness” in society. To hard core Communists, Gorbachev appeared weak. To others in the Soviet Union, he was the long-awaited hope for restructuring Soviet society.
Perestroika and Glasnost
With the hope of saving the failing economic and social conditions of the Soviet Union, Gorbachev initiated two critical new policies upon his appointment as General Secretary. The first was his new policy of perestroika (“economic restructuring”) in 1986—one year after his appointment. This measure pushed away from the Soviet practice of a planned state economy. Instead, Gorbachev proposed a mixed-economy of state and private entities.
Two years later, Gorbachev introduced glasnost (“openness”), which gave the Soviet people freedoms they had not previously known, including greater freedom of speech. The press became far less controlled, and thousands of political prisoners and many dissidents were released as part of a wider program of de-Stalinization. Gorbachev’s goal with glasnost was to pressure conservatives who opposed his policies of economic restructuring. At the same time, he exposed his plans to more public criticism.
In June 1988, at the CPSU’s Party Conference, Gorbachev launched radical reforms to reduce the Communist party’s control on the Soviet government. He proposed a new executive in the form of a presidential system. He also proposed a new legislative element: the Congress of People’s Deputies. Elections to the Congress of People’s Deputies were held throughout the Soviet Union in March and April 1989. This was the first free election in the Soviet Union since 1917. Gorbachev became Chairman of the Supreme Soviet (or head of state) on May 25, 1989.
Discontent across the Soviet Union
By the late 1980s, people in the Caucasus and Baltic states were demanding more autonomy from Moscow, and the Kremlin was losing some of its control over certain regions and elements in the Soviet Union. In November 1988, Estonia issued a declaration of sovereignty, which eventually led to other states doing the same. Then in April 1986, an event occurred that shook the world.
During a test operation, the nuclear reactor core at Chernobyl in Ukraine melted down, creating the world’s worst nuclear disaster. Winds spread the majority of the radiation north and west into Belarus, but smaller amounts of radiation were spread around the world. It is difficult to establish the total economic cost of the disaster. According to Mikhail Gorbachev, the Soviet Union spent 18 billion rubles (the equivalent of USD $18 billion at the time) on containment and decontamination, virtually bankrupting itself in the process.
One political result of the Chernobyl disaster was the greatly increased significance of the Soviet policy of glasnost. Under glasnost, relaxation of censorship resulted in the Communist Party losing its grip on the media, and Soviet citizens were able to learn significantly more about the past and the outside world. The Soviet media began to expose numerous social and economic problems in the Soviet Union that the government had long denied and covered up, such as poor housing, food shortages, alcoholism, widespread pollution, creeping mortality rates, the second-rate position of women, and the history of state crimes against the population.
Although Nikita Khrushchev denounced Stalin’s personality cult as early as the 1950s, information about the true proportions of his atrocities had still been suppressed until Gorbachev’s reign. These revelations had a devastating effect on those who believed in state communism and had not been previously exposed to this information, as they began to realize their driving vision of society was built on a foundation of falsehood and crimes against humanity. Additionally, information about the higher quality of life in the United States and Western Europe and about Western pop culture were exposed to the Soviet public for the first time.
As Gorbachev weakened the system of internal political repression, the ability of the USSR’s central government to impose its will on the USSR’s constituent republics was largely undermined. During the 1980s, calls for greater independence from Moscow’s rule grew louder. This was especially marked in the Baltic Republics of Estonia, Lithuania, and Latvia, which had been annexed into the Soviet Union by Joseph Stalin in 1940. Nationalist sentiment also took hold in other Soviet republics such as Ukraine, Georgia, and Azerbaijan.
Starting in the mid-1980s, the Baltic states used the reforms provided by glasnost to assert their rights to protect their environment (for example during the Phosphorite War) and their historic monuments, as well as strengthen their claims to sovereignty and independence. When the Balts withstood outside threats, they exposed an irresolute Kremlin. Bolstering separatism in other Soviet republics, the Balts triggered multiple challenges to the Soviet Union.
Collapse of the Soviet Union (Summer 1989 to Fall 1991)
Poland
Momentum toward full-blown revolution against the Soviet Union began in Poland. In 1980, a Polish, independent trade union was founded in the coastal city of Gdansk; this trade union transformed into a political party was known as Solidarity. For the first time since the establishment of the Warsaw Pact in 1947, Poland officially recognized the trade union as independent and legitimate. Headed by Lech Wałęsa, roughly one-third of Poland’s working population joined the trade union in support of its freedoms and in opposition to Soviet policies. The organization practiced firm, but largely peaceful, protests to promote workers’ rights and social change. For heading the largely peaceful resistance, Wałęsa won the Nobel Peace Price in 1983. To the shock of neighboring countries, Russia seemed to be doing little to halt Wałęsa or Solidarity.
By 1989, the trade union had expanded to become the Solidarity Movement—a direct challenge to Soviet policy. In 1989, the first free elections since 1947 were held in Poland as a result of the peaceful civil resistance and negotiations of the Solidarity Party. The results were staggering. The Solidarity party received widespread support. And a coalition government was formed. One year later, in 1990, Wałęsa was elected President of Poland.
The Soviet Bloc Dissolves
Revolutionary momentum, encouraged by the peaceful transition underway in Poland, continued in Hungary, East Germany, Bulgaria, Czechoslovakia, and Romania. A common feature among these countries was the extensive use of campaigns of civil resistance, demonstrating popular opposition to the continuation of one-party rule and contributing to the pressure for change. Romania was the only Eastern Bloc country whose people overthrew its Communist regime violently.
The Fall of the Wall
When Hungary disabled its physical border defenses with Austria on August 19, 1989, it initiated a chain of events that would eventually precipitate the fall of the Berlin Wall. In September 1989, more than 13,000 East German tourists escaped through Hungary to Austria. After that, the Hungarians prevented many more East Germans from crossing the border and returned them to Budapest. Those East Germans were sent to the West German embassy and refused to return to East Germany. The East German government responded to this by disallowing any further travel to Hungary, but allowed those already there to return to East Germany. Soon, a similar pattern began to emerge out of Czechoslovakia. This time, however, the East German authorities allowed people to leave, if they did so by train through East Germany. This was followed by mass demonstrations within East Germany.
Protest demonstrations grew considerably by early November, and the movement neared its height on November 4, when half a million people gathered to demand political change at the Alexanderplatz demonstration, East Berlin’s large public square and transportation hub.
The wave of refugees leaving East Germany for the West kept increasing. This was tolerated by the new government in East Germany because of long-standing agreements with the communist Czechoslovak government that allowed free travel across their common border. However, this movement grew so large it caused difficulties for both countries. And both sides took steps to reduce the exodus of East Germans.
November 9, 1989
On November 9, 1989, Günter Schabowski, the party boss in East Berlin, was preparing to announce new travel regulations that restricted the movements of East Germans. He was not yet aware of the details. Shortly before a press conference began he was handed a note announcing the changes but given no further instructions. These regulations had only been completed a few hours earlier and were to take effect the following day to allow time to inform the border guards. But this starting time delay was not communicated to Schabowski. At the end of the press conference, Schabowski read out loud the note he had been given. One of the reporters asked when the regulations would take effect. After a few seconds’ hesitation, Schabowski stated, “immediately.”
The speech by Schabowski was broadcast across East and West Germany. East Germans began gathering at the Wall at the six checkpoints between East and West Berlin, demanding that border guards immediately open the gates. The surprised and overwhelmed guards made many hectic telephone calls to their superiors about the problem, but it soon became clear that no one among the East German authorities would take personal responsibility for issuing orders to use lethal force, so the vastly outnumbered soldiers had no way to hold back the huge crowd of East German citizens.
Finally, at 10:45 pm, Harald Jäger—the commander of the Bornholmer Straße border crossing—yielded, allowing the guards to open the checkpoints and people to pass through without checking identities. As the Ossis (“Easterners”) swarmed through, they were greeted by Wessis (“Westerners”) waiting with flowers and champagne amid wild rejoicing. Soon afterward, a crowd of West Berliners jumped on top of the Wall and were joined by East German youngsters. Some danced together to celebrate their new freedom. Others still, took hammers out and began the symbolic step of knocking down the border that had separated Germans for twenty-seven years. The fall of the Berlin Wall had finally occurred.
The Fall of the Soviet Union: August - December 1991
On August 24, 1991, Gorbachev dissolved the Central Committee, resigned as the party’s general secretary, and dissolved all party units in the government. Five days later, the Supreme Soviet indefinitely suspended all party activity on Soviet territory, effectively ending Communist rule in the Soviet Union and dissolving the only remaining unifying force for the Union.
The Soviet Union collapsed with dramatic speed in the last quarter of 1991. Between August and December, ten republics declared their independence, largely out of fear of another coup. In September 1991, the United Nations Security Council admitted Estonia, Latvia, and Lithuania by unanimous vote. No longer did the Soviet Union have a stronghold in the Baltics. By the end of September, Gorbachev no longer had the authority to influence events outside of Moscow. He was challenged even there by Yeltsin, who had begun taking over what remained of the Soviet government, including the Kremlin.
The final round of the Soviet Union’s collapse began with Ukrainian unrest. In 1990, Ukrainians formed human chains that linked two of their most important cities, Lviv and Kyiv. The demonstration resulted in sharp, almost universal calls from Ukrainians for independence. On December 1, 1991, 90 percent of voters opted for Ukrainian independence. The same month, Leonid Kravchuk was elected the first President of Ukraine. For the first time since the brief period following World War I, Ukraine was independent and free. The Secession of Ukraine, the second-most powerful republic, ended any realistic chance of Gorbachev keeping the Soviet Union together, even on a limited scale.
On December 8, the leaders of Russia, Ukraine, and Belarus secretly met in western Belarus to sign the Belavezha Accords, which proclaimed the Soviet Union had ceased to exist and announced formation of the Commonwealth of Independent States as a looser association to take its place. On December 12, the Supreme Soviet of the Russian states formally ratified the Belavezha Accords and renounced the 1922 Union Treaty. It also recalled the Russian deputies from the Supreme Soviet of the USSR. Later that day, Gorbachev hinted for the first time that he was considering stepping down.
In a nationally televised speech early in the morning of December 25, 1991, Gorbachev resigned as president of the USSR, or, as he put it, “I hereby discontinue my activities at the post of President of the Union of Soviet Socialist Republics.” He declared the office extinct; All of its powers, including control of the nuclear arsenal, were ceded to Russian President, Boris Yeltsin. On the night of December 25, at 7:32 p.m., after Gorbachev left the Kremlin, the Soviet flag was lowered for the last time and the Russian tricolor was raised in its place. It symbolically marked the end of the Soviet Union. On that same day, the President of the United States George H.W. Bush held a brief televised speech officially recognizing the independence of the 11 remaining republics.
Conclusion: The Transition to a Market Economy, 1991-2000
Following the collapse of the Soviet Union, Russia radically transformed from a centrally planned economy to a globally integrated market economy. Corrupt and haphazard privatization processes turned major state-owned firms over to politically connected “oligarchs,” which left equity ownership highly concentrated. Yeltsin’s program of radical, market-oriented reform came to be known as a “shock therapy.” It was based on the recommendations of the International Monetary Fund and a group of top American economists. The result was disastrous, with real GDP falling by more than 40% by 1999, the occurrence of hyperinflation—which wiped out personal savings, and rapidly spreading destitution and crime.
Difficulties in collecting government revenues amid the collapsing economy and a dependence on short-term borrowing to finance budget deficits led to the 1998 Russian financial crisis. It also contributed to Yeltsin’s declining popularity. At such a time of crisis, the Russian people sought a strong leader who could transform Russia and make it strong again. Little did they know that in just two short years, they would elect a man whose political origins stemmed from his service in the KGB, Vladimir Putin.
Attributions
All Images from Wikimedia Commons
Boundless World History
“Fall of the Soviet Union”
https://courses.lumenlearning.com/boundless-worldhistory/chapter/fall-of-the-soviet-union/
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oercommons
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2025-03-18T00:36:52.727178
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https://oercommons.org/courseware/lesson/88094/overview
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Economic Globalization
Overview
Economic Globalization
Over the last fifty years, the world economy has experienced rapid economic growth as the world had become more economically interconnected, especially after the collapse of the Soviet Union in 1991. Advances in information technology have driven economic innovation and spawned many new businesses and industries.
Learning Objectives
Examine the world economy since the 1970s.
Analyze the causes, concepts, and consequences of globalization.
Identify developing global political, social, and technological structures.
Key Terms / Key Concepts
Bretton Woods system: a monetary management system that established the rules for commercial and financial relations among the United States, Canada, Western Europe, Australia, and Japan in the mid-20th century
European Central Bank: consisting of 19 European Union (EU) member states, the central bank for the euro that administers monetary policy of the eurozone
European Council: the institution of the European Union that comprises the heads of state or government of the member states, along with the President of the European Council and the President of the European Commission, charged with defining the EU’s overall political direction and priorities
European Commission: an institution of the European Union responsible for proposing legislation, implementing decisions, upholding the EU treaties, and managing the day-to-day business of the EU
European Economic Community: a regional organization that aimed to bring about economic integration among its member states. It was created by the Treaty of Rome of 1957
immigration: the international movement of people into a destination country where they do not possess citizenship to settle or reside there, especially as permanent residents or naturalized citizens, sometimes to take up employment as migrant workers or temporarily as foreign workers
International trade: the exchange of capital, goods, and services across international borders or territories
Maastricht Treaty: a treaty undertaken to integrate Europe and signed in 1992 by the members of the European Community
modernization theory: a theory used to explain the process of modernization within societies using a model of progressive transition from pre-modern or traditional societies to modern society; a theory that assumes that with assistance, so-called traditional societies can be developed in the same manner as currently developed countries
Schengen Area: an area composed of 26 European states that have officially abolished passport and any other type of border control at their mutual borders, which mostly functions as a single country for international travel purposes with a common visa policy
supranationalism: a type of multinational political union where negotiated power is delegated to an authority by governments of member states
Globalization
Since the end of World War II in 1945, the world has experienced unparalleled economic and population growth. The world's population jumped from 2.5 billion people in 1950 to 7.5 billion people in 2020. The economies of the world have become increasingly integrated into a global economic system, as large corporations such a McDonald's and Walt Disney operate their businesses in multiple countries worldwide. The Consumer Revolution, which began in the United States in the 1920s, has spread around the world, resulting in the creation of a global popular culture based on consumers' demands for various goods (i.e., clothing, music, video games).
In the decades following World War II in the 1950s and 1960s the world economy recovered rapidly from the war's devastation. The strong United States' economy with its vast financial resources provided the capital investment to rebuild the shattered economies of its allies in the Cold War. Unlike Europe, the United States during World War II had not suffered from the destruction of its cities, factories, roads, and railroads. In fact, the United States came out of this war economically stronger since the war had boosted industries and wages due to the demand for war materials. American consumers after the war were eager to spend their rising wages on consumer goods. In the United States and its Cold War allies Keynesian economic theory shaped policy makers' approach to handling the economy in this period, as a result of the Great Depression.
These countries all were “Welfare States”; the state provided a “safety net” for its poorest citizens by providing them with supplementary incomes as well as food, housing, and healthcare. The state also boosted employment and wages through public works projects and support for labor unions. These policies served to ensure that consumers had sufficient incomes to maintain demand in this highly regulated market economy.
the United States also promoted international trade through the International Monetary Fund and World Bank, which served to stabilize currencies and provide funds for capital investments among US allies. The United States had created and funded these organizations at the close of World War II to foster the rebuilding of the world economy (the so-called “Bretton Wood System”).
In this postwar period the US also opposed trade protectionism to lessen trade barriers between nations. For example, the United States Congress in 1962 passed the Trade Expansion Act, which authorized the US president to negotiate tariff agreements between the US and other nations. This act resulted in a series of talks (the Kennedy Round) between 1964 and 1967 among nations in Geneva, Switzerland who were involved in the General Agreement on Tariffs and Trade (GATT) negotiation sessions. These talks resulted in the United States reducing its tariffs by at least 35%. The US, however, didn't require “developing” nations in Asia, Africa, and Latin America to reduce their tariffs. Consequently, these talks boosted exports from these countries to the United States and Western Europe, while these countries could protect their own emerging industries from competition from imports from the United States and Western Europe through high tariffs (“import substitution industrialization”).
The “Eastern Bloc” countries (the Soviet Union and Eastern Europe) at this time also experienced rapid economic growth under a command economy. This period witnessed the mass movement of people in these states from rural areas to work in new state-owned factories. The apparent success of these countries in spurring rapid economic growth was a reason why many Third World countries embraced Soviet Marxist-Leninism.
In the 1970s both the “Eastern Bloc” and the “Free World” (the US and its allies) experienced economic crises as economic growth stalled and commodity prices surged resulting in high inflation. In this period oil prices increased since demand for oil exceeded supply.
In 1960, a number of nations rich in oil resources formed the Organization of Petroleum Exporting Countries (OPEC) as a cartel to regulate world oil supplies. Many members of this cartel were Muslim countries (i.e., Saudi Arabia, Iraq, Libya, Iran); after the Yom Kippur War in 1973, these counties imposed an oil embargo to protest American support for Israel in the war between Israel and Muslim Egypt. Consequently, in the mid-1970s oil prices rose dramatically and resulted in a worldwide recession (economic downturn). In 1979, oil prices spiked again due to the Iranian Revolution, since Iran was a member of OPEC and its revolution posed a threat to the stability of the Persian Gulf countries that provided much of the world's oil supply. High oil prices resulted in rampant inflation worldwide since the world's production and transportation of goods all largely required oil to create energy through its factories, railroads, trucks, and planes. High oil costs, therefore, increased costs for all goods. Since consumers were thus paying higher prices for basic necessities such as gas and groceries, they were less likely to purchase non-essential consumer goods, and demand for these goods therefore declined. This “energy crisis” thus had the effect of slowing and even decreasing economic growth in countries with a market economy.
The Eastern Bloc countries in the 1970s with their command economies also witnessed slowing economic growth in this period in sharp contrast to the rapid industrialization of the previous two decades. By the 1980s the standard of living in the Eastern Bloc countries had become substantially lower than the standards of living in Western Europe, in which countries such as West Germany were flourishing by exporting manufactured goods to consumers, especially in the United States. This disparity between the economies of the Eastern Bloc and Western Europe was a factor in the collapse of the Communist regimes by the end of the 1980s.
In the 1980s the United States under the leadership of President Ronald Reagan and the United Kingdom under Prime Minister Margaret Thatcher rejected Keynesian economic theory and instead embraced the economic theories of the Chicago School of Economics, also known as Neoliberalism. According to this economic theory, “unnecessary” government regulations and high tax rates hindered capital investment, which was the key to economic growth, not Keynes’s consumer demand. Critics of this economic theory viewed it as a return to the failed Laissez-faire policy of the past. Reagan and Thatcher's administrations maintained, however, that this approach to the economy would reinvigorate their countries’ stagnant economies.
In the 1980s the governments of both the United States and the United Kingdom reduced taxes and eliminated government regulations. In the United Kingdom, the Conservative (Tory) government privatized industries that had been previously nationalized by the government under the Socialist Labour Party. The vibrant economic growth of the United States and the United Kingdom in the 1980s convinced even formally Socialist parties, such as the Labour Party and Germany's Social Democratic Party, to embrace some Neoliberal policies in the 1990s, including free trade and the reduction of government regulations.
The world’s economic growth in the 1980s and 1990s was also a result of the dramatic transformation of “Communist” China as the country after 1979 embraced a market economy. The new leader of the Communist Party, Deng Xiaoping began a program of privatizing state run enterprises and allowed American and European companies to build factories in China, as well as employ Chinese labor in exchange for China's access to their technology. Deng Xiaoping maintained that this new policy would modernize the Chinese economy and improve the standard of living for the Chinese people. In the decades that followed, millions of Chinese citizens migrated to the cities to work in these new factories to produce goods so as to export primarily to the United States and Europe. Incomes in China for workers did steadily increase along with the emergence of a prosperous Chinese middle class. American and European companies with factories in China generated huge profits since the cost of labor was so much lower in China than in the United States and Europe. By the second decade of the 21st century, China had emerged as the second largest economy in the world, after the United States.
The adoption of Neoliberal policies by countries around the world has been quite controversial. Countries adopting these policies have often reduced taxes without necessarily reducing government spending, resulting in large amounts of government debt. Consequently, in the 1990s many countries in Latin America (i.e., Mexico) and Asia (i.e., Indonesia) declared bankruptcy and relied on loans from the IMF to stay afloat. The US supported IMF has imposed “austerity measures” as the price of receiving these loans, which required these countries to slash government spending as a way to balance their governments' budgets.
Critics of these austerity programs have pointed out that millions of people have lost their government jobs, as well as food, housing, and healthcare, as a result of the budget measures that governments have had to take after accepting IMF loans. Ironically, the United States’ government debt has also skyrocketed since the 1980s, but investors in the United States and around the world have continued to finance this tremendous debt by purchasing US government bonds, which is a way to avoid the austerity measures imposed on other nations.
The elimination of government regulations based on Neoliberal economic theory has also reportedly played a role in a series of spectacular, worldwide stock market collapses in and around 1990, 2000, and 2008. Critics of Neoliberalism have pointed out that the absence of proper government regulation of stock markets fueled risky speculation that resulted in these financial disasters. These critics have also pointed out that Neoliberal policies have resulted in rising inequality. Since the 1980s incomes across the world have risen substantially, but so has the percentage of wealth owned by a very small percentage of the world’s population (the so-called “one percent”). Lower tax rates on high income earners have enabled the very wealthy to accumulate more of the world’s total wealth.
The European Union
The political and economic integration of Western Europe since World War II, as well as much of Eastern Europe after the Cold War, has stimulated worldwide economic growth and globalization. The European Coal and Steel Community (ECSC) was born from the desire to prevent future European conflicts following the devastation of World War II. The European Coal and Steel Community (ECSC) was an international organization unifying certain continental European countries after World War II; it was formally established in 1951 by the Treaty of Paris, signed by Belgium, France, West Germany, Italy, the Netherlands, and Luxembourg. The ECSC was the first international organization based on the principles of supranationalism and would ultimately pave the way for the European Union.
The ECSC was first proposed by French foreign minister Robert Schuman on May 9, 1950. His declared aim was to make future wars among the European nations unthinkable due to higher levels of regional integration, with the ECSC as the first step towards that integration. The treaty would create a common market for coal and steel among its member states, which served to neutralize competition between European nations over natural resources used for wartime mobilization, particularly in the Ruhr. The Schuman Declaration that created the ECSC had distinct aims: It would mark the birth of a united Europe, make war between member states impossible, encourage world peace, and transform Europe incrementally, which would lead to the democratic unification of two political blocks separated by the Iron Curtain. Its aims also included creating the world’s first supranational institution, the world’s first international anti-cartel agency, and a common market across the Community. Its first aim was to revitalize the entire European economy by similar community processes, starting with the coal and steel sector. It would then improve the world economy, as well as the economies of developing countries, such as those in Africa.
In West Germany, Schuman kept close contact with the new generation of democratic politicians. Karl Arnold, the Minister President of North Rhine-Westphalia, the province that included the coal and steel producing Ruhr, was initially spokesman for German foreign affairs. He gave several speeches and broadcasts on a supranational coal and steel community at the same time as Schuman began to propose the Community in 1948 and 1949.
The Social Democratic Party of Germany, despite support from unions and other socialists in Europe, decided it would oppose the Schuman plan. This party claimed that a focus on integration would override the party’s prime objective of German reunification and thus empower ultra-nationalist and Communist movements in democratic countries. The party also thought the ECSC would end any hopes of nationalizing the steel industry and encourage the growth of cartel activity throughout a newly conservative-leaning Europe. Younger members of the party like Carlo Schmid were, however, in favor of the Community and pointed to the long tradition of socialist support for a supranational movement.
In France, Schuman gained strong political and intellectual support from all sectors, including many non-communist parties. Former French president, Charles de Gaulle, then out of power, had been an early supporter of linking European economies on French terms and spoke in 1945 of a “European confederation” that would exploit the resources of the Ruhr. However, he opposed the ECSC, deriding it as an unsatisfactory approach to European unity. He also considered the French government’s approach to integration too weak and feared the ECSC would be hijacked by other nation’s concerns. De Gaulle felt that the ECSC had insufficient supranational authority because the Assembly was not ratified by a European referendum, and he did not accept Raymond Aron’s contention that the ECSC was intended as a movement away from U.S. domination. Consequently, de Gaulle and his followers in the Rally of the French People (RPF) voted against ratification in the lower house of the French Parliament.
Despite these reservations and attacks from the extreme left, the ECSC found substantial public support. It gained strong majority votes in all 11 chambers of the parliaments of the six member states, as well as approval among associations and European public opinion. The 100-article Treaty of Paris, which established the ECSC, was signed on April 18, 1951, by “the inner six”: France, West Germany, Italy, Belgium, the Netherlands, and Luxembourg. On August 11, 1952, the United States was the first non-ECSC member to recognize the Community and stated it would now deal with the ECSC on coal and steel matters, establishing its delegation in Brussels.
First Institutions
The ECSC was run by four institutions: a High Authority composed of independent appointees, a Common Assembly composed of national parliamentarians, a Special Council composed of national ministers, and a Court of Justice. These would ultimately form the blueprint for today’s European Commission, European Parliament, the Council of the European Union, and the European Court of Justice.
The High Authority (now the European Commission) was the first-ever supranational body that served as the Community’s executive. The President was elected by the eight other members. The nine members were appointed by member states (two for the larger three states, one for the smaller three), but they were meant to represent the common interest rather than their own states’ concerns. The governments of the member states were represented by the Council of Ministers, the presidency of which rotated between each state every three months in alphabetical order. The task of this body was to harmonize the work of national governments with the acts of the High Authority and issue opinions on the work of the Authority when needed.
The Common Assembly, now the European Parliament, was composed of 78 representatives. The Assembly exercised supervisory powers over the executive. The representatives were to be national members of Parliament (MPs) elected by their Parliaments to the Assembly, or they were to be directly elected. The Assembly was intended as a democratic counterweight and check to the High Authority. It had formal powers to sack the High Authority following investigations of abuse.
The European Economic Community
The European Economic Community blossomed following the successful establishment of the European Coal and Steel Community, mainly from further regional integration. The European Economic Community (EEC) was a regional organization that aimed to integrate its member states economically. It was created by the Treaty of Rome of 1957. Upon the formation of the European Union (EU) in 1993, the EEC was incorporated and renamed as the European Community (EC). In 2009, the EC’s institutions were absorbed into the EU’s wider framework and the community ceased to exist.
After the establishment of the ECSC in 1951, two additional communities were proposed: a European Defense Community and a European Political Community. Both of these were meant to further regional integration. While the new treaty for the political community was drawn up by the Common Assembly, the ECSC parliamentary chamber, the proposed defense community under the proposed treaty was rejected by the French Parliament. ECSC President Jean Monnet, a leading figure behind the communities, resigned from the High Authority in protest and began work on alternative communities based on economic integration rather than political integration.
After the Messina Conference in 1955, Paul Henri Spaak was given the task of preparing a report on the idea of a customs union. Together with the Ohlin Report, the so-called Spaak Report would provide the basis for the Treaty of Rome. In 1956, Spaak led the Intergovernmental Conference on the Common Market and Euratom at the Val Duchesse castle. The conference led to the signature on March 25, 1957, of the Treaty of Rome, establishing a European Economic Community.
Creation and Early Years
The Treaty of Rome created new communities, the European Economic Community (EEC) and the European Atomic Energy Community (EURATOM, or sometimes EAEC). The EEC created a customs union, while EURATOM promoted cooperation in the sphere of nuclear power.
One of the first important accomplishments of the EEC was the establishment in 1962 of common price levels for agricultural products. In 1968, internal tariffs between member nations were removed on certain products. These accomplishments occurred despites some initial opposition. The formation of these communities had been met with protest due to a fear that state sovereignty would be infringed. Another crisis was triggered in regards to proposals for the financing of the Common Agricultural Policy (CAP), which came into force in 1962. The previous period whereby decisions were made by unanimity had come to an end, and majority voting in the Council had taken effect. Then French President Charles de Gaulle’s opposition to supranationalism and fear of the other members challenging the CAP led to an empty-chair policy in 1965 in which French representatives were withdrawn from the European institutions until the French veto was reinstated. Eventually, the Luxembourg Compromise of January 29, 1966, instituted a gentlemen’s agreement permitting members to use a veto on issues of national interest.
On July 1, 1967, the Merger Treaty came into force, combining the institutions of the ECSC and EURATOM into that of the EEC. Collectively, they were known as the European Communities. The Communities still included independent personalities, although they were increasingly integrated. Future treaties granted the Community new powers beyond simple economic matters, edging closer to the goal of political integration and a peaceful, united Europe.
Enlargement and Elections
The 1960s saw the first attempts at enlargement of participants. In 1961, Denmark, Ireland, Norway, and the United Kingdom applied to join the three Communities. However, President Charles de Gaulle saw British membership as a Trojan horse for US influence and vetoed membership, and the applications of all four countries were suspended. The four countries resubmitted their applications on May 11, 1967, and with Georges Pompidou succeeding Charles de Gaulle as French president in 1969, the veto was lifted. Negotiations began in 1970 under the pro-European government of UK Prime Minister Sir Edward Heath, who had to deal with disagreements relating to the CAP and the UK’s relationship with the Commonwealth of Nations. Nevertheless, two years later the accession treaties were signed, and Denmark, Ireland, and the UK joined the Community effective January 1, 1973. The Norwegian people finally rejected membership in a referendum on September 25, 1972.
The Treaties of Rome stated that the European Parliament must be directly elected; however, this required the Council to agree on a common voting system first. The Council procrastinated on the issue and the Parliament remained appointed. Charles de Gaulle was particularly active in blocking the development of the Parliament, with it only being granted budgetary powers following his resignation. Parliament pressured for agreement and on September 20, 1976, the Council agreed part of the necessary instruments for election, deferring details on electoral systems that remain varied to this day. In June 1979, during the tenure of President Roy Jenkins, European Parliamentary elections were held. The new Parliament, galvanized by a direct election and new powers, started working full-time and became more active than previous assemblies.
Maastricht Treaty
Towards Maastricht
The EEC continued to expand its membership in the 1980s. Greece applied to join the Community on June 12, 1975, following the restoration of its democracy, after a brief period of military dictatorship (1967-1974). Greece joined the Community effective January 1, 1981. Similarly, and after their own democratic restorations, Spain and Portugal applied to the communities in 1977 and both effectively joined on January 1, 1986. In 1987, Turkey formally applied to join the Community and began the longest application process for any country. With the prospect of further enlargement and a desire to increase areas of cooperation, the Single European Act was signed by foreign ministers in February 1986. This single document dealt with the reform of institutions, extension of powers, foreign policy cooperation, and the single European market. It came into force on July 1, 1987. The act was followed by work on what would become the Maastricht Treaty, which was agreed to on December 10, 1991, signed the following year, and came into force on November 1, 1993, establishing the European Union.
Establishment of the European Union
The European Union was formally established with the Maastricht Treaty, whose main architects were Helmut Kohl, the German chancellor (prime minister) and French president, François Mitterrand. The treaty established the three pillars of the European Union:
- the European Communities pillar—the European Community (EC), the ECSC, and the EURATOM, which handled economic, social, and economic policies;
- the Common Foreign and Security Policy (CFSP) pillar, which handled foreign policy and military matters;
- and the Justice and Home Affairs (JHA) pillar, which coordinated member states’ efforts in the fight against crime.
All three pillars were the extensions of existing policy structures. The European Community pillar was a continuation of the EEC. Additionally, coordination in foreign policy had taken place since the 1970s under the European Political Cooperation (EPC), first written into treaties by the Single European Act. While the JHA extended cooperation in law enforcement, criminal justice, asylum, and immigration, as well as judicial cooperation in civil matters; some of these areas were already subject to intergovernmental cooperation under the Schengen Implementation Convention of 1990.
The creation of the pillar system was the result of the desire by many member states to extend the EEC to the areas of foreign policy, military, criminal justice, and judicial cooperation. This desire was met with misgivings by some member states, most notably the United Kingdom, who thought some areas were too critical to their sovereignty to be managed by a supranational mechanism. The agreed compromise was that instead of completely renaming the European Economic Community as the European Union, the treaty would establish a legally separate European Union comprising the European Economic Community and entities overseeing intergovernmental policy areas such as foreign policy, military, criminal justice, and judicial cooperation. The structure greatly limited the powers of the European Commission, the European Parliament, and the European Court of Justice.
The European Union (EU) thus would emerge as a politico-economic union of 28 member states located primarily in Europe. The EU has developed an internal single market through a standardized system of laws that apply in all member states. EU policies aim to ensure the free movement of people, goods, services, and capital within the internal market, enact legislation in justice and home affairs, and maintain common policies on trade, agriculture, fisheries, and regional development. Within the Schengen Area, passport controls have been abolished.
The EU operates through a hybrid system of supranational and intergovernmental decision-making. The seven principal decision-making bodies—known as the institutions of the European Union—are the European Council, the Council of the European Union, the European Parliament, the European Commission, the Court of Justice of the European Union, the European Central Bank, and the European Court of Auditors.
Move to the Euro
The eurozone is a monetary union of 19 of the 28 European Union member states that have adopted the euro as their common currency and sole legal tender to coordinate their economic policies and cooperation. A first attempt to create an economic and monetary union between the members of the European Economic Community (EEC) goes back to an initiative by the European Commission in 1969. The initiative proclaimed the need for “greater coordination of economic policies and monetary cooperation” and was introduced at a meeting of the European Council. The European Council tasked Pierre Werner, Prime Minister of Luxembourg, with finding a way to reduce currency exchange rate volatility. His report was published in 1970 and recommended centralization of the national macroeconomic policies, but he did not propose a single currency or central bank.
In 1971, U.S. President Richard Nixon removed the gold backing from the U.S. dollar, causing a collapse in the Bretton Woods system that affected all the world’s major currencies. The widespread currency floats and devaluations caused a set back for European monetary union aspirations. However, in 1979, the European Monetary System (EMS) was created, fixing exchange rates onto the European Currency Unit (ECU), an accounting currency introduced to stabilize exchange rates and counter inflation. In 1989, European leaders reached agreement on a currency union with the 1992 Maastricht Treaty. The treaty included the goal of creating a single currency by 1999, although without the participation of the United Kingdom. However, gaining approval for the treaty was a challenge. Germany was cautious about giving up its stable currency, France approved the treaty by a narrow margin, and Denmark refused to ratify until they got an opt-out from the planned monetary union (similar to that of the United Kingdom’s).
In 1994, the European Monetary Institute, the forerunner to the European Central Bank, was created. After much disagreement, in 1995 the name euro was adopted for the new currency (replacing the name ecu used for the previous accounting currency) and it was agreed that it would be launched on January 1, 1999.
In 1998, 11 initial countries were selected to participate in the initial launch. To adopt the new currency, member states had to meet strict criteria, including a budget deficit of less than 3% of their GDP, a debt ratio of less than 60% of GDP, low inflation, and interest rates close to the EU average. Greece failed to meet the criteria and was excluded from joining the monetary union in 1999. The UK and Denmark received the opt-outs, while Sweden joined the EU in 1995 after the Maastricht Treaty, which was too late to join the initial group of member-states.
In 1998, the European Central Bank succeeded the European Monetary Institute. The conversion rates between the 11 participating national currencies and the euro were then established.
Launch of the Eurozone
The currency was introduced in non-physical form (traveler’s checks, electronic transfers, banking, etc.) at midnight on January 1, 1999, when the national currencies of participating countries (the eurozone) ceased to exist independently in that their exchange rates were locked at fixed rates against each other, effectively making them mere non-decimal subdivisions of the euro. The notes and coins for the old currencies continued to be used as legal tender until new notes and coins were introduced on January 1, 2002. Beginning January 1, 1999, all bonds and other forms of government debt by eurozone states were denominated in euros.
In 2000, Denmark held a referendum on whether to abandon their opt-out from the euro. The referendum resulted in a decision to retain the Danish krone; this set back plans for a referendum in the UK as a result.
Greece joined the eurozone on January 1, 2001, one year before the physical euro coins and notes replaced the old national currencies in the eurozone.
The enlargement of the eurozone is an ongoing process within the EU. All member states, except Denmark and the United Kingdom which negotiated opt-outs from the provisions, were obliged to adopt the euro as their sole currency once they meet the criteria.
Following the EU enlargement by 10 new members in 2004, seven countries joined the eurozone: Slovenia (2007), Cyprus (2008), Malta (2008), Slovakia (2009), Estonia (2011), Latvia (2014), and Lithuania (2015). Seven remaining states remained on the enlargement agenda: Bulgaria, Croatia, Czech Republic, Hungary, Poland, Romania, and Sweden. Sweden, which joined the EU in 1995, turned down euro adoption in a 2003 referendum. Since then, the country has intentionally avoided fulfilling the adoption requirements.
Several European microstates outside the EU have adopted the euro as their currency. For the EU to sanction this adoption, a monetary agreement must be concluded. Prior to the launch of the euro, agreements were reached with Monaco, San Marino, and Vatican City by EU member states (Italy in the case of San Marino and Vatican City and France in the case of Monaco) allowing them to use the euro and mint a limited amount of euro coins (but not banknotes). All these states previously had monetary agreements to use yielded eurozone currencies. A similar agreement was negotiated with Andorra and came into force in 2012. Outside the EU, there are currently three French territories and a British territory that have agreements to use the euro as their currency. All other dependent territories of eurozone member states that have opted not to be a part of EU, usually with Overseas Country and Territory (OCT) status, use local currencies, often pegged to the euro or U.S. dollar.
Montenegro and Kosovo (non-EU members) have also used the euro since its launch, as they previously used the German mark rather than the Yugoslav dinar. Unlike the states above, however, they do not have a formal agreement with the EU to use the euro as their currency (unilateral use) and have never minted marks or euros. Instead, they depend on bills and coins already in circulation.
Technological and Social Change
Since the end of the World War II, advances in technology have also spurred global economic growth.
In the 1950s and 1960s the television was the technology device that most impacted the world economy. An American inventor, Philo Farnsworth fashioned together the first experimental TV in 1927, and the commercial manufacture of televisions began in the 1940s. By 1960, over 60 million TVs were sold in the United States alone. Radio networks such CBS and NBC established television stations, which featured variety shows and sporting events, as well as dramas and comedies. These networks financed these productions by selling commercial slots to companies who wanted to advertise their products to television audiences. Television thus enabled companies to promote and sell their products to a larger national and even international market. Television shows and advertising inspired consumers to purchase goods and spurred a consumer driven economy. For example, the 1956 appearance of Elvis Presley on The Ed Sullivan Show prompted millions of love-struck teenage girls to purchase the records of this musician and increased the profits of the recording industry.
The development of a network of satellites in space allowed events to be broadcast on television worldwide. The Soviet Union launched the first satellite, Sputnik into space in 1957. In the 1950s and 1960s during the Cold War, the Soviet Union and the United States engaged in a “space race,” a competition to explore outer space. One of the results of this Cold War competition was the development of the commercial use of space satellites to broadcast events around the world. Ironically the first live television broadcast using satellites was a performance of the song All You Need is Love by the musical group, the Beatles in 1967. Beginning in the 1980s consumers could access numerous television channels through electronic cables as well as through satellites.
The computer is another electronic device that has impacted the world economy especially since the 1980s. Computers had their origins in efforts to create electronic counting devices (i.e., cash registers) to expedite mathematical calculations. International Business Machines (IBM) in the 1920s emerged as a leader in this industry in the United States. John Maunchly and J. Presper Eckert invented the first computer in 1951 at the University of Pennsylvania. In the 1960s IBM emerged as the world's leading manufacturer of computers, which were large and bulky and owned by large businesses and governments. In 1977 Steve Jobs and Steve Wozniak unveiled the first Apple personal computer in the United States. Over the next several decades, personal computers (PCs) steadily increased their ability to store information and their speed in transmitting this information. PCs also became less bulky and expensive.
By 2007 consumers could transmit and receive information through a PC via the World Wide Web (the internet) or through a phone. The World Wide Web was invented by the English computer scientist Timothy John Berners-Lee in 1989. And in 2007 Steve Jobs introduced the first “smartphone” that combined the functions of a PC and a phone and could fit into a person's pocket or purse: the Apple iPhone.
The development of PCs and the World Wide Web has created a whole new industry, which is centered at “Silicon Valley” near San Francisco in the United States. This new industry has resulted in the creation of a host of new businesses and jobs.
Computers have also improved efficiency and productivity in the world economy since they facilitate the transmission of information. Some historians have maintained that computers have inaugurated a new “Information Age,” which will transform the world economy. Since the advent of the PC, much of the world has experienced unparalleled, extended periods of uninterrupted economic growth (1983 – 1990, 1991 – 2000, 2001 – 2007). Robotics and Artificial Intelligence (AI)—off-shoots of computer advancements—could impact society and the economy to the same extent as the introduction of the steam engine and the factory system in 18th century Europe. Since the computers are a relatively new development in human history, its historical impact is still unclear and to be determined over time.
World Trade Organization
Recent decades have also witnessed increased efforts around the world to expand and regulate international trade. The World Trade Organization (WTO) is an intergovernmental organization that regulates international trade. The WTO officially commenced on January 1, 1995, under the Marrakesh Agreement signed by 123 nations on April 15, 1994, replacing the General Agreement on Tariffs and Trade (GATT), which commenced in 1948.
The WTO deals with regulation of trade between participating countries by providing a framework for negotiating trade agreements and a dispute resolution process aimed at enforcing participants’ adherence to WTO agreements, which are signed by representatives of member governments and ratified by their legislatures. Most of the issues that the WTO focuses on derive from previous trade negotiations, especially from the Uruguay Round (1986 – 1994).
The WTO has attempted to complete negotiations on the Doha Development Round, which was launched in 2001 to lower trade barriers around the world with an explicit focus on facilitating the spread of global trade benefits to developing countries. There is conflict between developed countries—who desire free trade on industrial goods and services but retention of protectionism on farm subsidies for the agricultural sector—and developing countries—who desire fair trade on agricultural products. This impasse has made it impossible to launch new WTO negotiations beyond the Doha Development Round. As a result, there have been an increasing number of bilateral free trade agreements between governments. Adoption of the Bali Ministerial Declaration, which for the first time successfully addressed bureaucratic barriers to commerce, passed on December 7, 2013, advancing a small part of the Doha Round agenda.
Regional Integration
Another aspect of economic globalization involves regional integration, which is a process by which neighboring states enter into agreements to upgrade cooperation through common institutions and rules. The objectives of the agreement could range from economic to political to environmental, although it has typically taken the form of a political economy initiative where commercial interests are the focus for achieving broader sociopolitical and security objectives as defined by national governments. Regionalism contrasts with regionalization, which is, according to the New Regionalism Approach, the expression of increased commercial and human transactions in a defined geographical region. Regionalism refers to an intentional political process, typically led by governments with similar goals and values in pursuit of the overall development within a region. Regionalization, however, is simply the natural tendency to form regions, or the process of forming regions, due to similarities between states in a given geographical space
Regional integration has been organized either via supranational institutional structures, intergovernmental decision-making, or a combination of both.
Past efforts at regional integration have often focused on removing barriers to free trade within regions, increasing the free movement of people, labor, goods, and capital across national borders, reducing the possibility of regional armed conflict (for example, through confidence- and security-building measures), and adopting cohesive regional stances on policy issues, such as the environment, climate change, and immigration.
Since the 1980s, globalization has changed the international economic environment for regionalism. The renewed academic interest in regionalism, the emergence of new regional formations, and international trade agreements like the North American Free Trade Agreement (NAFTA) and the development of a European Union demonstrate the upgraded importance of regional political cooperation and economic competitiveness. In 1994, the United States, Canada, and Mexico signed NAFTA to lower or eliminate tariffs and create a large free trade zone incorporating the North American continent. The African Union was launched on July 9, 2002, and a proposal for a North American region was made in 2005 by the Council on Foreign Relations’ Independent Task Force on the Future of North America. In Latin America, however, the proposal to extend NAFTA into a Free Trade Area of the Americas that would stretch from Alaska to Argentina was ultimately rejected by nations such as Venezuela, Ecuador, and Bolivia. It has been superseded by the Union of South American Nations (UNASUR), which was constituted in 2008.
The Developing World
Although developing countries’ economies have tended to demonstrate higher growth rates than those of developed countries, they tend to lag behind in terms of social welfare targets.
Economic development originated as a global concern in the post-World War II period of reconstruction. In President Harry Truman’s 1949 presidential inaugural speech, the development of undeveloped areas was characterized as a priority for the West. The origins of this priority can be attributed to the need for reconstruction in the immediate aftermath of World War II, the legacy of colonialism in the context of the establishment of a number of free trade policies and a rapidly globalizing world, and the start of the Cold War with the desire of the U.S. and its allies to prevent satellite states from drifting towards communism. Changes in the developed world’s approach to international development were further necessitated by the gradual collapse of Western Europe’s empires over the following decades because newly independent ex-colonies no longer received support in return for their subordinate role to an imperial power.
The launch of the Marshall Plan was an important step in setting the agenda for international development, which was combining humanitarian goals with the creation of a political and economic bloc in Europe allied to the U.S. This agenda was given conceptual support during the 1950s in the form of modernization theory as espoused by Walt Rostow and other American economists.
By the late 1960s, dependency theory arose, analyzing the evolving relationship between the West and the Third World. Dependency theorists argue that poor countries have sometimes experienced economic growth with little or no economic development initiatives, such as in cases where they have functioned mainly as resource-providers to wealthy industrialized countries. As such, international development at its core has been geared towards colonies that gained independence with the understanding that newly independent states should be constructed so that the inhabitants enjoy freedom from poverty, hunger, and insecurity.
In the 1970s and early 1980s, the modernists at the World Bank and IMF adopted the neoliberal ideas of economists such as Milton Friedman or Bela Balassa. They implemented structural adjustment programs, while their opponents promoted various bottom-up approaches ranging from civil disobedience and critical consciousness to appropriate technology and participatory rural appraisal.
By the 1990s, some writers and academics felt an impasse had been reached within development theory, with some imagining a post-development era. The Cold War had ended, capitalism had become the dominant mode of social organization, and UN statistics showed that living standards around the world had improved significantly over the previous 40 years. Nevertheless, a large portion of the world’s population was still living in poverty, their governments were crippled by debt, and concerns about the environmental impact of globalization were rising. In response to the impasse, the rhetoric of development has since focused on the issue of poverty, with the concept of modernization replaced by shorter term visions embodied by the Millennium Development Goals and the Human Development approach, which measures human development in capabilities achieved. At the same time, some development agencies are exploring opportunities for public-private partnerships and promoting the idea of corporate social responsibility with the apparent aim of integrating international development with the process of economic globalization.
Critics have suggested that such integration has always been part of the underlying agenda of development. They argue that poverty can be equated with powerlessness, and that the way to overcome poverty is through emancipatory social movements and civil society, not paternalistic aid programs or corporate charity. This approach is embraced by organizations such as the Gamelan Council, which seeks to empower entrepreneurs through micro-finance initiatives, for example.
While some critics have been debating the end of development, however, others have predicted a development revival as part of the War on Terrorism. To date, however, there is limited evidence to support the notion that aid budgets are being used to counter Islamic fundamentalism in the same way that they were used 40 years ago to counter communism.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:McDonald%27s_in_Indianapolis_-_Everett_01.jpg
Valerie Everett, CC BY-SA 2.0 <https://creativecommons.org/licenses/by-sa/2.0>, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/european-unification/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/europe-in-the-21st-century/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/globalization/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/global-concerns/
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Tiger Economies
Overview
Tiger Economies
Since the end of the Cold War in the 1990s and 2000s, certain Asian countries (the so-called “Tigers”) have emerged as competitors to Europe and the United States as great economic powers.
Learning Objectives
- Identify the reasons for the emergence of the “Tiger” economies.
- Examine the political, economic, and social issues facing these rising Asian nations.
- Analyze the differences between North Korea and these “Tiger” economies.
Key Terms / Key Concepts
bamboo network: a term used to conceptualize connections between certain businesses operated by overseas Chinese in Southeast Asia
Four Asian Tigers: a collective name used to refer to the economies of Hong Kong, Singapore, South Korea, and Taiwan, which underwent rapid industrialization and maintained exceptionally high growth rates between the early 1960s and 1990s
G7: a group consisting of Canada, France, Germany, Italy, Japan, the United Kingdom, and the United States (These countries are the seven major advanced economies as reported by the International Monetary Fund and represent more than 64% of the net global wealth—$263 trillion.)
socialist oriented market economy: the economic model employed by the People’s Republic of China, which is based on the dominance of the state-owned sector and an open-market economy and has its origins in the Chinese economic reforms introduced under Deng Xiaoping
Tiger Cub Economies: a collective term used to refer to the economies of Indonesia, Malaysia, the Philippines, Thailand and Vietnam, the five dominant countries in Southeast Asia; a group so named because they follow the same export-driven model of economic development pursued by the Four Asian Tigers
Yasukuni Shrine: a Shinto shrine that memorializes Japanese armed forces members killed in wartime constructed during the Meiji period to house the remains of those who died for Japan
The Rising Economies of East Asia
The economy of East Asia is one of the most successful regional economies of the world. The changes that turned the area into the economic power began with the Meiji Restoration in the late 19th century when Japan rapidly transformed into the only industrial power outside Europe and the United States. Japan’s early industrial economy reached its height during World War II and its eventual defeat in the war slowed down economic development for a relatively short period of time. Japan’s economy recovered already in the 1950s and by the 1980s, the country was the world’s second largest economy.
Other East Asian countries followed with their own reforms and resulting “economic miracles”; today, East Asia is home of some of the world’s largest and most prosperous economies, including Mainland China, Hong Kong, Macau, Taiwan, Japan, and South Korea. Major growth factors have ranged from favorable political and legal environments for industry and commerce, through abundant natural resources, to plentiful supplies of relatively low-cost, skilled, and adaptable labor. Local populations have rapidly adjusted to the requirements of new technologies and scientific discoveries, while also demonstrating exceptional work ethics. The region’s economic success has led the World Bank to dub it an East Asian Renaissance.
Although technically not seen as part of the East Asian Renaissance, India, associated more closely with the South Asian region, has become an equally thriving and critical Asian member of the global economy in the last several decades.
Japan
In the three decades of economic development following 1960, Japan ignored defense spending in favor of economic growth, thus allowing for a rapid economic growth referred to as the Japanese post-war economic miracle. With average growth rates of 10% in the 1960s, 5% in the 1970s, and 4% in the 1980s, Japan was able to establish and maintain itself as the world’s second largest economy from 1978 until 2010, when it was surpassed by the People’s Republic of China.
The economy of Japan is the third largest in the world by nominal GDP, the fourth-largest by purchasing power parity (PPP), and the world’s second largest developed economy. Japan is thus a member of the G7. Due to a volatile currency exchange rate, Japan’s GDP as measured in dollars fluctuates widely. Accounting for these fluctuations, Japan is estimated to have a GDP per capita of around $38,490.
Japan is the world’s third largest automobile manufacturing country, has the largest electronics goods industry, and is often ranked among the world’s most innovative countries leading several measures of global patent filings. Facing increasing competition from China and South Korea, manufacturing in Japan today focuses primarily on high-tech and precision goods, such as optical instruments, hybrid vehicles, and robotics. Japan is the world’s largest creditor nation. It generally runs an annual trade surplus and has a considerable net international investment surplus. In 2015, 54 of the Fortune Global 500 companies were based in Japan.
The Japanese economy faces considerable challenges posed by a dramatically declining population. Statistics showed an official decline for the first time in 2015, while projections suggest that it will continue to fall from 127 million down to below 100 million by the middle of the 21st century. A mountainous, volcanic island country, Japan has inadequate natural resources to support its growing economy and large population. Therefore, Japan exports goods, which are highly valued across the world. Japan exports engineering-oriented, research, and development-led industrial products and imports raw materials and oil. Japan is among the top-three importers for agricultural products in the world next to the European Union and United States in total volume for covering of its own domestic agricultural consumption.
Japan in the World
Since the late 1990s, the U.S.-Japan relationship has improved and strengthened. The major cause of friction in the relationship, trade disputes, became less problematic as China displaced Japan as the greatest perceived economic threat to the United States. Meanwhile, although in the immediate post-Cold War period the security alliance suffered from a lack of a defined threat, the emergence of North Korea as a belligerent rogue state and China’s economic and military expansion provided a purpose to strengthen the relationship. While the foreign policy of the administration of President George W. Bush put a strain on some of the United States’ international relations, the alliance with Japan became stronger, as evidenced by the Deployment of Japanese troops to Iraq and the joint development of anti-missile defense systems.
The Okinawa Controversy
Okinawa is the site of major American military bases that have caused problems, as Japanese and Okinawans have protested their presence for decades. In secret negotiations that began in 1969, Washington sought unrestricted use of its bases for possible conventional combat operations in Korea, Taiwan, and South Vietnam, as well as the emergency re-entry and transit rights of nuclear weapons. However, anti-nuclear sentiment was strong in Japan and the government wanted the United States to remove all nuclear weapons from Okinawa. In the end, the United States and Japan agreed to maintain bases that would allow the continuation of American deterrent capabilities in East Asia. When the Ryukyu Islands, including Okinawa, reverted to Japanese control in 1972, the United States retained the right to station forces on these islands. A dispute that had boiled since 1996 regarding a base with 18,000 U.S. Marines was temporarily resolved in late 2013. Agreement was reached to move the Marine Corps Air Station Futenma to a less-densely populated area of Okinawa.
As of 2014, the United States still had 50,000 troops in Japan and the headquarters of the U.S. 7th Fleet, including more than 10,000 Marines. Also in 2014, it was revealed the United States was deploying two unarmed Global Hawk long-distance surveillance drones to Japan with the expectation they would engage in surveillance missions over China and North Korea.
Japan and Reckoning with History
In recent decades, Japan has faced increased pressure from its East Asian neighbors to be more accountable for its past actions. Despite numerous apologies for Japan’s war crimes from Japanese government representatives since World War II, repeated comments of Japanese politicians questioning the crimes, the problematic degree of formality of apologies, and retractions or contradictions by statements or actions of Japan have exposed the country’s refusal to reckon with its difficult past. Japanese war crimes occurred in many Asian and Pacific countries during the period of Japanese imperialism, primarily during the Second Sino-Japanese War, which eventually merged into World War II. Some were committed by military personnel from the Empire of Japan in the late 19th century, although most took place from the first part of the Shōwa Era, the name given to the reign of Emperor Hirohito, until the surrender of the Empire of Japan in 1945.
Some historians and governments hold Japanese military forces, the Imperial Japanese Army, the Imperial Japanese Navy, and the Imperial Japanese family, especially under Emperor Hirohito, responsible for the deaths of millions of civilians and prisoners of war through massacre, human experimentation, starvation, and forced labor either directly perpetrated or condoned by the Japanese military and government. Estimates range from 3 to 14 million victims. Airmen of the Imperial Japanese Army Air Service and Imperial Japanese Navy Air Service were not included as war criminals because there was no positive or specific customary international humanitarian law that prohibited the unlawful conduct of aerial warfare either before or during World War II. However, the Imperial Japanese Army Air Service took part in chemical and biological attacks on enemy nationals during the Second Sino-Japanese War and World War II, and the use of such weapons in warfare was generally prohibited by international agreements signed by Japan, including the Hague Conventions (1899 and 1907), which banned the use of “poison or poisoned weapons” in warfare.
Japan's Problematic Reckoning
Since the 1950s, senior Japanese Government officials have issued numerous apologies for the country’s war crimes. Japan’s Ministry of Foreign Affairs states that the country acknowledges its role in causing “tremendous damage and suffering” during World War II, especially in regard to the Nanking Massacre in which Japanese soldiers killed a large number of non-combatants and engaged in looting and rape. But unlike Germany, for example, Japan has not fully recognized the scale of its war-time atrocities, and its approach to dealing with the difficult past has caused controversy around the world. Japanese nationalist politicians engaged in efforts to whitewash the actions of the Empire of Japan during World War II. While they were not entirely successful, some Japanese history textbooks offer only brief references to various war crimes.
Critics have questioned the degree and formality of apologies and noted the issue of retractions and contradictory actions by Japan. An illustrative example is the issue of the so-called comfort women, women and girls who were forced into sexual slavery by the Imperial Japanese Army in occupied territories before and during World War II. In 1951, the South Korean government demanded $364 million in compensation for Koreans forced into labor and military service during Japanese occupation. In the final agreement reached in the 1965 treaty, Japan provided an $800 million aid and low-interest loan package over 10 years. However, the money was for the Korean government, not individuals.
Three Korean women filed suit in Japan in 1991, around the time of the 50th anniversary of the Pearl Harbor attack, demanding compensation for forced prostitution. In 1992, documents were found in the library of Japan’s Self-Defense Agency that indicated that the Japanese military played a large role in operating what were euphemistically called “comfort stations”. The Japanese Government admitted that the Japanese Army forced tens of thousands of Korean women to have sex with Japanese soldiers during World War II. On January 14, 1992, Japanese Chief Government Spokesman Koichi Kato issued an official apology. Three days later, at a dinner given by South Korean President Roh Tae Woo, Prime Minister Kiichi Miyazawa apologized to his host and the following day in a speech before South Korea’s National Assembly.
In 1994, the Japanese government set up the public-private Asian Women’s Fund (AWF) to distribute additional compensation to South Korea, the Philippines, Taiwan, the Netherlands, and Indonesia. A number of former comfort women (61 Korean, 13 Taiwanese, 211 Filipino, and 79 Dutch) were given a signed apology from Prime Minister Tomiichi Murayama. Many former Korean comfort women rejected the compensations on principle. Although the AWF was set up by the Japanese government, its funds came not from the government but from private donations, hence the compensation was not “official.” In 1998, the Japanese court ruled that the Japanese government must compensate the women and awarded them $2,300 (equivalent to $3,380 in 2016) each.
On March 1, 2007, Prime Minister Shinzō Abe stated that there was no evidence that the Japanese government had kept sex slaves, even though the Japanese government already admitted the use of coercion in 1993. On February 20, 2014, Chief Cabinet Secretary Yoshihide Suga said that the Japanese government may reconsider the study and the apology. However, Prime Minister Abe clarified on March 14, 2014, that he had no intention of renouncing or altering it. On December 28, 2015, Abe and South Korean President Park Geun-hye reached a formal agreement to settle the dispute. However, the Korean comfort women and the majority of the Korean population regarded the resolution as unsatisfying. The Korean comfort women stated that they were not protesting for money and that their goals for the formal and public apology from Abe and the Japanese government and the correction of Japanese history textbooks had not been met. In 2019 due to lack of public support, the South Korean government dissolved this agreement.
Japan and Its Neighbors
The People’s Republic of China joined other Asian countries—such as South Korea, North Korea, and Singapore—in criticizing Japanese history textbooks that whitewash Japanese war crimes in World War II. Although Prime Minister Junichiro Koizumi openly declared “deep remorse” over Japan’s wartime crimes in 2005 (the latest in a series of apologies spanning several decades), many Chinese observers regard the apology as insufficient and not backed up by sincere action because of the lack of change to Japan’s representation of history.
The PRC and Japan also continue to debate over the actual number of people killed in the Nanking Massacre. The PRC claims that at least 300,000 civilians were murdered while Japan claims 40,000 – 200,000. While a majority of Japanese believe in the existence of the massacre, a Japanese-produced documentary film released just prior to the 60th anniversary of the massacre, titled The Truth about Nanjing, denies that any such atrocities took place. These disputes have stirred up enmity against Japan from the global Chinese community, including Taiwan.
Although the Japanese government has admitted to the killing of a large number of non-combatants, looting, and other violence committed by the Imperial Japanese Army after the fall of Nanking, and Japanese veterans who served there have confirmed that a massacre took place, a small but vocal minority within both the Japanese government and society have argued that the death toll was military in nature and that no such crimes ever occurred.
Since the 1950s, many prominent politicians and officials in Japan have made statements on Japanese colonial rule in Korea, which created outrage and led to diplomatic scandals in Korean-Japanese relations. The statements have led to anti-Japanese sentiments among Koreans and a widespread perception that Japanese apologies for colonial rule have been insincere. Although diplomatic relations were established by a treaty in 1965, South Korea continues to request an apology and compensation for Korea under Japanese rule. In 2012, the South Korean government announced that Emperor Akihito must apologize for Japan’s colonial rule of the Korean Peninsula. Most Japanese prime ministers have issued apologies, including Prime Minister Obuchi in the Japan–South Korea Joint Declaration of 1998. While South Koreans welcomed the apologies at the time, many now view the statements as insincere because of continuous misunderstandings between the two nations.
In the early 1990s, Japan conducted lengthy negotiations with North Korea aimed at establishing diplomatic relations while maintaining its relations with Seoul. In September 1990, a Japanese political delegation led by former deputy Prime Minister Shin Kanemaru of the Liberal Democratic Party visited North Korea. Following private meetings between Kanemaru and North Korean leader Kim Il Sung, a joint declaration released on September 28 called for Japan to apologize and compensate North Korea for its period of colonial rule. Japan and North Korea agreed to begin talks aimed at the establishment of diplomatic relations.
In January 1991, Japan began normalization talks with Pyongyang with a formal apology for its 1910 – 45 colonial rule of the Korean Peninsula. The negotiations were aided by Tokyo’s support of a proposal for simultaneous entry into the United Nations by North Korea and South Korea. The issues of international inspection of North Korean nuclear facilities and the nature and amount of Japanese compensations, however, proved more difficult to negotiate. Prime Minister Junichirō Koizumi, in the Japan-DPRK Pyongyang Declaration of 2002, said: “I once again express my feelings of deep remorse and heartfelt apology, and also express the feelings of mourning for all victims, both at home and abroad, in the war.”
Yasukuni Shrine
Yasukuni Shrine is a Shinto shrine that memorializes Japanese armed forces members killed in wartime. It was constructed as a memorial during the Meiji period to house the remains of those who died for Japan. The shrine houses the remains of Hideki Tojo, Prime Minister and Army Minister of Japan between 1941 and 1944, and 13 other Class A war criminals. Yasukuni Shrine has been a subject of controversy, as it also a memorial for over a thousand Japanese and some Korean war criminals. The presence of these war criminals among the dead honored at Yasukuni Shrine means that visits to Yasukuni have been seen by Chinese and South Koreans as support for these war criminals of the wartime era.
Yasuhiro Nakasone and Ryutaro Hashimoto visited Yasukuni Shrine in 1986 and 1996 respectively, and both paid respects as Prime Minister of Japan, drawing intense opposition from Korea and China. Junichirō Koizumi visited the shrine and paid respects six times during his term as Prime Minister of Japan. These visits again drew strong condemnation and protests from Japan’s neighbors, mainly China and South Korea. As a result, the heads of the two countries refused to meet with Koizumi, and there were no mutual visits between Chinese and Japanese leaders after October 2001 and between South Korean and Japanese leaders after June 2005. The President of South Korea, Roh Moo-hyun, had suspended all summit talks between South Korea and Japan until 2008, when he resigned from office. Japanese prime minister, Shinzō Abe, has made several visits to the shrine, the most recent being in December 2013.
Four Asian Tigers
In addition to Japan, the other economic powers in East Asia include the “Four Asian Tigers.” the economies of Hong Kong, Singapore, South Korea, and Taiwan. These four countries underwent rapid industrialization and maintained exceptionally high growth rates (in excess of 7 percent a year) between the early 1960s (mid-1950s for Hong Kong) and 1990s. By the 21st century, all four had developed into advanced and high-income economies, specializing in areas of competitive advantage. For example, Hong Kong and Singapore have become world-leading international financial centers, whereas South Korea and Taiwan are world leaders in information technology manufacturing. Their economic success stories have served as role models for many developing countries, especially the Tiger Cub Economies.
Export policies have been the de facto reason for the rise of the Four Asian Tiger economies. The approach taken has been different among the four nations. Hong Kong and Singapore introduced trade regimes that were neoliberal in nature and encouraged free trade, while South Korea and Taiwan adopted mixed regimes that accommodated their own export industries. In Hong Kong and Singapore, due to small domestic markets, domestic prices were linked to international prices. South Korea and Taiwan introduced export incentives for the traded-goods sector. The governments of Singapore, South Korea, and Taiwan also worked to promote specific exporting industries, which were termed as an export push strategy. All these policies helped these four nations to achieve a growth averaging 7.5% each year for three decades and as such they achieved developed country status.
A controversial World Bank report (see The East Asian Miracle 1993) credited neoliberal policies with the responsibility for the boom, including maintenance of export-led regimes, low taxes, and minimal welfare states. Some state intervention has been also admitted to be a factor. However, many have argued that industrial policy had a much greater influence than the World Bank report suggested. The World Bank report itself acknowledged benefits from policies of the repression of the financial sector, such as state-imposed below-market interest rates for loans to specific exporting industries. Other important aspects include major government investments in education, non-democratic and relatively authoritarian political systems during the early years of development, high levels of U.S. bond holdings, and high public and private savings rates.
South Korea
In the first half of the 1990s, in already democratic South Korea, the economy continued a stable and strong growth. Things changed quickly in 1997 with the Asian Financial Crisis. By 1997, the IMF had approved a USD $21 billion loan, that would be part of a USD $58.4 billion bailout plan. By January 1998, the government had shut down a third of Korea’s merchant banks. Actions by the South Korean government and debt swaps by international lenders contained the country’s financial problems. Much of South Korea’s recovery from the Asian Financial Crisis can be attributed to labor adjustments (i.e. a dynamic and productive labor market with flexible wage rates) and alternative funding sources.
In the 2000s, Korea’s economy moved away from the centrally planned, government-directed investment model toward a more market-oriented one. These economic reforms helped it maintain one of Asia’s few expanding economies.
South Korea enjoys a high-income economy and massively invests in education, which has brought the country from mass illiteracy to becoming major international technological powerhouse. The country’s national economy benefits from a highly skilled workforce, and South Koreans are among the most educated societies in the world with one of the highest percentage of individuals holding a higher education degree. The South Korean economy continues to be heavily dependent on international trade and in 2014, the country was the 5th largest exporter and 7th largest importer in the world. The incredible economic development from the early 1960s to the late 1990s and becoming one of the fastest-growing developed countries in the 2000s has compelled South Koreans to refer to this growth as the Miracle on the Han River. South Korea was also one of the few developed countries that were able to avoid a recession during the global financial crisis of 2007 – 2008.
Tiger Cub Economies
The term Tiger Cub Economies collectively refers to the economies of Indonesia, Malaysia, the Philippines, Thailand, and Vietnam, the five dominant countries in Southeast Asia. They are so named because they follow the same export-driven model of economic development pursued by the Four Asian Tigers. Four countries are included in HSBC’s (United Kingdom bank) list of top 50 economies in 2050, while Vietnam, Indonesia and the Philippines are included in Goldman Sachs’s (US investment bank) Next Eleven list of economies because of their rapid growth and large population. Out of these, Vietnam has been determined to become possibly the fastest growing of the world’s emerging economies by 2020. Similarly to China, the country’s socialist-oriented market economy is a developing planned economy and market economy. In the 21st century, Vietnam is in a period of being integrated into the global economy. It has become a leading agricultural exporter and served as an attractive destination for foreign investment in Southeast Asia.
Overseas Chinese entrepreneurs played a prominent role in the development of the region’s private sectors. These businesses are part of the larger “bamboo network,” a network of overseas Chinese businesses operating in the markets of Malaysia, Indonesia, Thailand, Vietnam, and the Philippines that share common family and cultural ties. China’s transformation into a major economic power in the 21st century has led to increasing investments in Southeast Asian countries where the bamboo network is present.
India and North Korea
India has emerged as an economic power since the the 1990s, whereas North Korea, unlike South Korea and other states in East Asia, has become increasingly isolated internationally under a brutal dictatorship.
Key Terms / Key Concepts
BRICS: the acronym for an association of five major emerging national economies (Brazil, Russia, India, China, South Africa)
Global Hunger Index: an index that places a third of weight on proportion of the population that is estimated to be undernourished, a third on the estimated prevalence of low body weight to height ratio in children younger than five, and remaining third weight on the proportion of children dying before the age of five for any reason
G-20: an international forum for the governments and central bank governors from 20 major economies founded in 1999 with the aim of studying, reviewing, and promoting high-level discussion of policy issues pertaining to the promotion of international financial stability
License Raj: the elaborate system of licenses, regulations, and accompanying red tape required to set up and run businesses in India between 1947 and 1990
North Korean famine: a famine that killed somewhere between 240,000 and 3.5 million North Koreans between 1994 and 1998
Sunshine Policy: the foreign policy of South Korea towards North Korea from 1998 to 2008
India after the Cold War
In 1991, two events resulted in a major balance-of-payments crisis for India: the collapse of their major trading partner, Soviet Union, and the Gulf War, which caused a spike in oil prices. As a result, India found itself facing the prospect of defaulting on its loans. The country asked for a $1.8 billion bailout loan from the International Monetary Fund (IMF), which in return demanded deregulation. In response, Prime Minister Narasimha Rao, along with his finance minister Manmohan Singh, initiated economic liberalization in 1991. The reforms did away with the License Raj (a system of licenses, regulations, and accompanying red tape required to set up and run businesses), reduced tariffs and interest rates, and ended many public monopolies, allowing automatic approval of foreign direct investment in many sectors. Since then, the overall thrust of liberalization has remained the same, although no government has tried to take on powerful lobbies. By the turn of the 21st century, India had progressed towards a free-market economy, with a substantial reduction in state control of the economy and increased financial liberalization.
Currently, the economy of India is the sixth largest in the world measured by nominal GDP and the third largest by purchasing power parity (PPP). The country is classified as a newly industrialized country, one of the G-20 major economies, and a member of BRICS. It is a developing economy with an average growth rate of approximately 7% over the last two decades.
Maharashtra is the wealthiest Indian state and has an annual nominal GDP of $330 billion US, nearly equal to that of Portugal and Pakistan combined. Additionally, it accounts for 12% of the Indian GDP followed by the states of Tamil Nadu ($150 billion US) and Uttar Pradesh ($130 billion US).
India’s economy was the world’s fastest growing major economy in the last quarter of 2014, replacing the People’s Republic of China. India has one of the fastest growing service sectors in the world with an annual growth rate of above 9% since 2001, which contributed to 57% of GDP in 2012 – 13. India has become a major exporter of IT (Information Yechnology) services, business process outsourcing services, and software services, with $167.0 billion worth of service exports in 2013 – 14. It also became the fastest-growing part of the economy. The IT (Information industry) thus became the largest private sector employer in the country. At that time, India emerged as the third largest start-up hub in the world with over 3,100 technology start-ups in 2014 – 15. The agricultural sector remained the largest employer in India’s economy but contributed to a declining share of its GDP (17% in 2013 – 14). India ranked second worldwide in farm output. The industry sector has held a constant share of its economic contribution (26% of GDP in 2013 – 14). The Indian automobile industry became one of the largest in the world with an annual production of 21.48 million vehicles (mostly two- and three-wheelers) in fiscal year 2013 – 14. India had $600 billion worth of the retail market in 2015, and one of world’s fastest growing e-commerce markets.
Outcomes of Economic Development
India’s agricultural sector today still faced issues of efficiency due to lack of mechanization and small farmers who live in poor conditions. In India, traditional agriculture remained dominant as many farmers depended on livestock in crop production, for both the produced manure and their use as manual ploughs. According to 2011 statistics, the average farm in India was about 1.5 acres, minuscule when compared to the average of 50 hectares in France, 178 hectares in United States, and 273 hectares in Canada.
Despite the impressive accomplishments of the Green Revolution, India has continued to face massive socioeconomic challenges. In 2006, India contained the largest number of people living below the World Bank’s international poverty line of $1.25 US per day, the proportion having decreased from 60% in 1981 to 42% in 2005 and 25% in 2011. According to a Food and Agriculture Organization report in 2015, 15% of the Indian population was undernourished. Since 1991, economic inequality between India’s states has consistently grown: the per capita net state domestic product of the richest states in 2007 was 3.2 times that of the poorest.
Global Hunger Index (GHI) measures hunger by placing a third of weight on proportion of the population that is estimated to be undernourished, a third on the estimated prevalence of low body weight to height ratio in children younger than five, and the remaining third on the proportion of children dying before the age of five for any reason. According to 2011 GHI report, India had improved its performance by 22% in 20 years, from 30.4 to 23.7 over the 1990 – 2011 period. However, its performance from 2001 to 2011 showed little progress, with just 3% improvement. A sharp reduction in the percentage of underweight children has helped India improve its hunger record on the Global Hunger Index (GHI) 2014. Between 2005 and 2014, the prevalence of underweight children under the age of five fell from 43.5% to 30.7%.
In 2012, the National Crime Records Bureau of India reported 13,754 farmer suicides. Farmer suicides accounted for 11.2% of all suicides in India. Activists and scholars have offered a number of conflicting reasons for this phenomenon, such as monsoon failure, high debt burdens, genetically modified crops, government policies, public mental health, personal issues, and family problems.
India has made huge progress in terms of increasing the primary education attendance rate and expanding literacy to approximately three-fourths of the population. The literacy rate grew from 52.2% in 1991 to 74.04% in 2011. The right to education at elementary level has been made fundamental, and legislation has been enacted to further the objective of providing free education to all children. However, the literacy rate of 74% was still lower than the worldwide average and the country suffered from a high drop-out rate (impacted by economic challenges faced by the poorest segments of the society). Further, the literacy rates and educational opportunities varied greatly by region, gender, urban and rural areas, and among different social groups.
There is a continuing debate on whether India’s economic expansion has been pro-poor or anti-poor. Studies suggest that the economic growth has reduced poverty in India, although it remains at a substantial level. In 2012, the Indian government stated 21.9% of its population is below its official poverty threshold. According to United Nation’s Millennium Development Goal (MDG) program, 270 million or 21.9% people out of 1.2 billion of Indians lived below poverty line of $1.25 in 2011 – 2012 as compared to 41.6% in 2004 – 05. It is important to note, however, that the World Bank and UN-accepted poverty line is very low and many of those whose purchasing power falls above it still face massive economic struggles.
A critical problem facing India’s economy is the sharp and growing regional variations among India’s different states and territories in terms of poverty, availability of infrastructure, and socioeconomic development. Severe disparities exist among states in terms of income, literacy rates, life expectancy, and living conditions.
After liberalization, the more advanced states have been better placed to benefit, with well-developed infrastructure and an educated and skilled workforce that attract the manufacturing and service sectors. The governments of less-advanced regions are trying to reduce disparities by offering tax holidays and cheap land. These state governments have focused more on sectors like tourism, which, although geographically and historically determined, can become a source of growth and develop faster than other sectors.
Corruption has been one of the pervasive problems affecting India. A 2005 study by Transparency International (TI) found that more than half of those surveyed had firsthand experience of paying bribes or peddling influence to get a job done in a public office over the previous year. In 1996, bureaucracy and the License Raj were suggested as a cause for the institutionalized corruption and inefficiency. More recent reports suggest the causes include excessive regulations and approval requirements, mandated spending programs, monopoly of certain goods and service providers by government-controlled institutions, bureaucracy with discretionary powers, and lack of transparent laws and processes. The Right to Information Act (2005) is a law that requires government officials to furnish information requested by citizens or face punitive action; it, along with computerization of services and various central and state government acts that established vigilance commissions, have reduced corruption and opened avenues to redress grievances.
In 2011, the Indian government concluded that most spending fails to reach its intended recipients. A large, cumbersome bureaucracy sponges up or siphons off spending budgets. India’s absentee rates are one of the worst in the world. One study found that 25% of public sector teachers and 40% of government-owned public sector medical workers could not be found at the workplace. Similarly, there are many issues facing Indian scientists, with demands for transparency, hiring based on merit, and an overhaul of the bureaucratic agencies that oversee science and technology.
Despite the impressive economic growth, India continues to experience many social issues, many associated with countries that lag economically. These include the lack of proper sanitation, debt bondage and other forms of bonded labor, child labor, child marriage, gender-based violence, and poor access to quality health care and education faced by a substantial segment of the caste-based society.
North Korea
North Korea has remained committed to its Marxist-Leninist ideology with its command economy, even following the collapse of the Soviet Union in 1991. As the Cold War ended, North Korea lost the support of the Soviet Union and plunged into economic crisis. In 1998, South Korean President Kim Dae-jung initiated the Sunshine Policy, which aimed to foster better relations with the North. The main aim of the policy was to soften North Korea’s attitudes towards the South by encouraging interaction and economic assistance. The national security policy had three basic principles: no armed provocation by the North will be tolerated, the South will not attempt to absorb the North in any way, and the South actively seeks cooperation.
Despite a naval clash in 1999, and in 2000, the first Inter-Korean Summit between the leaders of the two countries—Kim Dae-jung and Kim Jong-il—took place. As a result, Kim Dae-jung was awarded the Nobel Peace Prize. The summit was followed by the reunion of families divided by the Korean War. The same year, the North and South Korean teams marched together at the Sydney Olympics. Trade increased to the point where South Korea became North Korea’s largest trading partner. In 2003, the Kaesong Industrial Region was established to allow South Korean businesses to invest in the North. However, in the aftermath of the September 11 attacks, U.S. President George W. Bush did not support the policy and in 2002 branded North Korea as a member of “the Axis of Evil.” The Sunshine Policy was formally abandoned by South Korean President Lee Myung-bak after his election in 2007.
Meanwhile, in response to its increased isolation, North Korea redoubled its efforts to develop nuclear weapons and intercontinental ballistic missiles. In 2006, North Korea announced it had successfully conducted its first nuclear test. At the start of the 21st century, it was estimated that the concentration of firepower in the area between Pyongyang and Seoul was greater than that in Central Europe during the Cold War. The North’s Korean People’s Army was numerically twice the size of South Korea’s military and had the capacity to devastate Seoul with artillery and missile bombardment. South Korea’s military, however, was assessed as technically superior. US forces remained in South Korea and carried out annual military exercises with South Korean forces. These have been routinely denounced by North Korea as acts of aggression. Between 1997 and 2016, the North Korea government accused other governments of declaring war against it 200 times. In 2013, amid tensions about its missile program, North Korea temporarily forced the shutdown of the jointly operated Kaesong Industrial Region The zone was shut again in 2016. In 2016, amid controversy, South Korea decided to deploy the U.S. THAAD anti-missile system. After North Korea’s fifth nuclear test in September 2016, it was reported that South Korea had developed a plan to raze Pyongyang if there were signs of an impending nuclear attack from the North.
Over this period, North Korea remained under the control of a communist, military dictatorship. North Korea’s first military dictator, Kim Il-sung died from a sudden heart attack in 1994. His son, Kim Jong-il, who had already assumed key positions in the government, succeeded as General-Secretary of the Korean Workers’ Party. At that time, North Korea had no secretary-general in the party nor a president. Although a new constitution appeared to end the war-time political system, it did not completely terminate the transitional military rule. Rather, it legitimized and institutionalized military rule by making the National Defense Commission (NDC) the most important state organization and its chairman the highest authority. After three years of consolidating his power, Kim Jong-il became Chairman of the NDC in 1997 and thus North Korea’s de facto head of state.
Meanwhile, the economy was in steep decline. From 1990 to 1995, foreign trade was cut in half, with the loss of subsidized Soviet oil particularly keenly felt. The crisis came to a head in 1995 with widespread flooding that destroyed crops and infrastructure, leading to a famine that lasted until 1998.The North Korean government and its centrally planned system proved too inflexible to effectively curtail the disaster. Estimates of the death toll vary widely. Out of a total population of approximately 22 million, somewhere between 240,000 and 3.5 million North Koreans died from starvation or hunger-related illnesses, with deaths peaking in 1997. Recent research suggests that the likely number of excess deaths between 1993 and 2000 was about 330,000.
Kim Jong-un's Rule
In 2011, the supreme leader of North Korea Kim Jong-il died from a heart attack. His youngest son Kim Jong-un was announced as his successor. In December 2011, the leading North Korean newspaper Rodong Sinmun announced that Kim Jong-un had been acting as chairman of the Central Military Commission and supreme leader of the country. In 2012, a large rally was held by Korean People’s Army in front of Kumsusan Memorial Palace to honor Kim Jong-un and demonstrate loyalty. North Korea’s cult of personality around Kim Jong-un was stepped up following his father’s death. In February 2017, two women in Malaysia with VX nerve agent (a chemical weapon) attacked and killed Kim Jong-nam, during his return trip to Macau at the Kuala Lumpur International Airport. Kim Jong-nam was the eldest son of Kim Jong-il and half-brother of Kim Jong-un; from 1994 to 2001 Kim Jong-nam was considered the heir apparent to his father, prior to his exile to Macau. Kim Myung-yeon, a spokesperson for South Korea’s ruling party, described the killing as a “naked example of Kim Jong-un’s reign of terror.” The South Korean government accused the North Korean government of being responsible for Kim Jong-nam’s assassination and drew a parallel with the execution of Kim Jong-un’s own uncle and others. The government later held an emergency security council meeting where they condemned the murder of Kim Jong-nam. The acting President of South Korea, Hwang Kyo-ahn said that if the murder of Kim Jong-nam was confirmed to be masterminded by North Korea, it would clearly depict the brutality and inhumanity of the Kim Jong-un regime.
Under Kim Jong-un, North Korea has continued to develop nuclear weapons. In 2013, Kim Jong-un announced that North Korea will adopt “a new strategic line on carrying out economic construction and building nuclear armed forces simultaneously.” According to several analysts, North Korea sees the nuclear arsenal as vital to deter an attack, but it is unlikely that the country would launch a nuclear war. In 2016, Kim Jong-un stated that North Korea would “not use nuclear weapons first unless aggressive hostile forces use nuclear weapons to invade on our sovereignty.” However, on other occasions, North Korea has threatened “preemptive” nuclear attacks against a U.S.-led attack. As of 2016, the United Nations has enacted five cumulative rounds of sanctions against North Korea for its nuclear program and missile tests.
Human rights violations under the leadership of Kim Jong-il were condemned by the UN General Assembly. Press reports indicate that they are continuing under Kim Jong-un. The 2013 report on the situation of human rights in North Korea by United Nations Special Rapporteur Marzuki Darusman proposed a United Nations commission of inquiry to document the accountability of Kim Jong-un and other individuals in the North Korean government for alleged crimes against humanity. The report of the commission of inquiry was published in 2014 and recommends making him accountable for crimes against humanity at the International Criminal Court.
A 2013 study reported that communicable diseases and malnutrition are responsible for 29% of the total deaths in North Korea. This figure is higher than that of high-income countries and South Korea, but half of the average 57% of all deaths in other low-income countries. Infectious diseases like tuberculosis, malaria, and hepatitis B are considered endemic as a result of the North Korean famine (1994 – 1998). The famine had a significant impact on the population growth rate, which declined to 0.9% annually in 2002 and 0.53% in 2014. In 2006, the World Food Program (WFP) and the Food and Agriculture Organization estimated a requirement of 5.3 to 6.5 million tons of grain in aid when domestic production fulfilled only 3.8 million tons. The country also faces land degradation after forests stripped for agriculture resulted in soil erosion. In 2008, a decade after the worst years of the famine, total production was 3.3 million tons (grain equivalent) compared with a need of 6 million tons. 37 percent of the population was deemed to be insecure in food access. Weather continued to pose challenges every year, but overall food production has grown gradually. In 2014, North Korea had an exceptionally good harvest, 5.08 million tons of cereal equivalent, almost sufficient to feed the entire population. While food production has recovered significantly since the hardest years of 1996 and 1997, the recovery is fragile, subject to adverse weather and year-to-year economic shortages. North Korea’s GDP per capita has been less than $2,000 in the late 1990s and early 21st century.
According to a 2012 NASA photograph from outerspace, North Korea is lacking in infrastructure, most certainly available electricity. The night-time photograph revealed that while South Korea was lit up from electricity, North Korea was almost entirely dark.
According to a 2014 BBC World Service Poll, 3% of South Koreans view North Korea’s influence positively, with 91% expressing a negative view, making South Korea, after Japan, the country with the most negative feelings about North Korea in the world. However, a 2014 South Korean government funded survey found only 13% of South Koreans viewed North Korea as hostile and 58% of South Koreans believed North Korea was a country they should cooperate with.
Attributions
Title Image
Skylines of Singapore's Central Business District at night - Basile Morin, CC BY-SA 4.0 <https://creativecommons.org/licenses/by-sa/4.0>, via Wikimedia Commons
Adapted From:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/japanese-recovery/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-koreas/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-indian-subcontinent/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/east-asia-in-the-21st-century/
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oercommons
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2025-03-18T00:36:52.881462
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/88099/overview",
"title": "Statewide Dual Credit World History, The Catastrophe of the Modern Era: 1919-Present CE",
"author": null
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https://oercommons.org/courseware/lesson/88100/overview
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China and Globalization
Overview
China and Globalization
Beginning in 1979 under the leadership of Deng Xiaoping, China adopted market reforms and opened the country to trade and investment with Western Europe and the United States. In the decades that followed, China experienced rapid economic growth and emerged as the second largest economy in the world in the early 21st century.
Learning Objectives
- Identify the economic reforms instituted by Deng Xiaoping.
- Assess the impact of these reforms on the Chinese society and economy.
Key Terms / Key Concepts
one-child policy: a population planning policy of China introduced in 1979 and formally phased out starting in 2015 that allows each Chinese family to produce only one child (Provincial governments-imposed fines for the violations of the policy and local and national governments created commissions to raise awareness and carry out registration and inspection work.)
One Country, Two Systems: a constitutional principle formulated by Deng Xiaoping, the Paramount Leader of the People’s Republic of China (PRC), for the reunification of China during the early 1980s (He suggested that there would be only one China, but distinct Chinese regions such as Hong Kong and Macau could retain their own capitalist economic and political systems, while the rest of China uses the socialist system.)
Socialism with Chinese Characteristics: the official ideology of the Communist Party of China (CPC), claimed to be based upon scientific socialism; an ideology that supports the creation of a socialist market economy dominated by the public sector based on the claim by the CPC that China is in the primary stage of socialism (The People’s Republic of China (PRC) government maintains that it has not abandoned Marxism but has developed many of the terms and concepts of Marxist theory to accommodate its new economic system. The CPC argues that socialism is compatible with these economic policies.)
special economic zones: designated geographical areas in China, originally created in the 1980s, where the government establishes more free market-oriented economic policies and flexible governmental measures; special economic rules that allow certain areas to operate under an economic system that is more attractive to foreign and domestic firms than the economic policies in the rest of mainland China
Tiananmen Square protest: student-led demonstrations in Beijing in 1989; more broadly, a term that refers to the popular national movement inspired by the Beijing protests during that period, sometimes referred to as the ’89 Democracy Movement (The protests were forcibly suppressed after the government declared martial law. In what became widely known as the Tiananmen Square Massacre, troops with assault rifles and tanks killed at least several hundred demonstrators trying to block the military’s advance towards Tiananmen Square. The number of civilian deaths has been estimated between the hundreds and the thousands.)
Deng Xiaoping and the Economic Reform
The rise of Deng Xiaoping to power after Mao’s death resulted in far-reaching market economy reforms and China opening to global trade, while maintaining its roots in socialism. Deng Xiaoping was a Chinese revolutionary and statesman; he was leader of the People’s Republic of China from 1978 until his retirement in 1989. While he never held office as the head of state, head of government, or general secretary (the leader of the Communist Party), he nonetheless was responsible for economic reforms and an opening to the global economy.
Born into a peasant background, Deng studied and worked in France in the 1920s, where he became fascinated with Marxism-Leninism. He joined the Communist Party of China in 1923. After the founding of the People’s Republic in 1949, Deng worked in Tibet and the southwest region to consolidate Communist control. As the party’s Secretary General in the 1950s, he presided over anti-rightist campaigns and became instrumental in China’s economic reconstruction following the Great Leap Forward of 1957 – 1960. His economic policies, however, were at odds with Mao’s political ideologies and he was purged twice during the Cultural Revolution. Following Mao’s death in 1976, Deng outmaneuvered Mao’s chosen successor, Hua Guofeng. Inheriting a country beset with social conflict, disenchantment with the Party, and institutional disorder resulting from the policies of the Mao era, Deng became the paramount figure of the “second generation” of Party leadership. Some called him “the architect” of a new brand of thinking that combined socialist ideology with pragmatic market economy. His slogan was “Socialism with Chinese Characteristics.”
China's Opening Up
Deng made it clear that the new Chinese regime’s priorities were economic and technological development. Beginning in 1979, economic reforms boosted the market model, while the leaders maintained old Communist-style rhetoric. The commune system was gradually dismantled, and the peasants began to have more freedom to manage the land they cultivated, as well as sell their products on the market. At the same time, China’s economy opened to foreign trade.
On January 1, 1979, the United States recognized the People’s Republic of China, and business contacts between China and the West began to grow. The same year, Deng undertook an official visit to the United States, meeting President Jimmy Carter in Washington, along with several congressmen. The Chinese insisted that ex-President Richard Nixon be invited to the formal White House reception, indicative of both their assertiveness and desire to continue with Nixon initiatives.
China’s outreach extended beyond the United States to Japan and to Western European countries such as Germany. Sino-Japanese relations improved significantly. Deng used Japan as an example of a rapidly progressing power that set a good economic example for China. Moreover, China invited European businesses to invest in their country.
Deng’s closest collaborators were Zhao Ziyang and Hu Yaobang. Zhao Ziyang in 1980 relieved Hua Guofeng as premier, and Hu Yaobang in 1981 took the post of party chairman. Their goal was to achieve “four modernizations”, which focused on the economy, agriculture, scientific and technological development, and national defense. The last position of power retained by Hua Guofeng, chairman of the Central Military Commission, was taken by Deng in 1981.
Special Economic Zones
The basic state policy focused on the formulation and implementation of overall reforms and opening to the outside world. During the 1980s, the Chinese government established special economic zones(SEZs) and open coastal cities and areas, as well as designed open inland and coastal economic and technology development zones. SEZs were originally created in Shenzhen, Zhuhai, and Shantou in Guangdong Province and Xiamen in Fujian Province. In 1984, China opened 14 coastal cities to overseas investment.
Since 1980, China has established these SEZs—areas where the government of China establishes more free market-oriented economic policies and flexible governmental measures. This allowed SEZs to operate under an economic system that is more attractive to foreign and domestic firms than the economic policies in the rest of mainland China. Most notably, the central government in Beijing is not required to authorize foreign and domestic trade in SEZs, and special incentives are offered to attract foreign investors. Since 1988, mainland China’s opening to the outside world has been extended to its border areas along the Yangtze River and inland. The state also decided to turn Hainan Island into mainland China’s biggest special economic zone (approved in 1988) and enlarge the other four SEZs. Shortly after, the State Council expanded the open coastal areas and opened economic zones in seven geographical areas.
The five existing SEZs and other areas operating under a preferential economic system continues in China today. Primarily geared to exporting processed goods, the five SEZs are foreign trade-oriented areas which integrate science, innovation, and industry with trade. Foreign firms benefit from preferential policies, such as lower tax rates, reduced regulations, and special managerial systems.
Capitalist Economy vs. Socialist System
China’s rapid economic growth under the socialist political system resulted in complex social developments. The 1982 population census revealed the extraordinary growth of the population, which already exceeded one billion people. Deng continued the plans initiated by Hua Guofeng to restrict birth to only one child under the threat of administrative penalty. This “one-child policy” was very controversial outside of China and challenged for violating a human right to determine the size of one’s own family. At the same time, increasing economic freedom emboldened a greater freedom of opinion and critics began to arise, including famous dissident Wei Jingsheng, who coined the term “fifth modernization” in reference to democracy as a missing element in the renewal plans of Deng Xiaoping.
In the late 1980s, dissatisfaction with the authoritarian regime and growing inequalities caused the biggest crisis to Deng’s leadership: the Tiananmen Square protests. Student-led demonstrations in Beijing in 1989 inspired this popular national movement. The protests reflected anxieties about the country’s future in the popular consciousness and among the political elite. The economic reforms benefited some groups but seriously disaffected others, and the one-party political system faced a challenge of legitimacy. Common grievances at the time included inflation, limited preparedness of graduates for the new economy, and restrictions on political participation. The students called for democracy, greater accountability, freedom of the press, and freedom of speech, although they were loosely organized, and their goals varied. At the height of the protests, about a million people assembled in the Square.
As the protests developed, the authorities veered back and forth between conciliatory and hardline tactics, exposing deep divisions within the party leadership. By May, a student-led hunger strike galvanized support for the demonstrators around the country and the protests spread to some 400 cities. Ultimately, Deng Xiaoping and other party elders believed the protests to be a political threat and resolved to use force. Party authorities declared martial law on May 20 and mobilized as many as 300,000 troops to Beijing. In what became widely known as the Tiananmen Square Massacre, troops with assault rifles and tanks killed at least several hundred demonstrators trying to block the military’s advance towards Tiananmen Square. The number of civilian deaths has been estimated between the hundreds and thousands.
The Chinese government was widely condemned internationally for the use of force at Tiananmen Square. Western countries imposed economic sanctions and arms embargoes. In the aftermath of the crackdown, the government conducted widespread arrests of protesters and their supporters, suppressed other protests around China, expelled foreign journalists, and strictly controlled coverage of the events in the domestic press. The police and internal security forces were strengthened. Officials deemed sympathetic to the protests were demoted or purged. More broadly, the suppression temporarily halted the policies of liberalization. Considered a watershed event, the protests also set the limits on political expression in China well into the 21st century.
Officially, Deng decided to retire from top positions when he stepped down as Chairman of the Central Military Commission in 1989 and retired from the political scene in 1992. China, however, was still in the era of Deng Xiaoping. He continued to be widely regarded as the “paramount leader” of the country, and he was believed to have backroom control. Deng was recognized officially as “the chief architect of China’s economic reforms and China’s socialist modernization.” To the Communist Party, he was believed to have set a good example for communist cadres who refused to retire at old age. He broke earlier conventions of holding offices for life. He was often referred to as simply Comrade Xiaoping, with no title attached.
The Growth of the Chinese Economy
By the early 21st century China’s socialist market economy was the world’s second largest economy after the United States based on its Gross Domestic Product (GDP)—the monetary value of all finished goods and services made within a country. Until 2015, China was the world’s fastest-growing major economy, with growth rates averaging 10% over 30 years. Due to historical and political facts of China’s developing economy, China’s public sector (government) accounts for a bigger share of the national economy than the expanding private sector.
China is a global hub for manufacturing and is the largest manufacturing economy in the world, as well as the largest exporter of goods in the world. It is also the world’s fastest growing consumer market and second largest importer of goods in the world. It is a net importer of services products and the largest trading nation in the world, playing the most important role in international trade. However, Western media have criticized China for unfair trade practices, including artificial currency devaluation, intellectual property theft, protectionism, and local favoritism, due to one-party control by the Communist Party of China and its socialist market economy.
China’s unequal transportation system—combined with important differences in the availability of natural and human resources and in industrial infrastructure—has produced significant variations in and disparities between the regional economies of China. Economic development has generally been more rapid in coastal provinces than in the interior. The three wealthiest regions are along the southeast coast. It is the rapid development of these areas that is expected to have the most significant effect on the Asian regional economy as a whole. Chinese government policy is designed to remove the obstacles to accelerated growth in these wealthier regions.
One of the hallmarks of China’s socialist economy was its promise of employment to all who were able and willing to work, along with job-security and virtually lifelong tenure. Reformers have targeted the labor market as unproductive because industries were frequently overstaffed to fulfill socialist goals and job-security reduced workers’ incentive to work. This socialist policy was pejoratively called the iron rice bowl.
Some of the major challenges facing China include battling corruption and other economic crimes, as well as sustaining adequate job growth for tens of millions of workers laid off from state-owned enterprises, migrants, and new entrants to the work force. Although the economic growth has resulted in the creation of a strong middle class, hundreds of millions remain excluded from its benefits and inequalities persist; an estimated 50 to 100 million rural workers are adrift between the villages and the cities, many subsisting through part-time low-paying jobs. The large-scale underemployment in both urban and rural areas remain a source of concern for the government, as potential causes of popular resistance, as do changing price policies.
The prices of certain key commodities, especially of industrial raw materials and major industrial products, are determined by the state and large subsidies were built into the price structure. By the early 1990s, however, these subsidies began to be eliminated, in large part due to China’s admission into the World Trade Organization (WTO) in 2001, which came with requirements for further economic liberalization and deregulation. On a per capita income basis (income per person), China ranked 72nd in the world in 2015, according to the IMF.
In accordance with the One Country, Two Systems policy, the economies of the former British colony of Hong Kong and Portuguese colony of Macau are separate from the rest of China and each other. The United Kingdom and Portugal handed over these two regions to China in 1997 and 1999 by mutual agreement. Both Hong Kong and Macau are free to conduct and engage in economic negotiations with foreign countries, as well as participate as full members in various international economic organizations, often under the names “Hong Kong, China” and “Macau, China.” Both regions retain their own capitalist economic and political systems.
The Cult of Mao Zedong
After the death of Mao Zedong in 1976, retreat from his cult wasn’t immediate. His immediate successor Hua Guofeng tried to continue China’s policy under the guidance of Mao by promoting the “Two Whatevers” policy: “We will resolutely uphold whatever policy decisions Chairman Mao made, and unswervingly follow whatever instructions Chairman Mao gave”. However, after Hua was ousted from power by Deng Xiaoping in the early 1980s, Mao’s deeds were officially divided into good and bad in the ratio 7:3. Although the thought of Mao Zedong is still enshrined in the Constitution of the People’s Republic of China as an ideological basis, China now follows the path of transformation, designated by Deng Xiaoping. However, it seems that Mao Zedong has not disappeared completely.
In recent years Mao Zedong has gained a deity like status in some spheres. Mao Zedong himself remains a symbol affiliated with the New China, as a founder of the People’s Republic of China, and the Chinese version of both Lenin and Stalin in one person. He is still commonly referred to with great respect as Chairman Mao (Mao Zhuxi). As such, the Communist Party of China could not afford to condemn Mao’s deeds, as the Great Leap Forward or the Great Proletariat Cultural Revolution, because it would mean the rejection of huge part of the Party’s heritage. Since the 1980s the manifestations of sentimental attitude towards Mao are found among the poorer strata of society, as a symbolic opposition to the cult of money, individualism, and westernization, which are the results of Deng’s reforms.
The Maoists fought against religion as a feudal superstition, that should be removed from the social life of the new Chinese nation. Temples and monasteries were demolished, countless religious artifacts were destroyed, nuns and monks were sent to re-education or forced to go back to secular life. But in the last thirty years in an officially atheist China, a great come back of the belief in supernatural beings, the power of religious rituals, sacrifices for the spirits may be observed. Since the 1980s the authorities have helped to rebuild temples that serve as tourist attractions but also as a religious cult site, attracting a growing number of pilgrims. The revived interest in Buddhism, Taoism, syncretic sects, and Christianity has been noticeable. Most of those religions or spiritual movements are acceptable, except those which might potentially jeopardize the authorities such as Falun Gong.
The cult of Mao is similar to a semi-religious cult. In ancient China, the Chinese emperor was a divine figure, the “Son of Heaven”. Although there is nothing like a state temple of Mao Zedong, his image appears in a semi-religious context. With his portrait visually dominating the Tiananmen gate, Mao Zedong had dominated the symbolic center of the People’s Republic of China during his life. After death, in the heart of China, in the central part of Tiananmen Square, the Chairman Mao Memorial Hall was erected. This most imposing building is 57 thousand square meters in size. Even though Mao signed the pledge to be cremated, the Politburo decided to permanently preserve his body. The mausoleum was constructed after his death, by engaging hundreds of thousands voluntary workers. It was built “with the unique national style”. The construction not only engaged people from all over China, but also materials from many provinces. Among the stones used to build the hall there were some brought from Mt. Everest, from Tangshan (which was struck by a massive earthquake few months earlier), and water and sand from the Taiwan Strait. Mao’s body, covered with the flag of the Communist Party of China, was placed in the crystal coffin, surrounded with national symbols. Nowadays the Memorial Hall is open for public, and the admission is free. People still tend to line up to enter and pay tribute to the Chairman, bowing in the traditional Chinese manner and offering white flowers.
Throughout the whole country, the Chinese visit places connected with the Communist Party of China, the first generation of revolutionary leaders and, most of all, Chairman Mao. These tourists are often made of organized groups, such those from schools and companies. The destinations are promoted among young generations to arouse patriotism. China’s National Tourism Administration named year 2005 the “Year of Red Tourism” and issued a list of “30 choice red tourism routes” and “100 classic red tourism sites”.
On the trail of “red tourism” is the Shaoshan village (Hunan) where Mao was born; his family’s home has been preserved and transformed into a kind of sanctuary. The number of visitors to this village has increased from 3 million in 2005 to 6.5 million in 2010. The site is rarely visited by individual tourists, and if they come to Shaoshan by the public transport, they usually join the groups led by the local guides, which prevents them from missing any of the important sites at Shaoshan.
The aim of the visits to this site is to touch the greatness, and to perceive the very beginning of a great man. In Shaoshan village in the main hall of the Mao family ancestral temple on the central altar, there are tablets with names of the deceased family members, but the place is dominated by the bust of Mao Zedong. Tourists or pilgrims visiting the place show deep respect by bowing three times. The temple has also a souvenir shop, where all kinds of books, medallions, figurines of different size, post stamps, clocks, plaques, badges, shirts, pictures of Mao and revolutionary music, movies, documentaries are sold. After buying a souvenir, these may be “sacrificed” on the altar next to Chairman’s bust. Also, cigarettes and alcohol are being offered to the deceased. In the same temple, just behind the main altar, a small shop sells amulets in a form that resembles amulets found in Buddhist or Taoist temples – it is believed that they increase possessors’ luck and wealth. Tourists also visit the forest of steles and several stones, on which works of Chairman’s calligraphy are inscribed. On the route there is also a small temple dedicated to the Bodhisattva Guanyin, Goddess of Mercy, in which Mao’s mother used to pray. Although the temple was destroyed by Red Guards during the Cultural Revolution, it was later rebuilt. Another obligatory site of the pilgrimage is the tomb of Mao Zedong’s parents. Here visitors pay respect, offer flowers, and pour a glass of alcohol. Finally, the highest point of the trip is to the family home of Mao, which was quite a rich peasant family homestead. The furniture placed in it is said to come from Mao’s era. Particularly noteworthy, are signs describing rooms, as “the place where Mao Zedong, as a little boy, used to help his mother with the housework” or “The table at which the family gathered for talks. Mao Zedong exhorted them to dedicate themselves to the liberation of the Chinese people.”
Shaoshan as a tourist destination reached a peak of popularity during the Cultural Revolution, but even now the number of visitors is impressive. Entrance to all the sites is free in order to popularize “red tourism”. The media inform about official visits of the CPC leaders. This popularity creates many opportunities for the villagers to earn money. In order to protect their interests, they have already copyrighted the name “Shaoshan village”. Shaoshan, like other places associated with Mao Zedong, became a kind of popular Mao-land. Thus, tourists may find plenty of souvenirs and take a photo with a model of Mao. While visiting, they may have some rest in one of the restaurants and have lunch containing Mao’s favorite dishes, typical of Hunan province. Eleven years after Mao’s death, one of his distant relatives, Tang Ruiren founded the Mao Jia (Home of Mao) Restaurant, serving Great Helmsman’s favorite dishes. Twenty years later, Mao Jia Restaurants operate not only in Shaoshan – in 2006 there were around 150 franchise restaurants in 20 provinces, and they had received tens of millions of Chinese and foreign guests, including party and state leaders. These restaurants serve dishes such as huobei y, bitter-tasting fish baked with chili pepper, which Mao described as helping people think only of the revolution, or hongshao rou, red braised pork belly with sweet caramelized flavour, as Mao believed that only fatty pork provided enough nutrition to his brain to win the battle. The restaurants specializing in Hunan cuisine, not only those of Tan Ruiren branch, are widespread throughout China, and it is common for them to place Mao’s images or his quotations as major elements of decoration. Sometimes even a sort of small altar with symbolic offerings may be found.
There has been official discussion about a national observance of the “founding father’s” birth, but even without official holiday status, the birth and death anniversaries of the Chairman have been celebrated annually by nostalgic Chinese, even if the anniversaries are not acknowledged by the authorities. In Shaoshan, villagers used to have birthday noodles for breakfast on Mao’s birthday every year. And the queue to visit Chairman Mao Memorial Hall extends longer than usual on these anniversaries, as people come to Beijing to pay respects. Furthermore, because of the expected anniversary traffic, the main square and the statue had been renovated.
Mao's Place in Modern Chinese Nationalism
Mao Zedong remains a revered figure as a symbol of Chinese nationalism even though the Chinese government in practice has moved away from Mao’s Marxist-Leninist ideology. When in 1978 Deng Xiaoping began the process of modernization, China stood at the beginning of profound transformations of the economic and social system, and some limited political changes. These reforms, along with the influx of Western ideas, as well as the passing of the first generation of Communist leaders and the tragic legacy of the Cultural Revolution, led to the erosion of this Maoist ideology, which, nonetheless, has been left in the Constitution of the People’s Republic of China, as the core of the national ideology. Nevertheless, its real influence in social life is less significant. As a result, the legitimization of the Communist Party’s authority was endangered.
Chinese nationalism never existed in one form. It adopted various forms, depending on who the “engineers of the nation” were. To maintain its legitimacy in a modern era, the Party had to seek an alternative to Maoism and its peculiar interpretation of Marxist-Leninism. Consequently, the Party has focused on nationalism. In recent decades nationalism has been deliberately used by the CPC to conduct its internal and external policies. Currently, China appears to be structured around a powerful, top-down nationalism influenced by the Communist Party of China and developed by the entire state apparatus, particularly through the education system and strictly controlled mass-media. Media are channels for promoting nationalism, despite their multiplicity, and remain subject to the control of the Propaganda Department (responsible also for patriotic education), as well as self-censorship of journalists themselves. Nationalism is strongly supported by symbolism, traditions, national and state holidays, and national heroes. This type of nationalism can be regarded as continuity of the early Communist Party’s nationalism; though from the beginning of the PRC, it has changed. In the first period it was a highly chauvinistic class nationalism, which was not only against the external enemy but also many Chinese considered unworthy of being a part of the new Chinese nation. The right to belong to the nation was a result of identification with the communist revolution, and consequently, love for China was equal to love for the Party and Mao Zedong. That was a useful tool for political and class struggle. This nationalism recreated the proud Chinese nation, so called “New China”, reborn after “the century of humiliation” (from the Opium Wars until 1949). Under the strong leadership, this nation was able to compete against the world powers. Nationalism was an instrument used by the Communist Party of China since its very beginning, but in the modernization period, it began to occupy a prominent place in the ideological framework of the country. The CPC is being depicted as the sole force capable of protecting Chinese honor and defending Chinese interests in the international arena. The Party, underscoring its contribution to the contemporary development of China, refers to the figure of Mao Zedong as the creator of the new state. Due to the popular sentiment for the old, idealized times, it was possible to strengthen the position of Mao Zedong not only as a national hero, but also as a kind of a deity in the nationalist ‘religion’.
Chinese nationalism is not limited to the nationalism of Communist Party. There is also a popular nationalism with slightly different characteristics. It is built on the strong sense of national humiliation and degradation. It is not so much about the “century of humiliation” that has passed, but about the contemporary humiliation experienced from the Japanese and Western politicians and organizations. According to these nationalists, the West refuses to recognize that China has changed and gained international importance and cannot be continuously depreciated. There are some books focused on such an angry nationalism, like “China Can Say No. Political and Emotional Choices in the post-Cold-War era”. In these intellectual visions, the hostile elements intend to split China and undermine national economic strength, using smokescreens of human rights or freedom for Tibet. Some of those sentiments are shared by young angry nationalists, who express themselves on the Internet. This approach may be seen as an extension of the “century of humiliation”, but its radicalism does not always suit the Party. Popular nationalism is rich in a genuine sense of national pride, which can be defined as commonly understood patriotism, clearly visible especially among the Chinese during the Olympic Games in Beijing in 2008. This nationalism interacts with the policy of the CPC. It includes a growing global network of angry young Chinese nationalists, not only in the PRC, but also among the Chinese diaspora outside the country.
Their actions can be observed when Mao Zedong’s image is tarnished. In addition to the official protection of Mao’s image, they undertake spontaneous actions on the Internet. Any attack on the Chairman is considered by the young nationalists as an attack on the whole of China. In January 2008 the Citroen advertisement campaign in Spain used a distorted portrait of Mao with face contorted in a grimace and eyes squinted. The advertisement provoked unrest in the Chinese Internet forums and was declared to be not only offensive to the Chairman, but also to the entire Chinese nation. Therefore, Citroen was forced to withdraw controversial posters and to issue an apology and acknowledgment of respect for the representatives and symbols of China.
In recent years there appeared a shift in an official image of Mao Zedong. He has been shown as a human being, much closer to the common people than ever before. A new movie titled “Mao Zedong in Anyang” was produced. It reveals a history of a romance between Mao and his first wife, Yang Kaihui. The memoires of Mao’s bodyguard, Li Yinqiao, were printed entitled “Mao Zedong: Man, Not God”. The publishing house advertises it as the “inside story of China’s dynamic leader and world statesman is told – the life and thought of Mao, the husband, father, comrade-in-arms, the peasant’s son”. Despite the title, Mao is presented as a superhuman, having a noble personality, and extremely courageous, risking his life for the revolution and for other comrades, but also as a sensitive altruist, with a sense of humor. Even while losing his temper, he was worth adoration, as that was a result of lack of sleep and his devotion and sacrifice for the Communist ideas. One of the stories in the book was about Mao seeing a child delirious with a fever. That provoked tears in Mao’s eyes, because as he explains “I can’t bear to see poor people cry. When I see their tears, I can’t hold back my own”. That is why he gave away the last bottle of penicillin for the ill child, despite his personal doctor’s objection. What is the mother’s reaction?” She dropped to her knees, saying sobbingly to Mao, ‘You’re a Buddha, a life-saving Buddha!’” It seems that the Chinese Communist leaders may have abandoned or revised the Mao Zedong thought during the last three decades, but they did not and will not dare to fully renounce Mao and his ideology. There might be changes in the way of officially showing the Chairman Mao, but it will not be possible to take him down from his pedestal. Even though the knowledge of Mao’s mistakes and faults is increasing in the Chinese society, the popular sentiment places him closer to supernatural power than a man in the street.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:Deng_Xiaoping.jpg
Deng Xiaoping - Unknown or not provided, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/communist-china/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/east-asia-in-the-21st-century/
https://creativecommons.org/licenses/by-sa/4.0/
https://www.politicsandreligionjournal.com/index.php/prj/article/view/89
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oercommons
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2025-03-18T00:36:52.935263
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"title": "Statewide Dual Credit World History, The Catastrophe of the Modern Era: 1919-Present CE",
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https://oercommons.org/courseware/lesson/88102/overview
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Post Cold War Latin America
Overview
Chile and Argentina
Following the Cold War, Latin America had a variety of new opportunities to grow economically. Many states began to explore globalization and economic growth.
Learning Objectives
- How did the end of the Cold War affect Latin America?
Key Terms / Key Concepts
Concertación: a coalition of center-left political parties in Chile, founded in 1988 (Presidential candidates under its banner won every election from when military rule ended in 1990 until the conservative candidate Sebastián Piñera won the Chilean presidential election in 2010. In 2013 it was replaced by the New Majority coalition.)
“disappearances”: in international human rights law, this occurs when a person is secretly abducted or imprisoned by a state or political organization or by a third party with the authorization, support, or acquiescence of a state or political organization, followed by a refusal to acknowledge the person’s fate and whereabouts, with the intent of placing the victim outside the protection of the law
Peronist: a person who follows the Argentinian political movement based on the ideology and legacy of former President Juan Domingo Perón and his second wife, Eva Perón (The Justicialist Party derives its name from the concept of social justice. Since its inception in 1946, candidates from his party have won 9 of the 12 presidential elections from which they have not been banned. As of 2016, Perón was the only Argentine to have been elected president three times.
Trial of the Juntas: The judicial trial of the members of the de facto military government that ruled Argentina during the dictatorship of the Proceso de Reorganización Nacional (el proceso), which lasted from 1976 to 1983.)
Democracy in Chile and Argentina
Chile and Argentina both transitioned from military dictatorships to democratic regimes in the 1980s, leading to relative political stability in both countries in the 21st century.
Chile’s Transition to Democracy
The Chilean transition to democracy began when a constitution establishing a transition itinerary was approved in a vote. From March 11, 1981 to March 1990, several organic constitutional laws were approved leading to the final restoration of democracy. After the 1988 plebiscite, the 1980 Constitution, still in force today, was amended to ease provisions for future amendments to the constitution, create more seats in the senate, diminish the role of the National Security Council, and equalize the number of civilian and military members (four members each).
Christian Democrat Patricio Aylwin served from 1990 to 1994 and was succeeded by another Christian Democrat, Eduardo Frei Ruiz-Tagle (son of Frei-Montalva), leading the same coalition for a 6-year term. Ricardo Lagos Escobar of the Socialist Party and the Party for Democracy led the Concentración (a coalition of center-left political parties in Chile, founded in 1988) to a narrower victory in the 2000 presidential elections. His term ended on March 11, 2006, when Michelle Bachelet of the Socialist Party took office. Center-right investor and businessman Sebastián Piñera, of the National Renewal, assumed the presidency on March 11, 2010, after Bachelet’s term expired.
Part of the transition from the military dictatorship to democracy entailed investigating the human right’s abuses under the previous regimes. In February 1991 Aylwin created the National Commission for Truth and Reconciliation, which released in February 1991 the Rettig Report on human rights violations committed during the military rule. This report counted 2,279 cases of “disappearance” that could be proved and registered. Of course, the very nature of “disappearances” made such investigations very difficult. The same issue arose several years later with the Valech Report released in 2004, which counted almost 30,000 victims of torture, among testimonies from 35,000 persons.
Contemporary Era in Argentina
Argentina also experienced a transition from a military dictatorship to a democracy in the 1980s. Raúl Alfonsín won the 1983 elections, after campaigning for the prosecution of those responsible for human rights violations during the military dictatorship. The Trial of the Juntas and other martial courts sentenced all the coup’s leaders but, under military pressure, Alfonsín also enacted the Full Stop and Due Obedience laws, which halted prosecutions further down the chain of command. The worsening economic crisis and hyperinflation reduced his popular support, and the Peronist Carlos Menem won the 1989 election. Soon after, riots forced Alfonsín to an early resignation.
Menem embraced neo-liberal policies: a fixed exchange rate, business deregulation, privatizations, and dismantling of protectionist barriers normalized the economy for a while. He pardoned the officers who had been sentenced during Alfonsín’s government. The 1994 Constitutional Amendment allowed Menem to be elected for a second term. However, the economy began to decline in 1995, with increasing unemployment and recession; this led to Fernando de la Rúa and the UCR—Radical Civic Union, a centrist social-liberal political party—returning to the presidency in the 1999 elections.
De la Rúa kept Menem’s economic plan despite the worsening crisis, which led to growing social discontent. A massive capital flight led to a freezing of bank accounts, generating further turmoil. The December 2001 riots forced him to resign.
Mexico
Learning Objectives
- Evaluate the role of NAFTA on Mexico.
Key Terms / Key Concepts
Peronist: a person who follows the Argentinian political movement based on the ideology and legacy of former President Juan Domingo Perón and his second wife, Eva Perón (The Justicialist Party derives its name from the concept of social justice. Since its inception in 1946, candidates from his party have won 9 of the 12 presidential elections from which they have not been banned. As of 2016, Perón was the only Argentine to have been elected president three times.
Mexico’s Transition to True Democracy
In the November 2015 elections, after a tie in the first round of presidential elections on October 25, Mauricio Macri won the first ballotage in Argentina’s history, beating Front for Victory candidate Daniel Scioli and becoming president-elect. Macri is the first democratically elected non-radical or Peronist president since 1916, although he had the support of the first mentioned. He took office on December 10, 2015. In April 2016, the Macri Government introduced austerity measures intended to tackle inflation and public deficits.
The Partido Revolucionario Institucional (PRI), the political party that controlled national and state politics in Mexico since 1929, was finally voted out of power in 2000 with the election of Vicente Fox Quesada, the candidate of the National Action Party (PAN).
Background: Decline of the PRI
A phenomenon of the 1980s in Mexico was the growth of organized political opposition to de facto one-party rule by the Institutional Revolutionary Party (Spanish: Partido Revolucionario Institucional or PRI), which held power uninterruptedly in the country for 71 years from 1929 to 2000. The National Action Party (PAN), founded in 1939 and until the 1980s a marginal political party and not a serious contender for power, began to gain voters, particularly in Mexico’s north. They made gains in local elections initially, but in 1986 the PAN candidate for the governorship of Chihuahua had a good chance of winning.
The 1988 Mexican general election was pivotal in Mexican history. The PRI’s candidate was Carlos Salinas de Gortari, an economist who was educated at Harvard and who had never held an elected office. Cuauhtemoc Cárdenas, the son of former President Lázaro Cárdenas, broke with the PRI and ran as a candidate of the Democratic Current, later forming into the Party of Democratic Revolution (PRD). The PAN candidate Manuel Clouthier ran a clean campaign in long-standing pattern of the party.
The election was marked by irregularities on a massive scale. The Ministry of the Interior administered the electoral process, which meant in practice that the PRI controlled it. During the vote count, the government computers were said to have crashed, something the government called “a breakdown of the system.” When the computers were said to be running again after a considerable delay, the election results they recorded were an extremely narrow victory for Salinas (50.7%), Cárdenas (31.1%), and Clouthier (16.8%). Cárdenas was widely seen to have won the election, but Salinas was declared the winner. One observer said, “For the ordinary citizen, it was not the computer network but the Mexican political system that had crashed.”
There might have been violence in the wake of such fraudulent results, but Cárdenas did not call for it, “sparing the country a possible civil war.” Years later, former Mexican President Miguel de la Madrid (1982 – 88) was quoted in the New York Times stating that the results were indeed fraudulent.
Salinas embarked on a program of neoliberal reforms that fixed the exchange rate, controlled inflation, and culminated with the signing of the North American Free Trade Agreement (NAFTA), which came into effect on January 1, 1994. The same day, the Zapatista Army of National Liberation (EZLN) started a two-week-long armed rebellion against the federal government, and this has continued as a non-violent opposition movement against neoliberalism and globalization.
In 1994, Salinas was succeeded by Ernesto Zedillo, followed by the Mexican peso crisis and a $50 billion bailout by the International Monetary Fund (IMF). Major macroeconomic reforms were initiated by President Zedillo, and the economy rapidly recovered and growth peaked at almost 7% by the end of 1999.
President Vicente Fox Quesada, 2000 – 2006
Emphasizing the need to upgrade infrastructure, modernize the tax system and labor laws, integrate with the U.S. economy, and allow private investment in the energy sector, Vicente Fox Quesada—the candidate of the National Action Party (PAN) —was elected the 69th president of Mexico on July 2, 2000, ending PRI’s 71-year-long control of the office. Though Fox’s victory was due in part to popular discontent with decades of unchallenged PRI hegemony, Fox’s opponent, president Zedillo, conceded defeat on the night of the election—a first in Mexican history. A further sign of the quickening of Mexican democracy was the fact that PAN failed to win a majority in both chambers of Congress—a situation that prevented Fox from implementing his reform pledges. Nonetheless, the transfer of power in 2000 was quick and peaceful.
Fox was a very strong candidate, but an ineffective president who was weakened by PAN’s minority status in Congress. Historian Philip Russell summarizes the strengths and weaknesses of Fox as president:
Marketed on television, Fox made a far better candidate than he did president. He failed to take charge and provide cabinet leadership, failed to set priorities, and turned a blind eye to alliance building….By 2006, as political scientist Soledad Loaeza noted, ‘the eager candidate became a reluctant president who avoided tough choices and appeared hesitant and unable to hide the weariness caused by the responsibilities and constraints of the office….’ He had little success in fighting crime. Even though he maintained the macroeconomic stability inherited from his predecessor, economic growth barely exceeded the rate of population increase. Similarly, the lack of fiscal reform left tax collection at a rate similar to that of Haiti….Finally, during Fox’s administration, only 1.4 million formal-sector jobs were created, leading to massive immigration to the United States and an explosive increase in informal employment.
President Felipe Calderón Hinojosa, 2006 – 2012
President Felipe Calderón Hinojosa (PAN) took office after one of the most hotly contested elections in recent Mexican history; Calderón won by such a small margin (.56% or 233,831 votes) that the runner-up, Andrés Manuel López Obrador of the leftist Party of the Democratic Revolution (PRD), contested the results.
Calderón’s government ordered massive raids on drug cartels upon assuming office in December 2006 in response to an increasingly deadly spate of violence in his home state of Michoacán. The decision to intensify drug enforcement operations led to an ongoing conflict between the federal government and the Mexican drug cartels. And, despite imposing a cap on salaries of high-ranking public servants, Calderón ordered a raise on the salaries of the Federal Police and the Mexican armed forces on his first day as president.
President Enrique Peña Nieto, 2006 – Present
On July 1, 2012, Enrique Peña Nieto was elected president of Mexico with 38% of the vote. He is a former governor of the state of Mexico and a member of the PRI. His election returned the PRI to power after 12 years of PAN rule. He was officially sworn into office on December 1, 2012.
The Pacto por México
The Pacto por México was a cross party alliance that called for the accomplishment of 95 goals. It was signed on December 2, 2012 by the leaders of the three main political parties in Chapultepec Castle. The Pact has been lauded by international pundits as an example for solving political gridlock and for effectively passing institutional reforms. Among other legislation, it called for education reform, banking reform, fiscal reform, and telecommunications reform, all of which were eventually passed. Most importantly, the Pact wanted a revaluation of PEMEX. This ultimately resulted in the dissolution of the agreement when in December 2013 the center-left PRD refused to collaborate with the legislation penned by the center-right PAN and PRI that ended PEMEX’s monopoly and allowed for foreign investment in Mexico’s oil industry.
Northern South America
Learning Objectives
- Evaluate the role of Hugo Chávez in Latin American politics.
- Analyze the importance of Northern Latin America in the late 20th century.
Venezuela and Chavismo
Under the presidency of Hugo Chávez from 1999 to 2013, Venezuela saw sweeping and radical shifts in social policy, marked by a move away from the government officially embracing a free-market economy and neoliberal reform principles and a move towards the government embracing socialist income redistribution and social welfare programs.
Bolivarian Revolution in Venezuela
The Bolivarian Revolution is a leftist social movement and political process in Venezuela that was led by late Venezuelan president Hugo Chávez—the founder of the Fifth Republic Movement and later the United Socialist Party of Venezuela. The “Bolivarian Revolution” is named after Simón Bolívar, an early 19th-century Venezuelan and Latin American revolutionary leader, prominent in the Spanish American wars of independence, which led to the independence of most of northern South America from Spanish rule. According to Chávez and other supporters, the “Bolivarian Revolution” seeks to build a mass movement to implement Bolivarianism: popular democracy, economic independence, equitable distribution of revenues, and an end to political corruption in Venezuela. They interpret Bolívar’s ideas from a socialist perspective.
Hugo Chávez
Hugo Chávez, a former paratroop lieutenant-colonel who led an unsuccessful coup d’état in 1992, was elected President in December 1998 on a platform that called for the creation of a “Fifth Republic,” a new constitution, a new name (“the Bolivarian Republic of Venezuela”), and a new set of relations between socioeconomic classes. In 1999, voters approved a referendum on a new constitution and in 2000, re-elected Chávez, also placing many members of his Fifth Republic Movement party in the National Assembly. Supporters of Chávez called the process symbolized by him “the Bolivarian Revolution” and were organized into different government-funded groups, including the Bolivarian Circles. Chávez’s first few months in office were dedicated primarily to constitutional reform, while his secondary focus was on immediately allocating more government funds to new social programs.
However, as a recession triggered by historically low oil prices and soaring international interest rates rocked Venezuela, the shrunken federal treasury provided very little of the resources Chávez required for his promised massive populist programs. The economy, which was still staggering, shrunk by 10% and the unemployment rate increased to 20%, the highest level in since the 1980s.
Chávez sharply diverged from previous administrations’ economic policies, terminating their practice of extensively privatizing Venezuela’s state-owned holdings, such as the national social security system, holdings in the aluminum industry, and the oil sector. Chávez worked to reduce Venezuelan oil extraction in the hopes of garnering elevated oil prices and, at least theoretically, elevated total oil revenues, thereby boosting Venezuela’s severely deflated foreign exchange reserves. He extensively lobbied other OPEC (Organization of the Petroleum Exporting Countries) countries to cut their production rates as well. As a result of these actions, Chávez became known as a “price hawk” in his dealings with the oil industry and OPEC. Chávez also attempted a comprehensive renegotiation of 60-year-old royalty payment agreements with oil giants Philips Petroleum and ExxonMobil. These agreements had allowed the corporations to pay in taxes as little as 1% of the tens of billions of dollars in revenues they were earning from their extraction of Venezuelan oil. Afterwards, Chávez stated his intention to complete the nationalization of Venezuela’s oil resources.
In April 2002, Chávez was briefly ousted from power in the 2002 Venezuelan coup d’état attempt following popular demonstrations by his opponents, but he was returned to power after two days as a result of demonstrations by poor Chávez supporters in Caracas, as well as actions by the military.
Chávez also remained in power after an all-out national strike that lasted from December 2002 to February 2003, including a strike/lockout in the state oil company PDVSA. The strike produced severe economic dislocation, with the country’s GDP falling 27% during the first four months of 2003, which cost the oil industry $13.3 billion. In the subsequent decade, the government was forced into several currency devaluations. These devaluations have done little to improve the situation of the Venezuelan people who rely on imported products or locally produced products that depend on imported inputs, while dollar-denominated oil sales account for the vast majority of Venezuela’s exports. The profits of the oil industry have been lost to “social engineering” and corruption, instead of investments needed to maintain oil production.
Chávez survived several further political tests, including an August 2004 recall referendum. He was elected for another term in December 2006 and re-elected for a third term in October 2012. However, he was never sworn in for his third term due to medical complications. Chávez died on March 5, 2013 after a nearly two-year fight with cancer. The presidential election that took place on April 14, 2013, was the first since Chávez took office in 1999 in which his name did not appear on the ballot.
Chavez’s ideas, programs, and style form the basis of “Chavismo,” a political ideology closely associated with the Bolivarianism and socialism of the 21st century. Internationally, Chávez aligned himself with the Marxist–Leninist governments of Fidel and then Raúl Castro in Cuba, and the socialist governments of Evo Morales (Bolivia), Rafael Correa (Ecuador), and Daniel Ortega (Nicaragua). His presidency was seen as a part of the socialist “pink tide” sweeping Latin America.
Chávez described his policies as anti-imperialist, being a prominent adversary of the United States’s foreign policy as well as a vocal critic of U.S.-supported neoliberalism and laissez-faire capitalism. He described himself as a Marxist. He supported Latin American and Caribbean cooperation and was instrumental in setting up the pan-regional Union of South American Nations, the Community of Latin American and Caribbean States, the Bolivarian Alliance for the Americas, the Bank of the South, and the regional television network TeleSUR.
Nicolás Maduro
Nicolás Maduro has been the President of Venezuela since April 14, 2013, after winning the second presidential election after Chávez’s death with 50.61% of the votes against Henrique Capriles Radonski, who had 49.12% of the votes. The Democratic Unity Roundtable contested his election as fraudulent, and as a violation of the constitution. However, the Supreme Court of Venezuela ruled that under Venezuela’s Constitution, Nicolás Maduro is the legitimate president and was invested as such by the Venezuelan National Assembly.
Since February 2014, hundreds of thousands of Venezuelans have protested over high levels of criminal violence, corruption, hyperinflation, and chronic scarcity of basic goods due to policies of the federal government. Demonstrations and riots have left over 40 fatalities in the unrest between both Chavistas and opposition protesters, as well as led to the arrest of opposition leaders such as Leopoldo López and Antonio Ledezma. Human rights groups have strongly condemned the arrest of Leopoldo López.
In the 2015 Venezuelan parliamentary election, the opposition gained a majority.
The following year, in a July 2016 decree, President Maduro used his executive power to declare a state of economic emergency. The decree could force citizens to work in agricultural fields and farms for 60-day (or longer) periods to supply food to the country. In mid-2016, Colombian border crossings were temporarily opened to allow Venezuelans to purchase food and basic household and health items in Colombia. In September 2016, a study published in the Spanish-language Diario Las Américas indicated that 15% of Venezuelans are eating “food waste discarded by commercial establishments.”
Attributions
Attributions
Source image provided by Wikimedia Commons: Brazil Carnival
https://en.wikipedia.org/wiki/Brazilian_Carnival#/media/File:Desfile_Portela_2014_(906185).jpg
Chapters adapted from:
https://www.coursehero.com/study-guides/boundless-worldhistory/argentina/
https://www.coursehero.com/study-guides/boundless-worldhistory/chile/
https://www.coursehero.com/study-guides/boundless-worldhistory/brazil/
https://www.coursehero.com/study-guides/boundless-worldhistory/conflict-across-latin-america/
https://www.coursehero.com/study-guides/boundless-worldhistory/crisis-points-of-the-cold-war/
https://www.coursehero.com/study-guides/boundless-worldhistory/the-americas-in-the-21st-century/
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2025-03-18T00:36:52.968760
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https://oercommons.org/courseware/lesson/88104/overview
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Oceania in a Globalized World: Australia, New Zealand, Indonesia
Overview
Oceania in a Globalized World
Since the Cold War, Oceania has continually faced identity issues, as well as environmental concerns. Despite these challenges, most countries in Oceania have prospered since the Cold War.
Learning Objectives
- Evaluate the contemporary successes and challenges in and for Oceania.
Contemporary Australia
Since the end of the Cold War, Australia has emerged as a major, global actor and significant power in Oceania. As its influence has grown, Australia’s politics have also shifted dramatically in response to a globalized, modern world. No longer is the country steeped in white nationalism and restrictive immigration policies. Instead, Australia took a lead role in the protection of peoples around the world, especially in Asia, through its peacekeeping missions.
Domestically, Australia has achieved significant gains in the protection and promotion of Aboriginal rights. Challenges continue to face Aboriginal Australians, though. Poverty, drug and alcohol addiction continue to affect more Aborigines than white Australians.
Australia is also a world leader in conservation and environmental protection. Much of Australia’s promotion of conservation and climate change awareness stems from the continent’s firsthand experience with the effects of climate change. Since the 1970s, Australia has suffered from diminishing coral reefs, expansive wildfires, severe flooding, and cyclones. Since the 1980s, both public and private sectors, including the Australian government, have worked to reduce the effects of climate change and promote conservation.
New Zealand enters a New Millennium
New Zealand has long searched for its identity. In the late 1990s, it scrapped its old political system in favor of one that allowed voters to vote for both their representative and a political party. Although the switch produced some difficulties, it has helped shape New Zealand’s identity in the post-Cold War world.
The island nation has also developed into a multicultural center. Māori and white New Zealanders serve in politics at all levels. Māori culture has been integrated into broader New Zealand society. Moreover, New Zealand serves as a haven for immigrants from Asia and the Middle East.
New Zealand tourism has been fueled by movies and its inviting wilderness. In the early 2000s, Peter Jackson’s Lord of the Rings trilogy catapulted New Zealand to the forefront of public awareness. Tourism skyrocketed as visitors poured into the country to tour the famous film locations. Additionally, athletes and thrill-seekers visit New Zealand to experience its rugged, Southern Alps, whitewater rivers, canyons, and coasts.
Like other nations in Oceania, New Zealand continues to face challenges. Primarily, the country is far removed from any other nation, including Australia. This makes New Zealanders prone to a sense of isolationism, despite their strong tourist industry. Like Australia, and many of the nations in Oceania, New Zealand also faces numerous environmental challenges. Pollution, high greenhouse emissions, overfishing, and diminishing plant and animal biodiversity are a few of the environmental concerns that New Zealanders face in the twenty-first century.
Despite the challenges, New Zealand has discovered its identity. It is neither a miniature version of England nor of Australia. It is a prosperous, multicultural country that is rich in history and people.
Indonesia's New Beginnings
In 1999, Indonesia established a multi-party system and elected a president as head of their nation. Their mixed economy involves big business and government ventures. Historically, Indonesia’s wealth has come from agriculture and oil. Cash crops such as palm oil are particularly important to the country. Natural resources also are abundant in Indonesia and sold globally. In the twenty-first century, Indonesia has increased its manufacturing exports, leading to significant profits.
As a nation that consists of more than 17,000 islands, Indonesia faces numerous environmental concerns, including rising sea levels. It also sits on an oceanic fault that is famous for producing underwater earthquakes and oceanic tsunamis. On December 26, 2004, a major underwater earthquake produced the world’s largest, recorded tsunami. Massive tidal waves reaching 100 feet in height crashed to shore throughout the day. By the end of the surge, more than 220,000 people had died. Since the famous “Boxing Day Tsunami,” numerous other, smaller earthquakes have struck the Indonesian islands.
Since the Cold War, Indonesia has become the largest Muslim country in the world, as well as the fourth most populous nation in the world. As such, it has emerged as a new, strong power in global finance and manufacturing. Although a large gap remains between wealthy and poor, rural and urban populations, Indonesia has emerged as a major, multicultural center in the modern world.
Attributions
Images courtesy of Wikimedia Commons
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2025-03-18T00:36:52.992112
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https://oercommons.org/courseware/lesson/88105/overview
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Genocide and Ethnic Cleansing in the Postwar Era
Overview
Ethnic Cleansing and Genocide since World War II: The Cambodian Genocide
As the news and scope of the Holocaust came to public light following World War II, and especially in the 1960s, it seemed that the world would never again engage in such barbaric and inhumane treatment. Surely, the death of 6 million Jews had taught humanity that we must never again engage in genocide. And yet, tragically, the moral lessons of the Holocaust all-too-soon faded. The promise of “Never again!” transformed into a crude reality, “Not again!”, as genocide unfolded in the Pacific, Asia, Europe, and Africa in the latter half of the twentieth century.
Learning Objectives
- Identify the importance of the Cambodian Genocide.
Key Terms / Key Concepts
Cambodia: country in Southeast Asia between Vietnam and Thailand
Cambodian Genocide: 1975 – 1979 event in which large portions of the middle and upper classes, as well as minorities, were exterminated in Cambodia by the Khmer Rouge
Ethnic cleansing: forced removal of a population from an area, usually violently
Genocide: term created by Raphael Lemkin in 1944, and taken from Greek and Latin roots, to mean literally the “killing of people”
Khmer Rouge: communist party in Cambodia from 1975 – 1979 that was responsible for the Cambodian Genocide
Killing fields: sites throughout Cambodia in which hundreds of thousands of Cambodian civilians were murdered by the Khmer Rouge
Pol Pot: Communist leader of Cambodia from 1963 – 1981
Ethnic Cleansing vs Genocide: Background
Nearly eighty years have passed since the end of World War II when the world first learned of the Holocaust. Since then, multiple cases of genocide and ethnic cleansing have occurred around the world.
The term genocide is relatively young. After much effort, Polish lawyer, Raphael Lemkin coined the term in 1944. Genocide literally translates to the “killing of people.” In particular, the term implies a deliberate, centralized attempt to systematically destroy an entire race, ethnic group, or group of people. The Holocaust is the most commonly agreed-upon genocide in history. Nations and governments are often skeptical of applying the word “genocide” to other events, such as the Armenian Genocide, because it implies that a government was deliberately involved in the planning and murder of a group of people. For this reason, many genocides are still contested.
Closely tied to genocide is the concept of ethnic cleansing. In contrast to genocide, which is intent on the systematic destruction of a specific group of people, ethnic cleaning is a term used to describe the forced removal of a group of people from a specific area to make the area homogenous. Under international law, ethnic cleansing constitutes a war crime because the targeted groups are often subjected to brutal treatment, poor living conditions, physical abuse, and destruction of property.
Cambodian Genocide
During the Cold War, Chinese leader Mao Zedong supported communist leaders throughout the world. In the 1970s, he strongly supported neighboring leader, Pol Pot, who came to power in Cambodia with his political party: the Khmer Rouge. The goal of the new, communist government was the creation of an entirely self-sufficient agrarian society. To achieve this, the Khmer Rouge launched a campaign of eradication. Men, women, and children of the middle and upper classes were targeted. Among the groups targeted were individuals connected to the previous government, intellectuals, monks, and professional people such as doctors, lawyers, businessmen, and journalists. Racial and religious minorities were also targeted. All of these groups were considered “subversive” by the Khmer Rouge and a potential threat to their communist state.
Victims were arrested, and frequently summarily killed. Most famously, the Khmer Rouge took their victims to the killing fields where mass murders unfolded. Hundreds of thousands of people were killed, often by pickax or machete to conserve ammunition. Across the country, dozens of sites have been discovered where these mass murders occurred. Based on the findings, historians estimate that 1.5 – 2 million people were systematically murdered by the Khmer Rouge between 1975 – 1979. The killings finally ceased in 1979 when the Vietnamese Army invaded Cambodia and overthrew the Khmer Rouge.
The Cambodian Genocide remains one of the most definitive examples of genocide since the Holocaust. It was a four-year campaign to not only systematically eradicate specific groups of people but also can be considered a classicide in which there were attempts to destroy the educated and professional, middle and upper classes.
Ethnic Cleansing and Genocide since World War II: The Bosnian Genocide
Learning Objectives
Identify the importance of the Bosnian Genocide
Key Terms / Key Concepts
Balkans: group of countries in southeast Europe bordering the Aegean, Black, and Adriatic Seas
Bosniak: Bosnian-Muslim
Croatian War of Independence: 1991 – 1995 conflict between Croatia and Serbia
Dayton Accords: 1995 cease-fire agreement that established the Republika Srpska in Bosnia and Herzegovina
Republika Srpska: political territory established inside Bosnia Herzegovina’s southern and eastern regions that is predominately inhabited by Serbs
Slobodan Milošević: Serbian leader 1989 – 2000 who was instrumental in facilitating the Yugoslav Wars and Bosnian Genocide
Srebrenica: site of one of the most infamous mass murders in the Bosnian Genocide
Tito: communist leader of Yugoslavia from 1944 – 1980
Yugoslavia: communist nation comprised of six Balkan countries from 1945 – 1991
Yugoslav Wars: series of conflicts following between Serbia, Croatia, Bosnia, and other Balkan nations from 1991 – 2001
Vukovar: city in eastern Croatia that experienced heinous war crimes in the Croatian War of Independence
The Yugoslav Wars
If the Holocaust introduced the world to the concept of genocide, the Yugoslav Wars of the late 1980s and 1990s made the world more aware of ethnic cleansing.
Background
In southeast Europe there are a stretch of countries collectively known as the Balkans. These countries include Greece, Albania, Croatia, Serbia, Bosnia, Macedonia, and a handful of others. These countries historically are rich in language, religion, and culture. Because of their ethnic and religious diversity, as well as territory squabbles, countries in the Balkans also have a long history of conflict in and among themselves.
During the Cold War, political strongman, Tito, came to power and the Balkans were united under the communist banner. Six countries formed the Cold War state of Yugoslavia: Bosnia and Herzegovina, Serbia, Croatia, Macedonia, Montenegro, and Slovenia. While under Tito’s rule, Yugoslavia remained united, despite religious and ethnic tension. Predominately, the Serbs had been Eastern Orthodox, the Croats were Catholic, and the Bosnians were Muslim. These religious differences would set the stage for the Yugoslav wars. While Tito remained in power, the six nations cooperated. Anyone who dissented was summarily dismissed from their post by Tito. Tito’s policy of “state above all else” was extremely popular. And when he died in 1980, millions throughout Yugoslavia mourned his death.
Tito’s successors tried desperately to keep the Yugoslav state together. Despite their efforts, old rivalries and tensions soon emerged. As one of Tito’s successors remarked, “Will we all just go back to shooting each other?”
In 1987, a Serbian socialist politician entered the forefront of the Balkan stage: Slobodan Milošević. More than any other man, he divided people in the Balkans by promoting Serbian nationalism. Slowly, he transformed the Yugoslav Army into a predominately Serbian Army, and he refueled old hatreds between groups. To achieve his purpose of promoting Serbian dominance in the Balkans, and Serbian nationalism at home, Slobodan Milošević masterfully employed the use of television. He broadcast messages to the Serbian people, showing images of the developing Serbian military. Famously, when Serbian people were beaten by policemen from Kosovo and Albania, the videographer caught Milošević’s response as he lifted a Serb to his feet, “You will not be beaten again.” The image of the downtrodden Serbs being physically lifted by Milošević before their rivals sent a power signal throughout Serbia. At home, Milošević’s popularity skyrocketed, and he was hailed the next Tito. But Milošević had bigger ambitions for Serbia than unity with its neighbors. His chance to elevate Serbia’s place in the Balkans came in 1991 when the Soviet Union, and by extension, the Yugoslav state, collapsed.
The Yugoslav Wars Begin
The collapse of the Soviet Union struck Serbia and Milošević hard. Serbia and Russia had a deep history of economic and political alliances. And for Milošević, it became clear he would never become the next Tito. He would have to settle for president of Serbia. But he would make sure the Balkans remembered him too.
In 1991, Croatia voted for independence. A year later, Bosnia did the same. The acts infuriated Milošević because both countries had large Serbian populations. He would not allow them to become independent nations with so many of “his people” without a fight.
Croatian War of Independence
In the spring of 1991, skirmishes between the Serbs and the Croats began, mostly in Croatian territory where there was a strong Serbian minority. By the summer, Croatia had officially declared independence. In response, the Serbian army escalated the conflict. They launched violent attacks against the Croats on the battlefields, but also launched furious bombardments of their cities, including Dubrovnik.
In November 1991, the Serbian forces surrounded the Croatian city of Vukovar. Soldiers and citizens were subjected to heavy artillery bombardment from the advancing Serbian army. Severely outnumbered, the Croatian forces were quickly overrun. Inside the city, Serbian soldiers executed the Croatian soldiers and civilians at will. Many soldiers and civilians had sheltered in the Vukovar hospital. The Serbian army secured the hospital and quickly seized two hundred people, mostly civilians. They were then transported to a pig farm outside the city and shot. Additional mass murders followed.
The non-Serbian civilians who survived the massacres were forced from the city by the Serbians who drove them into ramshackle concentration camps lined with barbed wire. Deplorable conditions existed inside the camps, and thousands of Croats perished either from disease and malnourishment, or executions. The removal of all non-Serbian peoples was undertaken to ethnically cleanse the city. Vukovar, which sustained heavy damage, was the first European city to be mostly destroyed in war since 1945.
The Croatian War for Independence, the first major Yugoslav War, ended in 1995 after two successful offensive campaigns launched by the Croats. In four years, Croatia had lost 20,000 people and roughly a quarter of their economy was devastated. It appeared as if their experiment as an independent, democratic nation was off to a shaky start.
The Bosnian War
The Bosnian War far exceeded the violence of the Croatian War for Independence. In the Bosnian War, the Serbian army launched an all-out campaign to eradicate the Bosniaks—Bosnian Muslims. In the summer of 1992, Europe again saw genocide, less than fifty years after the end of World War II.
Serbian nationalists promised to “liberate” towns and cities throughout Bosnia. In this mission, they employed thousands of Serbian troops. In addition to the army, they recruited paramilitary forces, including the highly feared Arkan’s Tigers. Under the command of the popular, Željko Ražnatović (Arkan)—an international mobster on Interpol’s Most Wanted List—the Tigers were feared because of their readiness to carry-out excessively brutal murders against both Croats and Bosniaks.
Overnight, Serbians living in Bosnia turned against their Bosniak neighbors. Many joined the Serbian armed forces and paramilitary groups. These neighbors later participated in the round up and mass murder of the Bosniaks. Ethnic cleansing of Bosnia, rapes, looting, and prolonged sieges of major cities, like Sarajevo, reigned in Bosnia. Across the country, deplorable concentration camps sprang up to contain the Bosniak and Croat prisoners.
Across Bosnia, Serbians engaged in mass executions, primarily of Bosniaks. The most famous of the mass murders occurred at Srebrenica, on the eastern border of Bosnia near Serbia. An estimated 8,000 Bosniak boys and men were murdered and then thrown into mass graves.
The conflict in Bosnia ended in 1995 with the Dayton Accords. The peace treaty was signed at Warren Air Force Base outside of Dayton, Ohio. Chief to the success of the treaty was U.S. peace negotiator, Richard Holbrooke, and the American Secretary of State. The treaty established a separate, largely Serbian region in Bosnia, the Republika Srpska. Located on Bosnia’s southern and eastern sides, Republika Srpska remains largely inhabited by Serbians. The other side of Bosnia Herzegovina is home predominately to Croats and Bosniaks.
Kosovo
The Yugoslav Wars did not end until the early 2000s. In 1998 – 1999, war erupted in Kosovo—to the southeast of Bosnia. While Kosovars declared autonomy, they were challenged and attacked by forces from Serbia and Montenegro. Fears that Kosovars were being persecuted by the attacking forces escalated. In 1999, NATO launched a series of airstrikes over Serbia. For nearly three months, NATO forces bombed parts of Serbia and Montenegro until Serbian and Montenegrin forces withdrew. The NATO actions remain controversial because their airstrikes were never approved by the UN Security Council, having been vetoed by China and Russia. Moreover, the maneuver was technically illegal because no NATO nation had been directly attacked. Instead, the NATO airstrikes were conducted in the name of protecting humanity, without official approval from the United Nations.
Tension and insurgencies persisted in Kosovo and Montenegro into the early 2000s. Today, the region remains unsettled, and comprised of six independent nations. For their parts in the Yugoslav Wars, Slobodan Milošević and his inner circle were charged with war crimes, crimes against peace, and crimes against humanity. Before Milošević could stand trial, he died in prison of a heart condition. His close associates Ratko Mladić and Radovan Karadžić were convicted of war crimes by The Hague and sentenced to life in prison.
Ethnic Cleansing and Genocide since World War II: The Rwandan Genocide
Learning Objectives
Identify the importance of the Rwandan Genocide.
Key Terms / Key Concepts
Hutu: ethnic, majority group in Rwanda in the 1990s
Rwanda: landlocked country east of Congo in Africa
Rwandan Genocide: mass slaughter of Tutsis by Hutus and their collaborators in 1994
Rwandan Patriotic Front: Tutsi-led force that fought against the Hutus during the Rwandan Genocide
Tutsi: ethnic, minority group in Rwanda in the 1990s
The Rwandan Genocide
The Rwandan Genocide was the mass slaughter of Tutsi people in Rwanda by members of the Hutu majority government in 1994. An estimated 500,000 to one million Rwandans were killed during the 100-day period from April 7 to mid-July 1994, constituting as many as 70% of the Tutsi population and 20% of Rwanda’s overall population.
Preparation for Genocide
Historians do not agree on a precise date on which the idea of a “final solution” to kill every Tutsi in Rwanda was introduced. The Rwandan army began training Hutu youth in combat and arming civilians with weapons, such as machetes, in 1990. Rwanda also purchased large numbers of grenades and munitions starting in late 1990. The Rwandan Armed Forces (FAR) also expanded rapidly during this time, growing from fewer than 10,000 troops to almost 30,000 in one year. Throughout 1993, far right nationalists imported machetes from China on a scale far larger than required for agriculture, as well as other tools that could be used as weapons, such as razor blades, saws, and scissors. These tools were distributed around the country, ostensibly as part of the civil defense network. And, in March 1993, the Hutu Power group began compiling lists of “traitors” who they planned to kill.
In October 1993, the President of Burundi, Melchior Ndadaye, who had been elected in June as the country’s first ever Hutu president, was assassinated by extremist Tutsi army officers. The assassination caused shock waves throughout the country, reinforcing the notion among Hutus that the Tutsi were their enemy and could not be trusted.
The idea of a Tutsi “final solution” now occupied the top of Hutu party agendas and was actively planned. The Hutu Power groups were confident of persuading the Hutu population to carry out killings given the public anger at Ndadaye’s murder, the persuasiveness of propaganda, and the traditional obedience of Rwandans to authority. Power leaders began arming militia groups with AK-47s and other weapons, whereas previously they possessed only machetes and traditional hand weapons.
Assassination of Habyarimana
On April 6, 1994, the airplane carrying President Habyarimana and Cyprien Ntaryamira, the Hutu president of Burundi—was shot down as it prepared to land in Kigali, killing everyone on board. Responsibility for the attack was disputed. Despite disagreements about the perpetrators, the attack and deaths of the two Hutu presidents served as the catalyst for the subsequent Tutsi genocide.
Genocide
The genocide itself began on April 7, 199. The commanders announced the president’s death, blamed the Tutsis, and then ordered the crowd to begin killing Tutsi people. The genocide quickly spread throughout the country. For the remainder of April and early May, the Presidential Guard—gendarmerie —and youth militias continued killing at very high rates. These groups were aided by local populations, as Hutu neighbors turned on their Tutsi neighbors. Historian Gerard Prunier estimates in his book, The Rwanda Crisis, that up to 800,000 Rwandans were murdered during the first six weeks of the genocide. That statistic represents a rate of killing that was five times higher than the Holocaust in terms of time. The goal of the genocide was to kill every Tutsi living in Rwanda, and except for the advancing Rwandan Patriotic Front (RPF), there was no opposition force to prevent or slow the killings.
Escape proved nearly impossible. Each person who encountered a roadblock was required to show their national identity card that included ethnicity, and anyone carrying a Tutsi card was slaughtered immediately. Many Hutus were also killed for a variety of reasons, including demonstrating sympathy for moderate opposition parties, being a journalist, or simply appearing Tutsi. The RPF made slow and steady gains in the north and east of the country, ending killings in each area they occupied.
Impact
Given the chaotic nature of the situation, there is no consensus on the number of people killed during the genocide. Unlike the genocides carried out by Nazi Germany or the Khmer Rouge in Cambodia, authorities made no attempts to document or systematize deaths. The succeeding RPF government has stated that 1,071,000 were killed in 100 days, 10% of whom were Hutu. Based on those statistics, it could be derived that 10,000 people were murdered every day.
End of Rwandan Genocide
The infrastructure and economy of Rwanda suffered greatly during the genocide. Many buildings were uninhabitable, and the former regime had taken all currency and movable assets when they fled the country. Human resources were also severely depleted, with over 40% of the population having been killed or fled. Many of the remainder were traumatized: most had lost relatives, witnessed killings, or participated in the genocide. In 1994, the UN established a criminal tribunal to try Rwandan war criminals. It convicted 85 individuals. Rwandan courts also tried individuals for their participation in war crimes during the genocide.
Attributions
Images Courtesy of Wikimedia Commons
Boundless World History
“Rwandan Genocide”
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-rwandan-genocide/
https://creativecommons.org/licenses/by-sa/4.0/
The Holocaust and other Genocides: History, Representation, and Ethics. Helmut Walser Smith, Ed. Vanderbilt Publishing; Nashville, TN: 2002.
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oercommons
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2025-03-18T00:36:53.044982
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"url": "https://oercommons.org/courseware/lesson/88105/overview",
"title": "Statewide Dual Credit World History, The Catastrophe of the Modern Era: 1919-Present CE",
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https://oercommons.org/courseware/lesson/88106/overview
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The Global War on Terror
Overview
War on Terror
On September 11, 2001 ("9/11"), the United States was struck by a terrorist attack when 19 al-Qaeda hijackers commandeered four airliners to be used in suicide attacks. They intentionally crashed two into both twin towers of the World Trade Center and a third into the Pentagon, killing 2,937 victims—206 aboard the three airliners, 2,606 who were in the World Trade Center and on the ground, and 125 who were in the Pentagon. The fourth plane was re-taken by the passengers and crew of the aircraft. While they were not able to land the plane safely, they were able to re-take control of the aircraft and crash it into an empty field in Pennsylvania; this did kill all 44 people on board, including the four terrorists, and this heroic action saved whatever target those terrorists were aiming for. All in all, a total of 2,977 people perished in the attacks.
Learning Objectives
Analyze the international structure that emerged in the post-Cold War era.
Key Terms / Key Concepts
al-Qaeda: a militant Sunni Islamist multi-national organization founded in 1988 by Osama bin Laden, Abdullah Azzam, and several other Arab volunteers who fought against the Soviet invasion of Afghanistan in the 1980s; widely designated as a terrorist group
Taliban: a Sunni Islamic fundamentalist political movement in Afghanistan currently waging war (an insurgency, or jihad) within that country; a group that uses terrorism as a specific tactic to further their ideological and political goals
“War on Terror”: designation for the U.S. government’s operations against al-Qaeda and the Taliban, among other terrorist organizations, in the wake of the 11 September 2001 al-Qaeda terrorist attacks
In response to what is now referred to as 9/11, President George W. Bush on September 20 announced a “War on Terror,” focusing on al-Qaeda and the Taliban, along with the groups and countries that assisted them, which included Afghanistan and Iraq. On October 7, 2001, the United States and NATO then invaded Afghanistan to oust the Taliban regime, which had provided safe haven to al-Qaeda and its leader Osama bin Laden. The wars in Afghanistan and Iraq failed to stabilize the political situation in the Middle East and contributed to ongoing civil conflicts, with counterterrorism experts arguing that they created circumstances beneficial to the escalation of radical Islamism.
The U.S. government also took steps in the U.S. to prevent future attacks. The controversial USA PATRIOT Act increased the government's power to monitor communications and removed legal restrictions on information sharing between federal law enforcement and intelligence services. A cabinet-level agency called the Department of Homeland Security was created to lead and coordinate federal counter-terrorism activities. Some of these anti-terrorism efforts, particularly the U.S. government's handling of detainees at the prison at Guantanamo Bay, led to allegations against the U.S. government of human rights violations.
Iraq War
Although explicitly stating that Iraq had "nothing" to do with 9/11, President George W. Bush consistently referred to the Iraq war as “the central front in the war on terror” and argued that if the United States pulled out of Iraq, “terrorists will follow us here.” The reasons for the invasion cited by the Bush administration included the spreading of democracy, the elimination of weapons of mass destruction, and the liberation of the Iraqi people. The Bush administration based its rationale for the war principally on the assertion that Iraq possessed weapons of mass destruction (WMDs) and that the Iraqi government posed an immediate threat to the United States and its coalition allies. Select U.S. officials accused Sadam Hussein—the then leader of Iraq—of harboring and supporting al-Qaeda, while others cited the desire to end his repressive dictatorship and bring democracy to the people of Iraq.
Learning Objectives
Analyze the international structure that emerged in the post-Cold War era.
Key Terms / Key Concepts
Iraq War: 2003-11 conflict between the U.S. and Iraq, at the center of the U.S. "War on Terror". The U.S. invasion of Iraq began this war, and it was subsequently marked by the overthrow of Saddam Hussein, replaced by a Shia-led parliamentary republic, and an insurgency against this new government, along with the continuing U.S. military presence in Iraq, which ended in 2011.
The Bush Administration began the Iraq War in March 2003, with the United States, joined by the United Kingdom and several coalition allies, invading Iraq; this prefaced the so-called “shock and awe” bombing campaign. Iraqi forces were quickly overwhelmed as U.S. forces swept through the country. The invasion led to the collapse of the Ba'athist government (under the rule of the Arab Socialist Ba'ath Party). President Saddam Hussein was captured during Operation Red Dawn in December 2003 and executed by a military court three years later. After the invasion, no substantial evidence was found to verify the initial claims about WMDs. And the rationale and misrepresentation of pre-war intelligence would later face heavy criticism within the U.S. and internationally.
In the aftermath of the invasion, Iraq held multi-party elections in 2005. Nouri al-Maliki became Prime Minister in 2006 and remained in office until 2014. The al-Maliki government enacted policies that were widely seen as having the effect of alienating the country's Sunni minority and worsening sectarian tensions. These policies and the fact that Iraq was a “nation” cobbled together by WWI allies out of already warring factions, combined with the power vacuum following Saddam's demise and the mismanagement of the occupation, led to widespread sectarian violence between Shias and Sunnis, as well as a lengthy insurgency against U.S. and coalition forces. The United States responded with a troop surge in 2007.
Despite some initial successes early in the invasion, the continued Iraq War fueled international protests and gradually saw a decline in US domestic support, as many people began to question whether or not the invasion was worth the cost. While proponents of the war outside of the Bush Administration regularly echoed the assertion that this would reduce the chances of terrorists coming to the U.S., as the conflict dragged on, members of the U.S. Congress, the U.S. public, and even U.S. troops questioned the connection between Iraq and the fight against anti-U.S. terrorism. In particular, a consensus developed among intelligence experts that the Iraq war actually increased terrorism.
Counterterrorism expert Rohan Gunaratna frequently referred to the invasion of Iraq as a “fatal mistake.” London's International Institute for Strategic Studies concluded in 2004 that the occupation of Iraq had become “a potent global recruitment pretext” for radical Muslim fighters and that the invasion “galvanized” al-Qaeda and “perversely inspired insurgent violence.” The U.S. National Intelligence Council concluded in a 2005 report that the war in Iraq had become a breeding ground for a new generation of terrorists. David Low, the national intelligence officer for transnational threats, indicated that the report concluded that the war in Iraq provided terrorists with “a training ground, a recruitment ground, the opportunity for enhancing technical skills... There is even, under the best scenario, over time, the likelihood that some of the jihadists who are not killed there will, in a sense, go home, wherever home is, and will therefore disperse to various other countries.” The Council's chairman Robert Hutchings noted, “At the moment, Iraq is a magnet for international terrorist activity.” The 2006 National Intelligence Estimate, which outlined the considered judgment of all 16 U.S. intelligence agencies, concluded that “the Iraq conflict has become the 'cause célèbre' for jihadists, breeding a deep resentment of U.S. involvement in the Muslim world and cultivating supporters for the global jihadist movement.”
In 2008, the unpopularity of President Bush and the Iraq War, along with the 2008 financial crisis, contributed to the election of Barack Obama, who questioned the Iraq War. After his election, Obama reluctantly continued the war effort in Iraq until August 31, 2010, when he declared that combat operations had ended. However, 50,000 American soldiers and military personnel were kept in Iraq to assist Iraqi forces, help protect withdrawing forces, and work on counter-terrorism until December 15, 2011, when the war was declared formally over and the last troops left the country.
Aftermath of 2011 Withdrawal from Iraq
The invasion and occupation of Iraq led to sectarian violence, which caused widespread displacement among Iraqi civilians. The Iraqi Red Crescent organization estimated the total internal displacement was around 2.3 million in 2008, and as many as 2 million Iraqis left the country. The invasion preserved the autonomy of the Kurdish region and because the Kurdish region is historically the most democratic area of Iraq, many Iraqi refugees from other territories fled into the Kurdish land.
Iraqi insurgency surged in the aftermath of the U.S. withdrawal. Terror campaigns involving Iraqi (primarily radical Sunni) anti-government rebel groups and various factions within Iraq escalated. The events of post U.S. withdrawal have shown patterns raising concerns that the surging violence might slide into another civil war. By mid-2014, the country was in chaos with a new government yet to be formed following national elections and the insurgency reaching new heights. In early June 2014, the ISIL (ISIS) took over the cities of Mosul and Tikrit and stated it was ready to march on Baghdad, while Iraqi Kurdish forces took control of key military installations in the major oil city of Kirkuk. Prime Minister Nouri al-Maliki asked his parliament to declare a state of emergency that would give him increased powers, but the lawmakers refused.
In the summer of 2014 President Obama announced the return of U.S. forces to Iraq, but only in the form of aerial support, in an effort to halt the advance of ISIS forces, render humanitarian aid to stranded refugees, and stabilize the political situation. In August 2014, Prime Minister Nouri al-Maliki succumbed to pressure at home and abroad to step down. This paved the way for Haidar al-Abadi to take over. In what was claimed to be revenge for the aerial bombing ordered by President Obama, ISIS, which by this time had changed its name to the Islamic State, beheaded an American journalist, James Foley, who had been kidnapped two years earlier. Despite U.S. bombings and breakthroughs on the political front, Iraq remained in chaos with the Islamic State consolidating its gains and sectarian violence continuing unabated.
Consequences of the Iraq War
Various scientific surveys of Iraqi deaths resulting from the first four years of the Iraq War estimated that between 151,000 and over one million Iraqis died as a result of the conflict during this time. A later study, published in 2011, estimated that approximately 500,000 Iraqis had died as a result of the conflict since the invasion. For troops in the U.S.-led multinational coalition, the death toll is carefully tracked and updated daily. A total of 4,491 U.S. service members were killed in Iraq between 2003 and 2014. Regarding the Iraqis, however, information on both military and civilian casualties is both less precise and less consistent.
The Iraq War caused hundreds of thousands of civilian and thousands of military casualties. The majority of casualties occurred as a result of the insurgency and civil conflicts between 2004 and 2007. The war destroyed the country and resulted in a humanitarian crisis. The child malnutrition rate rose to 28%. Some 60 – 70% of Iraqi children were reported to be suffering from psychological problems in 2007. Most Iraqis had no access to safe drinking water; a cholera outbreak in northern Iraq was thought to be the result of poor water quality. As many as half of Iraqi doctors left the country between 2003 and 2006. Poverty led many Iraqi women to turn to prostitution to support themselves and their families, attracting sex tourists from regional lands. The use of depleted uranium and white phosphorus by the U.S. military has been blamed for birth defects and cancers in the Iraqi city of Fallujah. By the end of 2015, according to the Office of the United Nations High Commissioner for Refugees, 4.4 million Iraqis had been internally displaced. The population of Iraqi Christians dropped dramatically during the war, from 1.5 million in 2003 to perhaps only 275,000 in 2016. The Foreign Policy Association reported that "“the most perplexing component of the Iraq refugee crisis” was that the U.S. has accepted only around 84,000 Iraqi refugees.
Throughout the entire Iraq war, there have been human rights abuses on all sides of the conflict. Arguably the most controversial incident was a series of human rights violations against detainees in the Abu Ghraib prison in Iraq. These violations perpetrated by American soldiers included physical and sexual abuse, torture, rape, sodomy, and murder. The abuses came to widespread public attention with the publication of photographs of the abuse by CBS News in April 2004. The incidents received widespread condemnation both within the United States and abroad, although the soldiers received support from some conservative media within the United States. The administration of George W. Bush attempted to portray the abuses as isolated incidents, not indicative of general U.S. policy. This was contradicted by humanitarian organizations such as the Red Cross, Amnesty International, and Human Rights Watch. After multiple investigations, these organizations stated that the abuses at Abu Ghraib were not isolated incidents; rather, they were part of a wider pattern of torture and brutal treatment at American overseas detention centers, including those in Iraq, Afghanistan, and Guantanamo Bay. Several scholars stated that the abuses constituted state-sanctioned crimes.
Afghanistan War
The United States invasion of Afghanistan occurred after the September 11 attacks in late 2001, overlapping the 2003 U.S. invasion of Iraq. President Bush demanded that the Taliban hand over Osama bin Laden and expel al-Qaeda from Afghanistan. The Taliban government refused to extradite him (or others sought by the U.S.) without evidence of his involvement in the 9/11 attacks. The request was dismissed by the U.S. as a meaningless delaying tactic, and on October 7, 2001 it launched Operation Enduring Freedom with the United Kingdom. The two were later joined by other forces, including the Afghan Northern Alliance that had been fighting the Taliban in the ongoing civil war since 1996. In December 2001, the United Nations Security Council established the International Security Assistance Force (ISAF) to assist the Afghan interim authorities with securing Kabul. At the Bonn Conference the same month, Hamid Karzai was selected to head the Afghan interim administration, which after a 2002 loya jirga (Pashto for “grand assembly”) in Kabul became the Afghan transitional administration. In the popular elections of 2004, Karzai was elected president of the country, then named the Islamic Republic of Afghanistan. NATO became involved in ISAF in 2003 and later that year assumed leadership of its troops from 43 countries. NATO members provided the core of the force. One portion of U.S. forces in Afghanistan operated under NATO command. The rest remained under direct U.S. command.
Learning Objectives
Analyze the international structure that emerged in the post-Cold War era.
Key Terms / Key Concepts
al-Qaeda: a militant Sunni Islamist multi-national organization founded in 1988 by Osama bin Laden, Abdullah Azzam, and several other Arab volunteers who fought against the Soviet invasion of Afghanistan in the 1980s; widely designated as a terrorist group
Taliban: a Sunni Islamic fundamentalist political movement in Afghanistan currently waging war (an insurgency, or jihad) within that country; a group that uses terrorism as a specific tactic to further their ideological and political goals
Iraq War: 2003-11 conflict between the U.S. and Iraq, at the center of the U.S. "War on Terror". The U.S. invasion of Iraq began this war, and it was subsequently marked by the overthrow of Saddam Hussein, replaced by a Shia-led parliamentary republic, and an insurgency against this new government, along with the continuing U.S. military presence in Iraq, which ended in 2011.
The Taliban was reorganized by its leader Mullah Omar, and in 2003 it launched an insurgency against the government and ISAF. Although outgunned and outnumbered, insurgents from the Taliban and other radical groups have waged asymmetric warfare with guerrilla raids and ambushes in the countryside, suicide attacks against urban targets, and turncoat killings against coalition forces. The Taliban exploited weaknesses in the Afghan government, among the most corrupt in the world, to reassert influence across rural areas of southern and eastern Afghanistan. In the initial years, there was little fighting but from 2006 the Taliban made significant gains and showed an increased willingness to commit atrocities against civilians. Violence sharply escalated from 2007 to 2009. While ISAF continued to battle the Taliban insurgency, fighting crossed into neighboring northwestern Pakistan.
The Narang night raid was a raid on a household in the village of Ghazi Khan in the early morning hours of December 27, 2009. The operation was authorized by NATO and resulted in the death of ten Afghan civilians, most of whom were students and some of whom were children. The status of the deceased was initially in dispute, with NATO officials claiming the dead were Taliban members found with weapons and bomb-making materials, while some Afghan government officials and local tribal authorities asserted they were civilians.
On May 2, 2011, United States Navy SEALs killed Osama bin Laden in Abbotabad, Pakistan. A year later, NATO leaders endorsed an exit strategy for withdrawing their forces. UN-backed peace talks have since taken place between the Afghan government and the Taliban. In May 2014, the United States announced that its major combat operations would end in December and that it would leave a residual force in the country. In October 2014, British forces handed over the last bases in Helmand to the Afghan military, officially ending their combat operations in the war. In December 2014, NATO formally ended combat operations in Afghanistan and transferred full security responsibility to the Afghan government.
Aftermath and Consequences of the U.S. Invasion of Afghanistan
Although there was a formal end to combat operations, partially because of improved relations between the United States and the new President Ashraf Ghani, American forces increased raids against Islamic militants and terrorists, justified by a broad interpretation of protecting American forces. In March 2015, it was announced that the United States would maintain almost ten thousand service members in Afghanistan until at least the end of 2015, a change from planned reductions. In October 2015, the Obama administration announced that U.S. troops would remain in Afghanistan past the original planned withdrawal date of December 31, 2016. U.S. forces continued to conduct airstrikes and special operations raids, while Afghan forces were losing ground to Taliban forces in some regions. This continuing U.S. presence in Afghanistan was unpopular with people in both the U.S. and Afghanistan. Consequently, in 2020 – 21 the U.S. carried out a withdrawal of its forces from Afghanistan.
War casualty estimates vary significantly. According to a UN report, the Taliban were responsible for 76% of civilian casualties in Afghanistan in 2009. In 2011, a record over three thousand civilians were killed, the fifth successive annual rise. According to a UN report, in 2013 there were nearly three thousand civilian deaths, with 74% blamed on anti-government forces. A report titled Body Count put together by Physicians for Social Responsibility, Physicians for Global Survival, and the Nobel Peace Prize-winning International Physicians for the Prevention of Nuclear War (IPPNW) concluded that 106,000 – 170,000 civilians have been killed as a result of the fighting in Afghanistan at the hands of all parties to the conflict. According to the Watson Institute for International Studies Costs of War Project, 21,000 civilians have been killed as a result of the war.
An estimated 96% of Afghans have been affected either personally by or from the wider consequences of the war. Since 2001, more than 5.7 million former refugees have returned to Afghanistan but 2.2 million others remained refugees in 2013. In 2013, the UN estimated that 547,550 were internally displaced persons, a 25% increase over the 2012 estimates.
From 1996 to 1999, the Taliban had controlled 96% of Afghanistan's poppy fields and made opium its largest source of revenue. Taxes on opium exports became one of the mainstays of Taliban income. By 2000, Afghanistan accounted for an estimated 75% of the world's opium supply. The Taliban leader Mullah Omar then banned opium cultivation and production dropped. Some observers argue that the ban was issued only to raise opium prices and increase profit from the sale of large existing stockpiles. The trafficking of accumulated stocks continued in 2000 and 2001. Soon after the invasion, opium production increased markedly. By 2005, Afghanistan was producing 90% of the world's opium, most of which was processed into heroin and sold in Europe and Russia. In 2009, the BBC reported that “UN findings say an opium market worth $65bn funds global terrorism, caters to 15 million addicts, and kills 100,000 people every year.”
War crimes have been committed by both sides: civilian massacres, bombings of civilian targets, terrorism, use of torture, and the murder of prisoners of war. Additional common crimes include theft, arson, and the destruction of property not warranted by military necessity. The Afghanistan Independent Human Rights Commission (AIGRC) called the Taliban's terrorism against the Afghan civilian population a war crime. According to Amnesty International, the Taliban commit war crimes by targeting civilians, including killing teachers, abducting aid workers, and burning school buildings. The organization reported that up to 756 civilians were killed in 2006 by bombs, mostly on roads or carried by suicide attackers belonging to the Taliban. NATO has also alleged that the Taliban has used civilians as human shields.
In 2009, the U.S. confirmed that Western military forces in Afghanistan used white phosphorus as a weapon to illuminate targets or as an incendiary to destroy bunkers and enemy equipment; this has been condemned by human rights organizations as cruel and inhumane because it causes severe burns. U.S. forces used white phosphorus to screen a retreat in the Battle of Ganjgal when regular smoke munitions were not available. White phosphorus burns on the bodies of civilians wounded in clashes near Bagram were confirmed. The U.S. claims at least 44 instances in which militants have used white phosphorus in weapons or attacks.
The 2001 – 21 Afghanistan War and the 2003 – 11 Iraq War were the two major efforts in the U.S.’s “War on Terrorism.” These two wars illustrated the challenges in trying to stop terrorism by radicalized religious groups with conventional military efforts conducted by coalitions of nation-states. These wars also illustrated the vulnerability of all societies to radicalization from terrorist groups, such as al-Qaeda, the Taliban, and the Proud Boys.
Attributions
Images Courtesy of Wikipedia Commons
Title Image - War on Terror Montage. Attribution: Derivative work: PoxnarAll four pictures in the montage are taken by the US Army/Navy., Public domain, via Wikimedia Commons. Provided by: Wikipedia Commons. Location: https://commons.wikimedia.org/wiki/File:War_on_Terror_montage1.png. License: Creative Commons CC0 License.
Boundless World History
"The Middle East and North Africa in the 21st Century"
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History of the United States (1991u20132008). Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/History_of_the_United_States_(1991-2008). License: CC BY-SA: Attribution-ShareAlike
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Islam and modernity. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Islam_and_modernity. License: CC BY-SA: Attribution-ShareAlike
Salafi movement. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Salafi_movement. License: CC BY-SA: Attribution-ShareAlike
Muslim Brotherhood. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Muslim_Brotherhood. License: CC BY-SA: Attribution-ShareAlike
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Hezbollah. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Hezbollah. License: CC BY-SA: Attribution-ShareAlike
Islamic fundamentalism. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Islamic_fundamentalism. License: CC BY-SA: Attribution-ShareAlike
Jihad. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Jihad. License: CC BY-SA: Attribution-ShareAlike
Sharia. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Sharia. License: CC BY-SA: Attribution-ShareAlike
Taliban. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Taliban. License: CC BY-SA: Attribution-ShareAlike
Islamic revival. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Islamic_revival. License: CC BY-SA: Attribution-ShareAlike
Islamic State of Iraq and the Levant. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Islamic_State_of_Iraq_and_the_Levant. License: CC BY-SA: Attribution-ShareAlike
Hamas. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Hamas. License: CC BY-SA: Attribution-ShareAlike
Islamism. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Islamism. License: CC BY-SA: Attribution-ShareAlike
Taliban. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Taliban. License: CC BY-SA: Attribution-ShareAlike
War in Afghanistan (2015u2013present). Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/War_in_Afghanistan_(2015%E2%80%93present). License: CC BY-SA: Attribution-ShareAlike
Ba'athist Iraq. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Ba'athist_Iraq. License: CC BY-SA: Attribution-ShareAlike
Iraq War. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Iraq_War. License: CC BY-SA: Attribution-ShareAlike
Casualties of the Iraq War. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Casualties_of_the_Iraq_War. License: CC BY-SA: Attribution-ShareAlike
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Operation Enduring Freedom. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Operation_Enduring_Freedom. License: CC BY-SA: Attribution-ShareAlike
Northern Alliance. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Northern_Alliance. License: CC BY-SA: Attribution-ShareAlike
2002 loya jirga. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/2002_loya_jirga. License: CC BY-SA: Attribution-ShareAlike
War on Terror. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/War_on_Terror. License: CC BY-SA: Attribution-ShareAlike
Narang night raid. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Narang_night_raid. License: CC BY-SA: Attribution-ShareAlike
Arab Spring. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Arab_Spring. License: CC BY-SA: Attribution-ShareAlike
Impact of the Arab Spring. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Impact_of_the_Arab_Spring. License: CC BY-SA: Attribution-ShareAlike
Joint Plan of Action. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Joint_Plan_of_Action. License: CC BY-SA: Attribution-ShareAlike
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Treaty on the Non-Proliferation of Nuclear Weapons. Provided by: Wikipedia. Located at: https://en.wikipedia.org/wiki/Treaty_on_the_Non-Proliferation_of_Nuclear_Weapons. License: CC BY-SA: Attribution-ShareAlike
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2025-03-18T00:36:53.091015
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Economic Recession in the Early 21st Century
Overview
The Great Recession
The Great Recession had deep impacts on the United States and the global market. Many of the mortgages that were backed by US banks quickly failed and the selling of these mortgages throughout the US market meant that the effects were global.
Learning Objectives
- Evaluate the origin of the Great Recession.
- Analyze the impact of the Great Recession on the global politics and economics.
Key Terms / Key Concepts
The Great Recession: in 2010 the economic collapse of the United States securities backed industry that quickly spread throughout the global marketplace
The Great Recession
The Great Recession began, as most American economic catastrophes began, with the bursting of a speculative bubble. Throughout the 1990s and into the new millennium, home prices continued to climb, and financial services firms looked to cash in on what seemed to be a safe but lucrative investment. After the dot-com bubble burst, investors searched for a secure investment rooted in clear value, rather than in trendy technological speculation. What could be more secure than real estate? But mortgage companies began writing increasingly risky loans and then bundling them together and selling them over and over again, sometimes so quickly that it became difficult to determine exactly who owned what.
Decades of financial deregulation had rolled back Depression-era restraints and again allowed risky business practices to dominate the world of American finance. It was a bipartisan agenda. In the 1990s, for instance, Bill Clinton signed the Gramm-Leach-Bliley Act, repealing provisions of the 1933 Glass-Steagall Act separating commercial and investment banks, and the Commodity Futures Modernization Act, which exempted credit-default swaps—perhaps the key financial mechanism behind the crash—from regulation.
Mortgages had been so heavily leveraged that when American homeowners began to default on their loans, the whole system collapsed. Major financial services firms such as Bear Stearns and Lehman Brothers disappeared almost overnight. In order to prevent the crisis from spreading, the federal government poured billions of dollars into the industry, propping up hobbled banks. Massive giveaways to bankers created shock waves of resentment throughout the rest of the country. On the right, conservative members of the Tea Party decried the cronyism of an Obama administration filled with former Wall Street executives. The same energies also motivated the Occupy Wall Street movement, as mostly young left-leaning New Yorkers protested an American economy that seemed overwhelmingly tilted toward “the one percent.”
The Great Recession only magnified already rising income and wealth inequalities. According to the chief investment officer at JPMorgan Chase, the largest bank in the United States, “profit margins have reached levels not seen in decades,” and “reductions in wages and benefits explain the majority of the net improvement.” A study from the Congressional Budget Office (CBO) found that since the late 1970s, after-tax benefits of the wealthiest 1 percent grew by over 300 percent. The “average” American’s after-tax benefits had grown 35 percent. Economic trends have disproportionately and objectively benefited the wealthiest Americans. Still, despite political rhetoric, American frustration failed to generate anything like the social unrest of the early twentieth century. A weakened labor movement and a strong conservative bloc continue to stymie serious attempts at reversing or even slowing economic inequalities. Occupy Wall Street managed to generate a fair number of headlines and shift public discussion away from budget cuts and toward inequality, but its membership amounted to only a fraction of the far more influential and money-driven Tea Party. Its presence on the public stage was fleeting.
The Great Recession, however, was not. While American banks quickly recovered and recaptured their steady profits, and the American stock market climbed again to new heights, American workers continued to lag. Job growth was slow and unemployment rates would remain stubbornly high for years. Wages froze, meanwhile, and well-paying full-time jobs that were lost were too often replaced by low-paying, part-time work. A generation of workers coming of age within the crisis, moreover, had been savaged by the economic collapse. Unemployment among young Americans hovered for years at rates nearly double the national average.
Stagnation
In 2012, Barack Obama won a second term by defeating Republican Mitt Romney, the former governor of Massachusetts. However, Obama’s inability to control Congress and the ascendancy of Tea Party Republicans stunted the passage of meaningful legislation. Obama was a lame duck before he ever won reelection, and gridlocked government came to represent an acute sense that much of American life—whether in politics, economics, or race relations—had grown stagnant.
The economy continued its halfhearted recovery from the Great Recession. The Obama administration campaigned on little to specifically address the crisis and, faced with congressional intransigence, accomplished even less. While corporate profits climbed and stock markets soared, wages stagnated and employment sagged for years after the Great Recession. By 2016, the statistically average American worker had not received a raise in almost forty years. The average worker in January 1973 earned $4.03 an hour. Adjusted for inflation, that wage was about two dollars per hour more than the average American earned in 2014. Working Americans were losing ground. Moreover, most income gains in the economy had been largely captured by a small number of wealthy earners. Between 2009 and 2013, 85 percent of all new income in the United States went to the top 1 percent of the population.
But if money no longer flowed to American workers, it saturated American politics. In 2000, George W. Bush raised a record $172 million for his campaign. In 2008, Barack Obama became the first presidential candidate to decline public funds (removing any applicable caps to his total fund-raising) and raised nearly three quarters of a billion dollars for his campaign. The average House seat, meanwhile, cost about $1.6 million, and the average Senate Seat over $10 million. The Supreme Court, meanwhile, removed barriers to outside political spending. In 2002, Senators John McCain and Russ Feingold had crossed party lines to pass the Bipartisan Campaign Reform Act, bolstering campaign finance laws passed in the aftermath of the Watergate scandal in the 1970s. But political organizations—particularly PACs—exploited loopholes to raise large sums of money and, in 2010, the Supreme Court ruled in Citizens United v. FEC that no limits could be placed on political spending by corporations, unions, and nonprofits. Money flowed even deeper into politics.
The influence of money in politics only heightened partisan gridlock, further blocking bipartisan progress on particular political issues. Climate change, for instance, has failed to transcend partisan barriers. In the 1970s and 1980s, experts substantiated the theory of anthropogenic (human-caused) global warming. Eventually, the most influential of these panels, the UN’s Intergovernmental Panel on Climate Change (IPCC) concluded in 1995 that there was a “discernible human influence on global climate.This conclusion, though stated conservatively, was by that point essentially a scientific consensus. By 2007, the IPCC considered the evidence “unequivocal” and warned that “unmitigated climate change would, in the long term, be likely to exceed the capacity of natural, managed and human systems to adapt.
Climate change became a permanent and major topic of public discussion and policy in the twenty-first century. Fueled by popular coverage, most notably, perhaps, the documentary An Inconvenient Truth, based on Al Gore’s book and presentations of the same name, addressing climate change became a plank of the American left and a point of denial for the American right. American public opinion and political action still lagged far behind the scientific consensus on the dangers of global warming. Conservative politicians, conservative think tanks, and energy companies waged war to sow questions in the minds of Americans, who remain divided on the question, and so many others.
Much of the resistance to addressing climate change is economic. As Americans looked over their shoulder at China, many refused to sacrifice immediate economic growth for long-term environmental security. Twenty-first-century relations with China remained characterized by contradictions and interdependence. After the collapse of the Soviet Union, China reinvigorated its efforts to modernize its country. By liberating and subsidizing much of its economy and drawing enormous foreign investments, China has posted massive growth rates during the last several decades. Enormous cities rise by the day. In 2000, China had a GDP around an eighth the size of U.S. GDP. Based on growth rates and trends, analysts suggest that China’s economy will bypass that of the United States soon. American concerns about China’s political system have persisted, but money sometimes matters more to Americans. China has become one of the country’s leading trade partners. Cultural exchange has increased, and more and more Americans visit China each year, with many settling down to work and study.
Global Impact of the Great Recession
While it is true that free trade encourages globalization among countries, some countries try to protect their domestic suppliers. The main export of poorer countries is usually agricultural productions. Larger countries often subsidize their farmers (e.g., the EU's Common Agricultural Policy), which lowers the market price for foreign crops. Thus, globalization can be described as an uneven process due to the global integration of some groups alongside the marginalization or exclusion of others.
Many economists discuss that any time the United States has an economic problem, that it creates a much bigger problem for Europe and the rest of the world. The Great Recession of 2008-2012 had an incredibly large process and problem for Europe and the world economics. The impact of the Great Recession in Europe was significant. Many of the great economic powers of Europe, such as France and Germany were directly impacted. This created a significant drop in both of these countries GDP and caused an immediate recession in Europe. England also was significantly impacted economically during this period. While larger countries were able to weather the storm, smaller economies were not as strong.
A group of European countries known as PIIGS (Portugal, Italy, Ireland, Greece, and Spain) had significant problems during this period. There are many different reasons why each of these economies struggled. For example, Greece in the pervious period had large public debts from social safety nets that meant that Greece was virtually bankrupted by the recession. These debts were a problem because each of these European states were members of the European Union, and there was consideration that each of these countries would leave the organization. The fears of member states leaving meant that England, France, and Germany all came together in 2010 to address this issue. There was many fears about how if Greece failed, what would that mean for other European states. In the end, Germany and France agreed to provide economic aid to Greece for stabilization. The end result was that Greece would remain a member of the European Union, but would have to have significant restructuring of their government. One of the conditions of the deal was that Greece would have to elect new leaders to positions of power. Many Greeks resented this, and throughout the majority of 2010-2011, there were several different elections in Greece for new leadership. This resulted in turnover of governments very quickly. As a result, there was a significant problem that emerged: the rise of neo-Nazi parties in political power.
Since the end of World War II, fascism as a political ideology that had power was removed. The end of the Nazi party meant that many fascist states in the world were gone. Yet, because of the Great Recession there were individuals who felt that their voices were not heard and antagonism towards the government. The feeling of the middle being lost and fears of deeper recession and loss of independence meant that many rejected these austerity measures. Those that were radical that had been in the shadows of the political discussion began to have a much bigger appeal due to the economic consequences of the recession. In Greece, the first election of a pro-Nazi politician emerged in 2010. This would give way to the rise of many leaders around the world that would espouse these same ideas throughout the 2010s in states such as Turkey, Brazil, and the Philippines. Very similar to the Great Depression, when the middle class felt that they lost, people began looking to radical and more radical politicians and ideas for answers.
Attributions
Attributions
Images courtesy of Wikimedia Commons: Wallstreet bets https://econafterhoursssc.wordpress.com/2018/09/23/a-beginners-guide-to-the-2008-financial-crisis/
Boundless World History https://www.coursehero.com/study-guides/boundless-worldhistory/the-americas-in-the-21st-century/
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2025-03-18T00:36:53.114094
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Environmental Challenges and Environmentalism
Overview
Environmental Concerns and Disasters: 1970s-2000s
During the latter half of the twentieth century people around the world became concerned with a growing number of environmental problems, including air, water, and land pollution, population growth, excessive consumerism, and shortages of a growing number of natural resources, particularly water and arable land. These problems have grown out of the mass production, pollution, and consumerism that came with the Industrial Revolution. Recognition of these problems around the world, along with efforts to solve them, reflect the positive and benevolent character of globalization.
One of the major concerns in the world today revolves around stopping climate change caused by continued reliance on fossil fuels. Climate change visibly epitomizes the impact of pollution in ways people cannot miss, although certainly many with shortsighted economic interests try to deny. Efforts by various groups, individuals, and governments to combat climate change have been frustrated by vested economic interests based on the old and inefficient fossil fuel-based economy. These vested interests either have denied climate change, discounted the effects of climate change, or claimed that they already were doing all they could to stop climate change. Both those who work to stop climate change and those who oppose such efforts are part of globalization, which blurs conventional political and economic borders. As an example, climate activists across the globe emphasize the necessity of countries, companies, and other groups acting in concert; contrarily, their opponents, including Republicans and Democrats in the United States tied to the coal industry, such as U.S. Senator from West Virginia Joe Manchin, claim that making changes in response to climate change will put the U.S. at a disadvantage when compared to nations that do not. These opponents include Republicans and Democrats in the United States who are tied to the coal industry, such as U.S. Senator Joe Manchin from West Virginia; Manchin opposes efforts to stop climate change because many of those who vote for him refuse to abandon coal mining and because he has made over four million from coal mining, and will continue to make more.
Learning Objectives
Identify and explain the environmental challenges that humanity faces today.
Identify, explain, and evaluate responses to these environmental challenges.
Key Terms / Key Concepts
fossil fuel divestment: the removal of investment assets, including fossil fuels, in an attempt to reduce climate change by tackling its ultimate causes
greenhouse gas: a gas in the atmosphere that absorbs and emits radiation within the thermal infrared range, which is the fundamental cause of the greenhouse effect that warms the planet’s surface to a temperature above what it would be without its atmosphere.
Global warming and climate change are terms for the observed century-scale rise in the average temperature of the Earth’s climate system and its related effects. Multiple lines of evidence show that the climate system is warming. Many of the observed changes since the 1950s have unprecedented for over tens of thousands of years.
Efforts to arrest the effects of climate change for which people have been and are responsible, have been carried out at the individual, group, corporate, provincial, national, and international levels.
Eco-Movements of the 1970s-2000s
UNFCCC
One of the first international agreements to reduce the effects of climate change induced by humanity was the United Nations Framework Convention on Climate Change (UNFCCC), which was signed by 154 countries in June 1992. The UNFCCC commits state parties to reducing greenhouse gas (GHG) emissions based on the premise that (a) global warming exists and (b) human-made CO2 emissions have caused it. The ultimate objective of the Convention is to prevent dangerous human interference of the climate system. As stated in the Convention, this requires that GHG concentrations are stabilized in the atmosphere at a level where ecosystems can adapt naturally to climate change, food production is not threatened, and economic development can proceed in a sustainable fashion. While the UNFCCC is a start, global emissions continue to rise.
The current state of global warming politics is frustration over a perceived lack of progress within the UNFCCC, which has been unable to curb global GHG emissions. Todd Stern—the U.S. climate change envoy—expressed the challenges with the UNFCCC process as follows, “Climate change is not a conventional environmental issue… It implicates virtually every aspect of a state’s economy, so it makes countries nervous about growth and development. This is an economic issue every bit as it is an environmental one.” Stern went on to explain that the UNFCCC as a multilateral body can be an inefficient system for enacting international policy. Because the framework includes over 190 countries and negotiations are governed by consensus, small groups of countries can often block progress. As a result, some have argued that perhaps the consensus-driven model could be replaced with a majority vote model. However, that would likely drive disagreement at the country level by countries who do not wish to ratify any global agreement that might be governed via majority vote.
Kyoto Protocol
The next step in international efforts to stop climate change induced by humans was the Kyoto Protocol—an international treaty that extended the 1992 UNFCCC. The international community adopted this agreement in Kyoto, Japan, on December 11, 1997, and entered into force on February 16, 2005. There are currently 192 parties to the Protocol. The Protocol is based on the principle of common but differentiate responsibilities: it puts the obligation to reduce current emissions on developed countries on the basis that they are historically responsible for the current levels of GHGs in the atmosphere. This is justified on the basis that the developed world’s emissions have contributed most to the accumulation of GHGs in the atmosphere on a per-capita basis (i.e., emissions per head of population), while developing countries contribute relatively little, as well as that the emissions of developing countries would grow to meet their development needs.
The Protocol’s first commitment period started in 2008 and ended in 2012. A second commitment period was agreed on in 2012, known as the Doha Amendment to the protocol. The Doha Amendment includes 37 countries that have binding targets: Australia, the European Union (and its 28 member states), Belarus, Iceland, Kazakhstan, Liechtenstein, Norway, Switzerland, and Ukraine. Belarus, Kazakhstan, and Ukraine have stated that they may withdraw from the Protocol or not adhere to the amendment and second-round targets. Japan, New Zealand, and Russia have participated in Kyoto’s first round but have not taken on new targets in the second commitment period. Other developed countries without second-round targets are Canada (which withdrew from the Kyoto Protocol in 2012) and the United States (which has not ratified the Protocol). As of July 2016, 66 states have accepted the Doha Amendment, while entry into force requires the acceptance of 144 states. Of the 37 countries with binding commitments, seven have ratified. Many countries willing to sign, even commit, have not followed through with their promises.
Paris Agreement
The Paris Agreement, the next in the succession of international agreements to deal with human-induced climate change, is an agreement within the UNFCCC dealing with GHG emissions mitigation, adaptation, and finance. It is to be implemented starting in the year 2020. The language of the agreement was negotiated by representatives of 195 countries at the 21st Conference of the Parties of the UNFCCC in Paris and adopted by consensus on December 12, 2015. It was opened for signature on April 22, 2016, (Earth Day) at a ceremony in New York. As of December 2016, 194 UNFCCC members have signed the treaty, 136 of which have ratified it. After several European Union states ratified the agreement in October 2016, enough countries had ratified the agreement that produce enough of the world’s GHGs for it to enter into force. The agreement went into effect on November 4, 2016.
The aim of the convention is described in Article 2. It outlines a goal of “enhancing the implementation” of the UNFCCC via the following means:
Holding increases in global average temperatures to below 2 °C above pre-industrial levels while pursuing efforts to limit these increases to 1.5 °C above pre-industrial levels
Increasing adaptability to the adverse impacts of climate change while fostering climate resilience and low GHG emissions in a manner that does not endanger food production
Encouraging finance flows that are consistent with low GHG emissions and climate-resilient development.
The Paris Agreement is the world’s first comprehensive climate agreement and has been described as an incentive for and driver of fossil fuel divestment.
Green Movements around the World: 1970s-2000s
International concerns over climate change, resource depletion, and wildlife extinction spurred a rise in eco-friendly, green politics between the 1980s and 2010s. The goals of these organizations ranged from raising awareness and policy change to conservation and the search for clean energy.
Learning Objectives
- Evaluate the impact of modern green politics
Key Terms / Key Concepts
Chico Mendes: Brazilian environmentalist, rainforest protectionist, and humanitarian who was assassinated in 1988
Chipko Movement: environmental movement in India to protect forests that was uniquely led by women
Conservation: practice of protecting natural resources through careful management
EPA: in the United States, the Environmental Protection Agency
Greenpeace: first international environmental agency
Preservation: practice of protecting natural resources and ecosystems by leaving them entirely alone
Rachel Carson: American author who wrote the book, Silent Spring
United Tasmania Group: Australian political group that was the first in the world to be openly focused on environmentalism
Eco-Movements of the 1960s and 70s
To an extent, humans have always understood the importance of protecting ecosystems. A balanced and harmonious ecosystem resulted in the overall health and prosperity of humans. Therefore, eco-movements to protect the environment have existed for millennia in one form or another. As the world population grew, and problems over human pollution escalated, so too did the interest in developing large and vocal eco-movements.
Eco-Movements and Green Politics in the United States
Some scholars cite Henry David Thoreau and the transcendentalists with beginning the American eco-movement in the 1830s. Their romanticized, pastoral writings were commercially successful and presented the natural world as a place of beauty worthy of protection and admiration. Further attention was given to the importance of conservatism in the early 1900s under President Theodore Roosevelt, when the United States launched widescale conservation and preservation efforts to save much of the American wilderness and wildlife.
Eco-movements began to take off fully in the 1960s and 70s. In 1962, American author Rachel Carson published her famous book, Silent Spring, about the devastating effects of DDT on bird populations. Her work was enormously influential in the restriction of pesticide use.
Eight years after the publication of Silent Spring, President Richard Nixon created the EPA. The organization is responsible for maintaining and improving environmental protection through monitoring of industries and field research. The same year, the world celebrated the first Earth Day. A year later, the international environmental agency, Greenpeace, was established. Its goals include raising awareness about manmade disasters such as oil spills, and depletion of natural and wildlife resources.
Since the 1970s, dozens of environmental organizations and businesses have emerged in the United States. These entities generally focus on one of the four goals: wildlife and/or habitat conservation, developing “cleaner” or renewable energy, sustainable agriculture, and combatting climate change. Among the most prominent United States-based environmental agencies are the National Resources Defense Council, Audubon Society, and Sierra Club.
Eco-Movements around the World
Oceania
Historically, Oceania is one of the most vocal advocates for environmentalism. As early as the 1920s, New Zealand began protecting its ecosystems and wildlife. In 1952, Australia launched the first environmentally focused political party, United Tasmania Group. Since then, Australia has emerged as an advocate for eco-movements and environmental protection. In part, Australia is a strong advocate for environmental protection and climate change reduction because of its geography. Located far south of the equator, Australia is strongly affected by the thinning of the ozone layer due to greenhouse gases. As a result of the depleted ozone, UV rays are strong, and Australians are at increased risk for skin cancer. In the 2000s, the increasing temperatures in Australia are suspected to have increased the number and voracity of wildfires.
Many of the islands of the South Pacific are also strong environmental advocates. Polynesian islands such as Vanuatu are advocates for reducing climate change. These small island nations are among the most susceptible to rising sea levels, caused by the melting of polar ice.
India
Perhaps no other country has experienced such a dramatic, and impactful environmental movement as India. In the late 1960s, deforestation of India’s northeast forests began. In response to the commercial logging, villagers banded together. Known as the Chipko Movement, these villagers would meet the logging companies on site. Uniquely, the movement was comprised largely of women. As women were typically responsible for household farming and cooking, they were the most affected by the soil erosion and the decreased quality of farmable land. Using peaceful resistance methods, they would discourage loggers from their operations. In 1973, a group of women banded together at a logging site and formed human chains around the base of the trees. The moment gave rise to the concept of tree-huggers and launched widescale conservation efforts at the national level.
South Africa
Many African nations have launched conservation efforts. Across the continent, hundreds of national parks have been established to protect native flora and fauna. Among the leading nations for conservation in Africa are Kenya, Tanzania, and South Africa.
South Africa’s connection to the environmental movement is unique. In addition to supporting wildlife and habitat conservation, environmental activists in South Africa also were strongly tied to anti-apartheid movements. They frequently campaigned for the protection of both the environment and the peoples of South Africa. Since the dissolution of apartheid, the South African environmental movement has focused on conservation and the development and use of clean, renewable energy.
Challenges to Environmental Movements
Opponents of environmentalism often claim that the movements are hypocritical. Their argument is that while environmentalists claim to protect animals and plants, and on occasion, also human beings, they often do so to the detriment of the developing world. Conservation and preservation stand in the way of developing industry and businesses for many poorer regions of the world, the argument claims. In short, the environmentalist movement often is nicknamed the “white savior” syndrome. Anti-environmentalists argue that white activists who live in relative comfort in the developed world travel to poor, developing regions of the world to demand the people protect the environment. These actions keep the developing world poor, and the developed world wealthy. In short, environmentalism is often criticized as a luxury movement led by people who are typically white, western, and wealthy. For this reason, environmental action is often most effectively undertaken at the local level.
Latin America
As with any part of the world, Latin America is home to leading environmentalists striving to protect ecosystems. Yet, Latin America also remains one of the most challenging regions to effectively enact environmental policies. It is also severely impacted by deforestation, wildlife and habitat loss, loss of arable land, and water pollution. Since the 1990s, deforestation of Brazil’s Amazon rainforest has received international attention. Recognized as the world’s most biodiverse region, numerous efforts have been launched to conserve this remarkable region of the world.
Yet the poverty rate in Latin America remains high, with a high percentage of the population relying on farming for their livelihood. As such, governments, organizations, and individuals have turned to cutting down large tracts of the rainforest to provide farmland. Slash and burn practices remain prevalent, destroying the habitat. While numerous environmentalists have attempted to implement policy changes at the local, state, and national levels, they have frequently been met with violence. None is so famous as Chico Mendes, a renowned rainforest protectionist who was assassinated in 1988. Well-over 1,000 environmental activists have been murdered across Latin America since the 2000s. To date, the protection of the environment remains a battle between environmentalists and business, as well as wealth and poverty.
Attributions
LICENSES AND ATTRIBUTIONS
CC LICENSED CONTENT, SHARED PREVIOUSLY
Curation and Revision. Provided by: Boundless.com. License: CC BY-SA: Attribution-ShareAlike
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Contemporary Africa
Overview
Africa in the Post-Cold War World
The end of the Cold War brought about a dramatic shift in governments across Africa. No longer did the United States and Russia compete for territory in Africa. In the 1990s, African nations in the Sub-Saharan region of the continent moved away from military dictatorships to multi-party states striving toward democracy. The transition was seldom smooth, but African leaders were fighting to establish their own governments, for the first time in decades without foreign intervention. In contrast, North African nations did not follow the democratic path that countries such as Zambia had. Instead, their populations, who were largely Muslim, rejected Western doctrine in favor of sharia law. However, in North Africa, too, countries established governments without direct foreign intervention for the first time in decades.
Learning Objectives
- Compare and contrast the processes of modernization in North and Sub-Saharan Africa.
- Evaluate the successes and challenges of contemporary African politics.
Key Terms / Key Concepts
African National Congress: most important political party of South Africa that advocated for the abolition of apartheid, unity between races, and full voting rights for black South Africans
African Union: political and governmental organization similar to the European Union in which major decisions involving continental Africa are evaluated
Arab Spring: series of violent, social and political uprisings by the people against the governments of much of the Muslim world during 2010 – 2012
Democratic Republic of Congo: the state in central Africa, formerly Zaire, formed in 1997
Hosni Mubarak: president of Egypt during the Arab Spring
John Garang: politician from southern Sudan who was instrumental in advocating for
Sudanese unity, and the protection and interests of southern Sudanese people
Joseph Kabila: president of the DRC from 2001 – 2019
Laurent Kabila: president of the DRC from 1997 – 2001 who was assassinated by his bodyguard
Libyan Civil War: Feb. to Oct. 2011 conflict that pitted forces that supported the Gaddafi regime wit anti-Gaddafi forces
sharia law: Muslim code of conduct based on teachings of Muhammed in the Qu’ran and the Sunnah
Sudanese Civil Wars: series of civil wars in Sudan between its northern and southern halves
South Sudan: the youngest country in the world, formed in 2011
The Arab Spring
In the 2010s, much of the Arab world experienced political and social unrest. Across North Africa and into the Middle East, people rioted against economic downturns and corrupt governments. The Arab Spring saw the removal of several heads of state. Beginning in Tunisia, the movement spread, often violently, across Libya, Egypt, Bahrain, Syria, and Yemen. Smaller insurrections occurred throughout the Arab world. Out of these social and political movements, several large-scale conflicts erupted such as the Egypt Crisis, the Libyan Civil War, and the Syrian Civil War. In several cases, the heads of state used extreme military force to suppress the rioters. By mid-2012, the Arab Spring largely had ended.
Egypt
Egypt was an ideal country for the Arab Spring to take hold because it was a discontented country on the road to revolution. It was the most populous country in North Africa, and its president, Hosni Mubarak, had governed since 1981. Mubarak had stripped Egypt of many of its progressive measures. In place of the liberalizing government of Anwar Sadat, Mubarak had instituted a government that was militaristic and autocratic.
Moreover, the Egyptian government had to pay for the massively expensive army they had created during the wars against Israel in the 1960s and 1970s. While supporting the costs of the military, the government neglected their attention on the agricultural sector. Food shortages plagued Egypt and forced the country to import up to 80% of its foodstuffs, as well as form close economic ties to the United States, International Monetary Fund, and World Bank. Unemployment and urban slums defined Cairo, Egypt’s capital.
By the 1990s, radical Muslim groups had also moved increasingly into Egypt and launched terror attacks on tourists, decimating the tourist industry. As their presence increased, Mubarak’s ability to control the groups decreased.
Revolution came in January 2011. Thousands of Egyptians filed into Cairo’s Tahrir Square to protest Mubarak’s government. Initially, President Mubarak resisted the protesters, and promised constitutional reform. Doubting his promise, the protesters increased in their demands. Violent clashes erupted between groups who supported president Mubarak, and those who supported the opposition. Within four weeks, Mubarak resigned, and the military took power in Egypt.
Mubarak was later tried for corruption, murder, and embezzlement. While he was acquitted of most charges, he was sentenced to three years in prison. Due to increasing health problems, he spent his final months in a military hospital where he died in 2020. To date, Egypt is governed by authoritarian president, Abdul Fattah el-Sisi, in ways similar to those of Mubarak.
Libya
In the spring of 2011, the Arab Spring was unleashed in Libya where long-time military dictator Muammar Gaddafi was ruling. Protests against his rule started as small demonstrations in Benghazi, but quickly escalated. When the demonstrators refused to disperse, Gaddafi unleashed the Libyan military on them. Briefly, it looked as if the Libyan military would triumph.
Then, the UN Security Council granted NATO permission to establish a No-Fly Zone over Libya. This gave NATO the right to shoot down any aircraft flying over Libyan airspace. Other Arab states supported the measure enacted by NATO in order to check Gaddafi’s military strikes on the Libyan people.
By February 2011, the first Libyan Civil War had erupted. It pitted the forces loyal to Gaddafi against the anti-Gaddafi forces and their NATO allies. NATO forces, led by Britain and France, and supported by anti-Gaddafi forces in Libya, targeted all military bases operating under Gaddafi. In October 2011, Libyan forces captured the city of Tripoli, and Gaddafi’s hometown of Sirte. Gaddafi was then captured, and brutally executed.
In 2014, the Second Libyan Civil War erupted between vying political factions. Many of the forces who had been loyal to Gaddafi remained so. Other political factions contested election results. For six years civil war raged in Libya until the formation of a new, interim government in 2021.
Social Challenges and Prosperity in Nigeria
Nigeria is the most populous country in Africa, and it rests on Africa’s west coast. It is a bio-rich country of rainforest, mountains, and dry savannahs. It is also one of the most ethnically, linguistically, and religiously diverse countries in Africa, boasting the largest mixed economy.
In the 1999, Nigeria emerged as a fledgling democratic country with a constitution, free elections, and houses of government. But the road to democracy has not been smooth or easy, as corruption continues to run high in politics at the local and national levels. Religious tensions have developed between the north, a largely Muslim part of the country, and the south, which was largely Christian. The northern states of Nigeria operate under sharia law while the southern half operates under a common law.
Despite religious tension, and political corruption, Nigeria has emerged as one of Africa’s most prosperous and strong states. Its economy continues to grow, based off such industries as the petroleum industry and mining of precious minerals: topaz, gold, and tin.
The Civil Wars in Sudan
Since the mid-1950s, there have been a series of Sudanese Civil Wars. In their simplest understanding, the wars in Sudan have been fought between the (largely) Arab/Muslim North and the Christian/African South. For decades, South Sudan fought for independence from the North. The conflict in Sudan rose sharply in 1983 when oil reserves were discovered just south of the traditional boundary between the northern and southern parts of the country.
In 1989, the government of Ahmad al-Bashir tried to establish an Islamic state in Sudan. This further encouraged the south Sudanese to fight for independence. They abolished sharia law, while the northern half of the country still clung to it. Then, in a surprise move, Sudan held a free election in which al-Bashir was elected president.
For the next eighteen years, the conflict between the northern and southern parts of Sudan raged. Oil revenues allowed for the purchase of mass ammunitions to fight the conflict. In 2005, a “power-sharing” agreement between the northern and southern parts of the country was reached. At the time, al-Bashir appointed John Garang as his vice-president; Garang is a politician from southern Sudan who advocated for a unified Sudan above all other things. A peace-settlement was established in which al-Bashir agreed to share power with Garang. But three months later, Garang died in a helicopter crash.
In 2011, the people were offered a referendum that allowed the Sudanese to vote for separation. Overwhelmingly, the people in the south voted in favor of separating from Sudan. In July 2011, South Sudan became an independent country. But tragedy soon struck. Two years later, the country was torn by civil was that raged until 2020 when a fragile peace was achieved.
The Coming of the Democratic Republic of Congo
The Democratic Republic of Congo (DRC) is the heart of Africa. It is a landlocked country in the center of the continent that continues to be enormously wealthy in its natural resources, including copper, cobalt, diamonds, rubber, and wood. Equally, it is rich in its biodiversity, and in its cultural diversity. Despite its resources and richness, the Democratic Republic of Congo’s recent history is fraught with internal and external wars, and excessive violence.
Following the Rwandan Genocide of the mid-1990s, the Rwandan Army helped support a rebellion in Zaire (later, the DRC) to remove Rwandan Hutu rebels who were hiding in the country. The leader of Zaire, Mobutu Sese Seko, was deposed and his government dissolved. Congolese military leader, Laurent Kabila, was instilled as president, and the country’s name changed from Zaire to the Democratic Republic of Congo.
Kabila expelled foreigners from Congo. The act angered his Ugandan and Rwandan allies and war erupted in Congo once more.
Three years later, Kabila was assassinated by his personal bodyguard. His son, Joseph Kabila succeeded him as president and governed from 2001 – 2019. During his time in office, civil war plagued the country, and continuous warfare between Congo and its eastern neighbors raged.
For the first time in more than a century, Congo experienced its first peaceful election in 2019.
South Africa's New Start
It was Nelson Mandela’s mission to unite the races of South Africa on equal footing and to erase racial boundaries. Since the 1990s, reconciliation between the races has proven largely successful. While race relations improved and apartheid was abolished, class boundaries still existed in South Africa. Black South Africans were no longer physically barred from business ventures and professional practices. But unemployment rose in the early 2000s among both black and white South Africans. Black Africans have joined the middle class of South Africa, but the gap between classes continues to increase.
Politically, South Africa faces many challenges. One of its greatest achievements has been the strong standing of its chief political party: the African National Congress. Banned until 1990 by the South African government, the African National Congress advocated for unity among the races, full voting rights to black South Africans, and an end to apartheid. It was the party of Nelson Mandela, and it continues to be the dominant party in South Africa.
After Nigeria, South Africa has the largest mixed economy in Africa. Although unemployment and pay inequality remain significant challenges, South Africa has produced strong developments in medicine and technology. Tourism and mining remain two of its largest and most prosperous industries.
In 2010, South Africa became the first African nation to host the FIFA World Cup.
China Turns to Africa
In the 1960s, China turned its attention to investment in Africa for the first time since the 1500s. It made small investments in support of communist-backed nations, such as Tanzania. And small financial investments in infrastructure projects.
Then in the early 2000s, China emerged as the fastest-growing economic and industrial power. It began heavily investing in mining operations throughout Africa. In Congo alone, it invested in half of all of the country’s mining and natural resource industries. By 2010, it was the largest investor of the African continent, far surpassing European investment in Africa. Its financial power in Africa has led South Africa to join BRIC—an economic and trading alliance between Brazil, Russia, India, and China.
Both nationally, and in the private business world, China continues to invest heavily in Africa, particularly in infrastructure projects and in mining. The natural resources mined in Africa are of critical importance to China’s technology and information sectors. While financial investment has spurred on economic growth for many African nations, human rights organizations are critical of Chinese treatment of African workers. Many groups claim that China is simply exploiting the African people, and that once again, Africa is being financially exploited by a modern-day colonizer.
New Millennium, New Goals for Africa
Following the Cold War, most African nations supported non-alignment with foreign powers, and membership in the African Union—a political organization that promotes Pan-Africanism. Although many countries still face poverty and war, other countries such as Nigeria and South Africa seem on the brink of a new era. An era in which African nations govern and operate independently. An era which prosperity is not a dream, but an emerging reality.
Attributions
Images courtesy of Wikimedia Commons
Shillington, Kevin. History of Africa, 3rd Ed. Palgrave MacMillan, New York: 2012. 458
481.
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Contemporary Latin America
Overview
Contemporary Chile and Argentina
Latin America in the 21st century highlights the challenges of the post-Cold War world. Many states in Latin America were divided between the Soviet Union and the United States, that would have long term consequences for the new century.
Learning Objectives:
- Evaluate the role of the end of the Cold War on Latin American states.
- Analyze the differences of the role of the United States on Latin American states in the early 21st century.
Chile in the 21st Century
The Concertación has continued to dominate Chilean politics for last two decades. Frei Ruiz-Tagle was succeeded in 2000 by Socialist Ricardo Lagos, who won the presidency in an unprecedented runoff election against Joaquín Lavín of the rightist Alliance for Chile.
In January 2006 Chileans elected their first female president, Michelle Bachelet, of the Socialist Party. She was sworn in on March 11, 2006, extending the Concertación coalition governance for another four years.
Chile signed an association agreement with the European Union in 2002; signed an extensive free trade agreement with the United States in 2003; and signed an extensive free trade agreement with South Korea in 2004. With these trade agreements, Chile expected a boom in the import and export of local produce, hoping to become a regional trade-hub. Continuing the coalition’s free-trade strategy, in August 2006 President Bachelet promulgated a free trade agreement with the People’s Republic of China (signed under the previous administration of Ricardo Lagos), which was the first Chinese free-trade agreement with a Latin American nation. Similar deals with Japan and India were achieved in August 2007. In October 2006, Bachelet made a multilateral trade deal with New Zealand, Singapore and Brunei, the Trans-Pacific Strategic Economic Partnership (P4), also signed under Lagos’ presidency. Regionally, she has signed bilateral free-trade agreements with Panama, Peru, and Colombia.
After 20 years, Chile went in a new direction marked by the win of center-right Sebastián Piñera in the Chilean presidential election of 2009 – 2010. On February 27, 2010, Chile was struck by an 8.8 MW earthquake—the fifth largest ever recorded at the time. More than 500 people died (most from the ensuing tsunami) and over a million people lost their homes. The earthquake was also followed by multiple aftershocks. Initial damage estimates were in the range of $15 – 30 billion US, which is about 10 to 15 percent of Chile’s real gross domestic product.
Chile achieved global recognition for the successful rescue of 33 trapped miners in 2010. On August 5, 2010 an access tunnel collapsed at the San José copper and gold mine in the Atacama Desert near Copiapó in northern Chile; this collapse trapped 33 men 2,300 feet below ground. A rescue effort organized by the Chilean government located the miners 17 days later. All 33 men were brought to the surface two months later on October 13, 2010 within 24 hours, an effort that was broadcasted on live television around the world.
Good macroeconomic indicators failed to halt the social dissatisfaction claiming for a better and fairer education, which was traced to massive protests demanding more democratic and equitable institutions and a permanent disapproval of Piñera’s administration.
Due to term limits, Sebastián Piñera did not stand for re-election in 2013, and his term expired in March 2014 resulting in Michelle Bachelet returning to office. In 2015 a series of corruption scandals became public, threatening the credibility of the political and business class.
Photo of the five most recent presidents on Chile standing side by side, waving Chilean flags.
Presidents of Chile: Five presidents of Chile since Transition to democracy (1990 – 2018), celebrating the Bicentennial of Chile.
Contemporary Era in Argentina
De la Rúa kept Menem’s economic plan despite the worsening crisis, which led to growing social discontent. A massive capital flight led to a freezing of bank accounts, generating further turmoil. The December 2001 riots forced him to resign.
To fill the void Rúa left, congress appointed Eduardo Duhalde as acting president, and he repealed the fixed exchange rate established by Menem. By the late 2002 the economic crisis began to recess, but the assassination of two protestors by the police caused political commotion, prompting Duhalde to move the next elections forward. Néstor Kirchner was elected as the new president.
Boosting the neo-Keynesian economic policies laid by Duhalde, Kirchner ended the economic crisis attaining significant fiscal and trade surpluses, with a steep GDP growth. Under his administration Argentina restructured its defaulted debt with an unprecedented discount of about 70% on most bonds, paid off debts with the International Monetary Fund, purged the military of officers with doubtful human rights records, nullified and voided the Full Stop and Due Obedience laws—as well as ruled them as unconstitutional, and resumed legal prosecution of the Juntas’ crimes. Kirchner did not run for reelection, promoting instead the candidacy of his wife: Senator Cristina Fernández de Kirchner, who was elected in 2007 and reelected in 2011.
Cristina Fernández and Néstor Kirchner: Cristina Fernández and Néstor Kirchner during the bicentennial of Chile. The couple has occupied the presidency of Argentina for 12 years, he from 2003 to 2007 and she from 2007 to 2015.
Brazil
Learning Objectives
- Evaluate the role of Brazil's economic miracle in Latin America.
- Analzye the role of corruption in Brazil's political life.
Brazil’s Economic Success and Corruption Woes
Brazil, a member of the BRICS group, had one of the world’s fastest growing major economies until 2010, with its economic reforms giving the country new international recognition and influence.
Background: Re-Democratization of Brazil
Leading up to the 21st century, Brazil saw a return to democratic rule after a period of dictatorship during the Vargas Era (1930 – 1934 and 1937 – 1945) and a period of military rule (1964 – 1985) under Brazilian military government. In January 1985 the process of negotiated transition towards democracy reached its climax with the election of Tancredo Neves of the PMDB party (the party that had always opposed the military regime) as the first civilian president since 1964. He died before being sworn in, and the elected vice president, José Sarney, was sworn in as president in his place.
In 1986 the Sarney government fulfilled Tancredo’s promise of passing a Constitutional Amendment to the Constitution inherited from the military period: summoning elections for a National Constituent Assembly to draft and adopt a new Constitution for the country. The Constituent Assembly began deliberations in February 1987 and concluded its work on October 5, 1988. The adoption of Brazil’s current Constitution in 1988 completed the process of re-establishment of the democratic institutions. The new Constitution replaced the authoritarian legislation that still remained in place and that had been inherited from the days of the military regime.
In 1989 the first elections for president by direct popular ballot, since the military coup of 1964, were held under the new Constitution, and Fernando Collor was elected. Collor was inaugurated on March 15, 1990. With the inauguration of the first president elected under the 1988 Constitution, the last step in the long process of democratization took place, and the phase of transition was finally over.
Since then, six presidential terms have elapsed, without rupture to the constitutional order: the first term corresponded to the Collor and Franco administrations (Collor was impeached on charges of corruption in 1992 and resigned the presidency. He was succeeded by Franco, his vice president.); the second and third terms corresponded to Fernando Henrique Cardoso’s administration; the fourth and fifth presidential terms corresponded to Luiz Inácio Lula da Silva’s administration; and the sixth term corresponded to Dilma Rousseff’s first administration. In 2015, Mrs. Rousseff started another term in office, due to end in 2018, but she was impeached for violations of budgetary and fiscal responsibility norms in 2016. She was succeeded by Vice President Michel Temer.
Lula Administration
In 2002, Luiz Inácio Lula da Silva of the PT (Workers’ Party) won the presidency with more than 60% of the national vote. In the first months of his mandate, inflation rose perilously, reflecting the markets’ uncertainty about the government’s monetary policy. However, the market’s confidence in the government was promptly regained as Lula chose to maintain his predecessor’s policies, particularly the continuation of Central Bank’s task of keeping inflation down. After that, the country underwent considerable economic growth and employment expansion. On the other hand, Lula’s mainstream economic policies disappointed his most radical leftist allies, which led to a breakdown of the PT (Workers’ Party) that resulted in the creation of the PSOL (Socialism and Liberty Party).
Several corruption scandals occurred during Lula’s presidency. In 2005, Roberto Jefferson, chairman of the Brazilian Labour Party (PTB), was implicated in a bribery case. As a Parliamentary Commission of Inquiry was set up, Jefferson testified that the members of parliament were being paid monthly stipends to vote for government-backed legislation. Later, in August of the same year, after further investigation, campaign manager Duda Mendonça admitted that he had used illegal undeclared money to finance the PT electoral victory of 2002. The money in both cases was found to have originated from private sources, as well as from the advertising budget of state-owned enterprises headed by political appointees; both sources had been laundered through Duda’s Mendonça advertising agency. The collection of these incidents was dubbed the Mensalão scandal. On August 24, 2007, the Brazilian Supreme Court (Supremo Tribunal Federal) accepted the indictments of 40 individuals relating to the Mensalão scandal, most of whom were former or current federal deputies, and all of whom were still allies of the Brazilian president.
The loss of support resulting from these scandals was outweighed by the president’s popularity among the voters of the lower classes, whose income per capita rose as a consequence of both higher employment, expansion of domestic credit to consumers, and government social welfare programs. The stable and solid economic situation of the country, which Brazil had not experienced in the last 20 years, resulted in fast growth in production both for internal consumers and exportation. And there was a soft but noticeable decrease in social inequality. These may partially explain the high popularity of Lula’s administration even after several scandals of corruption involving important politicians connected to Lula and to PT. Lula was re-elected in 2006. After almost winning in the first round, Lula won the run-off against Geraldo Alckmin of the PSDB (Brazilian Social Democracy Party) by a 20 million vote margin.
Following Lula’s second victory, his approval ratings started to rise again (fueled by the continuity of the economic and social achievements obtained during the first term) to a record of 80%, the highest for a Brazilian president since the end of the military regime. The focus of Lula’s second term was to further stimulate the economy by investments in infrastructure and measures to keep expanding the domestic credit to producers, industry, commerce, and consumers alike.
Another mark of Lula’s second term was his efforts to expand Brazil’s political influence worldwide, specially after G20 (from which Brazil and other emerging economies participate) replaced the G8 as the main world forum of discussions. Lula is an active defender of the Reform of the United Nations Security Council, as Brazil is one of the four nations (the others being Germany, India, and Japan) officially coveting a permanent seat in the council. Lula also helped orchestrate Brazil’s membership in BRICS, the acronym for an association of five major emerging national economies: Brazil, Russia, India, China, and South Africa.
Lula is also notorious for seeing himself as a friendly, peacemaker conciliator Head of State, managing to befriend leaders of rival countries from the likes of Presidents George W. Bush and Barack Obama from the United States to Venezuelan leader Hugo Chávez, Cuban former president Fidel Castro, the President of Bolivia Evo Morales, and lastly, Iranian President Mahmoud Ahmadinejad; the latter fueling protests inside and outside the country due to Ahmadinejad’s polemical anti-Semitic statements. Lula took part in a deal with the governments of Turkey and Iran regarding Iran’s nuclear program despite the United States’s desire to strengthen the sanctions against the country, fearing the possibility of Iran developing nuclear weapons.
Rousseff Administration
On October 31, 2010, Dilma Rousseff, also from the Worker’s Party, was the first woman elected President of Brazil, with her term beginning on January 1, 2011. In her winning speech, Rousseff, who was also a key member in Lula’s administration, made clear that her mission during her term would be to keep enforcing her predecessor’s policies to mitigate poverty and ensure Brazil’s current economic growth.
On June 2011, Rouseff announced a program called “Brasil Sem Miséria” (Brazil Without Poverty). With the ambitious task of drastically reducing absolute poverty in Brazil until the end of her term, which currently afflicts 16 million people in the country or a little less than a tenth of the population. The program involves broadening the reach of the Bolsa Família social welfare program while creating new job opportunities and establishing professional certification programs. In 2012, another program called “Brasil Carinhoso” (Tenderful Brazil) was launched with the objective to provide extra care to all children in the country who live below the poverty threshold.
Although there was criticism from the local and international press regarding the lower-than-expected economic results achieved during her first term ahead of the government and the measures taken to solve it, Rouseff’s approval rates reached levels higher than any other president since the end of the military regime, until a wave of protests struck the country in mid 2013 reflecting dissatisfaction from the people with the current transport, healthcare, and education policies, among other issues that affected the popularity not only of the president, but several other governors and mayors from key areas in the country as well.
In 2014, Rousseff won a second term by a narrow margin, but was unable to to prevent her popularity from falling. In June 2015, her approval dropped to less than 10% after another wave of protests, this time organized by opposition who wanted her ousted from power, amid revelations that numerous politicians, including those from her party, were being investigated for accepting bribes from the state-owned energy company Petrobras from 2003 to 2010, during which time she was on the company’s board of directors. In 2015, a process of impeachment was opened against Rousseff that culminated with her temporarily removal from power in May 12, 2016 with Vice President Michel Temer assuming power temporarily until the final trial was concluded in August 31, 2016, when Rousseff was officially impeached and Temer was sworn in as president for the remainder of the term. During the impeachment process, Brazil hosted the 2016 Summer Olympics.
Attributions
Attributions
Images courtesy of Wikimedia Commons
Boundless World History
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oercommons
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2025-03-18T00:36:53.223756
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Space Exploration
Overview
Human Activity in Space and its Foundations: An Overview
The title image is a photo of Neil Armstrong on the Moon.
Human activity in space has its roots in the development of balloon flight from the eighteenth century, followed by power flight in the early twentieth century, and the rocket flights carried out by Robert Goddard. From the mid-twentieth century to the early twenty-first century it occurred in an atmosphere of international competition, with national accomplishment at the forefront and scientific discovery a close second as goals. By the mid-1970s international cooperation had begun, although the national space infrastructures remained separate. By the 2020s, while there has been considerable activity in Earth orbit, only six U.S. expeditions have visited the Moon and missions beyond the Moon have been uncrewed.
Learning Objectives
Evaluate how global social, political, and technological trends have shaped contemporary life.
Identify, explain, and assess the historic impact and significance of efforts in space exploration.
Key Terms / Key Concepts
Robert Goddard: U.S. physicist, engineer, and inventor who built and launched the atmospheric rockets that paved the way for space flight
V-2 rocket: ballistic missile developed by Germany during World War II
Between 1926 and 1941 Robert Goddard—a U.S. physicist, engineer, and inventor—launched thirty-four rockets with his team; these rockets reached altitudes as high as 2.6 kilometers and speed as great as 885 kilometers per hour. His developments in rocketry, including multi-stage and liquid-fuel rockets, paved the way for the rockets that reached Earth orbit, the Moon, and other bodies in the solar system. The next major advances in atmospheric rocketry occurred during World War II.
From September 1944 through March 1945 Germany launched over a thousand V-2 rockets against Britain, France, and Belgium. Since the late thirties the Nazi rocket program had been designing and building ballistic missiles with which to strike Allied cities such as London and Paris. The Nazis sought to damage the British and French economies and demoralize British, French, and Belgium citizens with their V-1 and the V-2 rockets. At the end of the war and for several years afterward the U.S. and Soviet governments brought over 1600 and 2000 scientists and engineers from the German program, respectively. These engineers and scientists helped to construct the postwar Soviet and U.S. space programs. For instance, Wernher von Braun was an aerospace engineer brought from Germany to the U.S; he participated in the development of the Saturn V rocket used in the Apollo program.
Soviet-U.S. Space Race
From the end of World War II to the early seventies the space race between the U.S. and the Soviet dominated the human presence in space. The space race was actually a succession of space races with progressively more ambitious goals, culminating in the first crewed expeditions to the Moon. These races were for national prestige and the technological advances that came with the efforts. As far as public support was concerned these goals were easy for people to understand and appreciate, whether in a democratic society, such as the U.S., or an authoritarian society, such as the Soviet Union. These goals also inspired other nations with the resources to join the competition, including China and India.
Learning Objectives
Evaluate how global social, political, and technological trends have shaped contemporary life.
Identify, explain, and assess the historic impact and significance of efforts in space exploration.
Key Terms / Key Concepts
Sputnik: first human satellite in Earth orbit, launched by the U.S.S.R. in October 1957
Apollo 11: first crewed expedition to the Moon, occurring in July 1969
The first race revolved around the first nation to launch a satellite into space. On 4 October 1957 the Soviet Union won this race by launching Sputnik into Earth orbit. A month later the Soviets launched Sputnik II with the first animal passenger, the dog Laika; this second mission ended with Sputnik II and Laika burned up upon reentry into the atmosphere.
In the short-run Sputnik caused panic across the U.S. First, the rocket used to put Sputnik in orbit was similar to the intercontinental ballistic missiles that would be used to carry nuclear warheads between the U.S. and the Soviet Union. Many in the U.S. also feared that Sputnik foreshadowed Soviet control of Earth’s orbit. In addition, Americans feared future Soviet advances in space technology. These concerns resulted in increased U.S. space efforts, first and foremost with the establishment of the National Aeronautics and Space Administration in July 1958.
The U.S. put its own first satellite into space with the launch of Explorer on 31 January 1958. For the next four years the Soviets and Americans split honors for a string of orbital accomplishments. By the mid-sixties the U.S. dominated the field of uncrewed spacecraft in orbit and across the inner planets.
The same pattern occurred in the Cold War competition over early crewed operations in space, with the Soviets winning the early races, including the first person to reach low Earth orbit and the first person to orbit the Earth several times. The Soviets also won the races for the first multi-person space flight and first spacewalk. In each of these competitions the U.S. followed closely behind.
The central competition in the space race between the U.S. and the Soviet Union was getting a crewed expedition to the Moon and back, which the U.S. won in July 1969. On 12 September 1962 U.S. President John Kennedy identified that as a national goal, with completion by the end of the 1960s. The U.S. government accomplished this through three programs: the Mercury, Gemini, and Apollo programs.
From 1961 through 1963 Mercury, the first program, launched six single-person spacecrafts into Earth’s orbit; these were all successfully returned. The goal of Mercury was to see if such a feat could be accomplished with the technology that the U.S. then had, as well as to investigate how astronauts could function in Earth’s orbit.
Gemini, the second program, consisted of ten two-person missions in 1965 – 66 in Earth’s orbit; the mission was to investigate how astronauts would function in missions of a couple of weeks, to carry out activities outside the spacecraft, and to test launching, landing, and docking in space procedures.
Apollo, the third program, aimed at taking three-person crews to the Moon. The first four Apollo missions from October 1968 through May 1969 tested equipment and procedures in preparation for the first crewed mission to the Moon: Apollo 11. After Apollo 11, NASA launched six more Apollo missions through the end of 1972, before cancelling the program, in part because of waning interest among Americans.
The Soviet Union did not succeed in reaching the Moon. The three Soviet space programs that roughly coincided with the Mercury, Gemini, and Apollo programs were the 1961 – 63 Vostok, 1964 – 65 Voskhod, and the 1967 – 91 Soyuz programs. The Soyuz program, roughly analogous to the Apollo program, did not succeed in developing the crewed landing craft and larger spacecraft system necessary for a Moon landing and return to Earth.
Within four years of the Apollo 11 milestone, the U.S. government had terminated the Apollo program and all further human activity on the Moon. The intensity that had driven the U.S. get to the Moon had burned out many Americans’ interest in space. Additionally, interest may have waned due to the decreasing focus on the Cold War space race. Subsequently, the U.S. government pursued less ambitious programs with a space station, robot probes, and the space shuttle program.
The Soviet Union and the U.S. also competed with robot probes in outer space; however, the competition was not as intense because the efforts and their goals were not as visible to average citizens. These probes included targets such as the Sun, Mercury, Venus, Mars, the Martian moon of Phobos, the asteroid belt between the orbits of Mars and Jupiter, Saturn and its moon Titan, Uranus, Neptune, the Kuiper Belt, and various comets. US space probes explored the solar system and tested new propulsion and sensor technologies. Such robot probes were a fraction of the cost of crewed expeditions.
U.S. Shuttle Program and U.S. and Soviet Space Stations
After the end of the Apollo program the most visible U.S. space effort was the shuttle program. From 1981 to 2011 the five-shuttle fleet crewed by 355 astronauts completed 135 missions. Along with the U.S., astronauts and cosmonauts from fifteen other nations participated. This fleet explored new areas of reusability in the components of the shuttles. The two greatest tragedies in the Shuttle program were the breakup of the Challenger in 1986, shortly after liftoff, and the disintegration of the Columbia in 2003, upon reentry into the atmosphere.
Learning Objectives
Evaluate how global social, political, and technological trends have shaped contemporary life.
Identify, explain, and assess the historic impact and significance of efforts in space exploration.
In addition to other goals, the shuttles transported components of the International Space Station during its construction and shuttle crews participated in that construction. The ISS is an international effort with the U.S. and Russia supplying most of the components and many of the crew members. After completion of the ISS, the shuttles continued to transport supplies, equipment, and astronauts to the ISS.
Along with the International Space Station, which was first crewed in 2000, the U.S. built and crewed Skylab during the 1970s; the Soviet Union launched six small space stations from 1971 to 1986, as well as the Mir space station from 1986 to 2001; and China maintained two space stations from 2011 to 2018 and 2016 to 2019: Tiangong 1 and 2. However, Tiangong 1 was only occupied for twenty days and Tiangong 2 for twenty-six days.
Other National Space Programs
In 2003 China became the third nation to launch a crewed spacecraft. During the 1960s the Chinese government was determined to compete with the U.S. and the Soviet Union in the space race. In 1964 China launched its first rocket into space. In 1970 China launched a satellite into Earth’s orbit: Dong Fang Hong 1. In 1999 China launched its first uncrewed spacecraft into Earth orbit, as part of the Shenzhou program. In 2001 and 2002 China followed the uncrewed Shenzhou 1 mission with three more uncrewed Shenzhou missions: Shenzhou 2 – 4; these were a prelude to Shenzhou 5—the first Chinese crewed mission with astronaut Yang Liwei. China has followed up with several more crewed missions to Earth orbit, including Shenzhou 7, during which a Chinese astronaut carried out a spacewalk. China also has conducted uncrewed missions to the Moon, including orbital missions and three landings on the Moon between 2013 and 2020. In 2020 China followed the U.S. and Russia in launching an uncrewed expedition to Mars, with a landing vehicle reaching the surface of Mars in 2021.
Learning Objectives
Evaluate how global social, political, and technological trends have shaped contemporary life.
Identify, explain, and assess the historic impact and significance of efforts in space exploration.
Key Terms / Key Concepts
Shenzhou: Chinese crewed space program of the early twenty-first century
India has followed a path into space that parallels the paths of its predecessors: the Soviet Union/Russia, the U.S., and China. On 19 April 1975 the first Indian satellite launched into space aboard a Soviet rocket from the Soviet launch facility at Kapustin Yar. The Indian satellite was named in honor of the Indian astronomer Aryabhata. In 1980 the Indian Space Research Organization(ISRO) launched four Indian satellites on Indian rockets from Indian sites, having established its own indigenous launching capability. In October 2008 the ISRO launched India’s first lunar orbiter, which operated until August 2009. In 2013 India launched its first Mars orbiter, which reached Mars the next year, making India the fourth nation after the U.S., the Soviet Union/Russia, and China to complete such a mission to Mars. In 2019 India launched its second Lunar orbital mission, this one with a lander aboard. However, while the spacecraft reached Lunar orbit, the lander crashed. Along with these other missions, the ISRO also has launched 54 Polar Launch Satellite Vehicle missions into orbit since 1993, with 51 of these missions being successes. The PLSV is an Indian launch vehicle for reaching Earth orbit. In addition, the Indian government plans on building and launching its own space station in the future.
Along with the U.S., Russia, China, and India, other nations—such as France and Japan—have contributed to space exploration and use, along with the European Space Agency. Both France and Japan have launched uncrewed spacecraft into Earth’s orbit, as well as participated in various international efforts.
Human Activity in Space in the Early Twenty-First Century
This expanding international presence in space occurred at the same time as U.S. interest in such efforts was waning. From 2011—when the Shuttle program ended—to 2019, the U.S. did not have its own rocket for space travel, and had to rely on Russia just to get to Earth orbit. While the U.S. government, along with many individuals and groups, have supported specific goals, such as exploring the Moon, Mars, other planets, and a number of their moons, no specific commitments have been made to crewed expeditions or settlements.
Learning Objectives
Evaluate how global social, political, and technological trends have shaped contemporary life.
Identify, explain, and assess the historic impact and significance of efforts in space exploration.
In the early twentieth century the commercialization of space began. This commercialization grew out of the developments in rocketry and built upon it with the development of new launch vehicles. Using extant infrastructure these ventures were able to streamline procedures. By the early twenty-first century this commercialization has progressed into Earth’s orbit for purposes of transportation to space stations such as the ISS, as well as tourism. In July 2021 Virgin Galactic then Blue Origin took tourists into low Earth orbit.
While these diverse efforts have gained a great deal of information, they have not been effectively coordinated, either at the national or international levels. This lack of coordination has been characteristic of space exploration. Most accomplishments have been limited, only requiring the national resources of each of the two Cold War antagonists. Outside of work in Earth’s orbit and robot space probes, both requiring only incremental technological improvements over Goddard’s rockets, all work beyond the Moon has been completed by uncrewed spacecraft. A great deal has been learned and continues to be learned. However, while there are visions for a human presence in space, definitive plans with specific timetables to which one or more nations have committed themselves have not been devised and executed as of the early 2020s.
In the early twenty-first century human activity in space can be divided into two categories, Earth orbit and beyond Earth orbit. In Earth orbit most space activity concerns telecommunications, meteorology, and other sciences. Orbital activity is still easily accomplished by extant rocket propulsion technology, bolstered by advances in other technologies, such as sensors, computers, and energy systems fo these devices. It continues to improve within these limits in propulsion technology.
Space activity beyond Earth orbit is still dominated by exploration as marked by milestones, with no permanent settlements in the foreseeable future on either the Moon or Mars. Space exploration has been limited by the scarce resources allocated by national governments. In particular, governments and the private sector have only made incremental progress in the advancement of propulsion technology. In the early twenty-first century spacecraft were still propelled by the same kind of rockets that Goddard’s team had designed and built. Many around the world hope that the human presence in space will continue to expand, but hopes have not been translated into the necessary commitment of the necessary resources by government and the private sector.
Attributions
Title Image - Neil Armstrong on the Moon, 20 July 1969
- Attribution: NASA photo As11-40-5886, Public domain, via Wikimedia Commons
- Provided by: Wikipedia Commons
- Location: https://upload.wikimedia.org/wikipedia/commons/1/13/Armstrong_on_Moon_%28As11-40-5886%29_%28cropped%29.jpg
- License: Creative Commons CC0 License
Adapted from:
https://www.nasa.gov/centers/goddard/about/history/dr_goddard.html
https://www.nasa.gov/mission_pages/mercury/missions/program-toc.html
https://www.space.com/space-tourism-giant-leap-2021-milestones
https://en.wikipedia.org/wiki/Timeline_of_Solar_System_exploration
https://en.wikipedia.org/wiki/Space_Shuttle_Columbia_disaster
https://www.timesnownews.com/india/article/these -7-turning-points-in-indias-space-race-made-us-a-global-force/727779#:~:text=India%2C%20too%2C%20is%20one%20of%20the%20leading%20players,launched%20the%20country%20onto%20the%20global%20space%20race
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oercommons
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2025-03-18T00:36:53.257546
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The Chameleon in the Kremlin: Contemporary Russia under Putin
Overview
New Millennium, New President: the Rise of Vladimir Putin, 1999-2004
In the 1990s, economic collapses and defeatist attitudes plagued Russia. Many Russian banks had collapsed due to mismanagement, as well as the rapid transfer of communist to capitalist economic systems. Russia no longer stood as a strong leader in world affairs. Instead, Russian wealth was held in the hands of a few oligarchs, while most of the country suffered from plummeting standards of living. Russia’s president, Boris Yeltsin, had been democratically elected after the collapse of the Soviet Union in 1991. But by the late 1990s, Yeltsin was in his upper 60s and ill. He increasingly relied on aides to help him with speeches, public appearances, and decision-making. In August 1999, Yeltsin appointed his Chief of the Russian Security Council as his prime minister. The maneuver surprised many within and outside Russia. At forty-six years old, Vladimir Putin was relatively young, and largely unknown to both Russians and foreigners. Four months later, Boris Yeltsin resigned as president of Russia and named Putin his successor. The following spring, Putin transformed from an obscure security agent to the leader of the largest nation on earth when he was elected the second president of Russia.
Learning Objectives
- Analyze Vladimir Putin’s presidency in Russia.
Key Terms / Key Concepts
Alexei Navalny: opposition leader to Vladimir Putin
Chechnya: republic in southern Russia that has long-sought complete independence
Dmitry Medvedev: president of Russia (2008 – 2012)
Georgia: small, independent nation in the Caucasus region of Europe
oligarchs: Russian billionaire businessmen who gained extreme wealth and political influence during the late 1980s and 1990s
Vladimir Putin: president of Russia (2000 – 2008; 2012 – Present)
Putin's Early Career
“Any cook should be able to run the country.” So said Vladimir Lenin about the egalitarian nature of the communist Soviet Union. In the Soviet Union, workers were the backbone of communism: in ideology and daily life. Therefore, any cook, any bricklayer, any shoemaker would represent the interests of and understand the people so well that they could theoretically govern the world’s largest communist state. Little did Vladmir Lenin know that his personal cook, Spiridon Putin, would one day have a grandson, named Vladimir, who would govern Russia.
Background
Vladimir Putin was born on October 7, 1952, in Saint Petersburg (then called Leningrad). In his autobiography, Putin outlined growing up in a modest, communal apartment with his working-class parents. He described himself, initially, as a poor student who was heavily interested in sports. Despite Soviet policies of the day that curbed religion, Putin also recalled that his mother had secretly baptized him as an Orthodox Christian.
By his teenage years, Putin had transformed into a serious and inquisitive young man interested in Soviet politics. He excelled in the law program at Leningrad State University, and upon graduation, accepted a position as a security officer for the Russian foreign security agency: the KGB. Putin worked as a KGB agent for fifteen years. After retiring from the KGB, Putin returned to Saint Petersburg where he excelled in local politics.
In the early 1990s, Putin moved to Moscow with his (then) wife and two young daughters to pursue his political career. Seemingly out of nowhere, quiet and private Vladimir Putin climbed the political ranks, serving as an advisor to Russia’s prime minister at the time: Anatoly Chubais. By 1998, Putin had developed such close connections to Boris Yeltsin’s inner circle, that Yeltsin named him director of the FSB—Russia’s intelligence agency and successor agency to the KGB. Within a year, Putin had again climbed the ranks and was appointed Secretary of the Security Council of Russia. In that capacity, Putin would regularly meet with President Yeltsin, and the heads of Russian defense. Then, in a surprising maneuver, Putin was named prime minister of Russia by Boris Yeltsin. Although Putin was unknown and enigmatic to most of Russia when he stepped into his new role, he would soon make his name known across the country.
1999:The Critical Year for Vladimir Putin
In the fall of 1999, two key events occurred in Russia that launched Putin into the forefront of Russian attention. The first event occurred in August, just after Putin assumed his position as prime minister of Russia. An Islamist militant group invaded Dagestan—a Russian province in the southern Caucasus that is a mountainous region bordering the Caspian Sea. News stories in Russia proclaimed that the invading force committed atrocities against Russian soldiers. At home, Russians feared their country was weak and that it might be carved up as the former Soviet Union had been.
A month later, a series of apartment bombings swept through three cities in Russia, including Moscow. Over 300 Russians were killed, with over 1,000 more injured. No perpetrators were concretely identified, and ever since the events, there has been much speculation about who carried out the bombings. Some analysts even speculate that the bombings were a false-flag operation. They suggest that the Russian FSB had planted the bombs with the intent of placing blame elsewhere and generating support for Yeltsin’s failing presidency.
But despite these rumors and stories, most Russian eyes turned to a longstanding adversary: militants from Chechnya—a small republic in the Caucasus region of southern Russia, and a neighbor to Dagestan. It was the narrative the Russian government and media wanted Russians to buy. And to the average Russian, the story made sense. Russia had just fought a war against Chechnya under Yeltsin and left many people on both sides discontented. For although Chechnya operated independently, it remained a part of Russia. Chechens desperately sought complete independence. Russians, in contrast, sought more control over what they saw as a violent and unstable area. The competing ideas set Chechnya and Russia on a collision course with one another.
Putin understood that Russians felt defeated in 1999. The bombings confirmed Russian fears that the world viewed their country as a place of instability and mass violence. Every stereotype and fear Russians sought to avoid rained down on them in 1999. The people desperately needed a hero. One who would give them hope for a brighter future, restore the glory of Russia, and crush their enemies. In the wake of apartment bombings, Putin stepped into the front of news cameras and overtly blamed the Chechens for the apartment bombings across Russia. Chechnya, he assured them, would pay for its crimes. He assured them that Russia would punish Chechnya and the forces that invaded Dagestan, that Russia would avenge the deaths of their soldiers, and that the country would persevere and reign triumphant. Confident, tough, but calm under pressure, Putin was exactly the leader Russians sought in their hour of crisis.
Following the apartment bombings, Russia launched airstrikes on Chechnya, and then a land invasion of the northern half of Chechnya. Thousands of Chechens were killed, with thousands more displaced in the war that ensued. In December 1999, Yeltsin named Vladimir Putin the “acting president” of Russia as he resigned from the office.
Facing an election that spring, Putin knew he had to demonstrate his strength as a leader. Under his order, the Russian military launched a massive campaign to capture the Chechen capital, Grozny. In February 2000, they succeeded. Although the war against Chechnya would continue for nearly a decade, Putin’s popularity exploded across Russia. Across the country, Russians turned out to vote for the next president. Unsurprisingly, and overwhelmingly, Putin was elected as president of Russia in March 2000.
President Putin's First Term
President Putin entered the Kremlin in March 2000 with resounding popular support because of his strong stance against Chechnya. But his popularity suffered in August because of a military disaster. The Russian nuclear submarine, the Kursk, embarked on a military training exercise with the Russian naval fleet in the Barents Sea off Russia’s northwest coast in the Arctic Circle. Despite its reputation as an invincible submarine, two massive explosions rocketed through the Kursk during the exercise. The explosions sunk the Kursk. Reportedly, nearly 100 of the crew were killed in the initial explosions and subsequent fires that spread throughout the submarine. But a handful of the crew made it to one of the submarine’s compartments that had survived the blasts. There, they waited for help to arrive, and undoubtedly expected it would come. The submarine had been part of a large convoy sent to perform a military exercise. Surely, the naval fleet would notice it was missing. Moreover, the Kursk had sunk in relatively shallow, if icy, water not far from Russia’s port of Murmansk. But no help came. Delays in communication extended from the military to President Putin, who was vacationing at the time. When news reached Putin, he was slow to report it to the media, and delayed help from Western navies, despite the fact Russian military reports claimed that they heard clanging sounds coming from survivors aboard the Kursk. After a week, Putin allowed Western navies to mount a rescue attempt. But it was too late. All 118 sailors had perished when the British rescue team arrived.
Anger toward the new president swept through Russia. Families demanded explanations and called for Putin’s dismissal. Fears that old Soviet practices of secrecy and cover-ups returned. Moreover, the disaster and Putin’s stagnation seemed to signal that Russia was still decades behind the West in its development. The event humiliated Putin and his popularity plummeted. In response to what he deemed excessive and inaccurate media coverage of the event, Putin clamped down on the media, and regulated coverage of the Kursk disaster. He later visited the families of the sailors who had perished and provided them with financial compensation. Since 2000, memorials have been created in honor of the men who perished aboard the Kursk.
Russsia Engages the World: Putin and Foreign Affairs
Vladimir Putin weathered the shock his presidency received after the Kursk disaster. In part, he survived and rebounded because of his determination to make Russia strong in the eyes of the world. In particular, he concentrated on projecting Russian strength when dealing with foreign heads of state. In the early 2000s, President Putin emphasized the need for a “multipolar” world. By this, he meant a world in which there was more than one clear center of power and influence. One beyond Western Europe and the United States. He sought to connect with the West, while also remaining committed to the idea that Russia would again be a strong world power. Simultaneously, he believed that China and other regions in Asia should be strong world actors on equal footing with the West. And he was determined to develop Russia’s connection with the East, as well as the West.
Putin was initially keen to work with Western nations, including the United States. He even proposed to President Bill Clinton the idea of Russia joining NATO, by presenting a new Russia free from Soviet-era policies. Naturally, the conversation went no further.
Putin also kindled a relationship with President George W. Bush. One in which the younger Bush famously quipped that he had “gotten a sense of Putin’s soul.” To Americans, it signaled hope that despite their long, adversarial relationship, Russia and the United States might be entering a new era of friendship and cooperation. Hope was further kindled when, on September 11, 2001, Putin was the first head of state to contact President George W. Bush and offer his support. He pledged Russian assistance in helping the United States and the West track down and eliminate terrorists. However, he stopped short of actually aiding the U.S. and vehemently opposed the United States’ war in Iraq.
Putin’s policies toward foreign countries in the first two terms of his presidency projected more than anything, the idea that Russia was a nation willing to work with others, regardless of political divides. However, he was always careful to emphasize that the new Russia, his Russia, was strong and would operate on its own terms. He would not be in the pocket of the West, as his predecessor, Boris Yeltsin, was. Nor would he allow foreign governments to intimidate him or threaten Russia in any way.
In 2005, he famously described the collapse of the Soviet Union as the “greatest geopolitical disaster of the 20th Century.” While that quote has often been used to assess actions later undertaken by him, it is equally important to showcase his message at the time. For Putin, who had grown up in the communist Soviet Union, he saw the collapse of the state as a major blow to Russian strength and international prestige. He also saw it as artificially bolstering the importance of the West over all other regions of the world. At the time of his speech, Putin wanted to alter both of those outcomes by building up Russian military strength and re-establishing Russia as a major global actor in a multipolar world.
For the Good of Russia?: Putin's Domestic Policies
The Russia that Putin inherited from President Yeltsin in 2000 was not one that anyone would particularly relish. Spanning eleven time zones, Russia was enormous. Much of its population was impoverished, unemployed, and frustrated. Russia writhed with violence, drugs, and crime, particularly in Moscow.
The life expectancy for Russian men in the 1990s was remarkably short for an industrialized nation. In 1999, the National Institute for Health reported that the life expectancy for Russian men was 58 years. The political and economic instability of the 1990s had prompted surging alcoholism rates in Russia, primarily among men. As a result, alcohol-related deaths also surged.
Along with the social ills of a massive, unstable country came an explosion in all types of crime. Organized crime, violent crime, and petty crime all exploded throughout Russia during the politically chaotic 1990s and into the early 2000s.
Politically, Russia also was rife with corruption at every level. Indeed, when Putin stepped into the role as president of Russia, his work was cut out for him. And it was far from attractive. The question on everyone’s mind was simple: would Putin hold out a hand for the common, impoverished, working Russian; or, would he align with the wealthy, corrupt oligarchs whose shady business endeavors resulted in their unprecedented wealth? Ever enigmatic, few people could guess Putin’s next move, and many underestimated the political skill of their new president.
Putin Tackles the Russian Economy
First on Putin’s agenda of domestic affairs was stabilizing and improving the Russian economy. The task was as enormous as the country itself. From 1917 – 1991, Russia had been a communist society in which trade and industry were strictly controlled by the government. Wealth was distributed by the government to individuals and families based on need and ability. Then, almost overnight, a dramatic shift in economic policies occurred. With the collapse of the Soviet Union in 1991 came the collapse of Russian communism. In its place, a capitalist economic system was installed. The lightspeed transition produced shockwaves across Russia. Capitalism stood in direct opposition to communism. Instead of strict government regulation, capitalism favored the individual, private property, private wealth, and fierce economic competition. The transition left many ordinary Russians confused, and wondering how, and from where, they would earn enough money to support themselves.
The economic crisis deepened during the rise of a group of Russian oligarchs. Hyper-wealthy, fiercely intelligent and ruthless businessmen, these individuals had obtained their wealth during the mid-1980s and early 1990s under the last Soviet leader, Mikhail Gorbachev, who allowed limited privatization of the Russian economy. These businessmen often lived abroad and brought Western products to Russia to be sold on the black market for astronomical prices. The same group of men also created vast oil and natural gas companies. As their wealth soared, so too did their political influence.
Many scholars claim that the oligarchs were the actual government in the 1990s, and Boris Yeltsin a simple figurehead president. In any case, one thing about the Russian economy in the 1990s was true: it floundered. Power and vast wealth remained in the hands of a very few, shady Russian businessmen, most of whom lived abroad and had foreign bank accounts. For the remaining 99% of Russians, life proved exceptionally difficult.
Putin Brings "Improvement" to the Russian Economy
Vladimir Putin had to improve Russia’s economy to remain in power. One of his first acts of business was to nationalize much of Russia’s energy sector. This maneuver allowed for the growth of Russian industries for the first time in over a decade. It created jobs and dramatically reduced unemployment in Russia. Global demand and prices for Russian oil and natural gas skyrocketed, in part due to the West’s wars in Iraq and Afghanistan. Moreover, Putin was firm in his deals with the West. If Western nations wanted Russian gas and oil, they must pay Russia fairly. Much of the West complied, and to-date, Russia continues to supply most of Europe with natural gas and oil.
By 2004, Russia’s economy thrived due to Putin’s regulation of the energy sector, and a massive tax reform he undertook. Unemployment dropped, and the standards of living rose sharply. With these social gains, Russian people began investing in the economy, and consumerism boomed. The middle class expanded, and wealth slowly began to be more evenly distributed. It appeared that after a relatively short time of trials, capitalism seemed destined to triumph in Russia. In 2004, Vladimir Putin also seemed destined to triumph in Russia, as he won re-election and began his second term as president.
Restoration of a Dictator? Putin and the Oligarchs
Much of Putin’s popularity can be boiled down to two things: strengthening Russian prestige abroad and strengthening the Russian economy at home. But his relationship with the oligarchs was complicated from the earliest days of his presidency. Behind the scenes, they facilitated his political rise and win of the presidency. But they were enormously unpopular with the Russian people. To remain popular, Putin needed to be seen challenging them. A closed-doors deal was struck between him and the billionaire businessmen. He would allow them to keep their personal wealth, assets, and companies in exchange for complete loyalty and nonintervention in government affairs. The agreement seemed, initially, to work. The oligarchs retained their wealth and pledged loyalty, and often millions of international dollars to Putin. It was corruption on a grand scale. Putin warned that any oligarch who broke away from him would be severely disciplined. Very likely, his threat seemed laughable to the oligarchs at the time who were accustomed to dealing with the malleable Yeltsin. They, like so many others, underestimated the strength and skill of their new president.
Famously, Russia’s wealthiest oligarch, Mikhail Khodorkovsky, broke with Putin. Underestimating Putin as a politician and former KGB agent, Khodorkovsky was arrested at gunpoint on charges of fraud and tax evasion. He was later tried and sentenced to ten-years in prison. After eight years, and much political campaigning on his behalf, Khodorkovsky was released and allowed to live in exile in the United States. He would not be the last of the oligarchs to pay a price for breaking with Vladimir Putin.
Putin's Second Term (2004-2008)
From the onset of his presidency, Vladimir Putin was intensely secretive about much of his private life. His daughters were all but unknown to the world, having been only very rarely photographed. He would provide evasive answers to reporters about the sources of his wealth or how much wealth he had. Increasingly in his second term, Westerners and Russians alike pointed to his service as a KGB agent as formative experience. He would conceal much about himself, while simultaneously, (and often subtly) getting others to reveal information. He could transform himself to become who he thought his audience needed him to be. Like a chameleon, he could disguise and alter his persona to suit the situation at hand. While this might have worked well for Putin personally, it sparked unease among Russians and foreigners alike. Although Putin had enjoyed an overwhelming re-election in 2004, his second term would usher forth new fears at home that he was increasingly becoming an authoritarian leader.
Mr. Putin's Wars
During his time as a KGB agent, and as a young politician in Saint Petersburg, Putin witnessed the dissolution of both the Soviet Union, and the former communist state Yugoslavia. It is likely that these events impacted him deeply. From the beginning of his presidency, restoration of Russia as strong world leader has proved one of his primary goals. On the opposite side of the coin, the carving up of Russia in a manner like Yugoslavia is likely one of his great fears. Therefore, he has historically reacted harshly to any perceived threat to Russia’s progression as a world leader, be it an internal or external threat.
The Beslan Hostage Crisis
On September 1, 2004, a group of Islamist militants from the Caucasus region of North Ossetia, a neighbor of Chechnya, entered a school in the town of Beslan in southern Russia. They quickly took over 1,100 hostages, including teachers, students, and parents who had accompanied their children to school for a day of planned festivities. They drove the hostages into the school gym, and proceeded to rig explosives to the basketball goals, and throughout the gym. Outside the school, Russian forces mounted by the thousands, and a siege began. For three days, the captors held their hostages, shooting some of male teachers, and refusing food and drink to anyone. During the crisis, the militants demanded Russia recognize complete independence of Chechnya—a request Putin would never grant. On the third day of the siege, Russian forces were able to overwhelm the terrorists. With the help of tanks, Russian forces stormed the school. Their action defeated the terrorists, but not without heavy loss of life. At the end of the siege, more than 300 hostages had perished, most of them children.
The Beslan hostage crisis provided Putin with the context he needed to further crack down on internal dissent. His response was swift and sharp. Direct election of municipal officials was removed throughout Russia. Instead, officials would be appointed directly by the Kremlin. Increasingly, Russian media reported on Putin’s crackdowns and asserted that his power stretched too far. In response, Putin launched a new crackdown that targeted the media, which, he believed, spread lies and misinformation about the government.
Putin's Crackdowns: The Media and Political Opponents
Following the Kursk incident in 2000, Putin launched a campaign to severely restrict all independent media outlets in Russia. The campaign was undertaken in the name of ending “misinformation” spread by these news agencies. In Putin’s view, most news reports that diverged from official, state-sponsored media outlets, constituted misinformation. Media crackdowns persisted and intensified following every major crisis experienced within Russia. In some cases, Putin ordered the arrest and imprisonment of owners of media outlets, including Russian oligarch, Vladimir Gusinsky. One by one, independent news agencies were shut down or brought under the direct control of the Russian government.
For journalists who remained committed to investigating Putin and the Kremlin, their fates were frequently worse than imprisonment. Among the most famous journalists to be silenced in Russia was a woman who investigated Putin and his policies extensively, Anna Politkovskaya. Since Putin’s first invasion of Chechnya in 1999, she had reported on human rights abuses committed by Russians against the Chechens. In 2004, she published her book, Putin’s Russia, and laid bare the corruption and oppression within Putin’s presidency. Two years later, she was discovered murdered in the elevator to her apartment. Ironically, her murder occurred on October 7, 2006—Putin’s 54th birthday.
Less than two months after Politkovskaya’s death, another high-profile death rocked Russia. This time, the death occurred in London. A middle-aged, former Russian security officer, Alexander Litvinenko, had died under mysterious circumstances in a London hospital. Investigations into his death by the British revealed that he was a vocal critic of Putin and that he had also leaked information from his days as a FSB security officer. Moreover, on the day he fell violently ill, Litvinenko had met with two men, proven to be Russian security agents, in a London hotel. A postmortem investigation revealed that Litvinenko had been poisoned with a radioactive element: polonium-210. One probable theory argues that the Russian agents slipped the element into Litvinenko’s tea, as traces of the substance were found in a tea pot where they had met. High levels of polonium-210 were also discovered in the hotel bar. Further investigation proved that the two Russian agents were indeed responsible for Litvinenko’s death but investigators could not link the murder directly to Putin. It would not be the last death nor high-profile poisoning conducted by Russian agents.
Putin's Changing Attitude toward the West
In Putin’s second term, the Russian President began to shift his tone in working with the West. He had felt for years that the West treated Russia as second class, as well as backward. These attitudes, he believed, resulted in little genuine effort from the United States or Western Europe to work with Russia. Their lack of respect and aid deeply weighed on Putin. Over the years, he increasingly distanced himself from the Western nations.
As early as 2003, Putin was enormously critical of the United States’ invasion of Iraq. He spoke of flaws of Western dominance in global affairs. In 2007, Putin delivered a speech in Munich in which he sharply criticized the United States use of what he called excessive military force to enforce diplomacy with other countries, specifically those in the developing world.
Similarly, icy tensions emerged between Putin and the United Kingdom. The British frequently gave asylum to political exiles from Russia, notably some of the country’s oligarchs. This policy irritated Putin. Simultaneously, the British became frustrated and concerned with Putin because of events such as the Litvinenko poisoning that had occurred within British borders.
Putin and NATO
Most irritating to Putin was the expansion of NATO. The North Atlantic Treaty Organization had been formed in 1949, four years into the Cold War between Russia and the West. It was created as a peacetime, military alliance between Western nations. Among other things, it promised that if any NATO country were attacked, the other NATO nations would consider it as an attack upon themselves and provide military aid. Practically, NATO was an alliance designed to protect Western nations from attacks by the Soviet Union during the Cold War. It was a very visible sign of solidarity and strength among Western Europe and the United States. The Soviet Union had responded by the creation of their equivalent: the Warsaw Pact. But after the Cold War, the Soviet Union had collapsed. Communism was defeated in Europe, and the Warsaw Pact was dissolved. Russia hoped that the West would respond by a similar dismantling of NATO. Instead, NATO membership soared in the 1990s and 2000s.
Since 1999, many former Soviet Bloc countries, such as Poland and Romania, have joined NATO. The Baltic States, Estonia, Latvia, and Lithuania, all of which share a border with Russia, joined NATO. These Eastern European nations joined NATO for two reasons: memory of life under the communist Soviet Union and security against encroachment/attacks from what they perceived as growing Russian aggression in Europe during the 2000s.
From Putin’s perspective, the rapid expansion of NATO, a Cold War-era entity, was a further sign that Europe was distancing itself from Russia. Why, he argued, would a Cold War-era alliance be expanding after the end of the Cold War? From whom, did they expect an attack? And why was Western Europe so quick to accept former Soviet countries into NATO membership? The spark that further ignited Putin’s fury was that NATO built military bases in Eastern European countries, namely Poland. For Putin, that was practically in Russia’s backdoor. The building of such bases, he argued, threatened the security of Russia and amplified tensions between Russia and the West to Cold War levels.
Exit, Mr. Putin?
The Russian constitution limited the president to two consecutive terms of four years each. In 2008, Putin’s time in office was nearly over. He could not run a third term, or extend his presidency, without risking strong opposition from the Russian people. So, Putin set out to find a suitable protégé. He found one in his long-time ally, former chief of staff, and deputy prime minister, Dmitry Medvedev. More than a decade younger than Putin, Medvedev was comparatively young. He spoke with a professional courteousness that Putin lacked. Unlike Putin, he delivered speeches that resonated with Russian intellectuals, which pulled in support from that demographic. His boyish face was warm and ingratiating—a stark contrast to austere, glacial Putin. And unlike Putin, Medvedev was inexperienced and malleable.
The only problem arose from a small, but vocal minority of Russian people. In 2008, the popular chess master, Garry Kasparov, entered his candidacy for the presidency against Putin’s man, Medvedev. He ran on the campaign that Putin and his inner circle were extremely corrupt. Among other charges, he implied that Putin was an autocratic president that was severely restricting freedoms in Russia. For a small percentage of Russians, Kasparov’s claims struck home. Even Putin-supporters could not deny that he had worked to severely restrict and regulate the media in Russia. Moreover, Russians had concerns about voter fraud and the legitimacy of Russian elections. During his campaign, Kasparov gained a strong following. But his campaign was often halted by his periodic arrests for demonstrating against Putin. Late in 2007, Kasparov withdrew from the race, frustrated by the endless roadblocks he faced in campaigning against Putin’s government. Although he failed to successfully run for the presidency, he had succeeded in raising awareness of Putin’s increasing corruption and authoritarianism in two critical ways: firstly, larger numbers of Russians were questioning Putin and his policies; and secondly, Kasparov’s failed campaign pointed to the severe authoritarianism in the state. At the time, Kasparov was handsome, wealthy, and internationally famous. If the Russian government could create such hurdles to stop his campaign, Kasparov’s point was spot-on. Russia was far from free.
According to voter records, Putin left the presidency in 2008 with overwhelming popular support. It was therefore unsurprising that his hand-picked successor also experienced strong support during his election campaign and ultimately won the presidential election. In 2008, Russia and the World welcomed the new president of Russia, Dmitry Medvedev. But within hours of his oath-taking, Medvedev named Putin his prime minister. The act resulted in many asking, “Who is the real Russian president?”
The Cozy President and the Glacial Prime Minister: Dmitry Medvedev and Vladimir Putin (2008-2012)
From the moment Dmitry Medvedev stepped into the presidency it became impossible to separate him from Vladimir Putin. At home and abroad, people described Medvedev’s presidency as a “tandem” presidency in which decision-making was shared between the two men. Speculation arose that Medvedev had never had presidential aspirations, that he simply bent to Putin’s plan.
The Russo-Georgian War
Regardless of how he had come to power, Medvedev faced his first crisis only months after coming to power. Just south of the Russian Caucasus was the small, independent country of Georgia. In August 2008, there were longstanding tensions between Georgia and Russia over small provinces in the Caucasus, South Ossetia, and Abkhazia. Violence erupted between South Ossetian troops and Georgian troops. Russian troops soon joined the conflict on the side of South Ossetia and launched an attack on Georgia. Within five days, the war was over. Georgia had been beaten into submission by Russian forces that had illegally invaded their country, and the Caucasus provinces remained firmly in Russian hands. Despite the briefness of the war, it resulted in mass displacement for Georgian civilians. Moreover, the lack of international response to Russia’s illegal invasion emboldened Russia. Medvedev was at the helm, with Putin pulling his strings. And prime minister Putin would not forget the lack of Western response to their invasion of Georgia.
The Global Financial Crisis and Medvedev's Foreign Diplomacy
Medvedev’s second challenge arrived in 2008 during the global economic recession. Russian GDP dropped sharply. For Russia, the recession proved a preview of the dangers of a mono-industry nation. Russia relied heavily on its gas and oil exports to drive its economy. But if those industries collapsed, Russia would suffer enormously. For his part, Medvedev spoke of diversifying the Russian economy. He advocated for development in the sectors of information and medical technology. But in his four years as president, little was done to promote a diversified economy. Russia weathered the 2008 economic crisis but it was not until two years later that the economy began to recover and grow.
In many ways, Medvedev mimicked Putin. Some noted that even in his speaking, Medvedev’s intonation was like Putin’s. In policy, Medvedev was like Putin, also. During his presidency, he increasingly turned away from the West and toward the East. In 2009, his Foreign Minister, Sergei Lavrov, famously received a “present” from United States Secretary of State, Hillary Clinton—a box with a bright red button. Inaccurately written in Russian, the button was supposed to say “Reset.” Lavrov quickly pointed out that the Americans had used an inaccurate Russian word, and that it said “overcharge.” But despite the brief humiliation, the intention was clear to both parties. The United States recognized that the two countries were at odds. A “resetting” of relations needed to occur.
It was clear, at that time, that Russia was turning eastward instead of to the West. And President Medvedev developed working relationships with some of the world’s most notorious heads of state, including Kim Jong Il of North Korea, Hugo Chavez of Venezuela, and Fidel Castro.
The Forgotten President?
President Medvedev announced in 2012 that he would not run for re-election. Instead, he threw his support to his prime minister. Vladimir Putin, he proclaimed, would be an excellent choice of candidates for president. No one in Russia or abroad seemed surprised by the announcement. But in Russia, thousands protested what they deemed an increasingly corrupt government. Among those leading protests was a thirty-five-year-old lawyer and YouTube blogger, Alexei Navalny. Very successfully, he labeled Putin’s political party, United Russia, the party of “crooks and thieves.” He used the internet to broadcast evidence of Putin’s “stolen” wealth—vast palaces and yachts. He also advocated for a free and democratic Russia, something unknown in Putin’s Russia. Through his media platforms, Navalny garnered millions of supporters. For the first time since 1999, Putin had a strong political opponent. It was a momentous start for Navalny. Within two years, he would lead the Russian opposition against Vladimir Putin, as well as become an international household name.
In 2012, Medvedev exited the presidency and became Vladimir Putin’s prime minister. While it is still debated to what extent Medvedev’s presidency was really his own, overwhelming opinion speculates that Putin was heavily involved all along. As Medvedev left the presidency, so too did public memory of him. Within five years of his exiting the presidency, Medvedev was largely forgotten by most of the world.
Return of President Putin: 2013-Present
Vladimir Putin returned to the president’s office in May 2012. Mass protests occurred during his installation as president. Protestors decried the election and claimed rampant voter fraud took place. In response to the protestors, Russian police arrested thousands. The arrests resulted in dozens of international organizations declaring that human rights were being violated en masse in Russia. Over the next decade, organizations and countries around the world would cry that Russia erased basic human freedoms. Indeed, during his third and fourth terms, Putin would increasingly implement measures to crack down on dissension in his autocratic Russia. Ever at the forefront of his thoughts was a great coin. On one side was the goal of promoting Russia as a major power in global affairs, on equal standing with the West. On the flip side of the coin was the fear that Russia would retreat from the world stage, and/or be dismantled as the Soviet Union and Yugoslavia had been. Together, these thoughts created a strong, unyielding Russian nationalist in Putin. A characteristic that would set him on a collision course with Western powers in 2014, and again in 2022 when he launched invasions of Ukraine.
Attributions
Images courtesy of Wikimedia Commons
Gessen, Masha. The Man without a Face: The Unlikely Rise of Vladimir Putin. Penguin Books, New York: 2014.
Lourie, Richard. Putin: His Downfall and Russia’s Coming Crash. Thomas Dunne Books, New York: 2017.
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2025-03-18T00:36:53.322350
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https://oercommons.org/courseware/lesson/88116/overview
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Contemporary China and India
Overview
Contemporary China
In the 21st century, two nations alone, China and India, account for just over one-third of the world’s population. In this century, both nations have become economic powerhouses that have asserted what they each believe to be their national interest: China’s domination over East Asia and India’s embrace of its own Hindu traditions.
Learning Objectives
- Examine China’s policies regarding the South China Sea.
- Analyze the rise of Hindu nationalism and Neoliberal policies in contemporary India.
Key Terms / Key Concepts
Association of Southeast Asian Nations: a regional organization comprising ten Southeast Asian states, which promotes intergovernmental cooperation and facilitates economic integration amongst its members
exclusive economic zone: a sea zone prescribed by the United Nations Convention on the Law of the Sea, over which a state has special rights regarding the exploration and use of marine resources, including energy production from water and wind
nine-dash line: a term that refers to the demarcation line used initially by the government of the Republic of China (ROC/Taiwan) and subsequently also by the government of the People’s Republic of China (PRC), for their claims of the major part of the South China Sea
Philippines v. China: an arbitration case brought by the Republic of the Philippines against the People’s Republic of China under Annex VII to the United Nations Convention on the Law of the Sea (UNCLOS) concerning certain issues in the South China Sea, including the legality of China’s “nine-dash line” claim
United Nations Convention on the Law of the Sea: the international agreement that defines the rights and responsibilities of nations with respect to their use of the world’s oceans, establishing guidelines for businesses, the environment, and the management of marine natural resources (It was concluded in 1982.)
Tension in the South China Sea
One-third of the world’s shipping sails through the South China Sea, and it is believed to hold huge oil and gas reserves beneath its seabed. The South China Sea is a marginal sea that is part of the Pacific Ocean, encompassing an area from the Karimata and Malacca Straits to the Strait of Taiwan (around 3.5 million sq km or 1.4 million sq mi). The sea is located south of China, east of Vietnam and Cambodia, northwest of the Philippines, east of the Malay peninsula and Sumatra, up to the Strait of Malacca in the west, and north of the Bangka–Belitung Islands and Borneo.
Several countries have made competing territorial claims over the South China Sea, and these territorial disputes are Asia’s most potentially dangerous source of conflict. Both the People’s Republic of China (PRC) and the Republic of China (ROC, commonly known as Taiwan) claim almost the entire body as their own, demarcating their claims within what is known as the nine-dash line. The area overlaps the exclusive economic zone (EEZ) claims of Brunei, Indonesia, Malaysia, the Philippines, Taiwan, and Vietnam. Indonesia, China, and Taiwan all lay claim over waters northeast of the Natuna Islands. Vietnam, China, and Taiwan all lay claim over waters west of the Spratly Islands, some of which are also disputed between Vietnam, China, Taiwan, Brunei, Malaysia, and the Philippines. The Paracel Islands are disputed between China, Taiwan, and Vietnam. Malaysia, Cambodia, Thailand, and Vietnam lay claim over areas in the Gulf of Thailand. Singapore and Malaysia claim waters along the Strait of Johore and the Strait of Singapore.
The disputes include the islands, reefs, banks, and other features of the South China Sea, including the Spratly Islands, Paracel Islands, and various boundaries in the Gulf of Tonkin. There are further disputes, including the waters near the Indonesian Natuna Islands, which many do not regard as part of the South China Sea. The states with these conflicting claims are interested in retaining or acquiring the rights to fishing areas, the exploration and potential exploitation of crude oil and natural gas in the seabed of various parts of the South China Sea, and the strategic control of important shipping lanes.
Importance of the South China Sea
The area of the South China Sea may be rich in oil and natural gas deposits although estimates vary from 7.5 billion to 125 billion barrels of oil and from 190 trillion cubic feet to 500 trillion cubic feet of natural gas. The once abundant fishing opportunities within the region are another motivation for claims. China believes that the value in fishing and oil from the sea may be as much as a trillion dollars. According to studies made by the Department of Environment and Natural Resources (Philippines), this body of water holds one-third of the entire world’s marine biodiversity, making it a very important area for the ecosystem. However, the fish stocks in the area are depleted and countries are using fishing bans to assert their sovereignty claims. Finally, the area is one of the busiest shipping routes in the world. In the 1980s, at least 270 merchant ships used the route each day. Currently, more than half the tonnage of oil transported by sea passes through the South China Sea, a figure rising steadily with the growth of the Chinese consumption of oil. This traffic is three times greater than that passing through the Suez Canal and five times more than the Panama Canal.
Disputes
China and Vietnam have both been vigorous in prosecuting their claims to this region. China and South Vietnam each controlled part of the Paracel Islands before 1974. A brief conflict in 1974 resulted in 18 Chinese and 53 Vietnamese deaths and China has controlled the whole of Paracel since then. The Spratly Islands have been the site of a naval clash, in which over 70 Vietnamese sailors were killed in 1988. Disputing claimants regularly report clashes between naval vessels.
In 2011, a vessel identifying itself as the Chinese Navy reportedly contacted one of India’s amphibious assault vessels on an open radio channel; the Indian vessel was on a friendly visit to Vietnam, when it was spotted at a distance of 45 nautical miles from the Vietnamese coast in the disputed South China Sea. The Chinese vessel stated that the Indian ship was entering Chinese waters. The spokesperson for the Indian Navy clarified that as no ship or aircraft was visible, the vessel would thus proceed on her onward journey as scheduled. The same year, shortly after China and Vietnam had signed an agreement seeking to contain a dispute over the South China Sea, India’s state-run explorer, Oil and Natural Gas Corporation (ONGC) said that its overseas investment arm, ONGC Videsh Limited, had signed a three-year deal with PetroVietnam for developing long-term cooperation in the oil sector. The ONGC also accepted Vietnam’s offer of exploration in certain specified blocks in the South China Sea. In response, the Chinese Foreign Ministry spokesperson Jiang Yu issued a protest.
Vietnam and Japan reached an agreement early in 1978 on the development of oil in the South China Sea. By 2012, Vietnam had concluded some 60 oil and gas exploration and production contracts with various foreign companies. In 2011, Vietnam was the sixth-largest oil producer in the Asia-Pacific region, although the country is a net oil importer.
China’s first independently designed and constructed oil drilling platform in the South China Sea was the Ocean Oil 981. It began operation in 2012, 320 kilometers (200 mi) southeast of Hong Kong, employing 160 people. In 2014, the platform was moved near to the Paracel Islands, which propelled Vietnam to state that this move violated their territorial claims. Chinese officials said it was legal, stating the area lies in waters surrounding the Paracel Islands, which China occupies and controls militarily.
Other nations besides Vietnam and China have contested for this region. In 2012 and 2013, Vietnam and Taiwan clashed over what Vietnam considered anti-Vietnamese military exercises by Taiwan.
Prior to the dispute around the sea areas, fishermen from involved countries tended to enter on each other’s controlled islands and EEZ, which led to conflicts with the authorities that controlled the areas, as they were unaware of the exact borders. Due to the depletion of the fishing resources in their maritime areas, fishermen felt compelled to fish in the neighboring country’s areas. After Joko Widodo became President of Indonesia in 2014, he imposed a policy threatening to destroy the vessels of any foreign fishermen caught illegally fishing in Indonesian waters. Since then, many neighboring countries’ fishing vessels have been blown up by Indonesian authorities. On May 21, 2015, around 41 fishing vessels from China, Vietnam, Thailand, and the Philippines were blown up. On March 19, 2016, China Coast Guard prevented its fishermen from being detained by Indonesian authorities when the Chinese fishermen were caught fishing near the waters around Natuna, leading to a protest by Indonesian authorities. Further Indonesian campaigns against foreign fishermen resulted in 23 fishing boats from Malaysia and Vietnam being blown up on April 5, 2016. The South China Sea had also become known for Indonesian pirates, with frequent attacks on Malaysian, Singaporean, and Vietnamese fishing vessels and for Filipino pirates attacking Vietnamese fishermen.
The Association of Southeast Asian Nations (ASEAN), in general, and Malaysia, in particular, have been keen to ensure that the territorial disputes within the South China Sea do not escalate into armed conflicts. Joint Development Authorities have been set up in areas of overlapping claims to jointly develop the area and divide the profits equally, without settling the issue of sovereignty.
Generally, China has preferred to resolve competing claims bilaterally, while some ASEAN countries prefer multi-lateral talks, believing that they are disadvantaged in bilateral negotiations with China. ASEAN countries maintain that only multilateral talks could effectively resolve the competing claims because so many countries claim the same territory. For example, the International Court of Justice settled the overlapping claims over Pedra Branca/Pulau Batu Putih, including neighboring Middle Rocks, by Singapore and Malaysia in 2008, awarding Pedra Branca/Pulau Batu Puteh to Singapore and Middle Rocks to Malaysia.
An estimated US $5 trillion worth of global trade passes through the South China Sea and there are many non-claimant states that want the South China Sea to remain as international waters. Several states (e.g., the United States) are conducting “freedom of navigation” operations to promote this situation.
U.S. and Chinese Positions
The United States and China are currently in disagreement over the South China Sea, exacerbated by the fact that the US is not a member of the United Nations Convention on the law of the Sea (the United States recognizes the UNCLOS as a codification of customary international law but has not ratified it). Nevertheless, the U.S. has stood by its claim that “peaceful surveillance activities and other military activities without permission in a country’s exclusive economic zone” are allowed under the convention.
In relation to the dispute, former U.S. State Secretary Hillary Clinton voiced her support for fair access by reiterating that freedom of navigation and respect of international law is a matter of national interest to the United States. Clinton testified in support of congressional approval of the Law of the Sea Convention, which would strengthen U.S. ability to support countries that oppose Chinese claims to certain islands in the area. Clinton also called for China to resolve the territorial dispute, but China responded by demanding the U.S. stay out of the issue. China’s Foreign Minister Yang Jiechi stated that the stand was “in effect an attack on China” and warned the United States against making the South China Sea an international or multilateral issue. This came at a time when both countries were engaging in naval exercises in a show of force to the opposing side, which increased tensions in the region. The U.S. Department of Defense released a statement in which it opposed the use of force to resolve the dispute and accused China of assertive behavior.
In 2014, the United States responded to China’s claims over the fishing grounds of other nations by stating that “China has not offered any explanation or basis under international law for these extensive maritime claims.” While the US pledged American support for the Philippines in its territorial conflicts with the PRC, the Chinese Foreign Ministry asked the United States to maintain a neutral position on the issue. In 2014 and 2015, the United States continued freedom of navigation operations, including in the South China Sea. In 2015, Secretary of Defense Ash Carter warned China to halt its rapid island-building. In November 2015, two US B-52 strategic bombers flew near artificial Chinese-built islands in the area of the Spratly Islands and were contacted by Chinese ground controllers but continued their mission undeterred.
In response to U.S. Secretary of State, Rex Tillerson’s comments on blocking access to Chinese man-made islands in the South China Sea, in January 2017, the Communist Party-controlled Global Times warned of a “large-scale war” between the U.S. and China, noting, “Unless Washington plans to wage a large-scale war in the South China Sea, any other approaches to prevent Chinese access to the islands will be foolish.”
The position of China on its maritime claims based on UNCLOS and history has been ambiguous, particularly with the nine-dash line map. For example, in 2011, China stated that it has undisputed sovereignty over the islands and the adjacent waters, suggesting it is claiming sovereignty over its territorial waters, a position consistent with UNCLOS. However, it also stated that China enjoys sovereign rights and jurisdiction over the relevant waters along with the seabed and subsoil contained in this region, suggesting that China is claiming sovereignty over all of the maritime space (includes all the geographic features and the waters within the nine-dash line). China has also repeatedly indicated that the Chinese claims are drawn on a historical basis.
The vast majority of international legal experts have concluded that China’s current claims, which are based on historical claims, are invalid. For example, in 2013, the Republic of the Philippines brought an arbitration case against the People’s Republic of China under Annex VII to UNCLOS, concerning certain issues in the South China Sea including the legality of China’s “nine-dash line” claim (Philippines v. China, known also as the South China Sea Arbitration). China declared that it would not participate in the arbitration but in 2015, the arbitral tribunal ruled that it had jurisdiction over the case, taking up seven of the 15 submissions made by the Philippines. In 2016, the tribunal ruled in favor of the Philippines. It clarified that it would not “…rule on any question of sovereignty over land territory and would not delimit any maritime boundary between the Parties.” The tribunal also confirmed that China has “no historical rights” based on the “nine-dash line” map. China has rejected the ruling, as has Taiwan.
Contemporary India
Over the first two decades of the 21st century, India's economy has expanded, but tensions between its Muslim and Hindu communities have increased as well.
Key Terms / Key Concepts
2002 Gujarat riots: a three-day period of inter-communal violence in the western Indian state of Gujarat in 2002
Bharatiya Janata Party: one of the two major political parties in India, along with the Indian National Congress; as of 2017, India’s largest political party in terms of representation in the national parliament and state assemblies
Rashtriya Swayamsevak Sangh: a right-wing, Hindu nationalist, paramilitary volunteer organization in India widely regarded as the parent organization of the ruling party of India, the Bharatiya Janata Party; founded in 1925, the world’s largest non-governmental organization that claims commitment to selfless service to India
India under Modi
India under Modi, a right-wing, nationalistic Prime Minister—has gone through numerous neoliberal reforms that contribute to its impressive economic growth, pleasing businesspeople and industrialists but widening inequalities between the wealthy and the poor and highlighting the ongoing challenges of poverty, corruption, and gender violence. Narendra Modi (b. 1950) is the current Prime Minister of India (as of March 2017), and he has been in office since May 2014. He was the Chief Minister of Gujarat from 2001 to 2014. He is the Member of Parliament for the Varanasi district (Utter Pradesh), a member of the Bharatiya Janata Party (BJP)—which is one of the two major political parties in India. Modi is also a member of the Rashtriya Swayamsevak Sangh (RSS)—a right-wing, Hindu nationalist, paramilitary volunteer organization in India widely regarded as the parent organization of the BJP.
Born to a Gujarati family in Vadnagar, Modi helped his father sell tea as a child and later ran his own stall. He was introduced to the RSS at age eight, beginning a long association with the organization. He left home after graduating from school, partly because of an arranged marriage, which he did not accept. Modi traveled around India for two years and visited a number of religious centers. In 1971 he became a full-time worker for the RSS. During the state of emergency imposed across the country in 1975, Modi was forced to go into hiding. The RSS assigned him to the BJP in 1985, and he held several positions within the party hierarchy until 2001, rising to the rank of general secretary.
Modi was appointed chief minister of Gujarat in 2001. His administration has been considered complicit in the 2002 Gujarat riots—a three-day period of inter-communal violence. Following this incident, outbreaks of violence in Ahmedabad occurred for three weeks. Statewide, communal riots against the minority Muslim population occurred for three months. According to official figures, the riots resulted in the deaths of 790 Muslims and 254 Hindus. 2,500 people were injured non-fatally and 223 more were reported missing. There were instances of rape, children being burned alive, and widespread looting and destruction of property. Modi has been accused of initiating and condoning the violence, as have police and government officials who allegedly directed the rioters and gave them lists of Muslim-owned properties.
In 2012, Modi was cleared of complicity in the violence by a Special Investigation Team (SIT) appointed by the Supreme Court of India. The SIT also rejected claims that the state government had not done enough to prevent the riots. The Muslim community reacted with anger and disbelief. In 2013, allegations were made that the SIT had suppressed evidence, but the Supreme Court expressed satisfaction over the SIT’s investigations. While officially classified as a communalist riot, the events have been described as a pogrom by many scholars. Other observers have stated that these events met the legal definition of genocide and called it an instance of state terrorism or ethnic cleansing.
Modi led the BJP in the 2014 general election, which gave the party a majority in the parliament, the first time a single party had achieved this since 1984. Credited with engineering a political realignment towards right-wing politics, Modi remains a figure of controversy, domestically and internationally, over his Hindu nationalist beliefs and his role during the 2002 Gujarat riots, cited as evidence of an exclusionary social agenda. Modi's Hindi nationalist stance threatens to further harm India's relations with neighboring Pakistan with its Muslim majority population, especially considering the wars between India and Pakistan since the divsion of the Indian subcontinent with the end of British occupation. The posssession of nuclear weapons by both India and Pakistan since the 1990s increases the dangers that any future war between these two nations would entail.
The economic policies of Modi’s government focused on privatization and liberalization of the economy based on a neoliberal framework. Modi updated India’s foreign direct investment policies to allow more foreign investment in several industries, including defense and the railways. Other reforms included removing many of the country’s labor laws to make it harder for workers to form unions and easier for employers to hire and fire them. These reforms met with support from institutions such as the World Bank, but opposition from scholars within the country. The labor laws also drew strong opposition from unions. The funds dedicated to poverty reduction programs and social welfare measures were greatly decreased by the Modi administration. The government also lowered corporate taxes, abolished the wealth tax, reduced customs duties on gold and jewelry, and increased sales taxes.
In 2014, Modi introduced the Make in India initiative to encourage foreign companies to manufacture products in India, with the goal of turning the country into a global manufacturing hub. Supporters of economic liberalization supported the initiative, while critics argued it would allow foreign corporations to capture a greater share of the Indian market.
To enable the construction of private industrial corridors, the Modi administration passed a land-reform bill that allowed it to acquire private agricultural land, without conducting social impact assessment and without the consent of the farmers who owned it. The bill was passed via an executive order after it faced opposition in parliament but was eventually allowed to lapse.
In 2015, Modi launched a program intended to develop 100 smart cities, which is expected to bring information technology companies an extra benefit of ₹20 billion ($300 million US).
Modi also launched the Housing for All By 2022 project, which intends to eliminate slums in India by building about 20 million affordable homes for India’s urban poor.
Modi’s government reduced the amount of money spent by the government on healthcare and launched a New Health Policy, which emphasizes the role of private healthcare. This represented a shift away from the policy of the previous Congressional government, which had supported programs to assist public health goals, including reducing child and maternal mortality rates. Modi also launched the Clean India campaign (2014) to eliminate open defecation and manual scavenging. As part of the program, the Indian government began constructing millions of toilets in rural areas and encouraging people to use them. The government also announced plans to build new sewage treatment plants.
Modi’s reformist approach has made him very popular with the public. At the end of his first year in office, he received an overall approval rating of 87% in a Pew Research poll, with 68% of people rating him “very favorably” and 93% approving of his government. At the end of his second year in office, an updated Pew Research poll showed Modi continued to receive high overall approval ratings of 81%, with 57% of those polled rating him “very favorably.”
In naming his cabinet, Modi renamed the Ministry of Environment and Forests the Ministry of Environment, Forests, and Climate Change. In the first budget of the government, the money allotted to this ministry was reduced by more than 50%. The new ministry also removed or diluted a number of laws related to environmental protection. These included no longer requiring clearance from the National Board for Wildlife for projects close to protected areas and allowing certain projects to proceed before environmental clearance was received. Modi also relaxed or abolished a number of other environmental regulations, particularly those related to industrial activity. A government committee stated that the existing system only created corruption and that the government should instead rely on the owners of industries to voluntarily inform the government about the pollution they were creating. In addition, Modi lifted a moratorium on new industrial activity in the most polluted areas. The changes were welcomed by businesspeople but criticized by environmentalists.
Attributions
Title Image
Indian Prime Minister, Shri Narendra Modi, 2015.
Prime Minister's Office, Government of India, GODL-India <https://data.gov.in/sites/default/files/Gazette_Notification_OGDL.pdf>, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/east-asia-in-the-21st-century/
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2025-03-18T00:36:53.370508
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https://oercommons.org/courseware/lesson/88118/overview
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Global Culture
Overview
English as the Lingua Franca
In the 21st century, globalization has often resulted in the imposition of the values and culture of the United States and Western Europe on the rest of the world. For example, English is the lingua franca—or common language—used in the conduct of business around the world. But this is not happily accepted everywhere.
Learning Objectives
- Examine the changes in culture and values in Western Europe and the United States in the late 20th century and their impact on the rest of the world.
- Identify the different negative reactions to globalization.
Key Terms / Key Concepts
Boomers: people born between the years 1946 to 1964
Counterculture: a youth movement in the 1960s that rejected traditional values in the United States and the West, while glamorizing sexual relations outside of marriage, as well as drug use, which was a lifestyle that ran counter to traditional middle-class values ("Rock and Roll" musicians such as the Beatles and the Rolling Stones, propagated these new counter-cultural values. This movement also denounced war and Capitalism and demanded world peace.)
xenophobia: the fear of anything perceived to be foreign or strange
Lingua Franca
Lingua Franca is a term used now for any language regularly employed to enact communication between people who do not share a native language; however, it’s main meaning is associated with a language used by a good majority of people to conduct business throughout regions that do not share a language, which usually means they do not share a culture.
Lingua Franca can be translated as “the tongue of the Franks” or “the language of the Franks.” When William the Conqueror invaded England in 1066 CE and took the English throne, he spoke French because he was from Normandy. As king, he made everyone who wished do business with him or England speak French. French became the Lingua Franca of that period and for quite a while afterward. However, the term can be retroactively applied to many such situations, such as when Aramaic was employed across Western Asia or Sanskrit across the Indian subcontinent.
English
English—or Anglish—is the term used for language that stems from the Germanic peoples who conquered the island of Britain after the Romans withdrew in 407 CE. The Angles, Frisian, Jutes, and Saxons actually spoke different languages that would be considered Germanic. However, when King Alfred of the West Saxons became the last Germanic king on the island with measurable power, he willingly accepted the term “Anglish” for his West Saxon language, which he ensured was preserved through written works. Compositions up to the time of Alfred were mainly affected through the use of Latin, but Alfred wanted his people to be literate in their own language. He started a campaign to not only have monks gloss Latin works with Anglish but also have them teach the people how to read and write in their own language. (Although these “people” being taught were mostly men with some measure of societal power.) Besides having works translated into Anglish, Alfred ensured the survival of the language when he was able to stop the invading Danes from entirely subjugating all of the Germanic people on the island. Had he not stopped them from overthrowing his kingdom it is likely that the Danes would have destroyed his Anglish manuscripts and the language would have been lost. Instead, the Anglish speakers picked up some Old Danish words and added them to their language, which was mainly West Saxon but became an initial mix of all the Germanic languages on the island, Latin, and Old Danish. That is now the language referred to as Old English (or Anglo-Saxon) and can be found in the original manuscript of Beowulf.
English today—or Modern English—is the product of a succession of cultural infusions dating back more than a millennium, such as that which occurred with the 1066 Norman conquest of England, which produced the Middle English of Shakespeare and the original King James Bible. In fact, it is believed that Modern English is only about 15% Anglo-Saxon because it is a flexible language in terms of accepting changes, such as newly created words. During William’s reign even those who did not speak the Lingua Franca of the time—French—started using French terms while speaking English and these became English words; this is a fact commented upon in Alice’s Adventures in Wonderland when a character speaking English uses the term “adjourn” and is told to “Speak English!”
As the British traveled and tried to subdue the globe, they picked up terms from other languages that they kept, such as pajama from Persian and monsoon from Cantonese. While other languages, such as French, are less accepting of expansion, English is freely expanded through the many creation techniques it allows, such as blending, affixing, coinage, clipping, acronym, loan word, compounding, and zero-derivation. Therefore, it is no surprise that English appears to have the largest lexicon of any language, which means there are more words in the English language than any other.
Emergence of English as the Global Lingua Franca
The expansion of the British empire from the seventeenth through the nineteenth centuries exposed a growing number of peoples around the world to the English language, which they adapted in various ways to their own cultures and usages. In many cases this occurred without the subjected peoples having a say, such as in the case of millions of enslaved Africans and the people of India. In the latter case English began as an imperial language imposed on Indians, and, by necessity, evolved into a lingua franca for India, a consequence of British imperialism that served as a benefit to the English.
Over the last two centuries a number of factors and developments have contributed to the emergence of English as the global lingua franca. First, the Industrial Revolution beginning in Britain in the latter half of the eighteenth-century placed English at the forefront of technological development. England, along with other settlement colonies of the British empire, operated in an environment that encouraged competition in technological and organizational development among the privileged groups of these colonies. New terms growing out of both kinds of development not only increased the number of words in the English language, but also, for the sake of convenience and simplicity, encouraged other languages to adopt these terms, even if they were slightly altered to fit within the conventions of native languages. Institutions in the English-speaking world which participated in these technological and organizational developments tied to industrialization effectively cornered the market on such terms. To catch up technologically, civilizations in other areas of the world had to at least consider the templates for institutions, practices, and conventions in the English-speaking world, which contributed to the assumption of English on their parts.
The emergence of the U.S. as a leading world power and then humanity’s first and foremost superpower strengthened the predominance of English in global culture. This predominance included U.S. technological dominance in certain areas, such as aviation and its infrastructures. Consequently, English is the official language of aviation and air traffic controllers.The emergence of English as the global lingua franca has provoked a level of resentment, but also strengthened the linguistic skills of non-English speaking nations.
Culture and Values in the Late 20th Century
Since the mid-20th century, the global economy has impacted society and values. The development of mass media (radio, television, internet) and mass marketing of goods to consumers worldwide has resulted in rapid circulation of radical new ideas about religion, gender, and sexuality. In North America and Europe, the so-called "West", the generation that experienced the chaos and disorder of the Great Depression and World War II embraced traditional values and religion. People in this generation largely married young, raised large families, and faithfully attended their churches. In the 1950s women, who had won the right to vote after World War I, still performed their traditional roles as wives and mothers. The postwar generation that came of age in the 1960s, the so-called “Boomers” however, largely rejected these traditional values. In this period, the "counter-culture" was popular among young people.This youth movement glamorized sexual relations outside of marriage, as well as drug use, which was a lifestyle that ran counter to traditional middle-class values. Radio and television broadcast music by "Rock and Roll" musicians, such as the Beatles and the Rolling Stones, propagated these new counter-cultural values. This movement also denounced war and Capitalism and demanded world peace. During the Vietnam War in 1968 in Paris, New York City, Mexico City, and Berkeley, California, young people staged mass protests.
In the decades following the 1960s, this large scale, generational rejection of traditional values has impacted society in the West. Membership in Protestant and Roman Catholic churches has declined drastically. Moreover, the percentage of married people in society and the size of families have also decreased. The percentage of children born to unmarried partners, however, has steadily climbed. Sexual activity outside of marriage is the norm rather than the exception, and often celebrated in mass media. Homosexuality has been decriminalized, as European countries and the United States have moved to legally equate marriages between homosexual couples with that of marriages between heterosexual couples. Since the 1960s women have cast aside their traditional roles, entering different and more advanced professions (i.e., professors, doctors, lawyers, engineers), as well as running for elected office in much greater numbers than earlier in the 20th century. In 1960 for example, only 19 women served in the US House of Representatives in Congress out of a total of 435 members, and only one woman served as a U.S. Senator out of a total of 100. In 2022, the number of women representatives stood at 121 and the number of women senators at 24.
In the "Global South" (Latin America, Asia, Africa), however, traditional values and religion still hold sway over many areas. In Brazil, for example, the Protestant Pentecostal Church, which emerged in the US and the United Kingdom at the beginning of the 20th century, was one of the fastest growing churches in Latin America in the late 20th century, with over 20% of Brazil's 200 million population as members. In Africa, the Roman Catholic and various Protestant churches experienced rapid growth in the late 20th century. One of the largest Roman Catholic churches in the world—the Basilica of Our Lady of Peace—was constructed in the Ivory Coast in West Africa between 1985 and 1990. In India, the current, fastest growing political party—the Bharatiya Janata Party—is committed to preserving traditional Hindu values and beliefs in Indian society. In Muslim countries, many people have rejected western, secular values and have espoused a return to a lifestyle based on the traditional teachings of Islam. Hasan al-Banna founded the Muslim Brotherhood in Egypt in 1928 for this purpose; since the 1980s this organization has greatly expanded its membership beyond Egypt to other Muslim countries. Saudi Arabia has used its vast profits from its oil revenues to fund Islamic schools (madrasas) in countries with large Muslim populations, such as Pakistan and Indonesia. These schools have propagated Wahhabism—a very strict and conservative interpretation of Islam.
Reactions to Globalization
The uneven spread of globalization’s benefits caused an anti-globalization movement to rise by the end of the 20th century. Proponents of economic growth, expansion, and development generally view globalizing processes as desirable or necessary to the well-being of human society. However, not everybody affected by globalization believes there are benefits to its spread. Many individuals within the anti-globalization movement have witnessed unrest within their home communities and the world at large and questioned the basis for continuing this trend. These critics question the sustainability of long-term and continuous economic expansion. They also oppose the social structural inequality caused by these processes and the colonial, imperialistic, or hegemonic ethnocentrism that underlie such processes. These critics argue that globalization requires nations to give up their political, economic, and cultural sovereignty and adapt to Western ways, including the speaking of English.
While globalization has eased the flow of international trade and contributed to greater efficiency within market economies, it has also been partially to blame for global economic crises and has spurred new instances of xenophobia. Xenophobia—the fear of foreigners—can and has manifested itself in many ways as a result of globalization. It involves the relations and perceptions of an in-group towards an out-group, including a fear of losing identity, suspicion of activities, aggression, and the desire to eliminate another group’s presence to secure a presumed purity.
Additionally, globalization is not simply an economic project; it also heavily influences the world environmentally, politically, and socially. While the forces of globalization have led to the spread of Western-style democracy, this has been accompanied by an increase in inter-ethnic tension, xenophobia, and violence as free market economic policies combine with democratic processes of universal suffrage as well as an escalation in militarization to impose democratic principles as a means to resolve conflicts. For example, as of Spring 2022, in Ethiopia democratic elections have allowed certain ethnic majorities to impose their will on other ethnic minorities, resulting in communal violence and civil war in East Africa.
Public Opinion
The number of newspaper articles showing negative framing rose from about 10% of the total in 1991 to 55% of the total in 1999. This increase occurred during a period when the total number of articles concerning globalization nearly doubled.In 1998, negative articles about globalization outpaced positive articles by two to one. A 2005 study by Peer Fiss and Paul Hirsch found a large increase in negative articles towards globalization in the years prior. In 2008, Greg Ip claimed this rise in opposition to globalization could be explained, at least in part, by economic self-interest.
A number of international polls have shown that residents of Africa and Asia tend to view globalization more favorably than residents of Europe or North America. In Africa, a Gallup poll found that 70% of the population views globalization favorably. The BBC (British Broadcasting Company) found that 50% of people in Europe believed that economic globalization was proceeding too rapidly, while 35% believed it was proceeding too slowly. In 2004, Philip Gordon stated that “a clear majority of Europeans believe that globalization can enrich their lives, while believing the European Union can help them take advantage of globalization’s benefits while shielding them from its negative effects”. The main opposition within the EU consisted of socialists, environmental groups, and nationalists. Residents of the EU did not appear to feel threatened by globalization in 2004, when the EU job market was more stable and workers were less likely to accept wage/benefit cuts. Social spending was much higher than in the U.S. In a 2007 Danish poll, 76% of respondents said that globalization was a good thing. Yet a 2016 referendum vote on whether to leave or stay within the UK saw a majority of British voters opting to withdraw from the EU. The world financial crisis in 2007-2008 resulted in a less stable job market, resulting in an increase in opposition to economic globalization and decrease in support for the EU.
Fiss and Hirsch also surveyed U.S. opinion in 1993 and found that more than 40% of respondents were unfamiliar with the concept of globalization. When the survey was repeated in 1998, 89% of the respondents had a polarized view of globalization as being either good or bad. Polarization increased dramatically after the establishment of the World Trade Organization in 1995; this event and subsequent protests led to a larger scale anti-globalization movement. Initially, college-educated workers were likely to support globalization and less educated workers, who were more likely to compete with immigrants and workers in developing countries, tended to be opponents. The situation changed after the financial crisis of 2007-2008. According to a 1997 poll, 58% of college graduates said globalization had been good for the U.S. By 2008 only 33% thought it was good at the time. Respondents with high school education also became more opposed.
Opposition to the Economics of Globalization
The literature analyzing the economics of free trade is rich with information on its theoretical and empirical effects. Though it creates winners and losers, the broad consensus among economists is that free trade is a large and unambiguous net gain for society. However, some opponents of globalization see the phenomenon as a promotion of corporate interests. Many claim that the increasing autonomy and strength of corporate entities shapes the political policies of countries, crowding out the moral claims of poor and working classes, as well as environmental concerns. For example, globalization allows corporations to outsource manufacturing and service jobs from high-cost locations to low-cost locations, where workers are paid less and receive less benefits. Critics maintain that this actually disadvantages the poorer countries who tend to serve as the “low-cost locations,” as low paying, low skilled jobs remain located in these poorer countries, whereas high paying, high skill jobs are localized in wealthier countries.
While it is true that free trade encourages globalization among countries, some countries try to protect their domestic suppliers. The main export of poorer countries is usually agricultural productions. Larger countries often subsidize their farmers (e.g., the EU’s Common Agricultural Policy), which lowers the market price for foreign crops. Thus, globalization can be described as an uneven process due to the global integration of some groups, alongside the marginalization or exclusion of others.
Oppisition to Transnational Corporations
Globalization has fueled the rise of transnational corporations (i.e., Disney, Microsoft, Apple, Amazon), and their power has vaulted to the point where they can now rival many nation states. Of the world’s 100 largest economies, 42 of them are corporations. Many of these transnational corporations now hold sway over many nation states as their fates are intertwined with the nations where they are located. On account of doing business globally, transnational corporations have a huge influence in many nation states. Transnational corporations could offer massive influence regarding the Third World and bring about more pressure to help increase worker salaries and working conditions in sweatshops.
Globalization is non-democratic, as it is enforced through top-down methods. In the process of implementing globalization in developing countries, the creation of winners and losers is often predetermined. Transnational corporations typically benefit from globalization while poor, indigenous locals are negatively affected. Globalization can be seen as a new form of colonization, as economic inequality and the rise in unemployment have followed its implementation. Globalization has been criticized for benefiting those who are already large and in power at the risk and growing vulnerability of the countries’ indigenous population.
Globalization requires a country to give up some sovereignty for the sake of executing Western ideals. As a result, sovereignty is safest with those whose views and ideals are being implemented (the U.S. and Western European nations). In the name of free markets and with the promise of an improved standard of living, countries give up their political and social powers to international organizations. Thus, globalization carries the potential to raise the power of international organizations at the expense of local state institutions, which must in turn diminish in influence.
The world of the early 21st century has witnessed the heavy imprint of the culture of the United States, and to a lesser extent Western Europe, across the globe. Its language (English), values (as reflected in mass media and the Internet), and corporations circulate widely across the world and crowd out local, indigenous languages, cultures, and businesses.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:Apple_Computer_Logo_rainbow.svg
The logo for Apple Computer, now Apple Inc..
Rob Janoff, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/global-concerns/
https://creativecommons.org/licenses/by-sa/4.0/
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oercommons
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2025-03-18T00:36:53.409743
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https://oercommons.org/courseware/lesson/87905/overview
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The Enlightenment
Overview
The Enlightenment
The Age of the Enlightenment in Europe flowered in the wake of the spectacular advances of the Scientific Revolution.
Learning Objectives
Identify the leading figures of the Scientific Revolution and the Enlightenment and discuss their contributions and impacts.
Key Terms / Key Concepts
scientific method: a body of techniques for investigating phenomena, acquiring new knowledge, or correcting and integrating previous knowledge based on empirical or measurable evidence subject to specific principles of reasoning
Empiricism: a theory that states that knowledge comes only or primarily from sensory experience; one of several views of epistemology—the study of human knowledge, along with rationalism and skepticism; emphasizes the role of experience and evidence (especially sensory experience), in the formation of ideas, over the notion of innate ideas or traditions
Encyclopédie: a general encyclopedia published in France between 1751 and 1772, with later supplements, revised editions, and translations (It had many writers and was edited by Denis Diderot, and, until 1759, co-edited by Jean le Rond d’Alembert. It is the most famous for representing the thought of the Enlightenment.)
Newtonianism: a doctrine that involves following the principles and using the methods of natural philosopher Isaac Newton (Newton’s broad conception of the universe as being governed by rational and understandable laws laid the foundation for many strands of Enlightenment thought.)
Reductionism: the term that refers to several related but distinct philosophical positions regarding the connections between phenomena, or theories, “reducing” one to another, usually considered “simpler” or more “basic” (The Oxford Companion to Philosophy suggests a three-part division: ontological—a belief that the whole of reality consists of a minimal number of parts; methodological—the scientific attempt to provide explanation in terms of ever smaller entities; and theory—the suggestion that a newer theory does not replace or absorb the old, but reduces it to more basic terms.)
Metaphysics: a traditional branch of philosophy concerned with explaining the fundamental nature of being and the world that encompasses it (Traditionally, it attempts to answer two basic questions in the broadest possible terms: “Ultimately, what is there?” and “What is it like?”)
cogito ergo sum: a Latin philosophical proposition by René Descartes, the first modern rationalist, usually translated into English as “I think, therefore I am.” (This proposition became a fundamental element of western philosophy, as it purported to form a secure foundation for knowledge in the face of radical doubt. Descartes asserted that the very act of doubting one’s own existence served, at minimum, as proof of the reality of one’s own mind.)
The Enlightenment
The Enlightenment, also known as the Age of Enlightenment, was a philosophical movement that dominated the world of ideas in Europe in the 18th century. It was centered around the idea that reason is the primary source of authority and legitimacy, and it advocated such ideals as liberty, progress, tolerance, fraternity, constitutional government, and separation of church and state. The Enlightenment was marked by an emphasis on the scientific method and reductionism, along with increased questioning of religious orthodoxy. The ideas of the Enlightenment undermined the authority of the monarchy and the church and paved the way for the political revolutions of the 18th and 19th centuries that swept across Europe and the Americas.
French historians traditionally place the Enlightenment between 1715, the year that Louis XIV died, and 1789, the beginning of the French Revolution. Some recent historians begin the period in the 1620s, with the start of the scientific revolution. However, different national varieties of the movement flourished between the first decades of the 18th century and the first decades of the 19th century.
The ideas of the Enlightenment played a major role in inspiring the French Revolution, which began in 1789 and emphasized the rights of the common men, as opposed to the exclusive rights of the elites. However, historians of race, gender, and class note that Enlightenment ideals were not originally envisioned as universal in the today’s sense of the word. Although they did eventually inspire the struggle for rights of people of color, women, and the working masses, most Enlightenment thinkers did not advocate equality for all; rather they insisted that rights and freedoms were not hereditary. This perspective directly attacked the traditionally exclusive position of the European aristocracy, but it was still largely limited to expanding the political and individual rights of white males of particular social standing.
Philosophy
In the mid-18th century, Europe witnessed an explosion of philosophic and scientific activity that challenged traditional doctrines and dogmas. The philosophic movement was led by Voltaire and Jean-Jacques Rousseau, who argued for a society based upon reason rather than faith and Catholic doctrine, for a new civil order based on natural law, and for science based on experiments and observation. The political philosopher Montesquieu introduced the idea of a separation of powers in a government, a concept which was enthusiastically adopted by the authors of the United States Constitution. While the philosophers of the French Enlightenment were not revolutionaries, and many were members of the nobility, their ideas played an important part in undermining the legitimacy of the “Old Regime” (the traditional monarchies and social order) and shaping the French Revolution.
There were two distinct lines of Enlightenment thought. One was the radical enlightenment, which was inspired by the philosophy of Spinoza, who advocated democracy, individual liberty, freedom of expression, and eradication of religious authority. A second, more moderate variety sought accommodation between reform and the traditional systems of power and faith; this was supported by René Descartes, John Locke, Christian Wolff, Isaac Newton and others.
Several Enlightenment thinkers left their mark on the future. David Hume and Adam Smith developed much of what is incorporated in the scientific method (the nature of knowledge, evidence, experience, and causation), as well as some modern attitudes towards the relationship between science and religion. Hume became a major figure in the skeptical philosophical and empiricist traditions of philosophy. Immanuel Kant tried to reconcile rationalism and religious belief, individual freedom and political authority, as well as map out a view of the public sphere through private and public reason. Kant’s work continued to shape German thought, and indeed all of European philosophy, well into the 20th century. Mary Wollstonecraft was one of England’s earliest feminist philosophers. She argued for a society based on reason and that women should be treated as rational beings.
Science
While the Enlightenment cannot be pigeonholed into a specific doctrine or set of dogmas, science came to play a leading role in Enlightenment discourse and thought. Many Enlightenment writers and thinkers had backgrounds in the sciences; they associated scientific advancement with the overthrow of religion and traditional authority in favor of the development of free speech and thought. Broadly speaking, Enlightenment science greatly valued empiricism and rational thought, which was entwined with the idea of advancement and progress.
The 18th century saw significant advancements in the practice of medicine, mathematics, and physics; the development of biological taxonomy; a new understanding of magnetism and electricity; and the maturation of chemistry as a discipline, which established the foundations of modern chemistry.
Science during the Enlightenment was dominated by scientific societies and academies, which had largely replaced universities as centers of scientific research and development. Societies and academies were also the backbone of the maturation of the scientific profession. Another important development was the popularization of science among an increasingly literate population. Many scientific theories reached the wide public, notably through the Encyclopedie (a general encyclopedia published in France between 1751 and 1772) and the popularization of Newtonianism.
Rationalism
Rationalism—an appeal to human reason as a way of obtaining knowledge—has a philosophical history dating from antiquity. While rationalism—the view that reason is the main source of knowledge—did not dominate the Enlightenment, it laid a critical foundation for the debates that developed over the course of the 18th century. As the Enlightenment centered on reason as the primary source of authority and legitimacy, many philosophers of the period drew from earlier philosophical contributions, most notably those of René Descartes (1596 – 1650), a French philosopher, mathematician, and scientist.
Descartes was the first of the modern rationalists. He thought that only knowledge of eternal truths (including the truths of mathematics and the foundations of the sciences) could be attained by reason alone, while the knowledge of physics required experience of the world, aided by the scientific method. He argued that reason alone determined knowledge, and that this could be done independently of the senses. For instance, his famous dictum cogito ergo sum—“I think, therefore I am”—is a conclusion reached a priori (i.e., prior to any kind of experience on the matter). The simple meaning is that doubting one’s existence, in and of itself, proves that an “I” exists to do the thinking.
Descartes laid the foundation for 17th-century continental rationalism, which was later advocated by Baruch Spinoza and Gottfried Leibniz, but was also opposed by the empiricist school of thought consisting of Hobbes, Locke, Berkeley, and Hume. Leibniz, Spinoza, and Descartes were all well-versed in mathematics, as well as philosophy, and Descartes and Leibniz contributed greatly to science as well.
Rationalism v. Empiricism
Since the Enlightenment, rationalism is usually associated with the introduction of mathematical methods into philosophy, as seen in the works of Descartes, Leibniz, and Spinoza. This is commonly called continental rationalism because it was predominant in the continental schools of Europe, whereas in Britain empiricism dominated as a theory that posits knowledge as attainable only through a sensory experience. Although rationalism and empiricism are traditionally seen as opposing each other, the distinction between rationalists and empiricists was drawn at a later period and would not have been recognized by philosophers involved in Enlightenment debates. Furthermore, the distinction between the two philosophies is not as clear-cut as is sometimes suggested. For example, Descartes and John Locke had similar views about the nature of human ideas.
Proponents of some varieties of rationalism argue that starting with foundational basic principles, like the axioms of geometry, one could deductively derive the rest of all possible knowledge. The philosophers who held this view most clearly were Baruch Spinoza and Gottfried Leibniz, whose attempts to grapple with the epistemological and metaphysical problems raised by Descartes led to a development of the fundamental approach of rationalism. Both Spinoza and Leibniz asserted that, in principle, all knowledge could be gained through the use of reason alone. However they both observed that this was not possible for human beings in practice, except in specific areas, such as mathematics. On the other hand, Leibniz admitted in his book, Monadology, that “we are all mere Empirics in three fourths of our actions.”
Immanuel Kant
Descartes, Spinoza, and Leibniz are usually credited for laying the groundwork for the 18th-century Enlightenment. During the mature Enlightenment period, Immanuel Kant attempted to explain the relationship between reason and human experience, and to move beyond the failures of traditional philosophy and metaphysics. He wanted to put an end to an era of futile and speculative theories of human experience and regarded himself as ending and showing the way beyond the impasse between rationalists and empiricists. He is widely credited with synthesizing these two early modern traditions.
Kant named his brand of epistemology or theory of knowledge “transcendental idealism,” and he first laid out these views in his famous work The Critique of Pure Reason. In it, he argued that there were fundamental problems with both rationalist and empiricist dogma. To the rationalists, he argued that pure reason is flawed when it goes beyond its limits and claims to know those things that are necessarily beyond the realm of all possible experience (e.g., the existence of God, free will, or the immortality of the human soul). To the empiricist, he argued that while it is correct that experience is fundamentally necessary for human knowledge, reason is necessary for processing that experience into coherent thought. He, therefore, concluded that both reason and experience are necessary for human knowledge. In the same way, Kant also argued that it was wrong to regard thought as mere analysis. In his views, a priori concepts do exist, but if they are to lead to the amplification of knowledge, they must be brought into relation with empirical data.
The Enlightenment and the Natural Rights of Men
The Enlightenment changed the way that people viewed the relationship between the government and citizen with the idea that people possessed "natural" rights.
Learning Objectives
Identify the leading figures of the Scientific Revolution and the Enlightenment and discuss their contributions and impacts.
Key Terms / Key Concepts
Legal rights: the rights bestowed onto a person by a given legal system (i.e., rights that can be modified, repealed, and restrained by human laws)
Natural rights: the rights that are not dependent on the laws, customs, or beliefs of any particular culture or government, and are therefore universal and inalienable (i.e., rights that cannot be repealed or restrained by human laws)
natural law: a philosophy that certain rights or values are inherent by virtue of human nature and can be universally understood through human reason. (Historically, it refers to the use of reason to analyze both social and personal human nature in order to deduce binding rules of moral behavior. The law of nature, like nature itself, is universal.)
Index Librorum Prohibitorum: a list of publications deemed heretical, anti-clerical, or lascivious, and therefore banned by the Catholic Church
Glorious Revolution: the overthrow of King James II of England (who was also James VII of Scotland and James II of Ireland) by a union of English Parliamentarians with the Dutch stadtholder William III of Orange-Nassau (William of Orange). (William’s successful invasion of England with a Dutch fleet and army led to his ascending of the English throne as William III of England jointly with his wife Mary II of England, in conjunction with the documentation of the Bill of Rights 1689.)
separation of powers: a model for the governance of a state (or who controls the state), first proposed in ancient Greece and developed and modernized by the French political philosopher Montesquieu (Under this model, the state is divided into branches, each with separate and independent powers and areas of responsibility so that the powers of one branch are not in conflict with the powers associated with the other branches. The typical division of branches is legislature, executive, and judiciary.)
The Spirit of the Laws: a treatise on political theory first published anonymously by Montesquieu in 1748, in which Montesquieu pleaded in favor of a constitutional system of government and the separation of powers, the ending of slavery, and the preservation of civil liberties and the law, as well as the idea that political institutions ought to reflect the social and geographical aspects of each community
social contract theory: in moral and political philosophy, a theory or model originating during the Age of Enlightenment that typically addresses the questions of the origin of society and the legitimacy of the authority of the state over the individual; posits that individuals have consented, either explicitly or tacitly, to surrender some of their freedoms and submit to the authority of the ruler or magistrate (or to the decision of a majority), in exchange for protection of their remaining rights
Modern Western Government
The Enlightenment has long been hailed as the foundation of modern western political and intellectual culture. In the west, it brought a focus on democratic values and institutions, which led to the creation of modern, liberal democracies.
The English philosopher Thomas Hobbes ushered in a new debate on government with his work Leviathan in 1651. Hobbes also developed some of the fundamentals of European liberal thought: the right of the individual; the natural equality of all men; the artificial character of the political order (which led to the later distinction between civil society and the state); the view that all legitimate political power must be “representative” and based on the consent of the people; and a liberal interpretation of law that leaves people free to do whatever the law does not explicitly forbid.
John Locke and Rousseau also developed social contract theories. Locke, Hobbes, and Rousseau agreed that a social contract—in which the government’s authority lies in the consent of the governed—is necessary for man to live in civil society, although they differed in the details. Locke is particularly known for his statement that individuals have a right to “Life, Liberty and Property,” as well as his belief that the natural right to property is derived from labor. His theory of natural rights has influenced many political documents, including the United States Declaration of Independence and the French National Constituent Assembly’s Declaration of the Rights of Man and of the Citizen. Though much of Enlightenment’s political thought was dominated by social contract theorists, some Scottish philosophers, most notably David Hume and Adam Ferguson, criticized this camp. Theirs was the assumption that governments derived from a ruler’s authority and force (Hume) and polities grew out of social development rather than social contract (Ferguson).
Religion
Enlightenment era religious commentary was a response to the preceding century of religious conflict in Europe. Enlightenment thinkers sought to curtail the political power of organized religion and, thereby, prevent another age of intolerant religious war. A number of novel ideas developed, including Deism (belief in God as a Creator who does not intervene in human affairs) and atheism. The latter was much discussed but there were few proponents. Many, like Voltaire, held that without belief in a God who punishes evil the moral order of society was undermined.
The radical Enlightenment promoted the concept of separating church and state, an idea often credited to Locke. According to Locke’s principle of the social contract, the government lacked authority in the realm of individual conscience, as this was something rational people could not cede to the government. For Locke, this created a natural right in the liberty of conscience, which he said must remain protected from any government authority. These views on religious tolerance and the importance of individual conscience, along with the social contract, became particularly influential in the American colonies and the drafting of the United States Constitution.
While the philosophy of the Enlightenment was dominated by men, the question of women’s rights appeared as one of the most controversial ideas. Mary Wollstonecraft, one of few female thinkers of the time, was an English writer, philosopher, and advocate of women’s rights. She is best known for A Vindication of the Rights of Woman (1792), in which she argues that women are not naturally inferior to men but appear to be so only because they lack education. She maintains that both men and women should be treated as rational beings and imagined a social order founded on reason.
Politics
Since the Enlightenment, rationalism in politics historically emphasized a “politics of reason” centered upon rational choice, utilitarianism, and secularism. The relationship between rationalism and religion was ameliorated by the adoption of pluralistic rationalist methods practicable regardless of religious or irreligious ideology, but for a time it was conflated with atheism and might still be, as John Cottingham notes: “In the past, particularly in the 17th and 18th centuries, the term ‘rationalist’ was often used to refer to free thinkers of an anti-clerical and anti-religious outlook, and for a time the word acquired a distinctly pejorative force [ . . . ]. The use of the label ‘rationalist’ to characterize a world outlook which has no place for the supernatural is becoming less popular today; terms like ‘humanist’ or ‘materialist’ seem largely to have taken its place. But the old usage still survives.”
Natural Rights
Natural rights are usually contrasted with the concept of legal rights. Legal rights are those bestowed onto a person by a given legal system (i.e., rights that can be modified, repealed, and restrained by human laws). Natural rights are those that are not dependent on the laws, customs, or beliefs of any particular culture or government; this makes them universal and inalienable (i.e., rights that cannot be repealed or restrained by human laws). Natural rights are closely related to the concept of natural law (or laws). During the Enlightenment, the concept of natural laws was used to challenge the divine right of kings and became an alternative justification for the establishment of a social contract, positive law, and government or legal rights; this led to classical republicanism, which is built around concepts such as civil society, civic virtue, and mixed government. Conversely, the concept of natural rights is used by others to challenge the legitimacy of all such establishments.
The idea of natural rights is also closely related to that of human rights; some acknowledge no difference between the two, while others choose to keep the terms separate to eliminate the association of human rights with some features traditionally associated with natural rights. This may be because natural rights, in particular, are considered beyond the authority of any government or international body to dismiss.
Natural Rights and Social Contract
Although natural rights have been discussed since antiquity, it was the philosophers of the Age of Enlightenment that developed the modern concept of natural rights, which has been critical to the development of modern republican government and civil society.
Natural rights developed as part of the social contract theory, which addressed the questions of the origin of society and the legitimacy of the authority of the state over the individual. Social contract arguments typically posit that individuals have consented, either explicitly or tacitly, to surrender some of their freedoms and submit to the authority of the ruler or magistrate (or to the decision of a majority), in exchange for protection of their remaining rights. The question of the relation between natural and legal rights, therefore, is often an aspect of social contract theory.
Thomas Hobbes’s conception of natural rights extended from his conception of man in a “state of nature.” He argued that the essential natural (human) right was “to use his own power, as he will himself, for the preservation of his own Nature; that is to say, of his own Life.” Hobbes sharply distinguished this natural “liberty” from natural “laws.” In his natural state, according to Hobbes, man’s life consisted entirely of liberties, and not at all of laws. He objected to the attempt to derive rights from “natural law,” arguing that law (“lex”) and right (“jus”) though often confused, signify opposites; Hobbes saw law as referring to obligations, while rights refers to the absence of obligations. He argues that since, by our (human) nature, we seek to maximize our wellbeing, rights are prior to law, natural or institutional, and people will not follow the laws of nature without first being subjected to a sovereign power, without which all ideas of right and wrong are meaningless.
Thomas Hobbes’s 1651 book Leviathan established social contract theory, which serves as the foundation of most later western political philosophy. Though on rational grounds a champion of absolutism for the sovereign, Hobbes also developed some of the fundamentals of European liberal thought: the right of the individual; the natural equality of all men; the artificial character of the political order (which led to the later distinction between civil society and the state); the view that all legitimate political power must be “representative” and based on the consent of the people; and a liberal interpretation of law that leaves people free to do whatever the law does not explicitly forbid.
The most famous natural right formulation comes from John Locke in his Second Treatise, when he introduces the state of nature. For Locke, the law of nature is grounded on mutual security, or the idea that one cannot infringe on another’s natural rights, as every man is equal and has the same inalienable rights. These natural rights include perfect equality and freedom and the right to preserve life and property. Such fundamental rights could not be surrendered in the social contract. Another 17th-century Englishman, John Lilburne (known as Freeborn John) argued for level human rights that he called “freeborn rights,” which he defined as being rights that every human being is born with, as opposed to rights bestowed by government or by human law. The distinction between alienable and unalienable rights was introduced by Francis Hutcheson, who argued that “Unalienable Rights are essential Limitations in all Governments.” In the German Enlightenment, Georg Hegel gave a highly developed treatment of the inalienability argument. Like Hutcheson, Hegel based the theory of inalienable rights on the de facto inalienability of those aspects of personhood that distinguish persons from things. A thing, like a piece of property, can in fact be transferred from one person to another. According to Hegel, the same would not apply to those aspects that make one a person. Thomas Paine further elaborated on natural rights in his influential work Rights of Man (1791), emphasizing that rights cannot be granted by any charter because this would legally imply they can also be revoked, and under such circumstances, they would be reduced to privileges.
Natural Rights, Slavery, and Abolitionism
Many historical apologies for slavery and illiberal government were based on explicit or implicit voluntary contracts to alienate any natural rights to freedom and self-determination. In discussion of social contract theory, “inalienable rights” were those rights that could not be surrendered by citizens to the sovereign. Such rights were thought to be natural rights, independent of positive law. Some social contract theorists reasoned, however, that in the natural state only the strongest could benefit from their rights. Thus, people form an implicit social contract, ceding their natural rights to the authority to protect the people from abuse, and living henceforth under the legal rights of that authority. Locke argued against slavery on the basis that enslaving yourself goes against the law of nature: you cannot surrender your own rights because your freedom is absolute and no one can take it from you. Additionally, Locke argued that one person cannot enslave another because it is morally reprehensible, although he introduces a caveat by saying that enslavement of a lawful captive in time of war would not go against one’s natural rights. The de facto inalienability arguments of Hutcheson and his predecessors provided the basis for the anti-slavery movement to argue not simply against involuntary slavery but against any explicit or implied contractual forms of slavery. Any contract that tried to legally alienate such a right would be inherently invalid. Similarly, the argument was used by the democratic movement to argue against any explicit or implied social contracts of subjection by which a people would supposedly alienate their right of self-government to a sovereign.
Baron de Montesquieu
Baron de Montesquieu, usually referred to as simply Montesquieu, was a French lawyer, man of letters, and one of the most influential political philosophers of the Age of Enlightenment. He was born in France in 1689. After losing both parents at an early age, he became a ward of his uncle, the Baron de Montesquieu. He became a counselor of the Bordeaux Parliament in 1714. A year later, he married Jeanne de Lartigue, a Protestant, who bore him three children. Montesquieu’s early life occurred at a time of significant governmental change. England had declared itself a constitutional monarchy in the wake of its Glorious Revolution (1688 – 89) and had joined with Scotland in the Union of 1707 to form the Kingdom of Great Britain. In France, the long-reigning Louis XIV died in 1715, and was succeeded by five year-old Louis XV. These national transformations had a great impact on Montesquieu, who would refer to them repeatedly in his work. Montesquieu withdrew from the practice of law to devote himself to study and writing.
Besides writing works on society and politics, Montesquieu traveled for a number of years through Europe, including Austria and Hungary, spending a year in Italy and 18 months in England, where he became a freemason before resettling in France. He was troubled by poor eyesight and was completely blind by the time he died from a high fever in 1755.
The Spirit of Laws
The Spirit of the Laws is a treatise on political theory first published anonymously by Montesquieu in 1748. The book was originally published anonymously partly because Montesquieu’s works were subject to censorship, but its influence outside France grew with rapid translation into other languages. In 1750, Thomas Nugent published the first English translation. In 1751, the Catholic Church added it to its Index Librorum Prohibitorum (list of prohibited books). Yet Montesquieu’s political treatise had an enormous influence on the work of many others, most notably the founding fathers of the United States Constitution, and Alexis de Tocqueville, who applied Montesquieu’s methods to a study of American society in Democracy in America.
Montesquieu spent around 21 years researching and writing The Spirit of the Laws, covering many things, including the law, social life, and the study of anthropology, and providing more than 3,000 commendations. In this political treatise, Montesquieu pleaded in favor of a constitutional system of government and the separation of powers, the ending of slavery, the preservation of civil liberties and the law, and the idea that political institutions should reflect the social and geographical aspects of each community.
Montesquieu defines three main political systems: republican, monarchical, and despotic. As he defines them, republican political systems vary depending on how broadly they extend citizenship rights: those that extend citizenship relatively broadly are termed democratic republics, while those that restrict citizenship more narrowly are termed aristocratic republics. The distinction between monarchy and despotism hinges on whether or not a fixed set of laws exists that can restrain the authority of the ruler. If so, the regime counts as a monarchy. If not, it counts as despotism.
A second major theme in The Spirit of Laws concerns political liberty and the best means of preserving it. Montesquieu’s political liberty is what we might call today personal security, especially insofar as this is provided for through a system of dependable and moderate laws. He distinguishes this view of liberty from two other, misleading views of political liberty. The first is the view that liberty consists in collective self-government (i.e., that liberty and democracy are the same). The second is the view that liberty consists of being able to do whatever one wants without constraint. Political liberty is not possible in a despotic political system, but it is possible, though not guaranteed, in republics and monarchies. Establishing political liberty requires two things: the separation of the powers of government, and the appropriate framing of civil and criminal laws so as to ensure personal security.
Separation of Powers and Appropriate Laws
Building on and revising a discussion in John Locke’s Second Treatise of Government, Montesquieu argues that the executive, legislative, and judicial functions of government (the so-called tripartite system) should be assigned to different bodies, so that attempts by one branch of government to infringe on political liberty might be restrained by the other branches (checks and balances). Montesquieu based this model on the Constitution of the Roman Republic and the British constitutional system. He took the view that the Roman Republic had powers separated so that no one could usurp complete power. In the British constitutional system, Montesquieu discerned a separation of powers among the monarch, Parliament, and the courts of law. He also notes that liberty cannot be secure where there is no separation of powers, even in a republic. Montesquieu also intends what modern legal scholars might call the rights to “robust procedural due process,” including the right to a fair trial, the presumption of innocence, and the proportionality in the severity of punishment. In accordance with this requirement to frame civil and criminal laws appropriately to ensure political liberty, Montesquieu also argues against slavery and for the freedom of thought, speech, and assembly.
Voltaire, Rousseau, and Wollstonecraft
These three Enlightenment thinkers shaped the direction and scope of the Emlightenment as a philosophical movement.
Learning Objectives
Identify the leading figures of the Scientific Revolution and the Enlightenment and discuss their contributions and impacts.
Key Terms / Key Concepts
Deism: a theological/philosophical position that combines the rejection of revelation and authority as a source of religious knowledge, with the conclusion that reason and observation of the natural world are sufficient to determine the existence of a single creator of the universeThe Philosophical Dictionary: an encyclopedic dictionary published by Voltaire in 1764 (The alphabetically arranged articles often criticize the Roman Catholic Church and other institutions. It represents the culmination of Voltaire’s views on Christianity, God, morality, and other subjects.)
The Treatise on Tolerance: a work by French philosopher Voltaire, published in 1763, in which he calls for tolerance between religions and targets religious fanaticism, especially that of the Jesuits (under whom Voltaire received his early education), indicting all superstitions surrounding religions
Ancien Régime: the monarchic-aristocratic, social, and political system established in the Kingdom of France from approximately the 15th century until the latter part of the 18th century (“early modern France”), under the late Valois and Bourbon Dynasties; used to refer to the similar feudal social and political order of the time elsewhere in Europe
“noble savage”: a literary stock character who embodies the concept of an idealized indigene, outsider, or “other” who has not been “corrupted” by civilization and, therefore, symbolizes humanity’s innate goodness In English, the phrase first appeared in the 17th century in John Dryden’s heroic play The Conquest of Granada (1672).
The Discourse on the Origins of Inequality Among Men: a work by philosopher Jean-Jacques Rousseau that first exposes his conception of a human state of nature and of human perfectibility, an early idea of progress (In it, Rousseau explains how, according to him, people may have established civil society, which leads him to present private property as the original source and basis of all inequality.)
state of nature: a concept used in moral and political philosophy, religion, social contract theories, and international law to denote the hypothetical conditions of what the lives of people might have been like before societies came into existence (In some versions of social contract theory, there are no rights in the state of nature, only freedoms, and it is the contract that creates rights and obligations. In other versions the opposite occurs: the contract imposes restrictions upon individuals that curtail their natural rights.)
Discourse on the Moral Effects of the Arts and Sciences: a 1750 treatise by Jean-Jacques Rousseau, which argued that the arts and sciences corrupt human morality (It was Rousseau’s first expression of his influential views about nature vs. society, to which he would dedicate most of his intellectual life.)
The Social Contract: a 1762 treatise by Jean-Jacques Rousseau that helped inspire political reforms and revolutions in Europe, in which he theorized the best way to establish a political community in the face of the problems of commercial society; argues against the idea that monarchs were divinely empowered to legislate and asserts that only the people have that all-powerful right
general will: a philosophical and political concept, developed and popularized in the 18th century, that denoted the will of the people as a whole; served to designate the common interest as distinct from embodied in legal tradition, transcending people’s private and particular interests at any particular time
Rationalism: in epistemology, the view that regards reason as the chief source and test of knowledge, or any view appealing to reason as a source of knowledge or justification; a methodology, or a theory, in which the criterion oftruth is not a result of experience but of intellect and deduction
Idea of Progress: in intellectual history, the idea that advances in technology, science, and social organization can produce an improvement in the human condition, that people can become better, in terms of quality of life (social progress), through economic development (modernization), and the application of science and technology (scientific progress)
A Vindication of the Rights of Men: a 1790 political pamphlet written by the 18th-century British feminist Mary Wollstonecraft that attacks aristocracy and advocates republicanism (It was the first response in a pamphlet war sparked by the publication of Edmund Burke’s Reflections on the Revolution in France (1790), a defense of constitutional monarchy, aristocracy, and the Church of England.)
Reflections on the Revolution in France: a political pamphlet written by the Irish statesman Edmund Burke and published in 1790; one of the best-known intellectual attacks against the French Revolution; a defining tract of modern conservatism, as well as an important contribution to international theory
A Vindication of the Rights of Woman: a 1792 work by the 18th-century British feminist Mary Wollstonecraft that is one of the earliest works of feminist philosophy; argues that women should have an education commensurate with their position in society, claiming that women are essential to the nation because they educate its children and because they could be “companions” to their husbands, rather than just wives
Voltaire
François-Marie Arouet, known by his literary pseudonym Voltaire, was a French Enlightenment writer, historian, and philosopher famous for his wit, his attacks on the established Catholic Church, and his advocacy of freedom of religion, freedom of expression, and separation of church and state.
He was born in Paris in 1694 and educated by the Jesuits at the Collège Louis-le-Grand (1704 – 1711). By the time he left school, Voltaire had decided he wanted to be a writer, against the wishes of his father who wanted him to become a lawyer. Under his father’s pressure, he studied law, but he continued to write, producing essays and historical studies. In 1713, his father obtained a job for him as a secretary to a French ambassador in the Netherlands, but Voltaire was forced to return to France after a scandalous affair. From early on, he had trouble with the authorities over his critiques of the government. These activities were to result in two imprisonments and a temporary exile to England. One satirical verse, in which Voltaire accused Philippe II, Duke of Orléans of incest with his own daughter, led to an eleven-month imprisonment in the Bastille; it was after this that he adopted the name Voltaire. He mainly argued for religious tolerance and freedom of thought. He campaigned to eradicate priestly and aristocratic-monarchical authority and supported a constitutional monarchy that protects people’s rights.
Voltaire was a versatile writer, producing works in almost every literary form, including plays, poems, novels, essays, and historical and scientific works. He wrote more than 20,000 letters and more than 2,000 books and pamphlets. He was an outspoken advocate of several liberties, despite the risk incurred under the strict censorship laws of the time. As a satirical polemicist, he frequently made use of his works to criticize intolerance, religious dogma, and the French institutions of his day.
Political and Philosophical Views
Voltaire’s political and philosophical views can be found in nearly all of his prose writings, even in what would be typically categorized as fiction. Most of his prose, including such genres as romance, drama, or satire, was written as polemics with the goal of conveying radical political and philosophical messages. His works, especially private letters, frequently contain the word “l’infâme” and the expression “écrasez l’infâme,” or “crush the infamous.” The phrase refers to abuses of the royalty and the clergy that Voltaire had experienced or observed, as well as the superstition and intolerance that the clergy bred within the people.
First Publications
Voltaire’s first major philosophical work in his battle against “l’infâme” was The Treatise on Tolerance (1763), in which he calls for tolerance between religions and targets religious fanaticism, especially that of the Jesuits, indicting all superstitions surrounding religions. The book was quickly banned. Only a year later, he published The Philosophical Dictionary— an encyclopedic dictionary with alphabetically arranged articles that criticize the Roman Catholic Church and other institutions. In it, Voltaire is concerned with the injustices of the Catholic Church, which he sees as intolerant and fanatical. At the same time, he espouses deism, tolerance, and freedom of the press. The Dictionary was Voltaire’s lifelong project, modified and expanded with each edition. It represents the culmination of his views on Christianity, God, morality, and other subjects.
Voltaire as Historian
Voltaire had an enormous influence on the development of historiography through his demonstration of fresh new ways to look at the past. His best-known historiography works are The Age of Louis XIV (1751) and The Essay on the Customs and the Spirit of the Nations (1756). Voltaire broke from the tradition of narrating diplomatic and military events, and emphasized customs, social history, and achievements in the arts and sciences. The Essay traced the progress of world civilization in a universal context, rejecting both nationalism and the traditional Christian frame of reference. Voltaire was also the first scholar to make a serious attempt to write the history of the world, eliminating theological frameworks and emphasizing economics, culture, and political history. He treated Europe as a whole, rather than a collection of nations. He was the first to emphasize the debt of medieval culture to Middle Eastern civilization, and consistently exposed the intolerance and frauds of the church over the ages.
Views on the Society
In his criticism of the French society and existing social structures, Voltaire hardly spared anyone. He perceived the French bourgeoisie (middle class) to be too small and ineffective, the aristocracy to be parasitic and corrupt, the commoners as ignorant and superstitious, and the church as a static and oppressive force useful only on occasion as a counterbalance to the rapacity of kings, although all too often, even more rapacious itself. Voltaire distrusted democracy, which he saw as propagating the idiocy of the masses. He long thought only an enlightened monarch could bring about change, given the social structures of the time and the extremely high rates of illiteracy; additionally, he felt that it was in the king’s rational interest to improve the education and welfare of his subjects. But his disappointments and disillusions with Frederick the Great changed his philosophy and soon gave birth to one of his most enduring works, his novella Candide, or Optimism (1759), which ends with a new conclusion: “It is up to us to cultivate our garden.”
Voltaire is remembered and honored in France as a courageous polemicist who tirelessly fought for civil rights (such as the right to a fair trial and freedom of religion) and who denounced the hypocrisies and injustices of the Ancien Regime. The Ancien Régime involved an unfair balance of power and taxes between the three Estates: clergy and nobles on one side, the commoners and middle class, who were burdened with most of the taxes, on the other.
Jean-Jacques Rousseau
Jean-Jacques Rousseau was a French speaking, Swiss philosopher, writer, and composer. His political philosophy influenced the Enlightenment in France and across Europe. Rousseau’s philosophy was also important to the French Revolution and the overall development of modern political and educational thought.
Rousseau was born in 1712 in Geneva in Switzerland, which was at the time a city-state and a Protestant associate of the Swiss Confederacy. His mother died several days after he was born. After his father remarried a few years later, Jean-Jacques was left with his maternal uncle, who sent both him and his own son to board for two years with a Calvinist minister in a hamlet outside Geneva. Here, the boys picked up the elements of mathematics and drawing. After his father and uncle had more or less disowned him, the teenage Rousseau wandered through Italy and France, supporting himself for a time as a servant, secretary, and tutor. He had been an indifferent student, but during his 20she applied himself to the study of philosophy, mathematics, and music, even though this time for him was marked by long bouts of hypochondria. Rousseau spent his adulthood holding numerous administrative positions and moving across Europe, often to escape a controversy caused by his radical writings. His relationships with various women had important impacts on his life choices (e.g., temporary conversion to Catholicism) and inspired many of his writings. His decision to place his five children (born from a long-term domestic partnership with Thérèse Levasseur) in a shelter for abandoned children was widely criticized by his contemporaries and generations to come, particularly in light of his progressive works on education. Rousseau died in 1778.
The Theory of Natural Human
In common with other philosophers of the day, Rousseau looked to a hypothetical state of nature as a normative guide. Contrary to Thomas Hobbes’s views, Rousseau holds that “uncorrupted morals” prevail in the “state of nature.” In The Discourse on the Origins of Inequality Among Men (1754), Rousseau maintained that man in a state of nature had been a solitary, ape-like creature, who was not méchant (bad), as Hobbes had maintained, but (like some other animals) had an “innate repugnance to see others of his kind suffer.” He asserted that the stage of human development associated with what he called “savages” was the best or optimal in human development; this fell between the less-than-optimal extreme of brute animals on the one hand and the extreme of decadent civilization on the other. Espousing the belief that all degenerates in men’s hands, Rousseau taught that men would be free, wise, and good in the state of nature. He felt that instinct and emotion, when not distorted by the unnatural limitations of civilization, are nature’s voices and instructions to the good life. Rousseau’s “noble savage” stands in direct opposition to the man of culture; however, while Rousseau discusses the concept, he never uses the phrase that appears in other authors’ writings of the period. In his Discourse on the Moral Effects of the Arts and Sciences (1750), Rousseau argued, that the arts and sciences corrupt human morality, which was in opposition to the dominant stand of Enlightenment thinkers.
The Social Contract
The Social Contract outlines the basis for a legitimate political order within a framework of classical republicanism. Published in 1762, it became one of the most influential works of political philosophy in the western tradition. Rousseau claimed that the state of nature was a primitive condition without law or morality, which human beings left for the benefits and necessity of cooperation. As society developed, division of labor and private property required the human race to adopt institutions of law. According to Rousseau, by joining together into civil society through the social contract, and abandoning their claims of natural right, individuals can both preserve themselves and remain free. This is because submission to the authority of the general will of the people guarantees individuals against being subordinated to the wills of others, as well as ensures that they obey themselves because they are, collectively, the authors of the law. The idea of general will denoted the will of the people as a whole. It served to designate the common interest embodied in legal tradition, as distinct from and transcending people’s private and particular interests at any particular time.
Although Rousseau argues that sovereignty (or the power to make the laws) should be in the hands of the people, he also makes a sharp distinction between the sovereign and the government. He posits that the political aspects of a society should be divided into two parts. First, there must be a sovereign consisting of the whole population, women included, that represents the general will and is the legislative power within the state. The second division is that of the government, being distinct from the sovereign. This division is necessary because the sovereign cannot deal with particular matters like applications of the law; doing so would undermine its generality and damage its legitimacy. Thus, government must remain a separate institution from the sovereign body. When the government exceeds the boundaries set in place by the people, it is the mission of the people to abolish such government and begin anew.
Education Theory
Rousseau’s philosophy of education, elaborated in his 1762 treatise Emile, or On Education, concerns itself with developing the students’ character and moral sense, so that they may learn to practice self-mastery and remain virtuous even in the unnatural and imperfect society in which they will have to live. The hypothetical boy, Émile, is to be raised in the countryside, which Rousseau believes is a more natural and healthy environment than the city, as well as under the guardianship of a tutor, who will guide him through various learning experiences. Rousseau felt that children learn right and wrong through experiencing the consequences of their acts, rather than through physical punishment. The tutor will make sure that no harm results to Émile through his learning experiences. With Emile Rousseau became an early advocate of developmentally appropriate education.
Although many of Rousseau’s ideas foreshadowed modern ones in many ways, in one way they do not: Rousseau was a believer in the moral superiority of the patriarchal family on the antique Roman model. Sophie, the young woman Émile is destined to marry, as a representative of ideal womanhood, is educated to be governed by her husband; on the other hand, Émile is educated to be self-governing, as representative of the ideal man. This is an essential feature of Rousseau’s educational and political philosophy, and particularly important to the distinction between private, personal relations and the public world of political relations. The private sphere as Rousseau imagines it depends on the subordination of women, in order for both it and the public political sphere to function as Rousseau imagines it could and should. Rousseau anticipated the modern idea of the bourgeois nuclear family, with the mother at home taking responsibility for the household, childcare, and early education.
Mary Wollstonecraft
Mary Wollstonecraft (1759 – 1797) was an English writer, philosopher, and advocate of women’s rights. During her brief career, she wrote novels, treatises, a travel narrative, a history of the French Revolution, a conduct book, and a children’s book. Until the late 20th century, Wollstonecraft’s life, which encompassed an illegitimate child, passionate love affairs, and suicide attempts, received more attention than her writing. After two ill-fated affairs, with Henry Fuseli and Gilbert Imlay (by whom she had a daughter, Fanny Imlay), Wollstonecraft married the philosopher William Godwin—one of the forefathers of the anarchist movement. She died at the age of 38, eleven days after giving birth to her second daughter, leaving behind several unfinished manuscripts. The second daughter, Mary Wollstonecraft Godwin, became an accomplished writer herself as Mary Shelley—the author of Frankenstein.
After Wollstonecraft’s death, her widower published a memoir (1798) of her life, revealing her unorthodox lifestyle, which inadvertently destroyed her reputation for almost a century. However, with the emergence of the feminist movement at the turn of the twentieth century, Wollstonecraft’s advocacy of women’s equality and critiques of conventional femininity became increasingly important. Today, Wollstonecraft is regarded as one of the founding feminist philosophers, and feminists often cite both her life and work as important influences. Despite the controversial topic, the Rights of Woman received favorable reviews and was a great success. It was almost immediately released in a second edition in 1792. Several American editions appeared, and it was translated into French.
Education Theory
The majority of Wollstonecraft’s early works focus on education. She assembled an anthology of literary extracts “for the improvement of young women” entitled The Female Reader. In both her conduct book Thoughts on the Education of Daughters (1787) and her children’s book Original Stories from Real Life (1788), Wollstonecraft advocates educating children into the emerging middle-class ethos of self-discipline, honesty, frugality, and social contentment. Both books also emphasize the importance of teaching children to reason, revealing Wollstonecraft’s intellectual debt to the important 17th-century educational philosopher John Locke. Both texts also advocate the education of women, a controversial topic at the time, and one which she would return to throughout her career. Wollstonecraft argues that well-educated women will be good wives and mothers, and ultimately contribute positively to the nation.
A Vindication of the Rights of Man
Wollstonecraft’s A Vindication of the Rights of Man(1790) attacks aristocracy and advocates republicanism. It was published in response to Edmund Burke’s Reflections on the Revolution in France (1790), which was a defense of constitutional monarchy, aristocracy, and the Church of England, as well as an attack on Wollstonecraft’s friend, Richard Price. In this treatise, Wollstonecraft attacked not only monarchy and hereditary privilege but also the gendered language that Burke used to defend and elevate it. Burke associated the beautiful with weakness and femininity, and the sublime with strength and masculinity. Wollstonecraft turns these definitions against him, arguing that his theatrical approach paints Burke’s readers—the citizens—into weak women who are swayed by show. In her first unabashedly feminist critique, Wollstonecraft indicts Burke’s defense of an unequal society founded on the passivity of women.
In her arguments for republican virtue, Wollstonecraft invokes an emerging middle-class ethos in opposition to what she views as the vice-ridden aristocratic code of manners. Influenced by Enlightenment thinkers, she derides Burke for relying on tradition and custom. She argues for rationality, pointing out that Burke’s system would lead to the continuation of slavery, simply because it had been an ancestral tradition.
A Vindication of the Rights of Woman
A Vindication of the Rights of Woman (1792) is one of the earliest works of feminist philosophy. In it, Wollstonecraft argues that women ought to have an education commensurate with their position in society, and then proceeds to redefine that position, claiming that women are essential to the nation because they educate its children and because they could be “companions” to their husbands, rather than just wives. Instead of viewing women as ornaments to society or property to be traded in marriage, Wollstonecraft maintains that they are human beings deserving of the same fundamental rights as men. Large sections of the Rights of Woman respond vitriolically to the writers, who wanted to deny women an education.
While Wollstonecraft does call for equality between the sexes in particular areas of life, such as morality, she does not explicitly state that men and women are equal. She claims that men and women are equal in the eyes of God. However, such statements of equality stand in contrast to her statements respecting the superiority of masculine strength and valor. Her focus on the rights of women does distinguish Wollstonecraft from most of her male Enlightenment counterparts. However, some of them, most notably Marquis de Condorcet, expressed a much more explicit position on the equality of men and women, advocating women’s suffrage.
In many ways the Rights of Woman is inflected by a bourgeois view of the world. Wollstonecraft addresses her text to the middle class, which she describes as the “most natural state.” It encourages modesty and industry in its readers and attacks the uselessness of the aristocracy. But Wollstonecraft is not necessarily a friend to the poor. For example, in her national plan for education, she suggests that, after the age of nine, the poor, except for those who are brilliant, should be separated from the rich and taught in another school.
Primary Source: Immanuel Kant: “What is Enlightenment” (1784)
In this essay, the German philosopher, Immanuel Kant defined the meaning of “Enlightenment”.
Immanuel Kant: “What is Enlightenment” (1784)
Enlightenment is man's release from his self-incurred tutelage. Tutelage is man's inability to make use of his understanding without direction from another. Self-incurred is this tutelage when its cause lies not in lack of reason but in lack of resolution and courage to use it without direction from another. Sapere aude! "Have courage to use your own reason!"- that is the motto of enlightenment.
Laziness and cowardice are the reasons why so great a portion of mankind, after nature has long since discharged them from external direction (naturaliter maiorennes), nevertheless remains under lifelong tutelage, and why it is so easy for others to set themselves up as their guardians. It is so easy not to be of age. If I have a book which understands for me, a pastor who has a conscience for me, a physician who decides my diet, and so forth, I need not trouble myself. I need not think, if I can only pay - others will easily undertake the irksome work for me.
That the step to competence is held to be very dangerous by the far greater portion of mankind (and by the entire fair sex) - quite apart from its being arduous is seen to by those guardians who have so kindly assumed superintendence over them. After the guardians have first made their domestic cattle dumb and have made sure that these placid creatures will not dare take a single step without the harness of the cart to which they are tethered, the guardians then show them the danger which threatens if they try to go alone. Actually, however, this danger is not so great, for by falling a few times they would finally learn to walk alone. But an example of this failure makes them timid and ordinarily frightens them away from all further trials.
For any single individua1 to work himself out of the life under tutelage which has become almost his nature is very difficult. He has come to be fond of his state, and he is for the present really incapable of making use of his reason, for no one has ever let him try it out. Statutes and formulas, those mechanical tools of the rational employment or rather misemployment of his natural gifts, are the fetters of an everlasting tutelage. Whoever throws them off makes only an uncertain leap over the narrowest ditch because he is not accustomed to that kind of free motion. Therefore, there are few who have succeeded by their own exercise of mind both in freeing themselves from incompetence and in achieving a steady pace.
But that the public should enlighten itself is more possible; indeed, if only freedom is granted enlightenment is almost sure to follow. For there will always be some independent thinkers, even among the established guardians of the great masses, who, after throwing off the yoke of tutelage from their own shoulders, will disseminate the spirit of the rational appreciation of both their own worth and every man's vocation for thinking for himself. But be it noted that the public, which has first been brought under this yoke by their guardians, forces the guardians themselves to remain bound when it is incited to do so by some of the guardians who are themselves capable of some enlightenment - so harmful is it to implant prejudices, for they later take vengeance on their cultivators or on their descendants. Thus the public can only slowly attain enlightenment. Perhaps a fall of personal despotism or of avaricious or tyrannical oppression may be accomplished by revolution, but never a true reform in ways of thinking. Farther, new prejudices will serve as well as old ones to harness the great unthinking masses.
For this enlightenment, however, nothing is required but freedom, and indeed the most harmless among all the things to which this term can properly be applied. It is the freedom to make public use of one's reason at every point. But I hear on all sides, "Do not argue!" The Officer says: "Do not argue but drill!" The tax collector: "Do not argue but pay!" The cleric: "Do not argue but believe!" Only one prince in the world says, "Argue as much as you will, and about what you will, but obey!" Everywhere there is restriction on freedom.
Which restriction is an obstacle to enlightenment, and which is not an obstacle but a promoter of it? I answer: The public use of one's reason must always be free, and it alone can bring about enlightenment among men. The private use of reason, on the other hand, may often be very narrowly restricted without particularly hindering the progress of enlightenment. By the public use of one's reason I understand the use which a person makes of it as a scholar before the reading public. Private use I call that which one may make of it in a particular civil post or office which is entrusted to him. Many affairs which are conducted in the interest of the community require a certain mechanism through which some members of the community must passively conduct themselves with an artificial unanimity, so that the government may direct them to public ends, or at least prevent them from destroying those ends. Here argument is certainly not allowed - one must obey. But so far as a part of the mechanism regards himself at the same time as a member of the whole community or of a society of world citizens, and thus in the role of a scholar who addresses the public (in the proper sense of the word) through his writings, he certainly can argue without hurting the affairs for which he is in part responsible as a passive member. Thus it would be ruinous for an officer in service to debate about the suitability or utility of a command given to him by his superior; he must obey. But the right to make remarks on errors in the military service and to lay them before the public for judgment cannot equitably be refused him as a scholar. The citizen cannot refuse to pay the taxes imposed on him; indeed, an impudent complaint at those levied on him can be punished as a scandal (as it could occasion general refractoriness). But the same person nevertheless does not act contrary to his duty as a citizen, when, as a scholar, he publicly expresses his thoughts on the inappropriateness or even the injustices of these levies. Similarly, a clergyman is obligated to make his sermon to his pupils in catechism and his congregation conform to the symbol of the church which he serves, for he has been accepted on this condition. But as a scholar he has complete freedom, even the calling, to communicate to the public all his carefully tested and well-meaning thoughts on that which is erroneous in the symbol and to make suggestions for the better organization of the religious body and church. In doing this there is nothing that could be laid as a burden on his conscience. For what he teaches because of his office as a representative of the church, this he considers something about which he has not freedom to teach according to his own lights; it is something which he is appointed to propound at the dictation of and in the name of another. He will say, "Our church teaches this or that; those are the proofs which it adduces." He thus extracts all practical uses for his congregation from statutes to which he himself would not subscribe with full conviction but to the enunciation of which he can very well pledge himself because it is not impossible that truth lies hidden in them, and, in any case, there is at least nothing in them contradictory to inner religion. For if he believed he had found such in them, he could not conscientiously discharge the duties of his office; he would have to give it up. The use, therefore, which an appointed teacher makes of his reason before his congregation is merely private, because this congregation is only a domestic one (even if it be a large gathering); with respect to it, as a priest, he is not free, nor can he be free, because he carries out the orders of another. But as a scholar, whose writings speak to his public, the world, the clergyman, in the public use of his reason enjoys an unlimited freedom to use his own reason to speak in his own person. That the guardian of the people (in spiritual things) should themselves be incompetent is an absurdity which amounts to the eternalization of absurdities.
But would not a society of clergymen, perhaps a church conference or a venerable classis (as they call themselves among the Dutch), be justified in obligating itself by oath to a certain unchangeable symbol to enjoy an unceasing guardianship over each of its numbers and thereby over the people, as a whole, and even to make it eternal? I answer that this is altogether impossible. Such contract, made to shut off all further enlightenment from the human race, is absolutely null and void even if confirmed by the supreme power, by parliaments, and by the most ceremonious of peace treaties. An age cannot bind itself and ordain to put the succeeding one into such a condition that it cannot extend its (at best very occasional) knowledge, purify itself of errors, and progress in general enlightenment. That would be a crime against human nature, the proper destination of which lies precisely in this progress and the descendants would be fully justified in rejecting those decrees as having been made in an unwarranted and malicious manner.
The touchstone of everything that can be concluded as a law for a people lies in the question whether the people could have imposed such a law on itself. Now such religious compact might be possible for a short and definitely limited time, as it were, in expectation of a better. One might let every citizen, and especially the clergyman, in the role of scholar, make his comments freely and publicly, i.e. through writing, on the erroneous aspects of the present institution. The newly introduced order might last until insight into the nature of these things had become so general and widely approved that through uniting their voices (even if not unanimously) they could bring a proposal to the throne to take those congregations under protection which had united into a changed religious organization according to their better ideas, without, however hindering others who wish to remain in the order. But to unite in a permanent religious institution which is not to be subject to doubt before the public even in the lifetime of one man, and thereby to make a period of time fruitless in the progress of mankind toward improvement, thus working to the disadvantage of posterity - that is absolutely forbidden. For himself (and only for a short time) a man may postpone enlightenment in what he ought to know, but to renounce it for posterity is to injure and trample on the rights of mankind. And what a people may not decree for itself can even less be decreed for them by a monarch, for his lawgiving authority rests on his uniting the general public will in his own. If he only sees to it that all true or alleged improvement stands together with civil order, he can leave it to his subjects to do what they find necessary for their spiritual welfare. This is not his concern, though it is incumbent on him to prevent one of them from violently hindering another in determining and promoting this welfare to the best of his ability. To meddle in these matters lowers his own majesty, since by the writings in which his own subjects seek to present their views, he may evaluate his own governance. He can do this when, with deepest understanding, he lays upon himself the reproach, Caesar non est supra grammaticos. Far more does he injure his own majesty when he degrades his supreme power by supporting the ecclesiastical despotism of some tyrants in his state over his other subjects.
If we are asked, "Do we now live in an enlightened age?" the answer is, "No," but we do live in an age of enlightenment. As things now stand, much is lacking which prevents men from being, or easily becoming, capable of correctly using their own reason in religious matters with assurance and free from outside direction. But on the other hand, we have clear indications that the field has now been opened wherein men may freely dea1 with these things and that the obstacles to general enlightenment or the release from self-imposed tutelage are gradually being reduced. In this respect, this is the age of enlightenment, or the century of Frederick.
A prince who does not find it unworthy of himself to say that he holds it to be his duty to prescribe nothing to men in religious matters but to give them complete freedom while renouncing the haughty name of tolerance, is himself enlightened and deserves to be esteemed by the grateful world and posterity as the first, at least from the side of government , who divested the human race of its tutelage and left each man free to make use of his reason in matters of conscience. Under him venerable ecclesiastics are allowed, in the role of scholar, and without infringing on their official duties, freely to submit for public testing their judgments and views which here and there diverge from the established symbol. And an even greater freedom is enjoyed by those who are restricted by no official duties. This spirit of freedom spreads beyond this land, even to those in which it must struggle with external obstacles erected by a government which misunderstands its own interest. For an example gives evidence to such a government that in freedom there is not the least cause for concern about public peace and the stability of the community. Men work themselves gradually out of barbarity if only intentional artifices are not made to hold them in it.
I have placed the main point of enlightenment - the escape of men from their self-incurred tutelage - chiefly in matters of religion because our rulers have no interest in playing guardian with respect to the arts and sciences and also because religious incompetence is not only the most harmful but also the most degrading of all. But the manner of thinking of the head of a state who favors religious enlightenment goes further, and he sees that there is no danger to his lawgiving in allowing his subjects to make public use of their reason and to publish their thoughts on a better formulation of his legislation and even their open-minded criticisms of the laws already made. Of this we have a shining example wherein no monarch is superior to him we honor.
But only one who is himself enlightened, is not afraid of shadows, and has a numerous and well-disciplined army to assure public peace, can say: "Argue as much as you will, and about what you will, only obey!" A republic could not dare say such a thing. Here is shown a strange and unexpected trend in human affairs in which almost everything, looked at in the large, is paradoxical. A greater degree of civil freedom appears advantageous to the freedom of mind of the people, and yet it places inescapable limitations upon it. A lower degree of civil freedom, on the contrary, provides the mind with room for each man to extend himself to his full capacity. As nature has uncovered from under this hard shell the seed for which she most tenderly cares - the propensity and vocation to free thinking - this gradually works back upon the character of the people, who thereby gradually become capable of managing freedom; finally, it affects the principles of government, which finds it to its advantage to treat men, who are now more than machines, in accordance with their dignity.
This text is part of the Internet Modern History Sourcebook. The Sourcebook is a collection of public domain and copy-permitted texts for introductory level classes in modern European and World history.
Unless otherwise indicated the specific electronic form of the document is copyright. Permission is granted for electronic copying, distribution in print form for educational purposes and personal use. If you do reduplicate the document, indicate the source. No permission is granted for commercial use of the Sourcebook.
(c)Paul Halsall Aug 1997
Attributions
Title Image
Portrait of John Locke, Godfrey Kneller, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/enlightenment-thinkers/
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The Scientific Revolution
Overview
The Scientific Revolution
Beginning in the 16th century, advances in scientific knowledge transformed how Europeans viewed the world and their place in it. These advances set the stege for the development of new technologies in Europe and around the world through the 21st century,
Learning Objectives
- Review the ideas of the Scientific Revolution
Key Terms / Key Concepts
Empiricism: a theory stating that knowledge comes only, or primarily, from sensory experience, which emphasizes evidence, especially the kind of evidence gathered through experimentation and by use of the scientific method
Galileo: an Italian thinker (1564 – 1642) and key figure in the scientific revolution who improved the telescope, made astronomical observations, and put forward the basic principle of relativity in physics
Baconian method: the investigative method developed by Sir Francis Bacon (It was put forward in Bacon’s book Novum Organum (1620), (or New Method), and was supposed to replace the methods put forward in Aristotle’s Organon. This method was influential upon the development of the scientific method in modern science, but also more generally in the early modern rejection of medieval Aristotelianism.)
scientific method: a body of techniques for investigating phenomena, acquiring new knowledge, or correcting and integrating previous knowledge, through the application of empirical or measurable evidence subject to specific principles of reasoning (It has characterized natural science since the 17th century, consisting in systematic observation, measurement, and experiment, and the formulation, testing, and modification of hypotheses.)
Copernican Revolution: the paradigm shift from the Ptolemaic model of the heavens, which described the cosmos as having Earth stationary at the center of the universe, to the heliocentric model with the sun at the center of the solar system (Beginning with the publication of Nicolaus Copernicus’s De revolutionibus orbium coelestium, contributions to the “revolution” continued, until finally ending with Isaac Newton’s work over a century later.)
Copernicus: a Renaissance mathematician and astronomer (1473 – 1543), who formulated a heliocentric model of the universe which placed the sun, rather than the earth, at the center
Copernican heliocentrism: the name given to the astronomical model developed by Nicolaus Copernicus and published in 1543; the theory that positions the sun near the center of the universe, motionless, with Earth and the other planets rotating around it in circular paths, modified by epicycles and at uniform speeds (It departed from the Ptolemaic system that prevailed in western culture for centuries, placing Earth at the center of the universe.)
Humorism: a system of medicine detailing the makeup and workings of the human body, adopted by the Indian Ayurveda system of medicine, and Ancient Greek and Roman physicians and philosophers (It posits that an excess or deficiency of any of four distinct bodily fluids in a person—known as humors or humours—directly influences their temperament and health.)
Andreas Vesalius: a Belgian anatomist (1514 – 1564), physician, and author of one of the most influential books on human anatomy, De humani corporis fabrica (On the Fabric of the Human Body)
Galen: a prominent Greek physician (129 CE – c. 216 CE), surgeon, and philosopher in the Roman Empire (Arguably the most accomplished of all medical researchers of antiquity, he influenced the development of various scientific disciplines, including anatomy, physiology, pathology, pharmacology, and neurology, as well as philosophy and logic.)
Ambroise Paré: a French surgeon (1510 – 1590) who is considered one of the fathers of surgery and modern forensic pathology, and a pioneer in surgical techniques and battlefield medicine, especially in the treatment of wounds
William Harvey: an English physician (1578 – 1657), who was the first to describe completely and in detail the systemic circulation and properties of blood being pumped to the brain and body by the heart
chemical revolution: the 18th-century reformulation of chemistry that culminated in the law of conservation of mass and the oxygen theory of combustion (During the 19th and 20th century, this transformation was credited to the work of the French chemist Antoine Lavoisier (the “father of modern chemistry”). However, recent research notes that gradual changes in chemical theory and practice emerged over two centuries.)
scientific revolution: the emergence of modern science during the early modern period, when developments in mathematics, physics, astronomy, biology (including human anatomy), and chemistry transformed societal views about nature (It began in Europe towards the end of the Renaissance period, and continued through the late 18th century, influencing the intellectual social movement known as the Enlightenment.)
The Scientific Revolution
The Scientific Revolution is rooted in the historical developments of the Early Modern period, the Reformation, the Renaissance, and the Age of Discovery. One of the results of the Reformation was the decline of Medieval Scholasticism as an intellectual movement. Medieval Scholastic philosophers, such as Thomas Aquinas (13th century) maintained that the teachings of the ancient Greek philosopher Aristotle (4th century BCE) were in harmony with the doctrines of the Roman Catholic Church. Consequently, Thomas Aquinas and the Scholastic philosophers attempted to demonstrate through deductive reason that Aristotle's notions regarding the natural world were in accordance with divine revelation in the Holy Bible. However, during the Reformation, reformers such as Martin Luther cared little for the authority of the pagan philosopher, Aristotle, and focused instead on living an authentic Christian life based on the Word of God as revealed in the Bible. In the wake of the Reformation in the 17th and 18th centuries, religious movements all emphasized a strong commitment to Christ through living life in accordance with Christ's teachings; these movements included both Protestants (Quakers - England, Pietists - Germany, Methodists - England) and Roman Catholics (Quietists - Spain, Italy, Jansenists - France). In these centuries, this emphasis on Christian morality and theology in the churches enabled scientists to examine the natural world more freely without the preconceptions imposed by Scholastic philosophy. The French mathematician and philosopher, Rene Descartes (1596 – 1650) even proposed a sharp distinction between the spiritual and material worlds. According to Descartes, who was a Roman Catholic, one followed the doctrines of the Church by faith as they pertained to spiritual matters, whereas one applied reason to understand the material world that God had created. Blaise Pascal (1623 – 1662), the French mathematician and scientist who formulated Pascal's principle of pressure regarding fluid mechanics, followed this Descartian formula in his own career, as he was a devout Roman Catholic and Jansenist as well as a noted scientist.
The Reformation not only freed scientists from the tenets of Scholastic philosophy, but it also was a factor in the Scientific Revolution due to its emphasis on education and literacy. Protestant reformers, such as Martin Luther and John Calvin, as well as the Roman Catholic Jesuits saw education as a way to instill the love of Christ among the youth. As a result of the Reformation new schools and colleges sprung up across Europe. Protestant regions, such as Scotland and Prussia, especially encouraged literacy even among the peasantry because they felt the study of Holy Scripture was required for all Christians. When the English Calvinists established the Massachusetts Bay Colony in North America in 1630, they quickly founded a public primary school in Boston, the Boston Latin School, in 1635 and a college and seminary at Harvard in 1636. The expansion of schools and literacy in this period did promote the reading of the Bible, but it also facilitated the spread of new ideas that advanced scientific knowledge.
The Renaissance was also a spark for the Scientific Revolution. Due to the efforts of the Renaissance Humanists, the works of ancient Greek and Roman Classical authors were assembled, published, and circulated. Moreover, Humanists developed the curriculum for the new schools, which were popping up, and they placed a heavy emphasis on the study of Classical authors in their original Greek and Latin. Students receiving this education observed that ancient Greek and Roman mathematicians, scientists, and philosophers, such as Aristotle and Plato (4th century BCE) as well as the Stoics and Epicureans, all had conflicting theories regarding the natural world while sharing the conviction that human reason was fully capable of unlocking the mysteries of the Universe. This spirit of inquiry and intellectual debate among these Classical authors thereby encouraged these students to seek to find their own answers to their own questions about the natural world.
The Age of Discovery also stimulated intellectual curiosity and inquiry. From the time of Columbus's first voyage to the New World in 1492 through the period of exploration by Englishman James Cook among the islands of the Pacific in the mid-18th century, Europeans learned about exotic lands with strange plants, animals, and peoples. These discoveries stimulated much discussion among the educated in Europe. For example, the French philosopher Michel de Montaigne (1533 – 1592) was fascinated by tales concerning the strange customs among the natives of the New World. This diversity of customs and morals and in the world helped Montaigne to embrace skepticism and to questions about whether or not human beings were capable of fully grasping the truth.
The scientific revolution witnessed the emergence of modern science during the early modern period, when developments in mathematics, physics, astronomy, biology (including human anatomy), and chemistry transformed societal views about nature. The scientific revolution began in Europe toward the end of the Renaissance period and continued through the late 18th century, influencing the intellectual social movement known as the Enlightenment. While its dates are disputed, the publication in 1543 of Nicolaus Copernicus ‘s De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres) is often cited as marking the beginning of the scientific revolution.
The scientific revolution was built upon the foundation of ancient Greek learning and science in the Middle Ages, as it had been elaborated and further developed by Roman/Byzantine science and medieval Islamic science. The Aristotelian tradition was still an important intellectual framework in the 17th century, although by that time natural philosophers had moved away from much of it. Key scientific ideas dating back to classical antiquity had changed drastically over the years, and in many cases had been discredited. The ideas that remained were transformed fundamentally during the scientific revolution; for example, Aristotle’s cosmology, which placed the Earth at the center of a spherical hierarchic cosmos and the Ptolemaic model of planetary motion were both replaced.
The change to the medieval idea of science occurred for four reasons:
- Seventeenth century scientists and philosophers were able to collaborate with members of the mathematical and astronomical communities to effect advances in all fields.
- Scientists realized the inadequacy of medieval experimental methods for their work and so felt the need to devise new methods (some of which we use today).
- Academics had access to a legacy of European, Greek, and Middle Eastern scientific philosophy that they could use as a starting point (either by disproving or building on the theorems).
- Institutions (for example, the British Royal Society) helped validate science as a field by providing an outlet for the publication of scientists’ work.
New Methods
Under the scientific method that was defined and applied in the 17th century, natural and artificial circumstances were abandoned, and a research tradition of systematic experimentation was slowly accepted throughout the scientific community. The philosophy of using an inductive approach to nature (to abandon assumption and to attempt to simply observe with an open mind) was in strict contrast with the earlier Aristotelian approach of deduction, by which analysis of known facts produced further understanding. In practice, many scientists and philosophers believed that a healthy mix of both was needed—the willingness to both question assumptions, and to interpret observations assumed to have some degree of validity.
During the scientific revolution, changing perceptions about the role of the scientist in respect to nature and the value of evidence—experimental or observed led to a scientific methodology in which empiricism played a large, but not absolute, role. The term British empiricism came into use to describe philosophical differences perceived between two of its founders—Francis Bacon—an empiricist—and René Descartes–a rationalist. Bacon’s works established and popularized inductive methodologies for scientific inquiry, which is often called the Baconian Method or simply the scientific method. His demand for a planned procedure of investigating all things natural marked a new turn in the rhetorical and theoretical framework for science, much of which still surrounds conceptions of proper methodology today. Correspondingly, Descartes distinguished between the knowledge that could be attained by reason alone (rationalist approach), as in mathematics, and the knowledge that required experience of the world, as in physics.
Thomas Hobbes, George Berkeley, and David Hume were the primary exponents of empiricism, and they developed a sophisticated empirical tradition as the basis of human knowledge. The recognized founder of the approach was John Locke, who proposed in An Essay Concerning Human Understanding (1689) that the only true knowledge that could be accessible to the human mind was that which was based on experience.
New Ideas
Many new ideas contributed to what is called the scientific revolution. Some of them were revolutions in their own fields. These include:
- The heliocentric model that involved the radical displacement of the earth to an orbit around the sun (as opposed to being seen as the center of the universe). Copernicus’s 1543 work on the heliocentric model of the solar system tried to demonstrate that the sun was the center of the universe. The discoveries of Johannes Kepler and Galileo gave the theory credibility and the work culminated in Isaac Newton’s Principia, which formulated the laws of motion and universal gravitation that dominated scientists’ view of the physical universe for the next three centuries.
- Studying human anatomy based upon the dissection of human corpses, rather than the animal dissections, as practiced for centuries.
- Discovering and studying magnetism and electricity, and thus, electric properties of various materials.
- Modernization of disciplines (making them more as what they are today), including dentistry, physiology, chemistry, and optics.
- Invention of tools that deepened the understating of sciences, including mechanical calculator, steam digester (the forerunner of the steam engine), refracting and reflecting telescopes, vacuum pump, and mercury barometer.
Mathematization
To the extent that medieval natural philosophers used mathematical problems, they limited social studies to theoretical analyses of local speed and other aspects of life. The actual measurement of a physical quantity, and the comparison of that measurement to a value computed on the basis of theory, was largely limited to the mathematical disciplines of astronomy and optics in Europe. In the 16th and 17th centuries, European scientists began increasingly applying quantitative measurements to the measurement of physical phenomena on Earth.
The Copernican Revolution
While the dates of the scientific revolution are disputed, the publication in 1543 of Nicolaus Copernicus’s De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres) is often cited as marking the beginning of the scientific revolution. The book proposed a heliocentric system contrary to the widely accepted geocentric system of that time. Tycho Brahe accepted Copernicus’s model but reasserted geocentricity. However, Tycho challenged the Aristotelian model when he observed a comet that went through the region of the planets. This region was said to only have uniform circular motion on solid spheres, which meant that it would be impossible for a comet to enter into the area. Johannes Kepler followed Tycho and developed the three laws of planetary motion. Kepler would not have been able to produce his laws without the observations of Tycho, because they allowed Kepler to prove that planets traveled in ellipses, and that the sun does not sit directly in the center of an orbit, but at a focus. Galileo Galilei came after Kepler and developed his own telescope with enough magnification to allow him to study Venus and discover that it has phases like a moon. The discovery of the phases of Venus was one of the more influential reasons for the transition from geocentrism to heliocentrism. Isaac Newton’s Philosophiæ Naturalis Principia Mathematica concluded the Copernican Revolution. The development of his laws of planetary motion and universal gravitation explained the presumed motion related to the heavens by asserting a gravitational force of attraction between two objects.
Other Advancements in Physics and Mathematics
Galileo was one of the first modern thinkers to clearly state that the laws of nature are mathematical. In broader terms, his work marked another step towards the eventual separation of science from both philosophy and religion, a major development in human thought. Galileo showed a remarkably modern appreciation for the proper relationship between mathematics, theoretical physics, and experimental physics.
Newton’s Principia formulated the laws of motion and universal gravitation, which dominated scientists’ view of the physical universe for the next three centuries. By deriving Kepler’s laws of planetary motion from his mathematical description of gravity, and then using the same principles to account for the trajectories of comets, the tides, the precession of the equinoxes, and other phenomena, Newton removed the last doubts about the validity of the heliocentric model of the cosmos. This work also demonstrated that the motion of objects on Earth, and of celestial bodies, could be described by the same principles. His prediction that Earth should be shaped as an oblate spheroid was later vindicated by other scientists. His laws of motion were to be the solid foundation of mechanics; his law of universal gravitation combined terrestrial and celestial mechanics into one great system that seemed to be able to describe the whole world in mathematical formulae. Newton also developed the theory of gravitation. After exchanges with Robert Hooke—English natural philosopher, architect, and polymath, he worked out proof that the elliptical form of planetary orbits was based on mathematical formulas.
Dr. William Gilbert, in De Magnete, invented the New Latin word electricus from ἤλεκτρον (elektron), the Greek word for “amber.” Gilbert undertook a number of careful electrical experiments, in the course of which he discovered that many substances were capable of manifesting electrical properties. He also discovered that a heated body lost its electricity, and that moisture prevented the electrification of all bodies, due to the now well-known fact that moisture impaired the insulation of such bodies. He also noticed that electrified substances attracted all other substances indiscriminately, whereas a magnet only attracted iron. The many discoveries of this nature earned for Gilbert the title of “founder of the electrical science.”
Robert Boyle also worked frequently at the new science of electricity and added several substances to Gilbert’s list of electrics. In 1675, he stated that electric attraction and repulsion can act across a vacuum. One of his important discoveries was that electrified bodies in a vacuum would attract light substances, indicating that the electrical effect did not depend upon the air as a medium. The first usage of the word electricity is ascribed to Thomas Browne in his 1646 work. In 1729, Stephen Gray demonstrated that electricity could be “transmitted” through metal filaments.
The 18th century witnessed the early modern reformulation of chemistry that culminated in the law of conservation of mass and the oxygen theory of combustion. This period was eventually called the chemical revolution. According to an earlier theory, a substance called phlogiston was released from inflammable materials through burning. The resulting product was termed calx, which was considered a dephlogisticated substance in its true form. The first strong evidence against phlogiston theory came from Joseph Black, Joseph Priestley, and Henry Cavendish, who all identified different gases that composed air. However, it was not until Antoine Lavoisier discovered in 1772 that sulphur and phosphorus grew heavier when burned that the phlogiston theory began to unravel. Lavoisier subsequently discovered and named oxygen, as well as described its roles in animal respiration and the calcination of metals exposed to air (1774 – 1778). In 1783, he found that water was a compound of oxygen and hydrogen. Transition to and acceptance of Lavoisier’s findings varied in pace across Europe. Eventually, however, the oxygen-based theory of combustion drowned out the phlogiston theory and, in the process, created the basis of modern chemistry.
Astronomy
While astronomy is the oldest of the natural sciences, dating back to antiquity, its development during the period of the scientific revolution entirely transformed the views of society about nature. The publication of the seminal work in the field of astronomy published in 1543, Nicolaus Copernicus’s De revolutionibus orbium coelestium (On the Revolutions of the Heavenly Spheres), is often seen as marking the beginning of the time when scientific disciplines, including astronomy, began to apply modern empirical research methods, which gradually transformed into the modern sciences as we know them today.
The Copernican Heliocentrism
Copernican heliocentrism is the name given to the astronomical model developed by Nicolaus Copernicus and published in 1543. It positioned the sun near the center of the universe, motionless, with Earth and the other planets rotating around it in circular paths, modified by epicycles and at uniform speeds. The Copernican model departed from the Ptolemaic system that prevailed in western culture for centuries, placing Earth at the center of the universe. Copernicus’s De revolutionibus marks the beginning of the shift away from a geocentric (and anthropocentric) universe with Earth at its center. Copernicus held that Earth is another planet revolving around the fixed sun once a year and turning on its axis once a day. But while he put the sun at the center of the celestial spheres, he did not put it at the exact center of the universe, but near it. His system used only uniform circular motions, correcting what was seen by many as the chief inelegance in Ptolemy’s system.
The Copernican Revolution
From 1543 until about 1700, few astronomers were convinced by the Copernican system. Forty-five years after the publication of De Revolutionibus, the astronomer Tycho Brahe went so far as to construct a cosmology precisely equivalent to that of Copernicus, but with Earth held fixed in the center of the celestial sphere instead of the sun. Following Copernicus and Tycho, Johannes Kepler and Galileo Galilei, both working in the first decades of the 17th century, influentially defended, expanded, and modified the heliocentric theory.
Johannes Kepler
Johannes Kepler was a German scientist who initially worked as Tycho’s assistant. In 1596, he published his first book, the Mysterium cosmographicum, which was the first to openly endorse Copernican cosmology by an astronomer since the 1540s. The book described his model that used Pythagorean mathematics and the five Platonic solids to explain the number of planets, their proportions, and their order. In 1600, Kepler set to work on the orbit of Mars, the second most eccentric of the six planets known at that time. This work was the basis of his next book, the Astronomia nova (1609). The book argued heliocentrism and ellipses for planetary orbits, instead of circles modified by epicycles. It contains the first two of his eponymous three laws of planetary motion (in 1619, the third law was published). The laws state the following:
- All planets move in elliptical orbits, with the sun at one focus.
- A line that connects a planet to the sun sweeps out equal areas in equal times.
- The time required for a planet to orbit the sun, called its period, is proportional to long axis of the ellipse raised to the 3/2 power. The constant of proportionality is the same for all the planets.
Galileo Galilei
Galileo Galilei was an Italian scientist who is sometimes referred to as the “father of modern observational astronomy.” Based on the designs of Hans Lippershey, he designed his own telescope, which he had improved to 30x magnification. Using this new instrument, Galileo made a number of astronomical observations, which he published in the Sidereus Nuncius in 1610. In this book, he described the surface of the moon as rough, uneven, and imperfect. His observations challenged Aristotle’s claim that the moon was a perfect sphere, and the larger idea that the heavens were perfect and unchanging, a view that Tycho had previously challenged with his own observations. While observing Jupiter over the course of several days, Galileo noticed four stars close to Jupiter whose positions were changing in a way that would be impossible if they were fixed stars. After much observation, he concluded these four stars were orbiting the planet Jupiter and were in fact moons, not stars. This was a radical discovery because, according to Aristotelian cosmology, all heavenly bodies revolve around Earth, and a planet with moons obviously contradicted that popular belief. While contradicting Aristotelian belief, it supported Copernican cosmology, which stated that Earth is a planet like all others.
In 1610, Galileo also observed that Venus had a full set of phases, similar to the phases of the moon, that we can observe from Earth. This was explainable by the Copernican system, which said that all phases of Venus would be visible due to the nature of its orbit around the sun, unlike the Ptolemaic system, which stated only some of Venus’s phases would be visible. Due to Galileo’s observations of Venus, Ptolemy’s system became highly suspect and the majority of leading astronomers subsequently converted to various heliocentric models, making his discovery one of the most influential in the transition from geocentrism to heliocentrism.
Uniting Astronomy and Physics: Isaac Newton
Although the motions of celestial bodies had been qualitatively explained in physical terms since Aristotle introduced celestial movers in his Metaphysics and a fifth element in his On the Heavens, Johannes Kepler was the first to attempt to derive mathematical predictions of celestial motions from assumed physical causes. This led to the discovery of the three laws of planetary motion that carry his name.
Isaac Newton developed further ties between physics and astronomy through his law of universal gravitation. Realizing that the same force that attracted objects to the surface of Earth held the moon in orbit around the Earth, Newton was able to explain, in one theoretical framework, all known gravitational phenomena. Newton’s Principia (1687) formulated the laws of motion and universal gravitation, which dominated scientists’ view of the physical universe for the next three centuries. By deriving Kepler’s laws of planetary motion from his mathematical description of gravity, and then using the same principles to account for the trajectories of comets, the tides, the precession of the equinoxes, and other phenomena, Newton removed the last doubts about the validity of the heliocentric model of the cosmos. This work also demonstrated that the motion of objects on Earth and of celestial bodies could be described by the same principles. His laws of motion were to be the solid foundation of mechanics; his law of universal gravitation combined terrestrial and celestial mechanics into one great system that seemed to be able to describe the whole world in mathematical formulae. Newton employed the new mathematical discipline of Calculus to construct this system. Both Newton and his German contemporary, Gottfried Wilhelm Leibnitz (1646 – 1716), both claimed to have invented this new discipline.
18th century achievements in Astronomy
Building on the body of work forwarded by Copernicus, Kepler and Newton, 18th-century astronomers refined telescopes, produced star catalogs, and worked towards explaining the motions of heavenly bodies and the consequences of universal gravitation. In 1705, astronomer Edward Halley correctly linked historical descriptions of particularly bright comets to the reappearance of just one (later named Halley’s Comet), based on his computation of the orbits of comets. James Bradley realized that the unexplained motion of stars he had early observed with Samuel Molyneux was caused by the aberration of light. He also came fairly close to the estimation of the speed of light. Observations of Venus in the 18th century became an important step in describing atmospheres, including the work of Mikhail Lomonosov, Johann Hieronymus Schröter, and Alexis Claude de Clairaut. On the theoretical side of astronomy, the English natural philosopher John Michell first proposed the existence of dark stars in 1783.
Much astronomical work of the period becomes shadowed by one of the most dramatic scientific discoveries of the 18th century. On March 13, 1781, amateur astronomer William Herschel spotted a new planet with his powerful reflecting telescope. Initially identified as a comet, the celestial body later came to be accepted as a planet. Soon after, the planet was named Georgium Sidus by Herschel and was called Herschelium in France. The name Uranus, as proposed by Johann Bode, came into widespread usage after Herschel’s death.
The Medical Renaissance
The Renaissance brought an intense focus on varied scholarship to Christian Europe. A major effort to translate the Arabic and Greek scientific works into Latin emerged, and Europeans gradually became experts not only in the ancient writings of the Romans and Greeks, but also in the contemporary writings of Islamic scientists. During the later centuries of the Renaissance—which overlapped with the scientific revolution, experimental investigation, particularly in the field of dissection and body examination, advanced the knowledge of human anatomy. Other developments of the period also contributed to the modernization of medical research, including printed books that allowed for a wider distribution of medical ideas and anatomical diagrams, more open attitudes of Renaissance humanism, and the Church’s diminishing impact on the teachings of the medical profession and universities. In addition, the invention and popularization of microscope in the 17th century greatly advanced medical research.
Human Anatomy
The writings of ancient Greek physician Galen had dominated European thinking in medicine. Galen’s understanding of anatomy and medicine was principally influenced by the then-current theory of humorism (also known as the four humors: black bile, yellow bile, blood, and phlegm); this theory was advanced by ancient Greek physicians, such as Hippocrates. Galen’ theories dominated and influenced western medical science for more than 1,300 years. His anatomical reports, based mainly on dissection of monkeys and pigs, remained uncontested until 1543, when printed descriptions and illustrations of human dissections were published in the seminal work De humani corporis fabrica by Andreas Vesalius. Vesalius first demonstrated the mistakes in the Galenic model, and his anatomical teachings were based upon the dissection of human corpses, rather than the animal dissections that Galen had used as a guide. Vesalius’s work emphasized the priority of dissection and what has come to be called the “anatomical” view of the body: seeing human internal functioning as an essentially corporeal structure filled with organs arranged in three-dimensional space. This was in stark contrast to many of the anatomical models used previously.
Further groundbreaking work was carried out by William Harvey, who published De Motu Cordis in 1628. Harvey made a detailed analysis of the overall structure of the heart, showing how pulsation of the arteries depends upon the contraction of the left ventricle, while the contraction of the right ventricle propels its charge of blood into the pulmonary artery. He noticed that the two ventricles move together almost simultaneously and not independently like had been thought previously by his predecessors. Harvey also estimated the capacity of the heart, how much blood is expelled through each pump of the heart, and the number of times the heart beats in a half an hour. From these estimations, he went on to prove how the blood circulated in a circle.
Other Medical Advances
Various other advances in medical understanding and practice were made. French surgeon Ambrose Pare(c. 1510 – 1590) is considered one of the fathers of surgery and modern forensic pathology, as well as a pioneer in surgical techniques and battlefield medicine, especially in the treatment of wounds. He was also an anatomist and invented several surgical instruments and was part of the Parisian Barber Surgeon guild. Paré was also an important figure in the progress of obstetrics in the middle of the 16th century.
Herman Boerhaave (1668 – 1738)—a Dutch botanist, chemist, Christian humanist and physician of European fame—is regarded as the founder of clinical teaching and of the modern academic hospital. He is sometimes referred to as “the father of physiology,” along with the Venetian physician Santorio Santorio (1561 – 1636), who introduced the quantitative approach into medicine, as well as with his pupil Albrecht von Haller (1708 – 1777). He is best known for demonstrating the relation of symptoms to lesions and, in addition, he was the first to isolate the chemical urea from urine. He was the first physician that put thermometer measurements to clinical practice. Bacteria and protists were first observed with a microscope by Antonie van Leeuwenhoek in 1676, initiating the scientific field of microbiology. French physician Pierre Fauchard started dentistry science as we know it today, and he has been named “the father of modern dentistry.” He is widely known for writing the first complete scientific description of dentistry, Le Chirurgien Dentiste (“The Surgeon Dentist”), published in 1728. The book described basic oral anatomy and function, signs and symptoms of oral pathology, operative methods for removing decay and restoring teeth, periodontal disease (pyorrhea), orthodontics, replacement of missing teeth, and tooth transplantation.
Arrtibutions
Title Image
https://commons.wikimedia.org/wiki/File:Isaac_Newton_woodcut,_frontispiece_to_Mach.jpg
woodcut portrait of Isaac Newton by an unknown artist after a portrait by Kneller, ca. 1689, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-scientific-revolution/
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2025-03-18T00:36:53.521221
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"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
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Enlightened or Despotic?: Russia under Catherine
Overview
Enlightened, or Despotic?: Russia under Catherine the Great
Russia in the eighteenth century was characterized by wars, crop failures, peasant uprisings, and growing discontent with the autocratic, all-powerful tsars and tsarinas. Despite these challenges, Catherine the Great was acknowledged and remembered as an enlightened despot who sought to understand Russia’s downtrodden. For this reason, her reign is often characterized and romanticized as the “Golden Age” of Russia.
Learning Objectives
- Examine the term “enlightened despot” and how Catherine the Great is an example of this.
- Evaluate the key domestic and foreign reforms of Catherine the Great.
- Examine why Catherine the Great is remembered as the “tsarina of Russia’s Golden Age.”
Key Terms / Key Concepts
Tsarina Catherine the Great: eighteenth-century Russian tsarina who is remembered for ruling Russia during its Golden Age of Enlightenment and producing numerous reforms
Enlightened Despot: authoritative, autocratic head of state whose power is strengthened by improving the quality of life for their subjects
Tsar Peter III: a tsar, and husband of Catherine the Great, who reigned for six months before his murder
Pugachev’s Rebellion: largest revolt led by serfs in Russian history
Cossack: member of an ethnic group in the Caucasus, or plains region of Russia who is often associated as an exceptional horseman
Background: Tsar Peter III
Peter III (1728 – 1762) was tsar of Russia for six months in 1762, after being chosen as successor by his unmarried, childless aunt, Empress Elizabeth. Orphaned at eleven, Peter was invited by his aunt, Tsarina Elizabeth, to Saint Petersburg and proclaimed her heir in 1742. Empress Elizabeth arranged for Peter to marry his second cousin, Sophia Augusta Frederica (later Catherine the Great). The young princess formally converted to Russian Orthodoxy and took the name Ekaterina Alexeievna (Catherine). They married in 1745 but the union was unhappy. The traditionally held view of Peter as a person of weak character with many vices is mainly drawn from the memoirs of his wife and successor.
Peter III’s temperament became quite unbearable for those who resided in the palace. He would announce trying drills in the morning for male servants, who later joined Catherine in her room to sing and dance until late hours. After Catherine became pregnant in 1759 with her second child Anna, Peter was led to believe he was not the child’s biological father because of rumors that Catherine had been promiscuous. Catherine angrily dismissed Peter’s accusation. And afterward, she spent much time alone in her own private rooms to hide away from her husband.
After Peter became tsar, he withdrew Russian forces from the Seven Years’ War and concluded a peace treaty with Prussia. He gave up Russian conquests in Prussia and offered 12,000 troops to make an alliance with Frederick the Great (1762). Russia thus switched from an enemy of Prussia to an ally. Russian troops withdrew from Berlin and marched against the Austrians on Prussia’s behalf. This dramatically shifted the balance of power in Europe. Frederick the Great secured victories and forced Austria to the negotiating table. However, the decision proved to be extremely unpopular in the Russian court and greatly contributed to Peter’s quick demise because he was seen as pro-Prussia.
One of Peter’s most widely debated reforms was a manifesto that exempted the nobility from mandatory state and military service. He gave them freedom to travel abroad. Although the exemption was welcomed by the Russian elites, the overall reform did not convince them to support their tsar, who was generally considered as taking little interest in Russia and its matters. A case of Peter’s religious policies serves as a demonstrative example of how the pro-Prussian emperor was perceived in Russia. He openly supported Lutheranism—the branch of Christianity practiced in Prussia. Many of his court and colleagues saw this support as an anti-Orthodox, and a devastating blow to Russian tradition.
Color portrait of Tsar Peter III and Catherine the Great
The Death of Peter and the Rise of Catherine the Great
In July 1762, barely six months after becoming emperor, Peter took a holiday and left his wife in Saint Petersburg. On the night of July 8, Catherine received the news that a conspirator had been arrested by her estranged husband, and this news encouraged her to act immediately on the conspiracy to overthrow Peter. She left the palace and departed for the Ismailovsky regiment, where Catherine delivered a speech asking the soldiers to protect her from her husband. Catherine left with the regiment to go to the Semenovsky Barracks where the clergy was waiting to ordain her as the sole occupant of the Russian throne. She had her husband arrested and forced him to sign a document of abdication, leaving no one to dispute her accession to the throne. On July 17, eight days after his abdication, Peter III was murdered by the prominent statesman and soldier, Alexei Orlov.
Catherine the Great as Russia’s “Golden Age” Tsarina
The period of Catherine’s rule (1762 – 1796) is often considered the Golden Age of the Russian Empire and Russian nobility. Catherine sought contact with and inspiration from the major philosophers of the era. She enthusiastically supported the ideals of the Enlightenment because she believed that improving the lives of her subjects would strengthen her authority. And improving her subjects’ lives earned her the status of an enlightened despot. The philosophy of enlightened despotism implied that the autocratic ruler knew the interests of his or her subjects better than they themselves did.
Catherine and Serfdom
In the 18th century, the peasantry in Russia were no longer bound to the land, rather, they were tied to their owners. This made Russian serfdom more similar to slavery than any other system of forced labor that existed at the time in Europe. A landowner could punish his serfs at his discretion and under Catherine the Great gained the ability to sentence his serfs to hard labor in Siberia, a punishment normally reserved for convicted criminals. The only thing a noble could not do to his serfs was kill them, because the life of a serf belonged to the state.
An admirer of Peter the Great, Catherine continued to modernize Russia along Western European lines. However, military conscription and the Russian economy continued to depend on serfdom. And the increasing demands of the state and private landowners led to increased levels of reliance on serfs. To secure support from the nobles, Catherine publicly declared that nobles held the right to control their serfs. This was one of the chief reasons behind ongoing rebellions among serfs during her reign. More than fifty peasant revolts occurred between 1762 and 1769. These culminated in Pugachev's Rebellion in 1773 – 75, when Yemelyan Pugachev promised the serfs land of their own and freedom from their lords. Pugachev launched the rebellion in mid-September 1773. He had a substantial force composed of Cossacks, Russian peasants, factory serfs, and non-Russians. Despite some victories, by late 1774 the tide was turning, and the Russian army’s victory at Tsaritsyn left 9,000 to 10,000 rebels dead. By early September, the rebellion was crushed. Pugachev was betrayed by his own Cossacks when he tried to flee; he was beheaded and dismembered in 1775 in Moscow.
Catherine’s Educational Reforms
Catherine believed a “new kind of person” could be created by giving Russian children a European education. However, despite the experts’ recommendations, only modest action was taken. The Moscow Foundling Home (Moscow Orphanage), charged with admitting destitute and extramarital children, was created to experiment with new educational theories. Shortly after the Moscow Foundling Home, Catherine established the Smolny Institute for Noble Girls to educate females. Within the walls of the Institute, they were taught impeccable French, musicianship, dancing, and complete awe of the tsarina. The establishment of the institute was a significant step in making education available for females in Russia. The remodeling of the Cadet Corps in 1766 initiated many educational reforms. The Corps began to take children from a very young age and educate them until the age of 21, and the curriculum was broadened from the professional military curriculum to include the sciences, philosophy, ethics, history, and international law.
Catherine and Religion
Catherine converted to Russian Orthodoxy as part of her immersion in Russian culture, but she personally remained largely indifferent to religion. Her religious policies largely aimed to control populations and religious institutions in the multi-religious empire. She nationalized all the church lands to help pay for her wars, largely emptied the monasteries and forced most of the remaining clergymen to survive as farmers or on fees for services. However, in her anti-Ottoman policy, she promoted the protection and fostering of Christians under Turkish rule. Although she placed strictures on Roman Catholics in the Polish parts of her empire, Russia also provided asylum to the Jesuits following their suppression in most of Europe in 1773.
Catherine took many approaches to Islam during her reign but her pro-Islam policies were all an attempt to control Muslim populations in the empire. After the Toleration of All Faiths Edict of 1773, Muslims were permitted to build mosques and practice freely. In 1785, Catherine approved the subsidization of new mosques and new town settlements for Muslims. By building new settlements with mosques placed in them, Catherine attempted to ground many of the nomadic people who wandered through southern Russia. In 1786, she assimilated the Islamic schools into the Russian public school system so they could be regulated by the government. The plan was another attempt to force nomadic people to settle.
Russia often treated Judaism as a separate entity and Jews were under a separate legal and bureaucratic system. After the annexation of Polish territories, the Jewish population in the empire grew significantly. Catherine levied additional taxes on the followers of Judaism, but if a family converted to the Orthodox faith that additional tax was lifted. In 1785, she declared Jewish populations to be officially foreigners, with foreigners’ rights. Catherine’s decree also denied them the rights of Orthodox or naturalized citizens of Russia. Taxes doubled again for those of Jewish descent in 1794, and Catherine officially declared that Jews bore no relation to Russians.
Intellectualism in Russia
Catherine had a reputation as a patron of the arts, literature, and education. The Hermitage Museum began as Catherine’s personal collection. Within a few months of her accession in 1762, having heard the French government threatened to stop the publication of the famous French Encyclopédie on account of its irreligious spirit, Catherine proposed to the philosopher Diderot that he should complete his great work in Russia under her protection. She wrote comedies, fiction, and memoirs while cultivating the French encyclopedists, who later cemented her reputation in their writings. Catherine enlisted Voltaire to her cause and corresponded with him for 15 years—from her accession to his death in 1778. During Catherine’s reign, Russians imported and studied the classical and European influences that inspired the Russian Enlightenment. She also became a great patron of Russian opera. However, she did not support a free-thinking spirit among her own subjects as much as among the famous French philosophers. Catherine exiled Alexander Radishchev to Siberia after he published his Journey from St. Petersburg to Moscow in 1790 (one year after the start of the French Revolution), which warned of uprisings because of the deplorable social conditions of the serfs.
Catherine's Legacy
Catherine the Great was truly an enlightened despot. Autocratic and controlling, power remained in the hands of Russia’s tsarina. And yet, she proved sympathetic and progressive in her attempts to understand the Russian people. Her reforms were moderate to marginal in terms of “liberalizing” and “modernizing” Russia. However, they made progress at a time when Russia suffered from prolonged wars, external enemies, and internal strife. In particular, she is remembered for achieving reforms that surpassed many of her male predecessors and descendants.
Attributions
Images courtesy of Wikimedia Commons
Boundless World History
"Catherine the Great and Russia"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/catherine-the-great-and-russia/
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2025-03-18T00:36:53.547298
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Impact of the Enlightenment
Overview
Impact of the Enlightenment
The Enlightenment altered the world view of Europe and the wider world such as the Americas. World view is the ways in which people and societies observe and interpret their environment.
Learning Objectives
- Study the impacts of the Enlightenment on World Civilizations.
Key Terms / Key Concepts
Conversations on the Plurality of Worlds: a popular science book by French author Bernard le Bovier de Fontenelle published in 1686 (It offered an explanation of the heliocentric model of the Universe, suggested by Nicolaus Copernicus in his 1543 work De revolutionibus orbium coelestium. The book, written in French and not in Latin as most scientific works of the era, was one of the first attempts to explain scientific theories in a popular language understandable to the wide audience.)
Encyclopaedia, or a Systematic Dictionary of the Sciences, Arts, and Crafts: a general encyclopedia published in France between 1751 and 1772, with later supplements, revised editions, and translations (It had many writers, known as the Encyclopédistes, and was edited by Denis Diderot and until 1759 co-edited by Jean le Rond d’Alembert. It is most famous for representing the thought of the Enlightenment.)
Impact of the Enlightenment on World Civilizations
The Age of Enlightenment, also known as the Enlightenment, was a philosophical movement that dominated the world of ideas in Europe in the 18th century. Centered on the idea that reason is the primary source of authority and legitimacy, this movement advocated such ideals as liberty, progress, tolerance, fraternity, constitutional government, and separation of church and state. The Enlightenment was marked by an emphasis on the scientific method and reductionism, along with increased questioning of religious orthodoxy. The core ideas advocated by modern democracies, including the civil society, human and civil rights, and separation of powers, are the product of the Enlightenment. Furthermore, the sciences and academic disciplines (including social sciences and the humanities) as we know them today, based on empirical methods, are also rooted in the Age of Enlightenment. All these developments, which followed and partly overlapped with the European exploration and colonization of the Americas and the intensification of the European presence in Asia and Africa, make the Enlightenment a starting point of what some historians define as the European Moment in World History: the long period of often tragic European domination over the rest of the world.
There is little consensus on the precise beginning of the Age of Enlightenment, with the beginning of the 18th century (1701) or the middle of the 17th century (1650) often considered starting points. French historians usually place the period between 1715 and 1789, from the beginning of the reign of Louis XV until the French Revolution. In the mid-17th century, the Enlightenment traces its origins to Descartes’ Discourse on Method, published in 1637. In France, many cite the publication of Isaac Newton’s Principia Mathematica in 1687. Some historians and philosophers have argued that the beginning of the Enlightenment is when Descartes shifted the epistemological basis from external authority to internal certainty by his cogito ergo sum (1637).
As to its end, most scholars use the last years of the century, often choosing the French Revolution of 1789 or the beginning of the Napoleonic Wars (1804 – 15) to date the end of the Enlightenment.
National Varieties
The Enlightenment took hold in most European countries, often with a specific local emphasis. For example, in France it became associated with anti-government and anti-Church radicalism, while in Germany it reached deep into the middle classes and took a spiritualistic and nationalistic tone without threatening governments or established churches. Government responses varied widely. In France, the government was hostile and Enlightenment thinkers fought against its censorship, sometimes being imprisoned or hounded into exile. The British government largely ignored the Enlightenment’s leaders in England and Scotland. The Scottish Enlightenment, with its mostly liberal Calvinist and Newtonian focus, played a major role in the further development of the Enlightenment in he American colonies. In Italy, the significant reduction in the Church’s power led to a period of great thought and invention, including scientific discoveries. In Russia, the government began to actively encourage the proliferation of arts and sciences in the mid-18th century. This era produced the first Russian university, library, theater, public museum, and independent press. Several Americans, especially Benjamin Franklin and Thomas Jefferson, played a major role in bringing Enlightenment ideas to the New World and in influencing British and French thinkers. The cultural exchange during the Age of Enlightenment ran in both directions across the Atlantic. In their development of the ideas of natural freedom, Europeans and American thinkers drew from American Indian cultural practices and beliefs.
The prime example of reference works that systematized scientific knowledge in the Age of Enlightenment were universal encyclopedias rather than technical dictionaries. It was the goal of universal encyclopedias to record all human knowledge in a comprehensive reference work. The most well-known of these works is Denis Diderot and Jean le Rond d’Alembert’s Encyclopédie, ou dictionnaire raisonné des sciences, des arts et des métiers. The work, which began publication in 1751, was composed of thirty-five volumes and over 71,000 separate entries. A great number of the entries were dedicated to describing the sciences and crafts in detail and provided intellectuals across Europe with a high-quality survey of human knowledge.
The ideas of the Enlightenment played a major role in inspiring the French Revolution, which began in 1789 and emphasized the rights of common men as opposed to the exclusive rights of the elites. As such, they laid the foundation for modern, rational, democratic societies. However, historians of race, gender, and class note that Enlightenment ideals were not originally envisioned as universal in today’s sense of the word. Although they did eventually inspire the struggles for rights of people of color, women, or the working masses, most Enlightenment thinkers did not advocate equality for all, regardless of race, gender, or class; rather, they insisted that rights and freedoms were not hereditary. Sine the heredity of power and rights was a common pre-Enlightenment assumption, this perspective directly attacked the traditionally exclusive position of the European aristocracy. Still, it was largely focused on expanding the rights of white males of a particular social standing.
The Popularization of Science
The Age of Enlightenment was also when the first scientific and literary journals were established. The first journal, the Parisian Journal des Sçavans, appeared in 1665. However, it was not until 1682 that periodicals began to be more widely produced. French and Latin were the dominant languages of publication, but there was also a steady demand for material in German and Dutch. There was generally low demand for English publications on the Continent, which was echoed by England’s similar lack of desire for French works. Languages commanding less of an international market such as Danish, Spanish, and Portuguese found journal success more difficult and often used an international language instead. French slowly took over Latin’s status as the lingua franca of learned circles. This, in turn, gave precedence to the publishing industry in Holland, where the vast majority of these French language periodicals were produced. As a source of knowledge derived from science and reason, the journals were an implicit critique of existing notions of universal truth monopolized by monarchies, parliaments, and religious authorities.
Science during the Enlightenment was dominated by scientific societies and academies, which largely replaced universities as centers of scientific research and development. These organizations grew out of the Scientific Revolution as the creators of scientific knowledge in contrast to the scholasticism of the university. During the Enlightenment, some societies created or retained links to universities. However, contemporary sources distinguished universities from scientific societies by claiming that the university’s utility was in the transmission of knowledge, while societies functioned to create knowledge. As the role of universities in institutionalized science began to diminish, learned societies became the cornerstone of organized science. After 1700, many official academies and societies were founded in Europe, with more than seventy official scientific societies in existence by 1789. In reference to this growth, Bernard de Fontenelle coined the term “the Age of Academies” to describe the 18th century.
National scientific societies were founded in the urban hotbeds of scientific development across Europe. In the 17th century, the Royal Society of London (1662), the Paris Académie Royale des Sciences (1666), and the Berlin Akademie der Wissenschaften (1700) came into existence. In the first half of the 18th century, the Academia Scientiarum Imperialis (1724) in St. Petersburg, and the Kungliga Vetenskapsakademien (Royal Swedish Academy of Sciences) (1739) were created. Many regional and provincial societies followed along with some smaller private counterparts. Official scientific societies were chartered by the state to provide technical expertise, which resulted in direct, close contact between the scientific community and government bodies. State sponsorship was beneficial to the societies as it brought finance and recognition, along with a measure of freedom in management. Most societies were granted permission to oversee their own publications, control the election of new members, and otherwise provide administration. Membership in academies and societies was highly selective. Activities included research, experimentation, sponsoring essay contests, and collaborative projects between societies.
Scientific and Popular Publications
Academies and societies served to disseminate Enlightenment science by publishing the scientific works of their members, as well as their proceedings. With the exception of the Philosophical Transactions of the Royal Society by the Royal Society of London—which was published on a quarterly basis, publication schedules were typically irregular, with periods between volumes sometimes lasting years. These and other limitations of academic journals left considerable space for the rise of independent periodicals, which excited scientific interest in the general public. While the journals of the academies primarily published scientific papers, independent periodicals were a mix of reviews, abstracts, translations of foreign texts, and sometimes derivative, reprinted materials. Most of these texts were published in the local vernacular, so their continental spread depended on the language of the readers. For example, in 1761, Russian scientist Mikhail Lomonosov correctly attributed the ring of light around Venus, visible during the planet’s transit, as the planet’s atmosphere. However, because few scientists understood Russian outside of Russia, his discovery was not widely credited until 1910. With a wider audience and ever-increasing publication material, specialized journals emerged, reflecting the growing division between scientific disciplines in the Enlightenment era.
The Philosophical Transactions was established in 1665 as the first journal in the world exclusively devoted to science. It is still published by the Royal Society, which also makes it the world’s longest-running scientific journal. The use of the word “Philosophical” in the title refers to “natural philosophy,” which was the equivalent of what would now be generally called science.
Although dictionaries and encyclopedias have existed since ancient times, they evolved from simply a long list of definitions to detailed discussions of those words in 18th-century encyclopedic dictionaries. The works were part of an Enlightenment movement to systematize knowledge and provide education to a wider audience than the educated elite. As the 18th century progressed, the content of encyclopedias also changed according to readers’ tastes. Volumes tended to focus more strongly on secular affairs, particularly science and technology, rather than on matters of theology. For example, Denis Diderot and Jean le Rond d’Alembert’s Encyclopaedia has many entries which describe the sciences and crafts in detail. The massive work was arranged according to a “tree of knowledge.” The tree reflected the marked division between the arts and sciences, largely a result of the rise of empiricism. Both areas of knowledge were united by philosophy, the trunk of the tree of knowledge.
Science and the Public
During Enlightenment, the discipline of science began to appeal to a consistently growing audience. An increasingly literate population seeking knowledge and education in both the arts and the sciences drove the expansion of print culture and the dissemination of scientific learning. The British coffeehouse is an early example of this phenomenon, as their establishment created a new public forum for political, philosophical, and scientific discourse. In the mid-16th century, coffeehouses cropped up around Oxford, where the academic community began to capitalize on the unregulated conversation the coffeehouse allowed. The new social space was used by some scholars as a place to discuss science and experiments outside the laboratory of the official institution. Education was a central theme, and some patrons began offering lessons to others. As coffeehouses developed in London, customers heard lectures on scientific subjects such as astronomy and mathematics for an exceedingly low price.
Public lecture courses offered scientists unaffiliated with official organizations a forum to transmit scientific knowledge and their own ideas, leading to the opportunity to carve out a reputation and even make a living. The public, on the other hand, gained both knowledge and entertainment from demonstration lectures. Courses varied in duration from one to four weeks to a few months or even the entire academic year and were offered at virtually any time of day. The importance of the lectures was not in teaching complex scientific subjects, but rather in demonstrating the principles of scientific disciplines and encouraging discussion and debate. Barred from the universities and other institutions, women were often in attendance at demonstration lectures and constituted a significant number of auditors.
Increasing literacy rates in Europe during the Enlightenment enabled science to enter popular culture through print. More formal works included explanations of scientific theories for individuals lacking the educational background to comprehend the original scientific text. The publication of Bernard de Fontenelle’s Conversations on the Plurality of Worlds (1686) marked the first significant work that expressed scientific theory and knowledge expressly for the laity, in the vernacular and with the entertainment of readers in mind. The book specifically addressed women with an interest in scientific writing and inspired a variety of similar works written in a discursive style. These were more accessible to the reader than complicated articles, treatises, and books published by the academies and scientists.
Science and Gender
During the Enlightenment, women were excluded from scientific societies, universities, and learned professions. They were educated, if at all, through self-study, tutors, and by the teachings of more open-minded family members and relatives. With the exception of daughters of craftsmen, who sometimes learned their fathers’ professions by assisting in the workshop, learned women were primarily part of elite society. In addition, women’s inability to access scientific instruments (e.g., microscope) made it difficult for them to conduct independent research.
Despite these limitations, many women made valuable contributions to science during the 18th century. Two notable women who managed to participate in formal institutions were Laura Bassi and the Russian Princess Yekaterina Dashkova. Bassi was an Italian physicist who received a PhD from the University of Bologna and began teaching there in 1732. Dashkova became the director of the Russian Imperial Academy of Sciences of St. Petersburg in 1783. Her personal relationship with Empress Catherine the Great allowed her to obtain the position, which marked in history the first appointment of a woman to the directorship of a scientific academy. More commonly, however, women participated in the sciences as collaborators of their male relative or spouse. Others became illustrators or translators of scientific texts.
For example, Marie-Anne Pierette Paulze worked collaboratively with her husband, Antoine Lavoisier. Aside from assisting in Lavoisier’s laboratory research, she was responsible for translating a number of English texts into French for her husband’s work on the new chemistry. Paulze also illustrated many of her husband’s publications, such as his Treatise on Chemistry (1789).
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:10_The_Coffee_House.JPG
The Coffee House by Rita Greer, Rita Greer, FAL, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-age-of-enlightenment/
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2025-03-18T00:36:53.573768
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Mercantilism, Capitalism, and Adam Smith
Overview
Mercantilism, Capitalism, and Adam Smith
This Scottish philosopher applied the principles of the Scientific Revolution to the study of economic activity at a time when the Market Revolution was transforming European society.
Learning Objectives
- Discuss Adam Smith and the principles of capitalism.
- Compare and contrast mercantilism and capitalism.
Key Terms / Key Concepts
science of man: a topic in David Hume’s 18th century experimental philosophy A Treatise of Human Nature (1739), which expanded the understanding of facets of human nature, including senses, impressions, ideas, imagination, passions, morality, justice, and society
Joint stock company: a corporation organized by merchant capitalists who pooled their financial resources (their capital) with other capitalists and decreased their personal liability (Each merchant-capitalist owned a share or stock in these companies.)
Laissez-faire: an economic concept advocated by Adam Smith in Wealth of Nations (1776), which maintained that governments should not interfere in the economy and the law of supply and demand, but should instead adopt a “hands-off” (laissez-faire) approach to the economy
The Market Revolution and Adam Smith
When Adam Smith published Wealth of Nations in 1776, Smith's homeland, Scotland and much of the world was experiencing rapid change due to the Market Revolution. Since the period when the first complex cultures arose in ancient Mesopotamia around 4000 BCE, roughly 90% of the population in complex cultures had worked as farmers and lived in the countryside. The Market Revolution effectively transformed how people earned a living and where they lived. Due to this revolution, the percentage of people in such societies engaged in agriculture declined over a relatively brief period, while the percentage of people employed in trade and industry and living in towns and cities dramatically increased. This revolution began in Western Europe in the mid-18th century and over the next century spread across the Atlantic to North America. By 1900 in the United States, the largest economy in the world by this point, just over 50% of the population lived in cities and worked in trade and industry. This revolution resulted from the tremendous growth of markets and capitalism in the 18th century, but this forward momentum had initially begun with the development of new trade networks due to the Age of Discovery.
Causes of the Market Revolution
The Market Revolution that began in the mid-18th century had its origins in a population growth surge during that century, which resulted in a huge demand for goods and services. The development of trade networks and an expanding money economy in previous centuries due to the Age of Discovery made it possible for merchant capitalists to supply this ever-rising demand for goods. The Scientific Revolution provided a means for these suppliers to create and apply new technology to produce and transport these goods. Finally, beginning in the 18th century, the burning of a "fossil fuel"—coal—provided an abundant source of energy to fuel all this new technology.
The population increase in the 18th century coincided with the end of the Little Ice Age. Rising global temperatures in this century led to longer growing seasons and larger food harvests, which in turn resulted in a general population that was better nourished and least likely to fall victim to epidemic diseases. Increases in food production also improved the nutritional levels of children, who were, consequently, more likely to survive childhood and reach adulthood. Nutritional levels in this century were also higher across Europe due to the introduction of the New World crops: maize and potatoes. Potatoes are rich in nutrients and require less land than wheat to grow the same amount of food. In Europe in the 18th and 19th centuries potatoes quickly became a staple in the diet of the working classes. In rural Western Europe and Ireland in particular, the introduction of potatoes actually lowered the marriage age from the mid to late 20s to the late teens and early 20s. A young couple could marry at a younger age since, with the potatoes, they didn't need as much land to raise enough food to support themselves and their children. The lowering of the age of marriage increased the childbearing years for women and, thereby, further increased the rate of population growth.
The population increases of the 18th century stimulated the demand for goods. By this time a flourishing market economy was already in place to meet this demand. The Age of Discovery resulted in the development of new trade routes because the upper classes in Europe desired exotic luxury goods. People raised their social status by purchasing and consuming this type of good. To meet this demand, merchants traveled to distant lands to acquire these goods, which included tea, coffee, sugar, tobacco, spices, and cocoa, silk, and porcelain. Since travel to such places as China, India, and the New World was expensive, as well as dangerous and risky, merchant capitalists pooled their financial resources (their capital) with other capitalists and decreased their personal liability by forming joint stock companies. Each merchant-capitalist owned a share or stock in these companies. The largest of these companies—the English East India Company and the Dutch East India Company—monopolized trade with India and the East Indies (modern Indonesia). Joint stock companies also financed the foundation of new colonies, such as the Virginia Company that founded Jamestown in 1607 in Virginia—the first successful English colony in the New World. Colonies in the New World also produced luxury goods for European markets. Portuguese Brazil and French Haiti produced sugar, while the English colony of Virginia raised tobacco for customers in Europe.
In these New World colonies, imported African slaves labored on sugar and tobacco plantations to raise these cash crops. The high demand for African slaves to work on these plantations was a key factor in the development of trade across the Atlantic Ocean in a commercial system known as the Triangle Trade, which involved the colonies in the New World, as well as Europe and Africa. By the 18th century, American merchants from the northern English colonies, such as New York and Massachusetts, were also involved in this trade network. These merchants traveled to the sugar plantations on the Caribbean Islands and exchanged corn, wheat, and timber for sugar, which they then transported across the Atlantic, often in the form of rum, and sold in England in exchange for manufactured goods. American merchants sold these manufactured wares to the colonists back home or traveled to Africa to exchange these goods for slaves to sell in the colonies.
Beginning in the 16th century, the influx of gold and silver into Europe from the Mexico and Peru provided the precious metals for use as currency to facilitate these increases in commercial transactions. By the end of the 17th century, however, there were shortages of these precious metals due to enormous demand. In 1690 in the American colony of Massachusetts, the local government resolved this problem by chartering a bank that had the authority to print paper money. In the American colonies the shortage of metallic currency was severe, so the bank backed up its printed currency (a bill of credit) with the monetary value of their investors’ land. Consumers could use these bills of credit issued by the bank as cash (legal tender) in commercial transactions. In 1694 the English government chartered the Bank of England, which had the authority to issue paper currency (banknotes), that were backed by their investors. In the 18th century, the great success of this bank allowed the British government to borrow huge sums from this bank to cover the cost of the Seven Years War. The expansion of trade and the money supply through the 18th century generated tremendous profits, which were used to invest in new technology for the manufacture and transport of goods, as demand for goods continued to grow. The joint stock companies provided a means for investors to pool their resources for these new investments.
The Scientific Revolution and the Enlightenment not only stirred up enthusiasm for new scientific discoveries, but also interest in new technology and industrial processes that could raise people's standards of living and promote "progress." Benjamin Franklin, for example, not only conducted scientific experiments regarding electricity, but he also was a famous inventor of the wood burning "Franklin" stove and bifocals. The scientific method could also serve as a means to invent and test new technology. Capitalist entrepreneurs and inventors employed the scientific method to find new ways to improve agricultural productivity or improve the efficiency of an industrial operation. For example, Englishman Josiah Wedgewood (1730 – 1795) was constantly looking to improve the designs of his pottery and improve the efficiency of production. He had each of his workers specialize in just one aspect of the pottery production process, so that the finished product was the collaborative work of all the workers. Wedgewood was both an innovator and successful businessman. His personal fortune upon his death was just over $264 million in today's currency.
The 18th century also witnessed the growth of the coal industry. The development of the steam engine provided a way to transform the burning of coal into energy that could power new technology. In the 18th century in England population growth created a huge demand for wood to burn for heat and for cooking, but the forests of England could not provide enough wood to meet this demand. Consequently, people turned to burning coal for heat and for cooking. However, miners had to remove coal from the ground in mines, and miners constantly found their way blocked by groundwater. In 1712 an English hardware salesman, Thomas Newcomen (1664 – 1729), set up the first primitive steam engine to pump water out of a mine. A Scottish inventor, James Watt (1736 – 1819) worked to improve upon this steam engine and make it work more efficiently. Watt's labors paid off with his invention of a new and improved steam engine by 1769. Industrialists quickly discovered that they could use Watt's steam engine to power their machines and improve production. Due to this steam engine, industrialists didn't have to depend on unreliable streams or rivers or wind to power watermills and windmills for their factories. Instead, they could set up their manufacturing business anywhere they desired and employ the steam engine to power their factories.
The Enlightenment and the Social Sciences
Enlightenment thinkers of the 19th century used their analytical skills to examine their societies as these rapid changes took place. David Hume (1711 – 1776) and other Scottish Enlightenment thinkers developed a science of man that was expressed historically in works by authors including James Burnett, Adam Ferguson, John Millar, and William Robertson, all of whom merged a scientific study of how humans behaved in prehistoric and ancient cultures with a strong awareness of the determining forces of modernity. Against philosophical rationalists, Hume held that passion rather than reason governs human behavior and argued against the existence of innate ideas, positing that all human knowledge is ultimately founded solely in experience. According to Hume, genuine knowledge must either be directly traceable to objects perceived in experience or result from abstract reasoning about relations between ideas derived from experience. Modern sociology largely originated from this “science of man” movement.
One of the most influential thinkers of the Scottish Enlightenment was Adam Smith (1723 – 1790). He published The Wealth of Nations in 1776, which is often considered the first work on modern economics. It had an immediate impact on economic policy that continues into the 21st century. The book was directly preceded and influenced by Anne-Robert-Jacques Turgot and Baron de Laune’s drafts of Reflections on the Formation and Distribution of Wealth (Paris, 1766). Smith acknowledged indebtedness to this work and may have been its original English translator.
Adam Smith
Adam Smith employed empirical observation to the study of economics, which concerns knowledge related to the production and distribution of wealth. Just as Isaac Newton identified certain laws that govern the operation of the physical world, Smith recognized laws that also govern human activity, such as the exchange of goods. According to Smith, the prices for goods that are involved in commercial exchanges should be determined by the law of supply and demand. High demand for a good and low supply results in a higher price for that good, while low demand and high supply results in a lower price. According to Smith, when the law of supply and demand freely operates in a market economy, the generation of ever greater levels of wealth occurs, a process that he referred to as the “invisible hand.”
Smith was strongly opposed to the policies of mercantilism that were practiced by European states in his day. Governments through these policies were using the coercive power of the state to set prices artificially by not allowing the law of supply and demand to operate freely, as it should in a market economy. For example, these governments placed high custom duties on certain imported goods, which inflated the price of these goods for consumers. These consumers would thus purchase goods that were produced locally that were cheaper rather than the more expensive goods imported from abroad. The goal of mercantilism was for the state to accumulate precious metals, and the purchase of imported goods drew these precious metals away from the state.
Smith also objected to the government practice of granting trading monopolies to companies, such as the monopoly enjoyed by the English East India Company. Smith also opposed the granting of monopolies to certain guilds for control of trade or manufacturing of goods. Such monopolies, according to Smith, enabled these entities to set prices for goods in violation of the law of supply and demand, since they artificially controlled supply due to the government mandate. Smith maintained that governments should not interfere in this manner with the law of supply and demand. They should instead adopt a “hands-off” (laissez-faire) approach to the economy. Consequently, the “invisible hand” of the free market would allow for the expansion of wealth as people were free to purchase and sell private property at prices set by the law of supply and demand. In the centuries after Smith published the Wealth of Nations, capitalists have embraced Smith’s advocacy for free markets and laissez-faire government policies. In the 19th and 20th centuries, for example, proponents of Smith’s “Classical Economics” maintained that the formation of trade unions and a government set minimum wage interfered with free markets and were a threat to economic progress.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:AdamSmith.jpg
Adam Smith - Etching created by Cadell and Davies (1811), John Horsburgh (1828) or R.C. Bell (1872)., Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-age-of-enlightenment/
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oercommons
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2025-03-18T00:36:53.596934
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/87909/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
"author": null
}
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https://oercommons.org/courseware/lesson/87910/overview
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The Agricultural and Industrial Revolutions
Overview
The Agricultural Revolution
The Agricultural Revolution was the unprecedented increase in agricultural production in Britain between the mid-17th and late 19th centuries. It preceded the Industrial Revolution and is often considered one of its causes. The Agricultural Revolution was linked to such new agricultural practices as crop rotation, selective breeding, and more productive use of arable land.
Learning Objectives
Examine the foundations of the Agricultural Revolution in Britain.
Analyze the social and technological impact of the Agricultural Revolution on the British classes.
Key Terms / Key Concepts
Agricultural Revolution: a period of agricultural reform in England that produced numerous technological inventions and techniques
Enclosure: The process that ended traditional rights on common land and restricted land use to the property owner
General Enclosure Act of 1801: an early piece of English legislature sanctioning the practice of enclosure
Threshing machine: a piece of farm equipment that separates grain seeds from stalks and hulls
The Agricultural Revolution
Background
The Agricultural Revolution was the unprecedented increase in agricultural production in Britain due to increases in labor and land productivity between the mid-17th and late 19th centuries. Agricultural output grew faster than the population over the century up until 1770; thereafter productivity remained among the highest in the world. This increase in the food supply contributed to the rapid growth of population in England and Wales, from 5.5 million in 1700 to over 9 million by 1801, and domestic production gave way to food imports in the 19th century as population more than tripled to over 32 million. The rise in productivity accelerated the decline of the agricultural share of the labor force, adding to the urban workforce on which industrialization depended. The Agricultural Revolution has, therefore, been cited as a cause of the Industrial Revolution. However, historians also continue to dispute whether the developments leading to the unprecedented agricultural growth can be seen as “a revolution,” since the growth was, in fact, a result of a series of significant changes over a long period of time. Consequently, the question of when exactly such a revolution took place and of what it consisted remains open.
Crop Rotation and New Industrial Tools
One of the most important innovations of the Agricultural Revolution was the development of the Norfolk four-course rotation, which greatly increased crop and livestock yields by improving soil fertility and reducing fallow.
Crop rotation is the practice of growing a series of dissimilar types of crops in the same area in sequential seasons to help restore plant nutrients and mitigate the build-up of pathogens and pests that often occurs when one plant species is continuously cropped. Rotation can also improve soil structure and fertility by alternating deep-rooted and shallow-rooted plants. The Norfolk System rotates crops so that different crops are planted with the result that different kinds and quantities of nutrients are taken from the soil as the plants grow. An important feature of the Norfolk four-field system was that it used labor at times when demand was not at peak levels.
Townshend is often mentioned—together with Jethro Tull, Robert Bakewell, and others—as a major figure in England’s Agricultural Revolution, contributing to the adoption of agricultural practices that supported the increase in Britain’s population between 1700 and 1850.
An important factor of the Agricultural Revolution was the invention of new tools and advancement of old ones, including the plough, seed drill, and threshing machine, to improve the efficiency of agricultural operations.
The mechanization and rationalization of agriculture was a key factor of the Agricultural Revolution. New tools were invented and old ones perfected to improve the efficiency of various agricultural operations.
In his 1731 publication, Jethro Tull described how the motivation for developing the seed drill arose from conflict with his servants. He struggled to enforce his new methods upon them, in part because they resisted the threat to their position as laborers and skill with the plough. He also invented machinery for the purpose of carrying out his system of drill husbandry, about 1733. His first invention was a drill-plow to sow wheat and turnip seed in drills, three rows at a time.
A threshing machine or thresher is a piece of farm equipment that threshes grain: removes the seeds from the stalks and husks by beating the plant to make the seeds fall out. Before such machines were developed, threshing was done by hand with flails and was very laborious and time-consuming, requiring about one-quarter of agricultural labor by the 18th century. Mechanization of this process removed a substantial amount of drudgery from farm labor. The first threshing machine was invented circa 1786 by the Scottish engineer Andrew Meikle, and the subsequent adoption of such machines was one of the earlier examples of the mechanization of agriculture.
Eighteenth-Century Threshing Machine.
The Enclosure Acts
Enclosure is the process that ended traditional rights on common land formerly held in the open field system and restricted the use of land to the owner; Enclosure is one of the causes of the Agricultural Revolution and a key factor behind the labor migration from rural areas to gradually industrializing cities.
Background: Common Land
Common land is owned collectively by a number of persons, or by one person with others holding certain traditional rights, such as to allow their livestock to graze upon it, to collect firewood, or to cut turf for fuel. A person who has a right in or over common land jointly with others is called a commoner. Originally in medieval England, the common was an integral part of the manor and thus part of the estate held by the lord of the manor under a feudal grant from the Crown or a superior peer, who in turn held his land from the Crown, which owned all land. This manorial system granted rights of land use to different classes. A commoner would be the person who, for a time, occupied a particular plot of land.
Enclosure
Most of the medieval common land of England was lost due to enclosure. In English social and economic history, enclosure was the process that ended traditional rights, such as mowing meadows for hay or grazing livestock on common land formerly held in the open field system. Once enclosed, these uses of the land became restricted to the owner and the land ceased to be for the use of commoners. Under enclosure, such land was fenced (enclosed) and deeded or entitled to one or more owners. The process of enclosure became a widespread feature of the English agricultural landscape during the 16th century. By the 19th century, unenclosed commons were largely restricted to large areas of rough pasture in mountainous places and relatively small residual parcels of land in the lowlands.
Implementation of the Acts
The more productive enclosed farms meant that fewer farmers were needed to work the same land, leaving many villagers without land and grazing rights. Many moved to the cities in search of work in the emerging factories of the Industrial Revolution. Others settled in the English colonies. English Poor Laws were enacted to help these newly poor. Some practices of enclosure were denounced by the Church and legislation was drawn up against it. However, the large, enclosed fields were needed for the gains in agricultural productivity from the 16th to 18th centuries. This controversy led to a series of government acts, culminating in the General Enclosure Act of 1801, which sanctioned large-scale land reform.
The Act of 1801 was one of many parliamentary enclosures that consolidated strips in the open fields into more compact units and enclosed much of the remaining pasture commons or wastes. Parliamentary enclosures usually provided commoners with some other land in compensation for the loss of common rights, although the “other land” was often of poor quality and limited extent. They were also used for the division and privatization of common “wastes” (in the original sense of uninhabited places), such as fens, marshes, heathland, downland, and moors.
Consequences
The primary benefits to large land holders came from the increased value of their own land, not from expropriation. Smaller holders could sell their land to larger ones for a higher price, post enclosure. Protests against parliamentary enclosures continued, sometimes also in Parliament, frequently in the villages affected, and sometimes as organized mass revolts. Enclosed land was twice as valuable, as a higher price could be sustained by its higher productivity. While many villagers received plots in the newly enclosed manor, for small landholders this compensation was not always enough to offset the costs of enclosure and fencing. Many historians believe that enclosure was an important factor in the reduction of small landholders in England as compared to the Continent, although others believe that this process began earlier.
Enclosure faced a great deal of popular resistance because of its effects on the household economies of smallholders and landless laborers. Common rights had included not just the right of cattle or sheep grazing but also the grazing of geese, foraging for pigs, gleaning, berrying, and fuel gathering. During the period of parliamentary enclosures, employment in agriculture did not fall but failed to keep pace with the growing population. Consequently, large numbers of people left rural areas to move into the cities where they became laborers in the Industrial Revolution.
Enclosure is considered one of the causes of the British Agricultural Revolution. Enclosed land was under the control of the farmer, who was free to adopt better farming practices. There was widespread agreement in contemporary accounts that profit-making opportunities were better with enclosed land. Following enclosure, crop yields and livestock output increased while at the same time productivity increased enough to create a surplus of labor. The increased labor supply is considered one of the factors facilitating the Industrial Revolution.
Effects and Significance of the Agricultural Revolution
The increase in agricultural production and technological advancements during the Agricultural Revolution contributed to unprecedented population growth and new agricultural practices, triggering such phenomena as rural-to-urban migration, the development of a coherent and loosely regulated agricultural market, and the emergence of capitalist farmers.
The Agricultural Revolution proved to be a major turning point, allowing the population to far exceed earlier peaks and sustain the country’s rise to industrial preeminence. During the nineteenth century, improved technology helped agriculture output soar not only in England but also throughout much of Europe and North America. England’s position as the leading industrial-agricultural nation eroded as European countries experienced their own agricultural revolutions, raising grain yields on average by 60% in the century preceding World War I. Interestingly, the Agricultural Revolution in Britain did not result in overall productivity per hectare of agriculture that would rival productivity in China, where intensive cultivation (including multiple annual cropping in many areas) had been practiced for many centuries. Towards the end of the 19th century, the substantial gains in British agricultural productivity were rapidly offset by competition from cheaper imports, which were made possible by the exploitation of colonies and advances in transportation, refrigeration, and other technologies.
The Industrial Revolution: The Transportation Revolution
The Industrial Revolution is recognized as the beginning of modern, Western culture. Characterized by improved technology and the rise of factories, it created a profound impact not only in England, where it began but also across much of western Europe and North America. One of the hallmarks of the Industrial Revolution is the "Transportation Revolution" which saw the mass development of canals and railways.
Learning Objectives
- Examine the technology of the Transportation Revolution
- Evaluate how technological developments affected British society
Key Terms / Key Concepts
Canal: human-made waterway used as a primary mode of transportation in the early years of the Industrial Revolution
Steam Locomotive: rail vehicle that emerged as the most efficient and prominent form of transportation in England during the Industrial Revolution
Salamanca: First successful steam locomotive
Background
As enclosure deprived many of access to land or left farmers with plots too small and of poor quality, increasing numbers of workers had no choice but migrate to the city.
While the improved agricultural productivity freed up workers to other sectors of the economy, it took decades of the Industrial Revolution and industrial development to trigger a truly mass rural-to-urban labor migration. As food supplies increased and stabilized and industrialized centers moved into place, cities began to support larger populations, sparking the beginning of rural flight on a massive scale. The development and advancement of tools and machines decreased the demand for rural labor. That together with increasingly restricted access to land forced many rural workers to migrate to cities, eventually supplying the labor demand created by the Industrial Revolution.
The Canals
The British canal system of water transport played a vital role in the Industrial Revolution at a time when roads were only just emerging from the medieval mud and long trains of packhorses were the only means of more easily accessible transit of raw materials and finished products. The building of canals dates to ancient times, but in Britain, the modern canal network came into being because the Industrial Revolution demanded an economic and reliable way to transport goods and commodities in large quantities.
Big canals began to be built in the 18th century to link the major manufacturing centers across the country. Known for its huge commercial success, the Bridgewater Canal in northwest England opened in 1761. The Bridgewater Canal is often considered to be the first “true” canal in England. Its success helped inspire a period of intense canal building in Britain, known as Canal Mania.
By the 1820s a national canal network—the first in the world—was in existence. The system proved highly successful. The canal boats could carry thirty tons at a time with only one horse pulling, which was more than ten times the amount of cargo per horse that was possible with a cart. It was this huge increase in supply that contributed to the reduction of the price of coal.
The last major canal to be built in Britain was the Manchester Ship Canal, which upon opening in 1894 was the largest ship canal in the world and opened Manchester as a port. However, it never achieved the commercial success its sponsors had hoped for and signaled that canals were a dying mode of transport. From about 1840, railways began to threaten canals. They could not only carry more than the canals but also could transport people and goods far more quickly than the walking pace of the canal boats. Most of the investment that had previously gone into canal building was diverted into railway building.
The First Locomotives and Early Railways
As a result of advancements in metallurgy and steam power technology during the Industrial Revolution, horse-drawn wagonways were replaced by steam locomotives, making Britain the first country in the world with modern railways.
Steam Locomotives
The first commercially successful steam locomotive was the twin-cylinder Salamanca, designed by in 1812 by Matthew Murray using John Blenkinsop’s patented design for rack propulsion for the Middleton Railway. Blenkinsop believed that a locomotive light enough to move under its own power would be too light to generate sufficient adhesion, so he designed a rack-and-pinion railway for the line.
In 1821 an Act of Parliament was approved for a tramway between Stockton and Darlington. It opened in 1825. The first train was hauled by Stephenson’s locomotive at speeds of 12 to 15 miles per hour. Four locomotives were constructed and were effectively beam engines on wheels with vertical cylinders.
Railways
The development of the railways, starting in the 1830s, transformed the economy and society by creating powerful railway companies, attracting massive investments, advancing industries, transforming human migration patterns, and even changing people’s daily diet.
The Liverpool and Manchester Railway (L&MR), which opened in 1830 between the Lancashire towns of Liverpool and Manchester, was not the first railway; it was, however, the first one to rely exclusively on steam power, with no horse-drawn traffic permitted at any time; the first to be entirely double track throughout its length; the first to have a signaling system; the first to be fully timetabled; the first to be powered entirely by its own motive power; and the first to carry mail. As such, it revolutionized transportation and paved the way for the phenomenal development of railways that would soon take over the world.
All the railways were promoted by commercial interests. Railway directors often had important political and social connections and used them to their companies’ advantages. Furthermore, aristocrats with established connections in London were especially welcome on the corporate boards. The aristocrats saw railway directorships as a socially acceptable form of contact with the world of commerce and industry.
The railways had a sizable impact on many spheres of economic activity. The building of railways and locomotives, for example, called for large quantities of heavy materials and thus provided significant stimulus to the coal mining, iron-production, engineering, and construction industries. The railways also helped reduce transaction costs, which in turn lowered the costs of goods. The distribution and sale of perishable goods, such as meat, milk, fish, and vegetables, was transformed; this gave rise not only to cheaper products in the stores but also to far greater variety in people’s diets.
The railways were also a significant force for the changing patterns of human mobility. Rail transport had originally been conceived as a way of moving coal and industrial goods, but the railway operators quickly realized the potential for market for railway travel, leading to an extremely rapid expansion in passenger services. The number of railway passengers tripled in just eight years between 1842 and 1850. Traffic volumes roughly doubled in the 1850s and then doubled again in the 1860s. In the words of historian Derek Aldcroft, “In terms of mobility and choice [the railways] added a new dimension to everyday life.”
The legacy of Railway Mania can still be seen today with the duplication of some routes and cities possessing several stations on the same or different lines, sometimes with no direct connection between them. The best example of this is London, which has no fewer than twelve main line terminal stations, serving its dense and complex suburban network; this is basically the result of the many railway companies that were competing to run their routes in the capital during the mania.
The Industrial Revolution: The Factory System and Technology
The Factory System, a system of mechanized workers and innovative technology, remains prominent in the memory of the Industrial Revolution. This development transformed British society and much of the western world. No longer was England a quiet, rural society. With the rise of the factory system, England emerged as an urbanized society.
Learning Objectives
- Examine the development of the factory system and technology
- Evaluate the pros and cons of the factory system for different classes
Key Terms / Key Concepts
Textile: cloth products produced through weaving, knitting, and crocheting
putting-out system: nineteenth-century way to subcontract labor
spinning jenny: multi-spindle spinning frame used widely in the Industrial Revolution
Richard Arkwright: English inventor who developed the spinning frame, water frame, and often called the “Father” of the Factory System
flying shuttle: device that allows for faster, wider weaving
James Hargreaves: English inventor of the spinning jenny
James Watt: Successful inventor of the steam engine
Eli Whitney: inventor of the cotton gin
Calico Acts: series of nineteenth-century English laws prohibiting the importation of cotton products and restricting their sale
Factory System: a system of labor that divides labor sources and uses machinery extensively
Truck System: A system in the early part of the Industrial Revolution that forced workers to accept wages in-kind
Early British Textile Industry
The British textile industry drove the Industrial Revolution, triggering advancements in technology, stimulating the coal and iron industries, boosting raw material imports, and improving transportation, which made Britain the global leader of industrialization, trade, and scientific innovation.
Pre-Industrial Textile Industry
In the early 18th century, the British government passed two Calico Acts to protect the domestic wool industry from the increasing amounts of cotton fabric imported from its competitors in India. On the eve of the Industrial Revolution, spinning and weaving were still done in households, for domestic consumption, and as a cottage industry. Occasionally the work was done in the workshop of a master weaver. Under the putting-out system, home-based workers produced under contract to merchant sellers, who often supplied the raw materials. In the off-season the women, typically farmers’ wives, did the spinning and the men did the weaving. Using the spinning wheel, it took anywhere from four to eight spinners to supply one handloom weaver.
Industrial Revolution and Textiles
Textiles have been identified as the catalyst of technological changes. The application of steam power stimulated the demand for coal. The demand for machinery and rails stimulated the iron industry. The demand for transportation to move raw material in and finished products out stimulated the growth of the canal system, and (after 1830) the railway system. The introduction of steam power fueled primarily by coal, wider utilization of water wheels, and powered machinery in textile manufacturing underpinned the dramatic increases in production capacity. The development of all-metal machine tools in the first two decades of the 19th century facilitated the manufacture of more production machines for manufacturing in other industries. The effects spread throughout Western Europe and North America during the 19th century, eventually affecting most of the world.
The invention of the flying shuttle by John Kay enabled wider cloth to be woven faster and created a demand for yarn that could not be fulfilled. Thus, the major technological advances associated with the Industrial Revolution were concerned with spinning. James Hargreaves created the spinning jenny, a device operated by hand that could perform the work of a number of spinning wheels. However, Richard Arkwright invented the water frame, which could be powered by the water wheel. Arkwright is credited with the widespread introduction of the factory system in Britain and is the first example of a successful mill owner and industrialist in British history. The water frame was, however, soon supplanted by the spinning mule (a cross between a water frame and a jenny) invented by Samuel Crompton. Mules were later constructed in iron.
The steam engine was invented and became a power supply that soon surpassed waterfalls and horsepower. The first practicable steam engine was invented by Thomas Newcomen and was used for pumping water out of mines. A much more powerful steam engine was invented by James Watt. It had a reciprocating engine capable of powering machinery. The first steam-driven textile mills began to appear in the last quarter of the eighteenth century, greatly contributing to the appearance and rapid growth of industrial towns.
The progress of the textile trade soon outstripped the original supplies of raw materials. By the turn of the nineteenth century, imported American cotton had replaced wool in northwest England, although wool remained the chief textile in Yorkshire.
Such an unprecedented degree of economic growth was not sustained by domestic demand alone. The application of technology and the factory system created the levels of mass production and cost efficiency that enabled British manufacturers to export inexpensive cloth and other items worldwide. Britain’s position as the world’s preeminent trader helped fund research and experimentation. Further, some have stressed the importance of natural or financial resources that Britain received from its many overseas colonies or that profits from the British slave trade between Africa and the Caribbean helped fuel industrial investment.
The British textile industry triggered tremendous scientific innovation, resulting in such key inventions as the flying shuttle, spinning jenny, water frame, and spinning mule. These greatly improved productivity and drove further technological advancements that turned textiles into a fully mechanized industry.
Early Developments
During the second half of the seventeenth century, the newly established factories of the East India Company in South Asia started to produce finished cotton goods in quantity for the UK market. The imported calico and chintz garments competed with and acted as a substitute for indigenous wool and linen produce. That resulted in local weavers, spinners, dyers, shepherds, and farmers petitioning the Parliament to request a ban on the import and later the sale of woven cotton goods. They eventually achieved their goal via the 1700 and 1721 Calico Acts. The acts banned the import and later the sale of finished pure cotton products, but they did not restrict the importation of raw cotton or the sale or production of fustian (a cloth with flax warp and cotton weft).
Mechanization of the Textile Industry
With Cartwright’s loom, the spinning mule, and Boulton and Watt’s steam engine, the pieces were in place to build a mechanized textile industry. From this point there were no new inventions, but there was a continuous improvement in technology as the mill-owner strove to reduce cost and improve quality.
Developments in the transport infrastructure such as the canals and, after 1830, the railways, facilitated the import of raw materials and export of finished cloth.
Export Technology
While profiting from expertise arriving from overseas, Britain was very protective of home-grown technology. Engineers with skills in constructing the textile mills and machinery were not permitted to emigrate—particularly to fledgling America. However, Samuel Slater, an engineer who had worked as an apprentice to Arkwright’s partner Jedediah Strutt, evaded the ban. In 1789, he took his skills in designing and constructing factories to New England and was soon engaged in reproducing the textile mills that helped America with its own industrial revolution. Local inventions followed. In 1793, Eli Whitney invented and patented the cotton gin, which sped up the processing of raw cotton by over 50 times. With a cotton gin a man could remove seed from as much upland cotton in one day as would have previously taken a woman working two months to process at one pound per day.
The Factory System
The factory system, fueled by technological progress, made production much faster, cheaper, and more uniform, but it also disconnected the workers from the means of production and placed them under the control of powerful industrialists.
Growth of Factories
The factory system began to grow rapidly when cotton spinning was mechanized. Richard Arkwright is credited with inventing the prototype of the modern factory. After he patented his water frame in 1769, he established Cromford Mill in Derbyshire, England, significantly expanding the village of Cromford to accommodate the migrant workers new to the area.
Between 1820 and 1850, mechanized factories supplanted traditional artisan shops as the predominant form of manufacturing institution, because the larger-scale factories enjoyed a significant technological advantage over the small artisan shops. The earliest factories under the factory system developed in the cotton and wool textiles industry. Later generations of factories included mechanized shoe production and manufacturing of machinery, including machine tools. Factories that supplied the railroad industry included rolling mills, foundries, and locomotive works. Agricultural-equipment factories produced cast-steel plows and reapers. Bicycles were mass-produced beginning in the 1880s.
Characteristics of the Factory System
The factory system, considered a capitalist form of production, differs dramatically from the earlier systems of production. First, the labor generally does not own a significant share of the enterprise. The capitalist owners provide all machinery, buildings, management and administration, and raw or semi-finished materials; additionally, owners are responsible for the sale of all products, as well as any resulting losses. The cost and complexity of machinery, especially that powered by water or steam, was more than cottage industry workers could afford or had the skills to maintain. Second, production relies on unskilled labor. Before the factory system, skilled craftsmen would usually custom-make an entire article. In contrast, factories practiced division of labor, in which most workers were either low-skilled laborers who tended or operated machinery, or unskilled laborers who moved materials and semi-finished and finished goods. Third, factories produced products on a much larger scale than in either the putting-out or crafts systems.
The factory system also made the location of production much more flexible. Before the widespread use of steam engines and railroads, most factories were located at waterpower sites and near water transportation. When railroads became widespread, factories could be located away from waterpower sites but nearer railroads. Workers and machines were brought together in a central factory complex. Although the earliest factories were usually all under one roof, different operations were sometimes on different floors. Further, machinery made it possible to produce precisely uniform components.
Workers were paid either daily wages or for piece work, either in the form of money or some combination of money, housing, meals, and goods from a company store. This process was called the truck system.
The Industrial Revolution: Social Impact and Legacies
Although the Industrial Revolution ushered in a new era of urbanization, productivity, and wealth for England, it had tremendous social effects and legacies. For the middle class, the Industrial Revolution offered opportunity and potentially higher income. But for the lower class, it brought about low wages and poor working conditions. Most of English society now worked for a boss, rather than themselves. And inside the factories, workers increasingly experienced dehumanization as wealthy factory owners viewed their employees as disposable.
Learning Objectives
- Evaluate the social impact of the Industrial Revolution on English society
Key Terms / Key Concepts
Luddites: organized, English textile workers who often protested labor conditions by destroying machinery
The Condition of the Working Class in England in 1844: book by Friedrich Engels in which he examines English workers of the Industrial Revolution
Child labor: a major component of the Industrial Revolution in which children were widely used to fill work positions considered unfit for adults
Chartism: organized movement led by English workers who advocated for improved labor conditions during the Industrial Revolution
Factory System and Society
The transition to industrialization was not without difficulty. For example, a group of English textile workers known as Luddites protested against industrialization and sometimes sabotaged factories.
Debate arose concerning the morality of the factory system, as workers complained about unfair working conditions. One of the problems concerned women’s labor. Women were always paid less than men and, in many cases, as little as a quarter of what men made. Child labor was also a major part of the system. However, in the early nineteenth century, education was not compulsory and in working families, children’s wages were seen as a necessary contribution to the family budget. Automation in the late nineteenth century is credited with ending child labor and according to many historians, it was more effective than gradually changing child labor laws. Years of schooling began to increase sharply from the end of the nineteenth century when elementary state-provided education for all became a viable concept.
One of the best-known accounts of factory workers’ living conditions during the Industrial Revolution is Friedrich Engels' The Condition of the Working Class in England In it, Engels described backstreet sections of Manchester and other mill towns where people lived in crude shanties and shacks, some not completely enclosed, some with dirt floors. These shantytowns had narrow walkways between irregularly shaped lots and dwellings. There were no sanitary facilities. The population density was extremely high. Eight to ten unrelated mill workers often shared a room with no furniture and slept on a pile of straw or sawdust. Disease spread through a contaminated water supply. By the late 1880s, Engels noted that the extreme poverty and lack of sanitation he wrote about in 1844 had largely disappeared. Since then, the historical debate on the question of the living conditions of factory workers has been very controversial. While some have pointed out that living conditions of the poor workers were tragic everywhere and industrialization, in fact, slowly improved the living standards of a steadily increasing number of workers, others have concluded that living standards for the majority of the population did not grow meaningfully until the late 19th and 20th centuries and that in many ways workers’ living standards declined under early capitalism.
Working-Class Women
Before the Mines and Collieries Act 1842, women (and children) carted tubs of coal up through the narrow mine shafts. In Wolverhampton, the law did not have much of an impact on women’s mining employment because they mainly worked above-ground at the coal mines, sorting coal, loading canal boats, and doing other surface tasks. Over time, more men than women would find industrial employment, and industrial wages provided a higher level of material security than agricultural employment. Consequently, women, who were traditionally involved in all agricultural labor, would be left behind in less-profitable agriculture. By the late 1860s, very low wages in agricultural work turned women to industrial employment.
In industrialized areas, women could find employment on assembly lines, providing industrial laundry services, or in the textile mills that sprang up during the Industrial Revolution in such cities as Manchester, Leeds, and Birmingham. Spinning and winding wool, silk, and other types of piecework were a common way of earning income by working from home, but wages were very low and hours long. Often 14 hours per day were needed to earn enough to survive. Needlework was the single highest-paid occupation for women working from home, but the work paid little and women often had to rent sewing machines that they could not afford to buy. These home manufacturing industries became known as “sweated industries.” By 1906, such workers earned about a penny an hour. Women were never paid the same wage as a man for the same work, despite the fact that they were as likely as men to be married and supporting children.
Child Labor
Although child labor was widespread prior to industrialization, the exploitation of child workforce intensified during the Industrial Revolution.
Child labor became the labor of choice for manufacturing in the early phases of the Industrial Revolution in the 18th and 19th centuries. In England and Scotland in 1788, two-thirds of the workers in a water-powered cotton mill were children. Employers paid a child less than an adult even though their productivity was comparable. There was no need for strength to operate an industrial machine and since the industrial system was completely new, there were no experienced adult laborers. Factory and mine owners preferred child labor also because they perceived the child workers’ smaller size as an advantage. In textile factories, children were desired because of their supposed “nimble fingers,” while low and narrow mine galleries made children particularly effective mine workers. Working hours were long: builders worked 64 hours a week in summer and 52 in winter, while domestic servants worked 80-hour weeks.
Organized Labor
The concentration of workers in factories, mines, and mills facilitated the development of trade unions during the Industrial Revolution. After the initial decades of political hostility towards organized labor, skilled male workers emerged as the early beneficiaries of the labor movement.
Chartism
In the later 1830s and 1840s, trade unionism was overshadowed by political activity. Of particular importance was Chartism, a working-class movement for political reform in Britain that existed from 1838 to 1858. Support for the movement was at its highest in 1839, 1842, and 1848, when petitions signed by millions of working people were presented to Parliament. The scale of support demonstrated by these petitions and the accompanying mass meetings put pressure on politicians to concede manhood suffrage. The government did not yield to any of the demands and suffrage had to wait another two decades. Chartism was popular among some trade unions, especially London’s tailors, shoemakers, carpenters, and masons. One reason was the fear of the influx of unskilled labor, especially in tailoring and shoemaking. Chartism taught techniques and political skills that inspired trade union leadership.
Legacy
The Industrial Revolution transformed England in the nineteenth century. Likewise, it set in motion a blueprint for how modern, western society should develop. Cottage industries were rendered archaic, and urbanization exploded as people moved from the countryside into the cities in search of factory work. As England industrialized, so too did their people. And in the process, they lost much of their autonomy and became cogs in England’s great industrial wheel.
Primary Source: Andrew Ure The Philosophy of Manufacturers
Andrew Ure (1835), “The Philosophy of the Manufacturers” [Abridged]
The principle of the factory system then is, to substitute mechanical science for hand skill, and the partition of a process into its essential constituents, for the division or graduation of labour among artisans. On the handicraft plan, labour more or less skilled was usually the most expensive element of production.... but on the automatic plan, skilled labour gets progressively superseded, and will, eventually, be replaced by mere overlookers of machines.
By the infirmity of human nature it happens, that the more skilful the workman, the more self-willed and intractable he is apt to become, and, of course, the less fit a component of a mechanical system, in which, by occasional irregularities, he may do great damage to the whole. The grand object therefore of the modern manufacturer is, through the union of capital and science, to reduce the task of his work-people to the exercise of vigilance and dexterity, - faculties, when concentred to one process, speedily brought to perfection in the young. In the infancy of mechanical engineering, a machine-factory displayed the division of labour in manifold gradations - the file, the drill, the lathe, having each its different workmen in the order of skill: but the dextrous hands of the filer and driller are now superseded by the planing, the key groove cutting, and the drilling-machines; and those of the iron and brass turners, by the self-acting slide-lathe....
It is, in fact, the constant aim and tendency of every improvement in machinery to supersede human labour altogether, or to diminish its cost, by substituting the industry of women and children for that of men; or that of ordinary labourers for trained artisans. In most of the water-twist, or throstle cotton-mills, the spinning is entirely managed by females of sixteen years and upwards. The effect of substituting the self-acting mule for the common mule, is to discharge the greater part of the men spinners, and to retain adolescents and children. The proprietor of a factory near Stockport states, in evidence to the commissioners, that, by such substitution, he would save 501. a week in wages in consequence of dispensing with nearly forty male spinners, at about 25s. of wages each....
From Modern History Sourcebook, Fordham University
Primary Source: Two Women Miners
Great Britain, Parliamentary Papers (1842, Vol. XV, p. 84, and ibid., Vol. XVII, p. 108), “Two Women Miners” [Abridged]
Betty Harris, age 37: I was married at 23, and went into a colliery when I was married. I used to weave when about 12 years old; can neither read nor write. I work for Andrew Knowles, of Little Bolton (Lancs), and make sometimes 7s a week, sometimes not so much. I am a drawer, and work from 6 in the morning to 6 at night. Stop about an hour at noon to eat my dinner; have bread and butter for dinner; I get no drink. I have two children, but they are too young to work. I worked at drawing when I was in the family way. I know a woman who has gone home and washed herself, taken to her bed, delivered of a child, and gone to work again under the week.
I have a belt round my waist, and a chain passing between my legs, and I go on my hands and feet. The road is very steep, and we have to hold by a rope; and when there is no rope, by anything we can catch hold of. There are six women and about six boys and girls in the pit I work in; it is very hard work for a woman. The pit is very wet where I work, and the water comes over our clog-tops always, and I have seen it up to my thighs; it rains in at the roof terribly. My clothes are wet through almost all day long. I never was ill in my life, but when I was lying in.
My cousin looks after my children in the day time. I am very tired when I get home at night; I fall asleep sometimes before I get washed. I am not so strong as I was, and cannot stand my work so well as I used to. I have drawn till I have bathe skin off me; the belt and chain is worse when we are in the family way. My feller (husband) has beaten me many a times for not being ready. I were not used to it at first, and he had little patience.
I have known many a man beat his drawer. I have known men take liberties with the drawers, and some of the women have bastards.
Patience Kershaw, age 17, Halifax: I go to pit at 5 o'clock in the morning and come out at 5 in the evening; I get my breakfast, porridge and milk, first; I take my dinner with me, a cake, and eat it as I go; I do not stop or rest at any time for the purpose, I get nothing else until I get home, and then have potatoes and meat, not every day meat.
From Modern History Sourcebook, Fordham University
Attributions
Images courtesy of Wikimedia Commons
Boundless World History
"Textile Manufacturing"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/textile-manufacturing/
"Steam Power"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/steam-power/
"Innovations in Transportation"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/innovations-in-transportation/
"Social Change"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/social-change/
"The Agricultural Revolution
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-agricultural-revolution/
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oercommons
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2025-03-18T00:36:53.669099
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https://oercommons.org/courseware/lesson/87915/overview
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The American Revolution
Overview
The American Revolution
The American Revolution can be seen as a succession of misunderstandings exacerbated by stubbornness on both sides. The 1763 Treaty of Paris, which ended the French and Indian War, set the stage for the Revolution by leaving the British empire with a large national debt, the price for obtaining New France and half of Louisiana, the French colonies in North America. Parliament proceeded to impose taxes indirectly on residents of British North America in order to reduce the debts from the British war effort. Many members of the Parliament saw these taxes as a reasonable recompence from the North American colonists for protection from the French by the British Army and Navy. The colonists came to see these taxes as violations of their rights as English subjects, specifically the right to not be taxed unless represented in Parliament. The Revolution inspired a succession of dissatisfied populations across the world through the twentieth century to initiate their own revolutions.
Learning Objective
- Analyze the causes, main events, and results of the American Revolution.
Key Terms / Key Concepts
1763 Treaty of Paris: treaty that ended the French and Indian War and paved the way for the disputes at the heart of the American Revolution
Stamp Act: indirect tax imposed on Thirteen Colonies, which helped to ignite the Revolution
Boston Massacre - 5 March 1770 confrontation between British soldiers and Bostonians, in which five Bostonians were killed, exacerbating tensions between the British government and colonists
Battles of Lexington and Concord - first battles of the Revolutionary War
George Washington - commander of the Continental Army
Common Sense - essay published in early 1776 arguing for the national independence of the Thirteen Colonies
Thomas Jefferson - author of the Declaration of Independence
Declaration of Independence: official declaration by the Second Continental Congress of the independence from the British empire of the thirteen colonies
In 1763 – 4 Parliament set the stage for the Revolution by enacting a series of taxes and regulations on the British North American colonists. The British government saw these taxes as necessary to reduce the British imperial debt, which included the cost of protecting the colonies. These acts angered a number of colonists. The Stamp Act, which imposed an indirect tax on the colonists, provoked the greatest rage. And this rage manifested itself in protests, attacks on British officials in the colonies, and economic boycotts. Parliament responded to the protests and attacks by sending more troops to restore order in the colonies, as well as to the economic boycotts by repealing the Stamp Act. Parliament’s repeal of the Stamp Act was a response to the pleas of British merchants, who were losing money as a result of the colonial boycotts. Many colonists who protested the Stamp Act mistakenly concluded that they had forced Parliament to repeal this act, which reinforced their belief that violence was the way to force Parliament to act. One group in particular, the Sons of Liberty, felt violence was the preferred reaction to British taxes and restrictions. They believed they could compel Parliament to bend to their collective will. However, violence by the Sons of Liberty, among other groups and individuals, hardened the resolve of many in Parliament to restore order in the colonies.
In 1767 Parliament imposed new indirect taxes on the colonists that would be collected outside of the colonies instead of in the colonies, thus not leaving British officials vulnerable to colonists’ attacks. Colonists renewed their protests, including more violence. The violence prompted the British government to send more troops to the Thirteen Colonies, which further enflamed the situation between the British Government and colonists angry about British government restrictions and taxes.
The presence of British troops in the colonies, there to preserve or restore order, provoked numerous incidents of violence between colonists and British soldiers. The most famous incident was the 5 March 1770 Boston Massacre, in which British soldiers fired into a group of Bostonians who had attacked the soldiers. This incident raised related issues, including where and how the soldiers involved in crimes against citizens should be tried. The results of the trials involving the British soldiers indicted for killing five Bostonians raised questions in the minds of many of colonists about being able to get justice in the British imperial court systems.
After several years of relative quiet another incident in Boston, the Boston Tea Party, ignited several events that eventually led to the outbreak of the Revolutionary War and then the Second Continental Congress’ declaration of independence for the Thirteen Colonies. Parliament responded to this protest of the 1773 Tea Act by imposing new restrictions on Massachusetts and Boston. These restrictions prompted colonial leaders to convene the First Continental Congress—the first intercolonial assembly to address the situation with the British government.
Colonists protested British actions in a variety of ways and through a variety of groups with no centralized leadership until 1774. In response to what they saw as British violations of their rights as English subjects colonists started organizing local militias and collecting arms in community arms depots. In April 1775 British troops from Boston marched on Concord, Massachusetts to confiscate the arms at a colonial arms depot; this led to fighting with Massachusetts colonial militia at Lexington and Concord, west of Boston. These Battles of Lexington and Concord mark the beginning of the Revolutionary War.
Ironically, the Revolutionary War prompted many colonists to consider national independence as the only way to protect their rights as English subjects. Support for national independence grew over the rest of 1775 and the first half of 1776, reinforced by the June 1775 Battle of Bunker Hill. The Second Continental Congress, the successor to the First Continental Congress, had convened in May 1775. Over the rest of 1775 this body created a Continental Army, named George Washington as its commander, and created a Continental Navy, before creating the U.S.
The British Army’s employment of Hessian soldiers and the early 1776 publication of Common Sense by Thomas Paine attracted more colonists to the goal of national independence. In the spring of 1776, the Second Continental Congress commissioned a committee to write the Declaration of Independence. Thomas Jefferson agreed to write it. Jefferson wrote the Declaration of Independence as a synthesis of Enlightenment ideas and English political traditions, in which he asserted the right of a people to declare independence from a government that did not serve them well. In it, he listed colonists’ complaints against the British government, embodied in the person of King George III.
The Declaration of Independence is a declaration of national independence for the Thirteen Colonies. Although it subsequently inspired a succession of movements to abolish various forms of racial, ethnic, religious, and gender discrimination, it only explicitly addressed national sovereignty. Ironically, French government assistance to the U.S. in pursuit of French imperial and strategic interests, including retaking territory lost to Britain and Spain in the French and Indian War, gained the French empire nothing and exposed people in France to revolutionary ideas that contributed to the revolution that brought down the French monarchy a little over a decade later. The ancien regime monarchy of France had hoped to regain territory lost to Britain and Spain in the 1763 Treaty of Paris that ended the French and Indian War, the British name for the North American counterpart to the Seven Years. Instead the commitment of resources, men, and ships to the U.S. cause by the French government, much more like the British government than the republican government of the U.S., exacerbated the French debt, setting off a chain of events that led to the French Revolution and, eventually, the overthrow of the French monarchy. Ultimately, the 1763 Treaty of Paris that ended the French and Indian War was the catalyst for the American and the French Revolutions, and, by extension, subsequent revolutions in the Americas, Eurasia, and Africa, among numerous other movements to eliminate various forms of discrimination all the way to the present.
The American Revolution occurred in the context of new ideas about sovereignty articulated as part of the Enlightenment. The Declaration of Independence became a model for subsequent struggles for national independence in the Americas and for personal sovereignty and constitutional government in Europe into the twentieth century. The United States’ successful achievement of national independence inspired a succession of revolutions, both successful and unsuccessful, that continue to the present time. Ironically, the Declaration of Independence was written by a slaveholder and affirmed by the Second Continental Congress, the majority of whose members were also slaveholders.
Primary Sources: Declaration of Independence
Declaration of Independence, July 4, 1776
When in the course of human events, it becomes necessary for one people to dissolve the political bands which have connected them with another, and to assume among the powers of the earth, the separate and equal station to which the laws of nature and of nature's God entitle them, a decent respect to the opinions of mankind requires that they should declare the causes which impel them to the separation.
We hold these truths to be self-evident:
That all men are created equal; that they are endowed by their Creator with certain unalienable rights; that among these are life, liberty, and the pursuit of happiness; that, to secure these rights, governments are instituted among men, deriving their just powers from the consent of the governed; that whenever any form of government becomes destructive of these ends, it is the right of the people to alter or to abolish it, and to institute new government, laying its foundation on such principles, and organizing its powers in such form, as to them shall seem most likely to effect their safety and happiness. Prudence, indeed, will dictate that governments long established should not be changed for light and transient causes; and accordingly all experience hath shown that mankind are more disposed to suffer, while evils are sufferable than to right themselves by abolishing the forms to which they are accustomed. But when a long train of abuses and usurpations, pursuing invariably the same object, evinces a design to reduce them under absolute despotism, it is their right, it is their duty, to throw off such government, and to provide new guards for their future security. Such has been the patient sufferance of these colonies; and such is now the necessity which constrains them to alter their former systems of government. The history of the present King of Great Britain is a history of repeated injuries and usurpations, all having in direct object the establishment of an absolute tyranny over these states. To prove this, let facts be submitted to a candid world.
He has refused his assent to laws, the most wholesome and necessary for the public good.
He has forbidden his governors to pass laws of immediate and pressing importance, unless suspended in their operation till his assent should be obtained; and, when so suspended, he has utterly neglected to attend to them.
He has refused to pass other laws for the accommodation of large districts of people, unless those people would relinquish the right of representation in the legislature, a right inestimable to them, and formidable to tyrants only.
He has called together legislative bodies at places unusual uncomfortable, and distant from the depository of their public records, for the sole purpose of fatiguing them into compliance with his measures.
He has dissolved representative houses repeatedly, for opposing, with manly firmness, his invasions on the rights of the people.
He has refused for a long time, after such dissolutions, to cause others to be elected; whereby the legislative powers, incapable of annihilation, have returned to the people at large for their exercise; the state remaining, in the mean time, exposed to all the dangers of invasions from without and convulsions within.
He has endeavored to prevent the population of these states; for that purpose obstructing the laws for naturalization of foreigners; refusing to pass others to encourage their migration hither, and raising the conditions of new appropriations of lands.
He has obstructed the administration of justice, by refusing his assent to laws for establishing judiciary powers.
He has made judges dependent on his will alone, for the tenure of their offices, and the amount and payment of their salaries.
He has erected a multitude of new offices, and sent hither swarms of officers to harass our people and eat out their substance.
He has kept among us, in times of peace, standing armies, without the consent of our legislatures.
He has affected to render the military independent of, and superior to, the civil power.
He has combined with others to subject us to a jurisdiction foreign to our Constitution and unacknowledged by our laws, giving his assent to their acts of pretended legislation:
For quartering large bodies of armed troops among us;
For protecting them, by a mock trial, from punishment for any murders which they should commit on the inhabitants of these states;
For cutting off our trade with all parts of the world;
For imposing taxes on us without our consent;
For depriving us, in many cases, of the benefits of trial by jury;
For transporting us beyond seas, to be tried for pretended offenses;
For abolishing the free system of English laws in a neighboring province, establishing therein an arbitrary government, and enlarging its boundaries, so as to render it at once an example and fit instrument for introducing the same absolute rule into these colonies;
For taking away our charters, abolishing our most valuable laws, and altering fundamentally the forms of our governments;
For suspending our own legislatures, and declaring themselves invested with power to legislate for us in all cases whatsoever.
He has abdicated government here, by declaring us out of his protection and waging war against us.
He has plundered our seas, ravaged our coasts, burned our towns, and destroyed the lives of our people.
He is at this time transporting large armies of foreign mercenaries to complete the works of death, desolation, and tyranny already begun with circumstances of cruelty and perfidy scarcely paralleled in the most barbarous ages, and totally unworthy the head of a civilized nation.
He has constrained our fellow-citizens, taken captive on the high seas, to bear arms against their country, to become the executioners of their friends and brethren, or to fall themselves by their hands.
He has excited domestic insurrection among us, and has endeavored to bring on the inhabitants of our frontiers the merciless Indian savages, whose known rule of warfare is an undistinguished destruction of all ages, sexes, and conditions.
In every stage of these oppressions we have petitioned for redress in the most humble terms; our repeated petitions have been answered only by repeated injury. A prince, whose character is thus marked by every act which may define a tyrant, is unfit to be the ruler of a free people.
Nor have we been wanting in our attentions to our British brethren. We have warned them, from time to time, of attempts by their legislature to extend an unwarrantable jurisdiction over us. We have reminded them of the circumstances of our emigration and settlement here. We have appealed to their native justice and magnanimity; and we have conjured them, by the ties of our common kindred, to disavow these usurpations which would inevitably interrupt our connections and correspondence. They too, have been deaf to the voice of justice and of consanguinity. We must, therefore, acquiesce in the necessity which denounces our separation, and hold them as we hold the rest of mankind, enemies in war, in peace friends.
We, therefore, the representatives of the United States of America, in General Congress assembled, appealing to the Supreme Judge of the world for the rectitude of our intentions, do, in the name and by the authority of the good people of these colonies solemnly publish and declare, That these United Colonies are, and of right ought to be, FREE AND INDEPENDENT STATES; that they are absolved from all allegiance to the British crown and that all political connection between them and the state of Great Britain is, and ought to be, totally dissolved; and that, as free and independent states, they have full power to levy war, conclude peace, contract alliances, establish commerce, and do all other acts and things which independent states may of right do. And for the support of this declaration, with a firm reliance on the protection of Divine Providence, we mutually pledge to each other our lives, our fortunes, and our sacred honor.
[Signed by] JOHN HANCOCK [President]
New Hampshire
JOSIAH BARTLETT,
WM. WHIPPLE,
MATTHEW THORNTON.
Massachusetts Bay
SAML. ADAMS,
JOHN ADAMS,
ROBT. TREAT PAINE,
ELBRIDGE GERRY
Rhode Island
STEP. HOPKINS,
WILLIAM ELLERY.
Connecticut
ROGER SHERMAN,
SAM'EL HUNTINGTON,
WM. WILLIAMS,
OLIVER WOLCOTT.
New York
WM. FLOYD,
PHIL. LIVINGSTON,
FRANS. LEWIS,
LEWIS MORRIS.
New Jersey
RICHD. STOCKTON,
JNO. WITHERSPOON,
FRAS. HOPKINSON,
JOHN HART,
ABRA. CLARK.
Pennsylvania
ROBT. MORRIS
BENJAMIN RUSH,
BENJA. FRANKLIN,
JOHN MORTON,
GEO. CLYMER,
JAS. SMITH,
GEO. TAYLOR,
JAMES WILSON,
GEO. ROSS.
Delaware
CAESAR RODNEY,
GEO. READ,
THO. M'KEAN.
Maryland
SAMUEL CHASE,
WM. PACA,
THOS. STONE,
CHARLES CARROLL of Carrollton.
Virginia
GEORGE WYTHE,
RICHARD HENRY LEE,
TH. JEFFERSON,
BENJA. HARRISON,
THS. NELSON, JR.,
FRANCIS LIGHTFOOT LEE,
CARTER BRAXTON.
North Carolina
WM. HOOPER,
JOSEPH HEWES,
JOHN PENN.
South Carolina
EDWARD RUTLEDGE,
THOS. HAYWARD, JUNR.,
THOMAS LYNCH, JUNR.,
ARTHUR MIDDLETON.
Georgia
BUTTON GWINNETT,
LYMAN HALL,
GEO. WALTON.
NOTE.-Mr. Ferdinand Jefferson, Keeper of the Rolls in the Department of State, at Washington, says: " The names of the signers are spelt above as in the facsimile of the original, but the punctuation of them is not always the same; neither do the names of the States appear in the facsimile of the original. The names of the signers of each State are grouped together in the facsimile of the original, except the name of Matthew Thornton, which follows that of Oliver Wolcott."-Revised Statutes of the United States, 2d edition, 1878, p. 6.
Source: From Yale Law School Lillian Goldman Law Library: The Avalon Project |
Attributions
Images courtesy of Wikipedia Commons
Title Image - 1819 painting of the signing of the Declaration of Independence by John Trumbull. Attribution: John Trumbull, Public Domain, via Wikipedia Commons. Provided by: Wikipedia. Location: https://en.wikipedia.org/wiki/File:Declaration_of_Independence_(1819),_by_John_Trumbull.jpg#filehistory. License: CC BY-SA: Attribution-ShareAlike
Adapted from Boundless World History.
"North America"
https://www.coursehero.com/study-guides/boundless-worldhistory/north-america/
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oercommons
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2025-03-18T00:36:53.701582
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https://oercommons.org/courseware/lesson/87916/overview
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The French Revolution
Overview
The Beginning of the French Revolution and the National Assembly
The French was one of the most significant events in early modern and modern European, and human, history. It reflected and grew out of developments and events of the early modern period, including the Scientific Revolution, the Protestant Revolution, the Enlightenment and the American Revolution. The Scientific Revolution introduced empiricism and experimentation into the Early Modern effort to understand the Universe, challenging the religious dogma of the Roman Catholic Church, or, as this revolution spread, any religious dogma. The Protestant Reformation built on this challenge by asserting that Christians in Europe could abandon a church authority that they considered morally and dogmatically corrupt. The Enlightenment championed the optimistic belief that humanity could improve through rational methods, including the articulation and implementation of economic and political principles toward at least the limited realization of the relatively newly accepted goal of equality of opportunity, at least for recognized members of the state. The American Revolution demonstrated that colonists could overthrow an established and powerful colonial government, and replace it with their own local government, in this case, at the expense of a royalist and imperial ally who shortsightedly and opportunistically played with ideological fire and burned in the aftermath. Thus, the French Revolution did not introduce new ideas. Rather, it modified established ideas growing out of these earlier revolutions to fit the circumstances of the middle and working classes in a late eighteenth-century France beset by national bankrupcy, inspiring future generations to craft their own revolutions in reaction to the particular forms of oppression. Evolving through four stages the French Revolution foreshadowed these future revolutions across the world into the twentieth century, based on the principles of liberty and equality, adjusted to fit each set of oppressive circumstances.
Learning Objective
- Analyze the causes, main events, and results of the French Revolution.
Key Terms / Key Concepts
Louis XVI - French king at the time of the French Revolution
Estates-General: a general assembly representing the French estates of the realm: the clergy (First Estate), the nobles (Second Estate), and the common people (Third Estate)
Fall of the Bastille: capture of the Bastille in Paris on 14 July 1789, a seminal event of the French Revolution
National Constituent Assembly: name adopted by members of the Third Estate on 17 June 1789 in their determination to reform the French national government
Tennis Court Oath: 20 June 1789 oath taken by members of the Third Estate to write a new constitution
Declaration of the Rights of Man and of the Citizen: a fundamental document of the French Revolution and in the history of human and civil rights, passed by France’s National Constituent Assembly in August 1789; became the basis for a nation of free individuals protected equally by law (It was influenced by the doctrine of natural right, stating that the rights of man are held to be universal.)
Constitution of 1791 - first written constitution of France, a relatively conservative instrument which restricted the degree of political democratization in France
Assembly of Notables of 1787
An Assembly of Notables was a group of high-ranking nobles, ecclesiastics, and state functionaries convened by the King of France on extraordinary occasions to consult on matters of state. Throughout the history of modern France, such an assembly was convened only a few times. Unlike the States-General, whose members were elected by the subjects of the realm, the assemblymen were selected by the king and were prominent men, usually of the aristocracy. King Louis XVI convened such an assembly in 1787 to address the French government's financial problems, including the need for government reform and a growing national debt, which stemmed in part from French aid to the U.S. during the Revolutionary War. The French government and the King were both in dire financial straits.
In 1787, repeated attempts to implement tax reform failed due to lack of the Parlement of Paris support, as parlement judges felt that any increase in tax would have a direct negative effect on their own income. In response to this opposition, the finance minister Charles Alexandre de Calonne suggested that Louis XVI call an Assembly of Notables. And pressured by France’s desperate financial situation, the King convened the assembly. While the Assembly had no legislative power in its own right, Calonne hoped that if it supported the proposed reforms, parlement would be forced to enact them. Most historians argue that the plan failed because the assemblymen, whose privileges the plan aimed to curb, refused to bear the burden of increased taxation; although, some have noted that the nobles were quite open to changes but rejected the specifics of Calonne’s proposal. In addition, the Assembly insisted that the proposed reforms should actually be presented to a representative body such as the Estates-General.
Calling the Estates-General
For the first time since 1614 the Estates-General (or States-General) met 5 May 1789. It was a general assembly representing the French estates of the realm: the clergy (First Estate), the nobles (Second Estate), and the common people (Third Estate). King Louis XVI summoned it to propose solutions to his government’s financial problems after the 1787 Assembly of Noteables insisted such a measure be taken. Representatives of the Third Estate sought reforms in representation that reflected their new power, status, and aspirations in French society. Traditionally each estate had one vote, which put the more numerous Third Estate at an unfair disadvantage relative to the smaller First and Second Estates. The Third Estate wanted the estates to meet as one body and for each delegate to have one vote. The other two estates, while having their own grievances against royal absolutism, believed—correctly, as history would prove—that they would lose more power to the Third Estate than they stood to gain from the King. Initially the King opposed reforms in representation proposed by Third Estate representatives. The Estates General met through May and the first half of June 1789, struggling with these issues of taxation and representation. By the time the King yielded to the demand of the Third Estate, it seemed to be a concession wrung from the monarchy rather than a gift that would have convinced the populace of the King’s goodwill. Utlimately, it ended when the Third Estate formed into a National Assembly, leading to the outbreak of the French Revolution.
Establishment of the National Assembly
On June 17, with the failure of efforts to reconcile the three estates, the Communes—or the Commons, as members of the Third Estate now referred to themselves—declared themselves the National Assembly, an assembly not of the estates but of the people. They invited the other orders to join them but made it clear that they intended to conduct the nation’s affairs with or without them. The King resisted the National Assembly. On June 20, he ordered that the hall where the National Assembly was to meet be closed. This order prompted the National Assembly to move to a nearby tennis court, where they proceeded to swear the Tennis Court Oath by which they agreed not to separate until they had settled the constitution of France.
The Tennis Court Oath was both a revolutionary act and an assertion that political authority derived from the people and their representatives, rather than from the monarch himself. Their solidarity forced Louis XVI to order the clergy and the nobility to join with the Third Estate in the National Assembly to give the illusion that he controlled the National Assembly. The Oath signified for the first time that French citizens formally stood in opposition to Louis XVI, and the National Assembly’s refusal to back down forced the king to make concessions.
Two days later, removed from the tennis court as well, the Assembly met in the Church of Saint Louis, where the majority of the representatives of the clergy joined them. After a failed attempt to keep the three estates separate, the nobles who had refrained from taking part finally joined the National Assembly at the request of the King. The Estates-General ceased to exist, becoming the National Assembly. On July 9 the National Assembly renamed itself the National Constituent Assembly, and began to function as a governing body and a constitution committee with the task of drafting a constitution.
The Storming of the Bastille
Arguably the flashpoint of the French Revolution was the storming of the Bastille, medieval fortress, armory, and political prison in Paris. The National Assembly renamed itself the National Constituent Assembly on July 9 and began to function as a governing body and a constitution committee intent on drafting a document. Paris, close to insurrection, showed wide support for the Assembly. The press published the Assembly’s debates while political discussions spread into the public squares and halls of the capital. The Palais-Royal and its grounds became the site of an ongoing meeting. The crowd, on the authority of the meeting at the Palais-Royal, broke open the prisons of the Abbaye to release some grenadiers of the French guards, reportedly imprisoned for refusing to fire on the people. The Assembly recommended that the king grant clemency to the the imprisoned guardsmen, and they received pardon. The rank and file of the regiment now leaned toward the popular cause.
Liberal Parisians were enraged by the fear that royal troops would attempt to shut down the National Constituent Assembly, which was meeting in Versailles. Among the troops under the royal authority were foreign mercenaries, most notably Swiss and German regiments, that were seen as less likely to be sympathetic to the popular cause than ordinary French soldiers. By early July, approximately half of the 25,000 regular troops in Paris and Versailles had been drawn from these foreign regiments.
On July 12, crowds gathered throughout Paris, including more than ten thousand at the Palais-Royal. The crowds clashed with royal troops and unrest grew. The people of Paris expressed their hostility toward state authorities by attacking customs posts blamed for causing increased food and wine prices, and they started to plunder any place where food, guns, and supplies could be found. That night, rumors spread about supplies were being hoarded at Saint-Lazare—a huge property of the clergy that functioned as convent, hospital, school, and even jail. An angry crowd broke in and plundered the property, seizing 52 wagons of wheat which were taken to the public market. That same day, multitudes of people plundered many other places, including weapon arsenals. The royal troops did nothing to stop the spreading of social chaos in Paris during those days.
On the morning of July 14, 1789, the city of Paris was in a state of alarm. Partisans of the Third Estate in France, now under the control of the Bourgeois Militia of Paris (soon to become Revolutionary France’s National Guard), had earlier stormed the Hôtel des Invalides without significant opposition; they had intended to gather the weapons held there. The crowd gathered outside the Bastille around mid-morning, calling for the surrender of the prison, the removal of the cannon, and the release of the arms and gunpowder. At this point, the Bastille was nearly empty, housing only seven prisoners. Two representatives of the crowd outside were invited into the fortress and negotiations began. Another was admitted around noon with definite demands. The negotiations dragged on while the crowd grew and became impatient. Around 1:30 p.m., the crowd surged into the undefended outer courtyard. A small party climbed onto the roof of a building next to the gate to the inner courtyard and broke the chains on the drawbridge. Soldiers of the garrison called to the people to withdraw but in the noise and confusion these shouts were misinterpreted as encouragement to enter. Gunfire began, apparently spontaneously.
A substantial force of Royal Army troops encamped on the Champs de Mars did not intervene as the firing continued. With the possibility of mutual carnage suddenly apparent, Governor de Launay ordered a cease-fire at 5 p.m. A letter offering his terms was handed out to the besiegers through a gap in the inner gate. His demands were refused, but de Launay nonetheless capitulated as he realized that with limited food stocks and no water supply his troops could not hold out much longer. He accordingly opened the gates to the inner courtyard, and the conquerors swept in to liberate the fortress at 5:30 p.m. The king first learned of the storming only the next morning through the Duke of La Rochefoucauld. “Is it a revolt?” asked Louis XVI. The duke replied: “No sire, it’s not a revolt; it’s a revolution.”
Creation of a Constitutional Monarchy
Following the storming of the Bastille on July 14, the National Assembly became the effective government and constitution drafter that ruled until passing the 1791 Constitution, which turned France into a constitutional monarchy.The number of delegates elected to the National Constituent Assembly or Constituent Assembly increased significantly during the voting period, but many deputies took their time arriving, some of them reaching Paris as late as 1791. There were several leading forces of the Assembly. One consisted of conservative foes of the revolution, later known as “The Right”. The Monarchiens, “Monarchists,” also called “Democratic Royalists”, allied with Jacques Necker and inclined toward arranging France along lines similar to the British constitution model. “The Left”, also called “National Party”, was a group still relatively united in support of revolution and democracy, representing mainly the interests of the middle classes but strongly sympathetic to the broader range of the common people.
On August 4, 1789, the National Constituent Assembly abolished feudalism (action triggered by numerous peasant revolts), sweeping away both the seigneurial rights of the Second Estate and the tithes (a 10% tax for the Church) collected by the First Estate. During the course of a few hours, nobles, clergy, towns, provinces, companies, and cities lost their special privileges. Originally the peasants were supposed to pay for the release of seigneurial dues, but the majority refused to pay and later in 1793 the obligation was cancelled. Additionally, the old judicial system, based on the 13 regional parliaments, was suspended in November 1789 and officially abolished in September 1790.
On August 26, 1789, the Assembly published the Declaration of the Rights of Man and of the Citizen, which comprised a statement of principles rather than a constitution. Influenced by the doctrine of natural right, it stated that the rights of man were held to be universal, becoming the basis for a nation of free individuals protected equally by law. Simultaneously, the Assembly continued to draft a new constitution. Amid the Assembly’s preoccupation with establishing a constitution and the various debates surrounding that, the financial crisis continued largely unaddressed and the deficit only increased. This led the Assembly to giving Necker complete financial dictatorship.
The Assembly also moved to reduce the power of the Roman Catholic Church in France. In an attempt to address the financial crisis, the Assembly declared, on November 2, 1789, that the property of the Church was “at the disposal of the nation.” Thus, the nation had now also taken on the responsibility of the Church, which included paying the clergy and caring for the poor, the sick, and the orphaned. In December, the Assembly began to sell the lands to the highest bidder to raise revenue. Monastic vows were abolished, and in February 1790 all religious orders were dissolved. Monks and nuns were encouraged to return to private life. The Civil Constitution of the Clergy, passed in July 1790, turned the remaining clergy into employees of the state.
In the turmoil of the revolution, the Assembly members gathered the various constitutional laws they had passed into a single constitution and submitted it to recently restored Louis XVI; upon his acceptance of it he wrote “I engage to maintain it at home, to defend it from all attacks from abroad, and to cause its execution by all the means it places at my disposal.” The King addressed the Assembly and received enthusiastic applause from members and spectators. With this capstone, the National Constituent Assembly adjourned in a final session on September 30, 1791. Under the Constitution of 1791, France would function as a constitutional monarchy.
The Declaration of the Rights of Man
The Declaration of the Rights of Man and the Citizen, passed by France’s National Constituent Assembly in August 1789, was a fundamental document of the French Revolution that granted civil rights to some commoners, although it excluded a significant segment of the French population.
Intellectual Context
The Declaration of the Rights of Man and of the Citizen (August 1791) is a fundamental document in the history of human and civil rights. The inspiration and content of the document emerged largely from the ideals of the American Revolution. The key drafts were prepared by General Lafayette, working at times with his close friend Thomas Jefferson, who drew heavily upon Jefferson’s own drafts for the American Declaration of Independence and The Virginia Declaration of Rights drafted in May 1776 by George Mason (which was based in part on the English Bill of Rights 1689). In August 1789, Honoré Mirabeau played a central role in conceptualizing and penning the Declaration of the Rights of Man and of the Citizen.
The Declaration emerged from the tenets of the Enlightenment, including individualism, the social contract as theorized by Jean-Jacques Rousseau, and the separation of powers espoused by Montesquieu. The spirit of secular natural law rests at the foundations of the Declaration. Unlike traditional natural law theory, secular natural law does not draw from religious doctrine or authority. The document defines a single set of individual and collective rights for all men. Influenced by the doctrine of natural rights, these rights are held to be universal and valid in all times and places. Correspondingly, the role of government, carried out by elected representatives, is to recognize and secure these rights. At the time of writing, the rights contained in the Declaration were only awarded to men. Furthermore, the Declaration was a statement of vision rather than reality as it was not deeply rooted in the practice of the West or even France at the time. It embodied ideals toward which France aspired to achieve in the future.
Thomas Jefferson—the primary author of the U.S. Declaration of Independence—was in France as a U.S. diplomat and worked closely with Lafayette on designing a bill of rights for France. In the ratification by the states of the U.S. Constitution in 1788, critics demanded a written Bill of Rights. In response, James Madison’s proposal for a U.S. Bill of Rights was introduced in New York in June 1789, eleven weeks before the French declaration. Considering the six to eight weeks it took news to cross the Atlantic, it is possible that the French knew of the American text, which emerged from the same shared intellectual heritage. The same people took part in shaping both documents: Lafayette and Jefferson. Jefferson knew of Lafayette’s key role in the American Revolution and found him to be an important political and intellectual partner, and Lafayette, in return, admired Jefferson.
Natural Rights
In the second article, “the natural and imprescriptible rights of man” are defined as “liberty, property, security and resistance to oppression.” It demanded the destruction of aristocratic privileges by proclaiming an end to feudalism and exemptions from taxation. It also called for freedom and equal rights for all human beings (referred to as “Men”) and access to public office based on talent. The monarchy was restricted, and all citizens had the right to take part in the legislative process. Freedom of speech and press were declared, and arbitrary arrests outlawed. The Declaration also asserted the principles of popular sovereignty and social equality among citizens, eliminating the special rights of the nobility and clergy.
Limitations of the Declaration
While the French Revolution provided rights to a larger portion of the population, there remained a distinction between those who obtained the political rights in the Declaration of the Rights of Man and Citizen and those who did not. Those who were deemed to hold these political rights were called active citizens, a designation granted to men who were French, at least 25 years old who paid taxes equal to three days of work, and who could not be defined as servants. This meant that at the time of the Declaration only male property owners held these rights. The category of passive citizens was created to encompass those populations that the Declaration excluded from political rights. In the end, the vote was granted to approximately 4.3 out of 29 million Frenchmen. Women, slaves, youth, and foreigners were excluded.
Tensions arose between active and passive citizens throughout the Revolution and the question of women’s rights emerged as particularly prominent. The Declaration did not recognize women as active citizens, despite the fact that after the March on Versailles (October 5, 1789) women presented the Women’s Petition to the National Assembly; in the Petition they proposed a decree giving women equal rights. In 1790, Nicolas de Condorcet and Etta Palm d’Aelders unsuccessfully called on the National Assembly to extend civil and political rights to women. The absence of women’s rights prompted Olympe de Gouges to publish the Declaration of the Rights of Woman and the Female Citizen in September 1791. Modeled on the Declaration of the Rights of Man and of the Citizen, it exposes the failure of the French Revolution, which had been devoted to equality.
The Declaration did not revoke the institution of slavery, as lobbied for by Jacques-Pierre Brissot’s Les Amis des Noirs and defended by the group of colonial planters called the Club Massiac. Beginning in August 1791, thousands of slaves in Saint-Domingue—the most profitable slave colony in the world—engaged in uprisings that would be known as the first successful slave revolt in the New World. Slavery in the French colonies was abolished in 1794 by the Convention for which Jacobins dominated. However, Napoleon reinstated slavery in 1802. This led in 1804 to the colony of Saint-Domingue becoming an independent state: the Republic of Haiti.
Legacy of the Declaration
The Declaration, together with the American Declaration of Independence, Constitution, and Bill of Rights, inspired in large part the 1948 United Nations Universal Declaration of Human Rights. It has also influenced and inspired rights-based liberal democracy throughout the world. It was translated as soon as 1793 – 1794 by Colombian Antonio Nariño, who published it despite the Inquisition and was sentenced to be imprisoned for ten years for doing so. In 2003, the document was listed on UNESCO’s Memory of the World register.
The March on Versailles
Concerned over the high price and scarcity of bread, women from the marketplaces of Paris led the March on Versailles on October 5, 1789. This became one of the most significant events of the French Revolution, eventually forcing the royals to return to Paris.
The Women’s March on Versailles, also known as The October March, The October Days, or simply The March on Versailles, was one of the earliest and most significant events of the French Revolution. On the morning of October 5, 1789, women in the marketplaces of Paris were near rioting over the high price and scarcity of bread. Their demonstrations quickly became intertwined with the activities of revolutionaries seeking liberal political reforms and a constitutional monarchy for France.
At the end of the Ancien Régime, the fear of famine became an ever-present dread for the lower strata of the Third Estate. Rampant rumors of a conspiracy theory held that foods, especially grain, were purposely withheld from the poor for the benefit of the privileged (the Pacte de Famine). Stories of a plot to destroy wheat crops in order to starve the population provoked the so-called Great Fear in the summer of 1789.
Despite its post-revolutionary mythology, the march was not a spontaneous event. Speakers at the Palais-Royal mentioned it regularly and the idea of a march on Versailles had been widespread. The final trigger came from a royal banquet held on October 1 at which the officers at Versailles welcomed the officers of new troops, a customary practice when a unit changed its garrison. The royal family briefly attended the affair. The lavish banquet was reported in newspapers as nothing short of a gluttonous orgy. Worst of all, the papers dwelt scornfully on the reputed desecration of the tricolor cockade; drunken officers were said to have stamped upon this symbol of the nation and professed their allegiance solely to the white cockade of the House of Bourbon. This embellished tale of the royal banquet became the source of intense public outrage.
On the morning of October 5, a young woman struck a marching drum at the edge of a group of market women who were infuriated by the chronic shortage and high price of bread. From their starting point in the markets of the eastern section of Paris, the angry women forced a nearby church to toll its bells. More women from other nearby marketplaces joined in, many bearing kitchen blades and other makeshift weapons. As more women and men arrived, the crowd outside the city hall reached between 6,000 and 7,000, but perhaps as high as 10,000. One of the men was Stanislas-Marie Maillard, a prominent conqueror of the Bastille, who by unofficial acclamation was given a leadership role.
When the crowd finally reached Versailles, members of the National Assembly greeted the marchers and invited Maillard into their hall. As he spoke, the restless Parisians came pouring into the Assembly and sank exhausted on the deputies’ benches. Hungry, fatigued, and bedraggled from the rain, they seemed to confirm that the siege was mostly a demand for food. With few other options available, the President of the Assembly, Jean Joseph Mounier, accompanied a deputation of market-women into the palace to see the king.
A group of six women were escorted into the king’s apartment, where they told him of the crowd’s privations. The king responded sympathetically and after this brief but pleasant meeting, arrangements were made to disburse some food from the royal stores with more promised. Some in the crowd felt that their goals had been satisfactorily met. However, at about 6 a.m., some of the protesters discovered a small gate to the palace was unguarded. Making their way inside, they searched for the queen’s bedchamber. The royal guards fired their guns at the intruders, killing a young member of the crowd. Infuriated, the rest surged towards the breach and streamed inside.
Although the fighting ceased quickly and the royal troops cleared the palace, the crowd was still everywhere outside. Lafayette (commander-in-chief of the National Guard), who had earned the court’s indebtedness, convinced the king to address the crowd. When the two men stepped out on a balcony an unexpected cry went up: “Vive le Roi!” The relieved king briefly conveyed his willingness to return to Paris. After the king withdrew, the exultant crowd would not be denied the same accord from the queen and her presence was demanded loudly. Lafayette brought her to the same balcony, accompanied by her young son and daughter. However, pleased it may have been by the royal displays, the crowd insisted that the king come back with them to Paris. At about 1 p.m. on October 6, the vast throng escorted the royal family and a complement of 100 deputies back to the capital, this time with the armed National Guards leading the way.
The rest of the National Constituent Assembly followed the king to new quarters in Paris within two weeks, with the exception of 56 pro-monarchy deputies. Thus, the march effectively deprived the monarchist faction of significant representation in the Assembly as most of these deputies retreated from the political scene. Conversely, Robespierre’s impassioned defense of the march raised his public profile considerably. Lafayette, though initially acclaimed, found he had tied himself too closely to the king. As the Revolution progressed, he was hounded into exile by the radical leadership. Maillard returned to Paris with his status as a local hero made permanent. The women of Paris were called “Mothers of the Nation” and were highly celebrated upon their return; they would be praised and solicited by successive Parisian governments for years to come.
Louis attempted to work within the framework of his limited powers after the women’s march but won little support. He and the royal family remained virtual prisoners in the Tuileries. Desperate, he tried to escape and join with royalist armies in June 1791. However, the king was once again captured by a mixture of citizens and national guardsmen who hauled him back to Paris.
The Flight to Varennes, or the royal family’s unsuccessful escape from Paris during the night of June 20 – 21, 1791, undermined the credibility of the king as a constitutional monarch and eventually led to the escalation of the crisis and the execution of Louis XVI and Marie Antoinette. Following the Women’s March on Versailles, the royal family had been forced to return to Paris. Louis XVI attempted to work within the framework of his limited powers but won little support. He and the royal family remained virtual prisoners in the Tuileries, a royal and imperial palace in Paris that served as the residence of most French monarchs. For the next two years, the palace remained the official residence of the king. The king’s flight was traumatic for France. The realization that the king had effectually repudiated the revolutionary reforms made to that point came as a shock to people who until then had seen him as a fundamentally decent king who governed as a manifestation of God’s will. They felt betrayed. Republicanism burst out of the coffeehouses and became the dominant ideal of revolutionary leaders.
The Constitution of 1781
On June 13, 1789, one of the stated goals of the National Assembly was to write a constitution. A 12-member Constitutional Committee was convened on July 14, 1789, which was also the day of the Storming of the Bastille; they intended to draft most of the articles of the constitution. The Committee originally included two members from the First Estate, two from the Second, and four from the Third.
Many proposals for redefining the French state were floated, particularly in the days after the remarkable sessions of August 4 and 5 when feudalism was abolished. The main early controversies surrounded the level of power that should be granted to the king of France and the form the legislature would take (i.e.: unicameral or bicameral). For instance, the Marquis de Lafayette proposed a combination of the American and British systems, a bicameral parliament with the king having the suspensive veto power over the legislature modeled on the authority then recently vested in the President of the United States. however, the motion was defeated in favor of one house. Also, the absolute veto was defeated in favor of a suspensive veto, which could be overridden by three consecutive legislatures.
A second Constitutional Committee quickly replaced the first one. It included three members from the original group, as well as five new members of the Third Estate. The greatest controversy faced by the new committee surrounded citizenship. The critical question was whether every subject of the French Crown would be given equal rights, or would there be some restrictions? The October 1789 March on Versailles, led by women from marketplaces around Paris, rendered the question even more complicated. In the end, a distinction was drawn between active citizens who held political rights (males over the age of 25 who paid direct taxes equal to three days’ labor) and passive citizens who had only civil rights. Some radical deputies, such as Maximilien Robespierre, could not accept the distinction.
A second body, the Committee of Revisions, was created in September 1790. Because the National Assembly was both a legislature and a constitutional convention, the Committee of Revisions was required to sort out whether its decrees were constitutional articles or mere statutes. The committee became very important in the days after the Champs de Mars Massacre (July 17, 1791), which was when a wave of opposition against popular movements swept France and resulted in a renewed effort to preserve powers of the Crown. The result was the rise of the Feuillants, a new political faction led by Antoine Barnave—one of the Committee’s members who used his position to preserve a number of powers of the Crown, including the nomination of ambassadors, military leaders, and ministers.
After very long negotiations, a new constitution was reluctantly accepted by Louis XVI in September 1791. Redefining the organization of the French government, citizenship, and the limits to the powers of government, the National Assembly set out to represent the interests of the public. It abolished many institutions defined as “injurious to liberty and equality of rights.” The National Assembly asserted its legal presence as part of the French government by establishing its permanence in the Constitution and forming a system of recurring elections. Furthermore, it made itself the legislative body, while making the king and royal ministers the executive branch and the judiciary branch independent of the other two branches. On a local level, previous feudal geographic divisions were formally abolished and the territory of the French state was divided into several administrative units (Départements), but with the principle of centralism. As framers of the constitution, the Assembly was concerned that if only representatives governed France, they were likely to be motivated by their own self-interests. Therefore, the king was allowed a suspensive veto to balance out the interests of the people. By the same token, representative democracy weakened the king’s executive authority. The Constitution of 1791, the first written constitution of France, turned the country into a constitutional monarchy following the collapse of the absolute monarchy of the Ancien Régime.
The Radicalization of the French Revolution and the Reign of Terror
Growing dissatisfication with the conservative course of the Revolution and the emergence of coalitions of other European powers determined to end the Revolution led to its radicalization. Conflicts among conservative, moderate, and radical factions contributed to this radicalization, and the Reign of Terror that followed.
Learning Objective
- Analyze the causes, main events, and results of the French Revolution.
Key Terms / Key Concepts
Louis XVI: French king at the time of the French Revolution
French Revolutionary Wars: a series of sweeping military conflicts from 1792 until 1802, resulting from the French Revolution; pitted the French First Republic against Britain, Austria and several other monarchies; divided into two periods: the War of the First Coalition (1792 – 1797) and the War of the Second Coalition (1798 – 1802) (Initially confined to Europe, the fighting gradually assumed a global dimension as the political ambitions of the Revolution expanded.)
Constitution of 1791: first written constitution of France, a relatively conservative instrument which restricted the degree of political democratization in France
National Constituent Assembly: name adopted by members of the Third Estate on 17 June 1789 in their determination to reform the French national government
sans-culottes: This term refers to the common people of the lower classes in late 18th century France, a great many of whom became radical and militant partisans of the French Revolution in response to their poor quality of life under the Ancien Régime. The term is a reference to their clothing, roughly translating to "without knee-breeches", a clothing feature of the upper classes in France. The sans-culottes typically wore pantaloons, or trousers. This term reflected the class status associated with different articles of clothing.
Jacobins: members of a revolutionary political movement that was the most famous political club during the French Revolution, distinguished by its left-wing, revolutionary politics (They were closely allied to the sans-culottes, a popular force of working-class Parisians that played a pivotal role in the development of the revolution. They had a significant presence in the National Convention and were dubbed “the Mountain” for their seats in the uppermost part of the chamber.)
Reign of Terror: a period of violence during the French Revolution incited by conflict between two rival political factions, the Girondins and the Jacobins, and marked by mass executions of “the enemies of the revolution” (The death toll ranged in the tens of thousands, with 16,594 executed by guillotine and another 25,000 in summary executions across France.)
Maximilien Robespierre: leader in the democratization of the French Revolution
National Convention: national legislature organized in September 1792 under the new republican government, reflecting the democratization of the French Revolution
Committee of Public Safety: a committee created in April 1793 by the National Convention and then restructured in July 1793 to form the de facto executive government in France during the Reign of Terror (1793 – 94), which was a stage of the French Revolution
Thermidorian Reaction: a 1794 coup d’état within the French Revolution against the leaders of the Jacobin Club that dominated the Committee of Public Safety (It was triggered by a vote of the National Convention to execute Maximilien Robespierre, Louis Antoine de Saint-Just, and several other leading members of the revolutionary government. It ended the most radical phase of the French Revolution.)
The Directory: a five-member committee that governed France from November 1795, when it replaced the Committee of Public Safety, until it was overthrown by Napoleon Bonaparte in the Coup of 18 Brumaire (November 8 – 9, 1799) and replaced by the Consulate (It gave its name to the final four years of the French Revolution.)
Declaration of Pillnitz: This declaration stated that the Holy Roman Empire and Prussia would move to stop the French Revolution if the French revolutionary government harmed Louis XVI.
The Failure of the Constitution of 1791
With the onset of French Revolutionary Wars and the involvement of foreign powers in the conflict, radical Jacobin and ultimately republican conceptions grew enormously in popularity, increasing the influence of Robespierre, Danton, Marat, and the Paris Commune. When the King used his veto powers to protect non-juring priests and refused to raise militias in defense of the revolutionary government, the constitutional monarchy proved unacceptable to radical revolutionaries and was effectively ended by the August 10 Insurrection. A National Convention was called, electing Robespierre as its first deputy. It was the first assembly in France elected by universal male suffrage. The convention declared France a republic on September 22, 1792, which meant that France needed a new constitution.
Over the course of the Revolution, the original revolutionary movement known as the Jacobins split into more and less radical factions, the most important of which were the Feuillants (moderate; pro-royal), the Montagnards (radical), and the Girondins (moderate; pro-republic).
Factions at the Legislative Assembly
The National Constituent Assembly dissolved itself on September 30, 1791. Upon Robespierre’s motion, it decreed that none of its members would be eligible to the next legislature. Its successor body, the Legislative Assembly operating under the Constitution of 1791, first met 1 October 1791, and lasted until September 20, 1792. It consisted of 745 members, mostly from the middle class. The members were generally young and tended to be people with successful careers in local politics, but, since none had sat in the previous Assembly, they largely lacked national political experience.
The rightists within the assembly consisted of about 260 Feuillants, whose chief leaders, Gilbert du Motier de La Fayette and Antoine Barnave, remained outside the House because of their ineligibility for re-election. They were staunch constitutional monarchists, firm in their defense of the King against the popular agitation. The Feuillants came into existence when the Jacobins split between moderates and radicals. The radicals took the name Jacobins and wished to press for a continuation of direct democratic action to overthrow Louis XVI. The ones who retained the name Feuillants sought to preserve the position of the king and supported the proposed plan of the National Assembly for a constitutional monarchy.
The leftists were made up of 136 Jacobins (still including the party later known as the Girondins or Girondists) and Cordeliers (a populist group, whose many members would later become the radical Montagnards). The left drew its inspiration from the more radical tendency of the Enlightenment, regarded the émigré nobles as traitors, and espoused anticlericalism. They were suspicious of Louis XVI, some favoring a general European war in order to spread the new ideals of liberty and equality as well as to put the king’s loyalty to the test.
The remainder of the House, 345 deputies, belonged to no definite party. They were called “the Marsh” (Le Marais) or “the Plain” (La Plaine). They were committed to the ideals of the Revolution, generally inclined to side with the left but would also occasionally back proposals from the right.
Some historians dispute these numbers and estimate that the Legislative Assembly consisted of about 165 Feuillants (the right), about 330 Jacobins (including Girondins; the left), and about 350 deputies, who did not belong to any definite party but voted most often with the left. The differences emerge from how historians approach data in primary sources, where numbers reported by the clubs do not overlap with analyses of club membership conducted independently by name.
Labelled by their opponents as royalists, Feuillants were targeted after the fall of the monarchy. In August 1792, a list of 841 members was published and all were arrested and tried for treason. The name survived for a few months as an insulting label for moderates, royalists, and aristocrats.
Factions at the National Convention
Succeeding the Legislative Assembly was the National Convention, which was a single-chamber assembly in France from September 20, 1792 to October 26, 1795. It was fractured into factions even more extreme than those of the Legislative Assembly. The Jacobin Club, gathering members with republican beliefs and aspiring to establish a French democratic republic, experienced political tensions beginning in 1791.There were conflicting viewpoints in response to several revolutionary events and how to best achieve a democratic republic. A result of the increasing divide, the Jacobins were split between the more radical Montagnards and the Girondins.
The Jacobin Club was one of several organizations that grew out of the French Revolution, distinguished by its left-wing, revolutionary politics. Because of this, the Jacobins were closely allied to the sans-culottes, a popular force of working-class Parisians that played a pivotal role in the development of the revolution. The Jacobins had a significant presence in the National Convention and were dubbed “the Mountain” (French: la montagne) for their seats in the uppermost part of the chamber. In addition to siding with sans-culottes, the Montagnards aimed for a more repressive form of government that would institute a price maximum on essential consumer goods and punish all traitors and enemies of the Republic. The Montagnards also believed war and other political differences required emergency solutions. They had 302 members in 1793 and 1794, including committee members and deputies who voted with the faction. Most members of the club came from the middle class and tended to represent the Parisian population. Its leaders included Maximilien Robespierre, Jean-Paul Marat, and Georges Danton. This faction eventually gained overwhelming power in the Convention and governed France during the Reign of Terror.
Left v. Right
The terms “left” and “right” to refer to political parties is one of the lasting legacies of the French Revolution. Members of the National Assembly divided into supporters of the king to the president’s right and supporters of the revolution to his left. Baron de Gauville explained this arrangement: “We began to recognize each other: those who were loyal to religion and the king took up positions to the right of the chair so as to avoid the shouts, oaths, and indecencies that enjoyed free rein in the opposing camp.” However, the right opposed the seating arrangement because they believed that deputies should support private or general interests but not form factions or political parties. The contemporary press occasionally used the terms “left” and “right” to refer to the opposing sides.
When the National Assembly was replaced in 1791 by the Legislative Assembly comprising entirely new members, the divisions continued. “Innovators” sat on the left; “moderates” gathered in the center; and the “conscientious defenders of the constitution” found themselves sitting on the right, where the defenders of the Ancien Régime had previously gathered. When the succeeding National Convention met in 1792, the seating arrangement continued, but following the arrest of the Girondins, the right side of the assembly was deserted, and any remaining members who had sat there moved to the center.
The two most significant factors in the consequential split between the Montagnards and the Girondins occured in 1792: the September Massacres and the trial of Louis XVI. The September Massacres of 1792 occurred when radical Parisians and members of the National Guard were angry with the poor progress in the war against Austria and Prussia and the forced enlistment of 30,000 volunteers. On August 10, radicals went on a killing spree, slaughtering roughly 1,300 inmates in various Paris prisons, many of whom were simply common criminals, not the treasonous counterrevolutionaries condemned by the Montagnards. The Girondins did not tolerate the massacres, but neither the Montagnards of the Legislative Assembly nor the Paris Commune took any action to stop or condemn the killings. Members of the Girondins later accused Marat, Robespierre, and Danton of inciting the massacres to further their dictatorial power. The conflict between the Montagnards and the Girondins eventually led to the fall of the Girondins and their mass execution.
The Fear of Revolution Among European Monarchs
During the French Revolution, European monarchs watched the developments in France and considered whether they should intervene in support of Louis XVI or to take advantage of the chaos in France. The Holy Roman Emperor Leopold II, brother to the French Queen Marie Antoinette, initially looked on the Revolution calmly. He became disturbed as the Revolution became more radical, although he still hoped to avoid war. In August 1791, Leopold and King Frederick William II of Prussia, in consultation with emigrant French nobles, issued the Declaration of Pillnitz, which declared the interest of the monarchs of Europe in the well-being of Louis and his family and threatened vague but severe consequences if anything should befall them. Although Leopold saw the Pillnitz Declaration as a way of taking action that would enable him to avoid actually doing anything about France for the moment, Paris saw the Declaration as a serious threat and the revolutionary leaders denounced it.
The King, many of the Feuillants, and the Girondins wanted to wage war. Louis XVI and many Feuillants expected war would increase his personal popularity. He also foresaw an opportunity to exploit any defeat; either result would make him stronger. The Girondins, on the other hand, wanted to export the Revolution throughout Europe so as to defend the Revolution within France by extension. The forces opposing war were much weaker. Some Feuillants believed France had little chance of winning and feared a loss might lead to greater radicalization of the revolution. On the other end of the political spectrum, Robespierre opposed a war on two grounds: he was concerned it would strengthen the monarchy and military at the expense of the revolution and that it would incur the anger of ordinary people in Austria and elsewhere. The Austrian emperor Leopold II, brother of Marie Antoinette, wished to avoid war but died in March 1792. In addition to the ideological differences between France and the monarchical powers of Europe, disputes continued over the status of imperial estates in Alsace and the French authorities became concerned about the agitation of emigré nobles abroad, especially in the Austrian Netherlands and the minor states of Germany. France preemptively declared war on Austria 20 April 1792, and Prussia joined on the Austrian side a few weeks later.
French Revolutionary Wars
What followed was a series of sweeping military conflicts lasting from 1792 until 1802 that would become known as the French Revolutionary Wars. They pitted the French First Republic against several monarchies, most notably Austria, Britain, and Prussia, that sought to take advantage of the chaos in France and stop the spread of a revolutionay anti-monarchical spirt across Europe. This coalition fought revolutionary France in two wars, the War of the First Coalition (1792 – 1797) and the War of the Second Coalition (1798 – 1802). Initially confined to Europe, the fighting gradually assumed a global dimension as the political ambitions of the Revolution expanded. These wars were followed by the Napoleonic Wars, ignited by Napoleon's seizure of the French government and pursuit of his own empire.
War of the First Coalition
France and Austria declared war on each in April 1792, and the Kingdom of Prussia joined the Austrian side a few weeks later. These powers made several invasions of France by land and sea, with Prussia and Austria attacking from the Austrian Netherlands and the Rhine; they also led to the Kingdom of Great Britain supporting revolts in provincial France and laying siege to Toulon. A number of smaller states were also part of the First Coalition over the course of the war; these included Spain, Portugal, and the Dutch Republic. In July 1792 the Duke of Brunswick, one of the First Coalition military leaders issued the Brunswick Manifesto, which written by the French king’s cousin who was the leader of an émigré corps within the Allied army, Louis Joseph de Bourbon, Prince de Condé. This document declared the Allies’ intent to restore the king to his full powers and treat any person or town who opposed them as rebels to be condemned to death by martial law. This, however, strengthened the resolve of the French revolutionary army and government to oppose them by any means necessary.
The Brunswick Manifesto also bolstered the determination of radical revolutionaries to abolish the monarchy, in conjunction with Louis XVI's refusal to rescind his veto of the National Assembly’s constitution. On August 10, a crowd stormed the Tuileries Palace, seizing the king and his family, marking the official fall of the French monarchy. The Insurrection of August 10, 1792 was one of the defining events in the history of the French Revolution. The storming of the Tuileries Palace resulted in the fall of the French monarchy; the parties involved in this attack were the National Guard of the Insurrectional Paris Commune and revolutionary fédérés (federates) from Marseilles and Brittany. King Louis XVI and the royal family took shelter with the Legislative Assembly, which was suspended. Chaos persisted until the National Convention, which was elected by universal male suffrage, charged with writing a new constitution, and met on September 20, 1792 to became the new de facto government of France. The next day the Convention abolished the monarchy and declared France a republic.
The National Convention
The National Convention (1792 – 95) was the first French assembly elected by universal male suffrage; it transitioned from being paralyzed by factional conflicts to becoming the legislative body overseeing the Reign of Terror and eventually accepting the Constitution of 1795.
The National Convention was a single-chamber assembly in France from September 20, 1792, to October 26, 1795, during the French Revolution. It succeeded the Legislative Assembly and founded the First Republic after the Insurrection of August 10, 1792. The Legislative Assembly had decreed the provisional suspension of King Louis XVI and the convocation of a National Convention, which was to draw up a constitution. At the same time, it was decided that deputies to that convention should be elected by all Frenchmen ages 25 and older domiciled for a year and living by the product of their labor. The National Convention was, therefore, the first French assembly elected by universal male suffrage, without distinctions of class.
The Convention’s unanimous declaration of a French Republic on 21 September 1792 sealed the fate of the King. A commission was established to examine evidence against him while the Convention’s Legislation Committee considered legal aspects of any future trial. Most Montagnards (radical republicans) favored judgement and execution, while the Girondins (moderate republicans) were divided concerning Louis’s fate, with some arguing for royal inviolability, others for clemency, and still others for either lesser punishment or death. Eventually the deposed king was put on trial. On November 20, opinion turned sharply against Louis following the discovery of a secret cache of 726 documents of his personal communications. Most of the pieces of correspondence in the cabinet involved ministers of Louis XVI, but others involved most of the big players of the Revolution. These documents, despite the likely gaps and pre-selection, showed the duplicity of advisers and ministers—at least those that Louis XVI trusted—who had set up parallel policies. Louis XVI was executed by guillotine on 21 January 1793. Nearly nine months later, on 16 October 1792, Marie Antoinette, having been convicted of treason, was beheaded. Louis XVI's execution exacerbated the hostility and division between France and the coalition of European monarchies arrayed against it by accelerating the radicalization of the French Revolution and solidifying the unity among these monarchies.
Across Europe, conservatives were horrified, and monarchies called for war against revolutionary France. The execution of Louis XVI united most European governments against the Revolution, including Spain, Naples, and the Netherlands. France declared war against Britain and the Netherlands on February 1, 1793, and soon afterwards against Spain. In the course of 1793, the Holy Roman Empire, the kings of Portugal and Naples, and the Grand-Duke of Tuscany declared war against France. Thus, the First Coalition was formed.
While the War of the First Coalition began with French victories, which rejuvenated the nation and emboldened the National Convention to abolish the monarchy, the new French armies experienced numerous defeats in 1793. These Coalition victories allowed the radical Jacobins, otherwise known as the Mountain or the Montagnards, to rise to power. To deal with opposing movements, food shortages, riots, uprisings, and recent military defeats the Jacobins created the Committee of Public Safety in April 1793, eventually to be headed by Maximilien Robespierre. Initially seen as an "emergency" government. On June 24, the Convention adopted the first republican constitution of France, the French Constitution of 1793. It was ratified by public referendum but never put into force. Like other laws, it was indefinitely suspended and in October, it was announced that the government of France, run by the Committee, would be “revolutionary until the peace.”Ultimately, the Committee resorted to intimidation, persecution, and terror as methods of unifying the nation, by eliminating the moderate opposition, or the Girondins.
The period of the Committee’s dominance during the Revolution is known today as the Reign of Terror, September 5, 1793 – July 28, 1794, one of the bloodiest and most controversial phases of the French Revolution. The time between 1792 and 1794 was dominated by the radical ideology until the execution of Robespierre in July 1794. The Committee suspended the rights guaranteed by the 1789 Declaration of the Rights of Man and Citizen, as well as the new constitution of 1793. The Committee carried out thousands of executions of members of various factions, such as the Hebertists and the Dantonists, depicting them as enemies of the Revolution. Its laws and policies took the Revolution in a variety of radical new directions, such as the introduction of a revolutionary calendar in 1793, the closure of churches in and around Paris as a part of a movement of dechristianization, the trial and execution of Marie Antoinette as a symbol of counterrevolution, and the institution of the Law of Suspects, among others.
In 1794, the situation improved dramatically for the French. Shortly after a decisive military victory over Austria at the Battle of Fleurus, Robespierre was overthrown in July 1794 and the reign of the standing Committee of Public Safety was ended. After the arrest and execution of Robespierre, the Jacobin club was closed, and the surviving Girondins were reinstated (an act known asThermidorian Reaction). A year later, the National Convention adopted the Constitution of 1795. They reestablished freedom of worship, began releasing large numbers of prisoners, and most importantly, initiated elections for a new legislative body. On November 3, 1795, the Directory—a bicameral parliament—was established and the National Convention ceased to exist.
By 1795, in the war against the First Coalition, French forces had captured the Austrian Netherlands and knocked Spain and Prussia out of the war with the Peace of Basel. A new and hitherto unknown young general, Napoleon Bonaparte, began his first campaign in Italy in April 1796. In less than a year, French armies under Napoleon decimated the Habsburg forces and evicted them from the Italian peninsula, winning almost every battle and capturing 150,000 prisoners. With French forces marching towards Vienna, the Austrians sued for peace and agreed to the Treaty of Campo Formio, ending the First Coalition War against the new Republic of France.
Conservative Retrenchment and the Directory
The end of the Reign of Terror concluded the radical second phase of the French Revolution and was followed by the conservative third phase of the Revolution. Stagnation and inertia marked this third phase. Its relative stability left many in France dissatisfied and opened the door for Napoleon Bonaparte, whose rise to power ushered in the fourth and final phase of the French Revolution.
Learning Objective
- Analyze the causes, main events, and results of the French Revolution.
Key Terms / Key Concepts
Thermidorian Reaction: a 1794 coup d’état within the French Revolution against the leaders of the Jacobin Club that dominated the Committee of Public Safety (It was triggered by a vote of the National Convention to execute Maximilien Robespierre, Louis Antoine de Saint-Just, and several other leading members of the revolutionary government. It ended the most radical phase of the French Revolution.)
Committee of Public Safety: a committee created in April 1793 by the National Convention and then restructured in July 1793 to form the de facto executive government in France during the Reign of Terror (1793 – 94), which was a stage of the French Revolution
National Convention: national legislature organized in September 1792 under the new republican government, reflecting the democratization of the French Revolution
Maximilien Robespierre: leader in the democratization of the French Revolution
sans-culottes: This term refers to the common people of the lower classes in late 18th century France, a great many of whom became radical and militant partisans of the French Revolution in response to their poor quality of life under the Ancien Régime. The term is a reference to their clothing, roughly translating to "without knee-breeches", a clothing feature of the upper classes in France. The sans-culottes typically wore pantaloons, or trousers. This term reflected the class status associated with different articles of clothing.
Reign of Terror: a period of violence during the French Revolution incited by conflict between two rival political factions, the Girondins and the Jacobins, and marked by mass executions of “the enemies of the revolution” (The death toll ranged in the tens of thousands, with 16,594 executed by guillotine and another 25,000 in summary executions across France.)
the Directory: a five-member committee that governed France from November 1795, when it replaced the Committee of Public Safety, until it was overthrown by Napoleon Bonaparte in the Coup of 18 Brumaire (November 8 – 9, 1799) and replaced by the Consulate (It gave its name to the final four years of the French Revolution.)
Louis XVI - French king at the time of the French Revolution
Jacobins: members of a revolutionary political movement that was the most famous political club during the French Revolution, distinguished by its left-wing, revolutionary politics (They were closely allied to the sans-culottes, a popular force of working-class Parisians that played a pivotal role in the development of the revolution. They had a significant presence in the National Convention and were dubbed “the Mountain” for their seats in the uppermost part of the chamber.)
The Thermidorian Reaction
The Thermidorian Reaction was a coup d’état within the French Revolution against the leaders of the Jacobin Club who dominated the Committee of Public Safety. It was triggered by a vote of the National Convention to execute Maximilien Robespierre, Louis Antoine de Saint-Just, and several other leaders of the revolutionary government. The name Thermidorian refers to Thermidor 9, Year II (July 27, 1794), the date according to the French Republican Calendar when Robespierre and other radical revolutionaries came under concerted attack in the National Convention. Thermidorian Reaction also refers to the period that occurred until the National Convention was superseded by the Directory (also called the era of the Thermidorian Convention).
For historians of revolutionary movements, the term Thermidor has come to mean the phase in some revolutions when power slips from the hands of the original revolutionary leadership and a radical regime is replaced by a more conservative regime, sometimes to the point at which the political pendulum swings back towards something resembling a pre-revolutionary state.
The Thermidorian regime that followed proved unpopular, facing many rebellions after the execution of Robespierre and his allies, along with 70 members of the Paris Commune. This was the largest mass execution that ever took place in Paris and led to a fragile situation. The hostility towards Robespierre did not just vanish with his execution. Instead, the people involved with Robespierre became the target, including many members of the Jacobin club, their supporters, and individuals suspected of being past revolutionaries. The Thermidorian regime excluded the remaining Montagnards from power, even those who had joined in conspiring against Robespierre and Saint-Just. In addition, the sans-cullotes faced violent suppression by the Muscadin, a group of street fighters organized by the new government. The massacre of these groups became known as the White Terror. Often members of targeted groups were the victims of prison massacres or put on trial without due process, similar conditions to those provided to the counter-revolutionaries during the Reign of Terror. The White Terror of 1795 resulted in numerous imprisonments and several hundred executions, almost exclusively of people on the political left.
Meanwhile, French armies overran the Netherlands and established the Batavian Republic, occupied the left bank of the Rhine, and forced Spain, Prussia and several German states to sue for peace, enhancing the prestige of the National Convention. A new constitution called the Constitution of the Year III (1795) was drawn up, which eased back some of the democratic elements of the Constitution of 1793. On October 25, the Convention declared itself dissolved and was replaced by the French Directory on November 2.
The French Directory
The Directory, a five-member committee that governed France from November 1795 to November 1799, failed to reform the disastrous economy, relied heavily on violence, and represented another turn towards dictatorship during the French Revolution.
The New Legislature and the Government
The Constitution of 1795 created the Directory with a bicameral legislature consisting of the Council of Five Hundred (lower house) and the Council of Ancients (upper house). Besides functioning as legislative bodies, the Council of Five Hundred proposed the list from which the Council of Ancients chose five Directors who jointly held executive power. The new Constitution sought to create a separation of powers: the Directors had no voice in legislation or taxation, nor could Directors or Ministers sit in either house. In essence, however, power was in the hands of the five members of the Directory.
In October 1795, immediately after the suppression of a royalist uprising in Paris, the elections for the new Councils took place. The universal male suffrage of 1793 was replaced by limited suffrage based on property. 379 members of the National Convention, for the most part moderate republicans, were elected to the new legislature. To assure that the Directory did not abandon the Revolution entirely, the Council required all the members of the Directory to be former members of the Convention and regicides, those who had voted for the execution of Louis XVI. Due to the rules established by the National Convention, a majority of members of the new legislature had served in the Convention and were ardent republicans, but many new deputies were royalists: 118 versus 11 from the left. The members of the upper house, the Council of Ancients, were chosen by lot from among all of the deputies.
On October 31, 1795, the members of the Council of Five Hundred submitted a list of candidates to the Council of Ancients, which would choose the first Directory. It consisted of Paul François Jean Nicolas (commonly known as Paul Barras; the dominant figure in the Directory known for his skills in political intrigue), Louis Marie de La Révellière-Lépeaux (a fierce republican and anti-Catholic), Jean-François Rewbell (expert in foreign relations and a firm moderate republican), Étienne-François Le Tourneur (a specialist in military and naval affairs), and Lazare Nicolas Marguerite Carnot (an energetic and efficient manager who restructured the French military). Out of the five members, only Barras served during the entire time the Directory existed.
Administration of the Directory
State finances were in total disarray. The government could only cover its expenses through the plunder and tribute of foreign countries. The Directory was continually at war with foreign coalitions, which at different times included Britain, Austria, Prussia, the Kingdom of Naples, Russia, and the Ottoman Empire. It annexed Belgium and the left bank of the Rhine, while Napoleon Bonaparte conquered a large part of Italy. The Directory established six short-lived sister republics modeled after France in Italy, Switzerland, and the Netherlands. The conquered cities and states were required to send to France huge amounts of money as well as art treasures, which were used to fill the new Louvre Museum in Paris. An army led by Bonaparte conquered Egypt and marched as far as Saint-Jean-d’Acre in Syria. The Directory defeated a resurgence of the War in the Vendée, the royalist-led civil war in the Vendée region, but it failed in its venture to support the Irish Rebellion of 1798. The wars exhausted the state budget but if peace was made, the armies would return home and the directors would have to face the exasperation of the rank-and-file who had lost their livelihoods and the ambition of generals who could at any moment brush them aside.
The Directory denounced the arbitrary executions of the Reign of Terror, but also engaged in large-scale illegal repressions and even massacres of civilians (War in the Vendée). The failing economy and high cost of food especially hurt the poor. Although committed to republicanism, the Directory distrusted the existing, albeit limited, democracy. When the elections of 1798 and 1799 were carried by the opposition, it used the Army to imprison and exile opposition leaders and close opposition newspapers. It also increasingly depended on the Army in foreign and domestic affairs, including finance. Barras and Rewbell were notoriously corrupt and screened corruption in others. The patronage of the directors was ill-bestowed and the general maladministration heightened their unpopularity.
Public Discord
With the establishment of the Directory, contemporary observers might have assumed that the Revolution was finished. Citizens of the war-weary nation wanted stability, peace, and an end to conditions that at times bordered on chaos. Some tried to overthrow the Directory but failed.
The new régime met opposition from Jacobins on the left and Royalists (secretly subsidized by the British government) on the right. The army suppressed riots and counter-revolutionary activities, but the rebellion and Napoleon gained massive power. In the elections of 1797 for one-third of the seats, the Royalists won the great majority and were poised to take control of the Directory in the next election. The Directory reacted by purging all the winners in the Coup of 18 Fructidor.
On September 4, 1797, with the army in place, the Coup d’état of 18 Fructidor, Year V was set in motion. General Augereau’s soldiers arrested Pichegru, Barthélemy, and the leading royalist deputies of the Councils. The next day, the Directory annulled the elections of about two hundred deputies in 53 departments. 65 deputies were deported to Guiana, 42 royalist newspapers were closed, and 65 journalists and editors were deported.
War of the Second Coalition
The War of the Second Coalition (1798 – 1802) was fought by a larger alliance of Britain, Austria, Russia, the Ottoman Empire, Portugal, and Naples. Their goal was to contain the spread of chaos from France. However, the Second Coalition failed to overthrow the revolutionary regime, and as a result French territorial gains since 1793 were confirmed. The Coalition did very well in 1799, but Russia pulled out. Napoleon took charge in France in late 1799, when he and his generals defeated the Coalition. In the Treaty of Lunéville in 1801, France retained all of its previous gains and obtained new lands in Tuscany, Italy; on the other hand, Austria was granted Venetia and the Dalmatian coast. Britain and France signed the Treaty of Amiens in March 1802, bringing an interval of peace in Europe that lasted for 14 months. After a decade of constant warfare and aggressive diplomacy, France conquered, temporarily, a wide array of territories, from the Italian Peninsula and the Low Countries in Europe to the Louisiana Territory in North America. French success in these conflicts ensured the spread of revolutionary principles over much of Europe.
On November 9, 1799 (18 Brumaire of the Year VIII) Napoleon Bonaparte staged the Coup of 18 Brumaire, which installed the Consulate. This effectively led to Bonaparte’s dictatorship and in 1804 to his proclamation as emperor, which ended the specifically republican phase of the French Revolution.
Historians have assessed the Directory as a government of self-interest that lost any claim on idealism. It never had a strong base of popular support. When elections were held, most of its candidates were defeated. Its achievements were minor, and the approach taken reflected another turn towards dictatorship and the failure of liberal democracy. Violence, arbitrary and dubious forms of justice, and heavy-handed repression were methods commonly employed by the Directory.
Napoleon and the End of the French Revolution
With Napoleon Bonaparte's overthrow of the Directory the French Revolution entered its last phase. Ironically, Napoleon Bonaparte much like the absolutist French King Louis XIV, oversaw the implementation of additional reforms in government, trade, and the place of Roman Catholic Church that furthered the modernization of France. During his reign sought to take control of Europe, dominate Russia, and expand France's global empire. These imperial efforts confronted Europe and the world with new challenges in international relations. Over the next two centuries states and their citizens around the world would address these new challenges and consider and respond to the other actions taken by Napoleon, among the other changes during the first three phases of the French Revolution.
Learning Objective
- Analyze the causes, main events, and results of the French Revolution.
Key Terms / Key Concepts
French Revolutionary Wars: a series of sweeping military conflicts from 1792 until 1802, resulting from the French Revolution; pitted the French First Republic against Britain, Austria and several other monarchies; divided into two periods: the War of the First Coalition (1792 – 1797) and the War of the Second Coalition (1798 – 1802) (Initially confined to Europe, the fighting gradually assumed a global dimension as the political ambitions of the Revolution expanded.)
the Directory: a five-member committee that governed France from November 1795, when it replaced the Committee of Public Safety, until it was overthrown by Napoleon Bonaparte in the Coup of 18 Brumaire (November 8 – 9, 1799) and replaced by the Consulate (It gave its name to the final four years of the French Revolution.)
Napoleonic Code: French civil code established under Napoleon I in 1804 (It was drafted by a commission of four eminent jurists. With its stress on clearly written and accessible law, it was a major step in replacing the previous patchwork of feudal laws. Historian Robert Holtman regards it as one of the few documents that have influenced the whole world.)
The Consulate: the government of France from the fall of the Directory in the Coup of 18 Brumaire (1799) until the start of the Napoleonic Empire in 1804; the period of French history from 1799 – 1804 (During this period, Napoleon Bonaparte, as First Consul, established himself as the head of a more liberal, authoritarian, autocratic, and centralized republican government in France while not declaring himself head of state.)
Haitian Revolution: a successful anti-slavery and anti-colonial insurrection that took place in the former French colony of Saint Domingue from 1791 until 1804, in which self-liberated slaves destroyed slavery at home, fought to preserve their freedom, and collaborated with mulattoes to found the sovereign state of Haiti (It impacted the institution of slavery throughout the Americas.)
Napoleon
Napoleon Bonaparte (1769 – 1821) was a French military and political leader who rose to prominence during the French Revolutionary Wars, leading several successful French campaigns. He led a coup against the Directory government, and ultimately rose to reign as French emperor from 1804 until 1814, and again, briefly, in 1815. He dominated European and global affairs for more than a decade while leading France in his pursuit of empire.
Napoleon was born in 1769 on the island of Corsica, an island in the Mediterranean Sea off the coast of Italy to the east and France to the northwest. The year before Corsica had come under French control. The Corsican origins and Corsica’s history would play a very important role in Napoleon’s upbringing and shape his first political fascinations and activism. His first language was Corsican and he always spoke French with a marked Corsican accent. He always saw himself, at least in part, as a Corsican in French society.
Early Military Career: The Revolution
Napoleon’s noble, moderately affluent background afforded him greater opportunities to study than available to a typical Corsican of the time. Upon graduating from the prestigious École Militaire (military academy) in Paris in 1785, , the first Corsican to do so, Bonaparte was commissioned as a second lieutenant in an artillery regiment. He served in Valence and Auxonne until after the outbreak of the Revolution in 1789 and took nearly two years’ leave in Corsica (where he was born and spent his early years) and Paris during this period. At this time, he was a fervent Corsican nationalist. He spent the early years of the Revolution in Corsica, fighting in a complex three-way struggle among royalists, revolutionaries, and Corsican nationalists. He was a supporter of the republican Jacobin movement, organizing clubs in Corsica, and was given command over a battalion of volunteers. He was promoted to captain in the regular army in 1792, despite exceeding his leave of absence and leading a riot against a French army in Corsica.
Having proven himself as a combat leader Napoleon was promoted to general in 1795. He was then sent to fight the Austro-Piedmontese armies in Northern Italy the following year. After defeating both armies, he became France’s most distinguished field commander. Hitherto unknown General Bonaparte began his first campaign in Italy in April 1796. In less than a year, French armies under Napoleon decimated the Habsburg forces and evicted them from the Italian peninsula, winning almost every battle and capturing 150,000 prisoners. With French forces marching towards Vienna, the Austrians sued for peace and agreed to the Treaty of Campo Formio, ending the First Coalition against the Republic.
In 1898 the War of the Second Coalition began with the same goal for the Coalition partners of stopping the spread of the French Revolution and take back French territorial gains in the War of the First Coalition. Napoleon began this second war by leading the French invasion of Egypt in 1798. The Allies took the opportunity presented by the French strategic effort in the Middle East to regain territories lost from the First Coalition. Napoleon’s forces annihilated a series of Egyptian and Ottoman armies at the battles of the Pyramids, Mount Tabor, and Abukir. These victories and the conquest of Egypt further enhanced Napoleon’s popularity back in France. He returned in the fall of 1799 to cheering throngs in the streets despite the Royal Navy’s critical triumph at the Battle of the Nile in 1798. This humiliating defeat further strengthened British control of the Mediterranean.
The Egyptian campaign ended in what some in France believed was a failure, with 15,000 French troops killed in action and 15,000 by disease. However, Napoleon’s reputation as a brilliant military commander remained intact and even rose higher despite his failures during the campaign. This was due to his expert propaganda designed to bolster the expeditionary force and improve its morale. That propaganda even spread back to France, where news of defeats such as at sea in Aboukir Bay and on land in Syria were suppressed.
Napoleon’s arrival from Egypt led to the fall of the Directory in the Coup of 18 Brumaire, with Napoleon installing himself as Consul. Napoleon then reorganized the French army and launched a new assault against the Austrians in Italy during the spring of 1800. This latest effort culminated in a decisive French victory at the Battle of Marengo in June 1800, after which the Austrians withdrew from the peninsula once again. Another crushing French triumph at Hohenlinden in Bavaria forced the Austrians to seek peace for a second time, leading to the Treaty of Lunéville in 1801. With Austria and Russia out of the war, the United Kingdom found itself increasingly isolated and agreed to the Treaty of Amiens with Napoleon’s government in 1802, concluding the Revolutionary Wars. The lingering tensions proved too difficult to contain, however, and the Napoleonic Wars began a few years later with the formation of the Third Coalition, continuing the Coalition Wars and beginning the Napoleonic Wars.
Napoleon’s Military Record
The military career of Napoleon Bonaparte lasted more than 20 years. He is widely regarded as a military genius and one of the finest commanders in world history. He fought 60 battles and lost only seven, most of these at the end of his career.
In the field of military organization, Napoleon borrowed from previous theorists and reforms of preceding French governments, developing much of what was already in place. He continued the policy that emerged from the Revolution of promotion based primarily on merit. Corps replaced divisions as the largest army units, mobile artillery was integrated into reserve batteries, the staff system became more fluid, and cavalry returned as an important formation in French military doctrine. These methods are now referred to as essential features of Napoleonic warfare. Under Napoleon, a new emphasis towards the destruction, not just outmaneuvering, of enemy armies emerged. Invasions of enemy territory occurred over broader fronts, which made wars costlier and more decisive. The political effect of war increased. Defeat for a European power meant more than the loss of isolated enclaves, intensifying the Revolutionary phenomenon of total war.
The coronation ceremony, officiated by Pope Pius VII, took place at Notre Dame de Paris in December 1804. Following prearranged protocol, Napoleon first crowned himself, then proclaimed his wife Josephine empress. They had married in 1796, but would divorce in 1810, largely because they had not had a son who could be Napoleon's heir. Later that year he married Marie-Louise of Austria. Napoleon once remarked after marrying Marie-Louise that despite her quick infatuation with him “he had married a womb.”
Consolidation of Power: The Consulate and Rise to First Consul
The Constitution of the Year VIII (1799) preserved the appearance of a republic but established a dictatorship instead. Napoleon had taken power through a coup, and then consolidated it in a series of political maneuvers, but his rise as the sole ruler of France was linked with the power and popularity he gained as the foremost military leader.
Bonaparte thus completed his coup within a coup by the adoption of a constitution under which the First Consul, a position he was sure to hold, had greater power than the other two. In particular, he appointed the Senate that would interpret the constitution. The Sénat conservateur (Conservative Senate) verified the draft bills and directly advised the First Consul on the implications of such bills; this allowed Napoleon to rule by decree. This plan also ensured that the more independent Conseil d’État (Council of State) and Tribunat were relegated to unimportant roles, as they could draft bills and debate them but not vote on them. The legislature known as Corps législatif also partly replaced the Council of Five Hundred under the new constitution, but its role consisted solely of voting on laws deliberated before the Tribunat. Napoleon, at least in theory, still shared the executive power with the two other Consuls.
After the First Consul was assured power, Napoleon aspired to solidify his control of France. Military victories in the ongoing war increased his popularity, which allowed him to neutralize his political opponents. The 1801 Treaty of Lunéville with Austria restored peace in Europe, gave nearly the whole of Italy to France, and permitted Bonaparte to eliminate from French legislative assemblies all the leaders of the opposition. The 1802 Peace of Amiens with the United Kingdom—through which Spain and the Batavian Republic paid all of France’s costs—gave the peacemaker a pretext for endowing himself with a Consulate for life as a recompense from the nation. The same year, a second national referendum was held; this time to confirm Napoleon as “First Consul for Life.”
Early Wars with Austria and Britain
Napoleon’s early wars with Austria and Britain confirmed the French dominance over Austria, failed to stop British dominance in the Mediterranean, and ended with a precarious peace broken only a year after signing the final treaty of the French Revolutionary Wars.
Napoleon vs. the Second Coalition
The War of the Second Coalition (1798 – 1802) was the second war on revolutionary France by the European monarchies. The Second Coalition included Britain, Austria, Portugal, Naples, and Russia, including the Ottoman Empire. Their goal was to stop French territorial expansion and contain the spread of ideas generated by the French Revolution. This alliance failed in its goals, signing treaties with Napoleon's government in 1801 and 1802 which recognized French territorial acquisitions since 1793, along with the continued existence of the French Republic. The 1802 Treaty of Amiens, between France and Britain, marks the end of the French Revolutionary Wars and the beginning of the Napoleonic Wars, in which shifting alliances of European nations sought to stop Napoleon's conquests and end his reign as ruler of France. Britain was one of the leaders of these alliances against Napoleonic France.
The peace, however, did not last long. Great Britain had broken the Treaty of Amiens by declaring war on France in May 1803. In December 1804, an Anglo-Swedish agreement became the first step towards the creation of the Third Coalition. By April 1805, Britain had also signed an alliance with Russia. Austria joined the coalition a few months later, seeking revenge after being defeated by France twice in recent memory.
In the Third through the Seventh Coalition Wars, from 1803 through 1815 shifting alliances of European powers focused on defeating Napoleon, ending his reign, and retaking French conquests of their territories. These allies, led alternately by Britain, Austria, Prussia, and Russia, finally succeeded in defeating French forces in 1814 and deposing Napoleon, who was exiled to Elba, an island in the Mediterranean Sea, off the west coast of Italy. The Coalition triumphed in part because Napoleon had overextended his forces, first in the 1808-14 Peninsular War and then with the 1812 French invasion of Russia. In the Peninsular War Napoleon expended a great deal of French resources in his failed effort to impose his brother Joseph on the Spanish as their king. In his 1812 invasion of Russia, designed to bring Russia under his control, Napoleon lost over half a million men out of an invasion force of about 600,000 men.
Throughout his reign Napoleon not only sought to control Europe, but also expand his empire into the Africa, the Americas, and the Middle East. These imperial efforts overseas cost him resources and distracted him from his efforts in Europe. His first colonial failure was his 1798-1801 effort to conquer Egypt and increase the French imperial presence in the Mediterranean Sea.
Near the end of the War of the Second Coalition, with Europe approaching peace and the French economy recovering, Napoleon’s popularity was soaring to its highest levels under the Consulate, both domestically and abroad. During this brief peace in Europe Napoleon tried to restore the French colonial presence in the Caribbean Sea by invading Saint-Domingue and, in the effort, reinstating slavery, which had been abolished by the National Convention in 1794. Through this invasion Napoleon also sought to halt the progress of national independence for Haiti, the second nation in the Americas to establish its national independence from a European colonial power, under the leadership of Toussaint Louverture. Although the French expedition captured Toussaint Louverture, it ultimately failed to take Saint-Dominque when high rates of disease decimated the French force. In May 1803, the last French troops left the island, and the slaves proclaimed an independent republic that they called Haiti by 1804. As a consequence of this failure, Napoleon decided in 1803 to sell the Louisiana Territory to the United States, nearly doubling the size of the U.S. The selling price in the Louisiana Purchase was less than three cents per acre, a total of $15 million.
In the spring and summer of 1815 Napoleon made a last effort to retake control of France and restore his empire. This conflict is known alternately as the War of the Seventh Coalition and the Hundred Days. This war ended with the 18 June 1815 Battle of Waterloo, the name of which has become part of the popular lexicon. In the aftermath of this defeat Napoleon was exiled to Saint Helena in the south Atlantic Ocean, about twelve hundred miles from the southwestern coast of Africa. The distant location of Saint Helena was supposed to be an extra measure of security against the possibility of another escape by Napoleon.
Napoleon’s Constitutions
Napoleon had become the First Consul for ten years. The Constitution of the Year VIII, adopted in 1799 and accepted by the popular vote in 1800, established the form of government known as the Consulate that confirmed his powre as First Consul, and presumed virtually dictatorial powers for him in that position the First Consul, Napoleon Bonaparte. At this time Napoleon was popular among many in France. After a period of strife, many in France were reassured by his accomplishments in the War of the Second Coalition and his talk of stability of government, order, justice, and moderation. He created the impression that France was governed once more by a real statesman and that a competent government was finally in charge.
The Constitution of the Year VIII, along with future constitutions promulgated during Napoleon's reign over France, enhanced further his power as ruler. The Constitution was amended twice; in each case, the amendments strengthened Napoleon’s already concentrated power. The Constitution of the Year X (1802) made Napoleon First Consul for Life. In 1804, the Constitution of the Year XII established the First French Empire with Napoleon as Napoleon I, Emperor of the French. The Constitution established the House of Bonaparte as France’s imperial dynasty, making the throne hereditary in Napoleon’s family. The Constitution of the Year XII was later extensively amended by the Additional Act (1815) after Napoleon returned from exile on Elba. The document virtually replaced the previous Napoleonic Constitutions and reframed the Napoleonic constitution into something more along the lines of the Bourbon Restoration Charter of 1814 of Louis XVIII, while otherwise ignoring the Bourbon charter’s existence. It was very liberal in spirit and gave the French people rights which were previously unknown to them, such as the right to elect the mayor in communes with populations fewer than 5,000. Napoleon treated it as a mere continuation of the previous constitutions, and it thus took the form of an ordinary legislative act “additional to the constitutions of the Empire.”
Napoleon’s Reforms
Of greater importance than these constitutions was the Napoleonic Code created by eminent jurists under Napoleon’s supervision. Praised for its Gallic clarity, it spread rapidly throughout Europe and the world, marking the end of feudalism where it took effect. The Code recognized the principles of civil liberty, equality before the law, and the secular character of the state. It discarded the old right of primogeniture (where only the eldest son inherited) and required that inheritances be divided equally among all the children.
Napoleon also resolved most of the outstanding problems resulting from the complex history of religious tensions and conflicts in France, particularly between French revolutionaries who had sought to reduce the power of the Roman Catholic Church in France, if not Europe, and the Church. The centerpiece of Napoleon's religious policies was te Concordat of 1801. The Concordat of 1801 sought national reconciliation between revolutionaries and Catholics. It also recognized the Roman Catholic Church as the dominant church in France. But while it restored France’s ties to the papacy, it was largely in favor of the state. Signed by Pope Pius VII, the Concordat allowed the Church to return to normal operations. In exchange Catholics agreed to support Napoleon as ruler of France. Napoleon also implemented the policy of tolerance toward Protestants, Jews, and atheists. In the aftermath of signing the Concordat of 1801, the Catholic clergy returned from exile or hiding and resumed their traditional positions in their traditional churches. Napoleon and the pope both found the Concordat useful. Similar arrangements were made with the Church in territories controlled by Napoleon, especially Italy and Germany.
Napoleon's Attempt at Global Empire
Napoleon’s decisions to reinstate slavery in French colonies and sell the Louisiana territory to the United States, together with the triumph of the Haitian Revolution, made his colonial policies some of the greatest failures of his rule.
Napoleon and the Colonies
At the close of the Napoleonic Wars, most of France’s colonies were restored to it by Britain, notably Guadeloupe and Martinique in the West Indies, French Guiana on the coast of South America, various trading posts in Senegal, the Île Bourbon (Réunion) in the Indian Ocean, and France’s tiny Indian possessions. However, Britain finally annexed Saint Lucia, Tobago, the Seychelles, and the Isle de France (now Mauritius).
The Catholic Church in Revolutionary France
During the French Revolution, the National Constituent Assembly took Church properties and issued the Civil Constitution of the Clergy, which made the Church a department of the state and effectively removed it from papal authority. At the time, the nationalized Gallican Church was the official church of France. Gallicanism was the theory that the power of monarchs is independent of the power of popes and that the church of each country should be under the joint control of the pope and the monarch; the doctrine of the Gallican Church was essentially Catholicism. The Civil Constitution caused hostility among the Vendée resurgents, who resented the harsh conditions imposed on the Roman Catholic Church by the provisions of the Civil Constitution and broke into open revolt after the Revolutionary government’s imposition of military conscription. A guerrilla war known as the Revolt in the Vendée was led at the outset by peasants who were chosen in each locale. It cost more than 240,000 lives before it ended in 1796. Subsequent laws abolished the traditional Gregorian calendar and Christian holidays.
Development of the Concordat
The Concordat was drawn up by a commission with three representatives from each party. Napoleon Bonaparte, who was First Consul of the French Republic at the time, appointed Joseph Bonaparte, his brother; Emmanuel Crétet, a counselor of state; and Étienne-Alexandre Bernier, a doctor in theology. Pope Pius VII appointed Cardinal Ercole Consalvi, Cardinal Giuseppe Spina, archbishop of Corinth, and his theological adviser Father Carlo Francesco Maria Caselli. The French bishops, whether abroad or back to their own countries, had no part in the negotiations.
Organic Articles
As part of the Concordat, Napoleon presented another set of laws called the Organic Articles. These consisted of 77 Articles relating to Catholicism and 44 Articles relating to Protestantism and were published as a unilateral addition to the Concordat in 1802. Napoleon presented the set of laws to the Tribunate and the legislative body at the same time that he had them vote on the Concordat itself. It met with opposition from the Catholic Church, with Pope Pius VII claiming that the articles had been promulgated without his knowledge. Presenting the Organic Articles was Napoleon’s method of granting the Tribunate and the legislative body partial control of the Concordat to help the state monitor any politically harmful Catholic or Protestant movements or activities.
Significance of the Concordat
The hostility of devout Catholics against the state was now largely resolved. However, the Concordat did not restore the vast church lands and endowments that were seized and sold during the revolution. But Catholic clergy returned from exile or hiding, and resumed their former positions in their traditional churches. While the Concordat restored much power to the papacy, the balance of church-state relations tilted firmly in Napoleon’s favor. He selected the bishops and supervised church finances. Similar arrangements were made with the Church in territories controlled by Napoleon, especially Italy and Germany. The Concordat was abrogated by the law of 1905 on the separation of Church and state. However, some provisions of the Concordat are still in effect in the Alsace-Lorraine region, under the local law of Alsace-Moselle, because the region was controlled by the German Empire at the time of the 1905 law’s passage.
The Napoleonic Code
The 1804 Napoleonic Code, which influenced civil law codes across the world, replaced the fragmented laws of pre-revolutionary France, recognizing the principles of civil liberty, equality before the law (although not for women in the same sense as for men), and the secular character of the state. The development of the code was a fundamental change in the nature of the civil law legal system, as it stressed clearly written and accessible law. Other codes were commissioned by Napoleon to codify criminal and commerce law.
The Napoleonic Code was not the first legal code to be established in a European country with a civil legal system. It was preceded by the Codex Maximilianeus bavaricus civilis (Bavaria, 1756), the Allgemeines Landrecht (Prussia, 1794), and the West Galician Code (Galicia, then part of Austria, 1797). It was, however, the first modern legal code to be adopted with a pan-European scope and strongly influenced the law of many of the countries formed during and after the Napoleonic Wars. The Napoleonic Code was very influential in developing countries outside Europe, especially in the Middle East, that were attempting to modernize through legal reforms.
Legal System in France Before the Code
Napoleon set out to reform the French legal system in accordance with the ideas of the French Revolution. Before the Napoleonic Code, France did not have a single set of laws. Law consisted mainly of local customs, which had sometimes been officially compiled in “customals” (coutumes). There were also exemptions, privileges, and special charters granted by the kings or other feudal lords. During the Revolution, the last vestiges of feudalism were abolished; this meant a new legal code was required to address changes in the social, economic, and political structure of French society.
Praised for its clarity, the Code spread rapidly throughout Europe and the world in and marked the end of feudalism and the liberation of serfs where it took effect. The Code recognized the principles of civil liberty, equality before the law (although not for women in the same sense as for men), and the secular character of the state. It discarded the old right of primogeniture (where only the eldest son inherited) and required that inheritances be divided equally among all children. All judges were appointed by the national government in Paris. And the court system was standardized.
Napoleonic Code Influence
The development of the Napoleonic Code was a fundamental change in the nature of the civil law system, making laws clearer and more accessible. Although the Napoleonic Code was not the first civil code and did not represent the whole of Napoleon’s empire, it was one of the most influential. It was adopted in many countries occupied by the French during the Napoleonic Wars and thus formed the basis of the law systems of Italy, the Netherlands, Belgium, Spain, Portugal (and their former colonies), and Poland (1808 – 1946). Thus, the civil law systems of the countries of modern continental Europe have, to different degrees, been influenced by the Napoleonic Code, with the exception of Russia and the Scandinavian countries. The Napoleonic Code also has influenced portions of several Middle Eastern legal codes. In the Persian Gulf Arab states of the Middle East, the influence of the Napoleonic Code mixed with hints of Islamic law is clear even in Saudi Arabia (which abides more towards Islamic law). In Kuwait, for example, property rights, women’s rights, and the education system were seen as Islamic reenactments of the French civil code. Even in the United States, most of the legal systems of which are largely based on English common law, the state of Louisiana is unique in having a strong influence on its civil code from the Napoleonic Code and Spanish legal traditions.
In his efforts to take control of Europe and increase the size of his global Napoleon did leave a number of legacies, including the Napoleonic Code and Napoleon's dream of a unified Europe, if not one under the control of a single autocrat. These legacies were related to the legacies left by the French Revolution, particularly in the areas of political and economic democratization. The French Revolution was the crucible for the emergence of nineteenth-century liberalism and the subsequent revolutions from 1820 through 1848. Although these revolutions were not successful, they did lead to significant gains in personal and national sovereignty up to the present. Ultimately the French Revolution and Napoleon's reign were milestones in the continuing struggle by humanity for basic rights, if not always in ways apparent and/or expected.
Attributions
Images courtesy of Wikimedia Commons
Title Image - Storming of the Bastille, 14 July 1789. Attribution: Unidentified painter, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:Anonymous_-_Prise_de_la_Bastille.jpg. License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"France under Louis XV"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/france-under-louis-xv/
"Louis XVI's Early Years"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/louis-xvis-early-years/
"Constitutional Monarchy"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/constitutional-monarchy/
"The Reign of Terror"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-reign-of-terror/
"The Beginning of Revolution"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-beginning-of-revolution/
"The French Empire
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-french-empire/
"Napoleon's Defeat"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/napoleon's defeat/
"The 100 Days"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-100-days/
"The Transition to Dictatorship"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-transition-to-dictatorship/
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The Haitian Revolution
Overview
The Haitian Revolution
In 1791, two years after the French Revolution began in France, the clarion call, “Liberty! Equality! Fraternity!," reached the French colony of Saint Domingue (present-day Haiti). The resulting Haitian Revolution is seminal in the history of slave revolts. Unlike other revolts and revolutions, the Haitian Revolution was successful. To date, it remains the most successful slave revolution.
Learning Objectives
- Examine the causes, events, and impact of the Haitian Revolution.
- Evaluate how the French Revolution influenced the Haitian Revolution.
Key Terms / Key Concepts
- Haiti: island nation in the Caribbean, formerly known as Saint Domingue
- Saint Domingue: name given to Haiti when it was a French colony
- Julien Raimond: a prosperous planter and free man of color who petitioned France for support of the Haitian Revolution
- Vincent Ogé: a wealthy, free man of color who led a revolt against racial discrimination promoted by the government of Saint Domingue
- Toussaint L’Ouverture: Haitian leader and general during the Haitian Revolution
- Jean-Jacques Dessalines: Haitian general during the Revolution and subsequent Emperor of Haiti
- The French Massacre of 1804: massacre of French and mixed-race civilians in Haiti undertaken by Dessalines and his troops
Background
The Latin American and Caribbean Wars of Independence, which took place during the late 18th and early 19th centuries, were deeply influenced by the American and French Revolutions. The notion of independence simmered throughout Latin America and the Caribbean before other major revolutions occurred, as these areas had been long governed and certainly oppressed by European nations such as Spain, Portugal, and France. And by the late eighteenth and early nineteenth centuries, wars of independence had erupted throughout the Caribbean and Latin America.
The French and the Colony of Saint Domingue
From its earliest history as a French colony, Saint Domingue was rife with social conflict. Society was organized around a complex class system of free whites, free Africans, Indigenous peoples, and enslaved Africans. [a] Of these groups, enslaved Africans totaled half a million—far more than the free whites and Africans combined. Yet, the whites, many of whom were immigrants from France or direct descendants of French parents, dominated the wealth and industry in Saint Domingue.
The African slaves, many of whom were recently arrived from Africa’s west coast, were forced to work on the massive sugar plantations. Sugar production was complex and extremely labor-intensive. Not only must the crop be planted and harvested, but whole tracts of land cleared, usually by burning. Sugar fields also had to be thoroughly irrigated, rotationally planted, and fertilized. After the harvest, the cane was sent to a mill for refinement and transport abroad. To complicate matters, plantation owners oversaw production of sugar with intense ferocity on par with that of their North American neighbors. Slaves were beaten, forced to live in ramshackle housing, and issued minimal rations.
French colonists and slaves frequently came into violent conflict. The French Revolution, which began in 1789, shaped the course of the ongoing conflict in Saint-Domingue and was at first welcomed on the island. In France, the National Assembly made radical changes to French laws, and on August 26, 1789, published the Declaration of the Rights of Man, declaring all men free and equal. Wealthy whites in Saint Domingue saw it as an opportunity to gain independence from France, which would allow elite plantation owners to take control of the island and create trade regulations that would further their own wealth and power. There were so many changes in the leadership in France and so many complex events in Saint-Domingue that various classes and parties changed their alignments many times. However, the Haitian Revolution quickly became a test of the ideology of the French Revolution.
Violence comes to Saint-Domingue
Saint-Domingue’s free people of color, most notably Julien Raimond had been actively appealing to France for full civil equality with whites since the 1780s. Raimond used the French Revolution to make this the major colonial issue before the National Assembly of France.
In October 1790, Vincent Ogé, another wealthy free man of color from the colony, returned home from Paris, where he had been working with Raimond. Convinced that a law passed by the French Constituent Assembly gave full civil rights to wealthy men of color, Ogé demanded the right to vote. When the colonial governor refused, Ogé led a brief insurgency in the area around Cape Français. He and an army of around 300 free blacks fought to end racial discrimination in the area. He was captured in early 1791 and was brutally executed by being “broken on the wheel” before being beheaded. The conflict up to this point was between factions of whites and between whites and free blacks. Enslaved blacks watched from the sidelines. Ogé was not fighting against slavery, but his actions later served as propaganda for slaves during the Haitian Revolution.
The Revolution in Haiti did not wait on the Revolution in France. The individuals in Haiti relied upon themselves to lead the revolution. Ideas such as individual freedoms and equality, which were the rallying cry of the French Revolution, inspired Haitians to take matters into their own hands. What ensued was the most successful and comprehensive slave rebellion in history. Just as the French were successful in transforming their society, so were the Haitians. On April 4, 1792, The French National Assembly granted citizenship to slaves in Haiti. A year later, they granted freedom to all slaves who would side with the French in the revolution.
A New Face for the Revolution: Toussaint L’Ouverture
The French decision to emancipate the slaves catapulted a new hero to the face of the Haitian Revolution. Toussaint L’Ouverture, a freed African man and Haitian general, emerged as the quintessential figure of the Revolution. He allied with the French army, defeated French plantation owners and their allies-- British troops. By 1801, he had defeated his rivals and proposed a constitution for Haiti. The new constitution was progressive. It abolished slavery and put freed Haitians at the forefront of society. However, Haiti was not yet independent. In fact, its new constitution still proclaimed loyalty to France. Critically, L’Ouverture took the constitution one step too far for France's new ruler, Napoleon Bonaparte. L'Ouverture proclaimed himself “Governor for Life” of Haiti. The title irked Napoleon. He saw it as a threat to his power in Haiti and the broader French colonies.
In 1802, Napoleon again sent French troops to Haiti to eliminate L’Ovuerture’s new government. Tricked into attending a meeting in France, L’Ovuerture was quickly arrested and imprisoned by French soldiers. He later died in exile in a French prison in the Jura Mountains along the French-Swiss border.
Legacy of the Haitian Revolution
The death of the “Father of Haiti,” as L’Ovuerture was later called, sparked an all-out war between the Haitians and the French troops in Haiti. The Haitian Revolution exploded in extreme violence in 1804. One of L'Ovuerture's former allies and soliders, Jean-Jacques Dessalines, ordered the execution of all remaining French people (including those of mixed race). Under his authority, Haitian troops executed between 4,000-5,000 French men, women, and children of all ages. The French Massacre of 1804 helped secure Haiti's independence, and lower the morale of French troops. Thousands of French troops also succumbed to diseases such as malaria and yellow fever. Fed up with the effort of maintaining a small colony in the Caribbean, Napoleon pulled his troops back.
In 1804, Haiti emerged as an independent state and abolished slavery. Dessalines was declared governor-general of Haiti. Within a year, Dessalines was declared Emperor of Haiti by generals in the Haitian army. Almost as quickly as Dessalines became emperor, strong resistance to his autocratic leadership formed. Political opposition grew, and a conspiracy to murder the emperor was hatched. On October 17, 1806, Dessalines was violently murdered near the capital city, Port-au-Prince. His death catapulted Haiti into a civil war between rival political factions until the island was divided into two parts: the Kingdom of Haiti ruled by Henri Christophe; and the Republic of Haiti under Alexandre Sabès Pétion.
Attributions
Images courtesy of Wikimedia Commons
Cole, Joshua and Carol Symes. Western Civilizations: Their History and Culture, 5th Ed. W.W. Norton & Company, New York: 2020. 636-637.
Boundless World History
"The South American Revolutions"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-south-american-revolutions/
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European Revolutions of 1820, 1830, and 1848
Overview
European Revolutions of 1820, 1830, and 1848
The French Revolution inspired a succession of revolutions and revolts, among other uprisings across Europe. Uprisings began soon after Napoleon’s final defeat in 1815, occurring most noticeably around 1820, 1830, and 1848. These uprisings revolved around aspects of liberalism and nationalism, and they went hand-in-hand with other forms of economic, religious, social, and technological democratization that were part of the Industrial Revolution. Underlying these uprisings was a struggle among the participating groups and individuals over which reforms and changes would be pursued, as well as under whose control they would happen. Conservatives who sought to limit the scope and degree of any changes were led by the monarchies of Austria, Prussia, and Russia, collectively known as the Holy Alliance. These three governments sought to turn back the clock to the way things had been before the French Revolution. They influenced the agenda implemented by the Congress of Vienna at the end of the Napoleonic Wars. Opposing these conservative forces were groups and individuals who sought more democratic changes in European economies, governments, and social structures, along with the Roman Catholic Church.
Learning Objectives
- Explain the consolidation of national states in Europe during the 19th century.
Key Terms / Key Concepts
Congress of Vienna: a conference of ambassadors of European states chaired by Austrian statesman Klemens von Metternich and held in Vienna from November 1814 to June 1815, though the delegates had arrived and were already negotiating by late September 1814 (The objective was to provide a long-term peace plan for Europe by settling critical issues arising from the French Revolutionary Wars and the Napoleonic Wars. The goal was not simply to restore old boundaries but to resize the main powers so they could balance each other and remain at peace.)
Frankfurt Assembly - the first freely elected parliament for all of Germany, elected on May 1, 1848 (The session was held from May 18, 1848, to May 31, 1849, in the Paulskirche at Frankfurt am Main. Its existence was both part of and the result of the “March Revolution” in the states of the German Confederation. After long and controversial debates, the assembly produced the so-called Frankfurt Constitution.)
Nationalism and liberalism drove the Revolutions of 1820, 1830, and 1848. These revolutions were part of trends in democratization that accompanied the Industrial Revolution, which also included mass production and the development of a culture of consumption. Nationalism was about forging new nation-states on the basis of common culture and ethnicity in Europe. In the Americas nationalism was explicitly about a shared political ideology based on republicanism, and implicitly about common ethnicity and culture, a characteristic that many in the dominant cultures of the various American nations do not realize or will not admit, event today. The revolutions from 1820 through 1848 solidified the European definition of nationalism. Liberalism was concerned with the removal of economic, political, religious, and social obstacles built into society and worked toward the ultimate goal of achieving equality of opportunity, as distinct from equality of outcome. The ideology of liberalism was initially defined by Enlightenment writers during the seventeenth and the eighteenth centuries. During the revolutions from 1820 through 1848 members of the new middle classes, which had emerged with the economic changes of industrialization, came to make liberalism an ideological vehicle for their economic and political aspirations, implicitly restricting useage of this ideology by the industrial working classes.
Highlighting this succession of uprisings during the first half of the nineteenth century were the Revolutions of 1820, 1830, and 1848. Beginning in 1820 movements broke out in Portugal, Spain, and several Italian kingdoms; the objectives of these movements was to transform each into a constitutional monarchy. Although each of these movements failed in the short term, they established or strengthened precedents for liberalization and democratization. Troops of the restored French monarchy returned absolute authority, at least nominally, to the Spanish monarchy. However, the constitutional revolution in Portugal sparked a struggle that lasted into the 1840s.
In 1830 revolution broke out in France with the expulsion Charles X, who fancied himself an absolute monarch in the tradition of Louis XIV. When Charles tried to repress opposition to his absolutist rule from newly elected liberals in the French legislature, mob reaction forced him to abdicate. Louis Philippe replaced Charles X as king. In an acknowledgement of the democratic spirit which drove the opposition to Charles X’s rule, Louis Philippe took the title of King of the French, rather than King of France.
Nationalist uprisings also broke out in the Catholic portion of the Netherlands and Poland. The uprising in Poland failed in the short term, but national sovereignty would be restored to Poland at the end of the First World War. The uprising in the Netherlands, born of an antagonism between Catholics and Protestants in that country, led to the creation of the Kingdom of Belgium. A similar spirit of religious division between Protestants and Catholics contributed to the Irish nationalism that would lead to the creation of the Republic of Ireland in 1922. During the nineteenth century Irish nationalists experienced incremental progress in their struggle for national sovereignty from the British Parliament.
A major advancement in political democratization related to the 1830 uprisings occurred in the United Kingdom in 1832 with the First Reform Act—the first in a series of reform acts passed between 1832 and 1928. Collectively these acts led to the vote being extended to all adult citizens in the United Kingdom by 1928. The First Reform Act extended the vote to middle class male voters based on property value, rent/ taxes paid, and length of residence. In this respect the First Reform Act did not eliminate the traditional property requirements of the English political system, rather it modified these requirements to include members of the evolving middle classes in recognition of economic and social changes that accompanied the Industrial Revolution. In terms of new voters in parliamentary elections, this act only increased this number by about fifty percent. This increase is in and of itself unremarkable when one considers that before the 1832 act only about one in ten adult males in the United Kingdom could vote in parliamentary elections. In addition, this act explicitly prohibited women from voting. based on population. Population growth came with the development of manufacturing and the growth of cities in the Industrial Revolution, starting the process of correcting longstanding inequities in voting representation between rural and urban areas.This act was not only a response to democratic protests and movements in Britain, but also a conservative effort to stave off future uprisings by giving activists part of what they wanted. It ended up walking the line between the agendas of parliamentary conservatives and democratic reformers during the tumultuous early 1830s.
The Revolutions of 1848—known in some countries as the Spring of Nations, People’s Spring, Springtime of the Peoples, or the Year of Revolution—were a series of political upheavals throughout Europe in 1848. It remains the most widespread revolutionary wave in European history. These diverse revolutionary movements were in opposition to the conservative agenda of the Congress of Vienna and marked a major challenge to its vision for a stable Europe.
The revolutions were essentially democratic in nature, with the aim of removing the old feudal structures and creating independent national states with democratic political structures and greater material security, even prosperity, for the working classes. The revolutionary wave began in France in February and immediately spread to most of Europe and parts of Latin America. Over 50 countries were affected, but with no coordination or cooperation between their respective revolutionaries. According to Evans and von Strandmann (2000), some of the major contributing factors were widespread dissatisfaction with political leadership, demands for more participation in government and democracy, demands for freedom of press, demands made by the working class, the upsurge of nationalism, and the regrouping of established governmental forces.
The uprisings were led by shaky ad hoc coalitions of reformers, the middle classes, and workers, which did not hold together for long. Tens of thousands of people were killed and many more forced into exile. Significant lasting reforms included the abolition of serfdom in Austria and Hungary, the end of absolute monarchy in Denmark, and the introduction of parliamentary democracy in the Netherlands. The revolutions were most important in France, the Netherlands, the states that would make up the German Empire in the late 19th and early 20th century, Italy, and the Austrian Empire.
In the Austrian empire, France, a number of the Italian states, and Prussia, 1848 revolutionaries were teased with hints of success. Ultimately, however, they were disappointed, in a number of cases, fatally, disappointed. Advocates for reform and German unification from across the German states created the Frankfurt Assembly in 1848. However, King Friedrich Wilhelm IV of Prussia, who the Assembly elected as emperor of a new unified Germany, ended the Assembly’s efforts by refusing to accept this position. He undercut support for the Assembly by asserting that it had no authority to select him as emperor of a unified Germany. Promises of reform and liberal constitutions made by the Austrian emperor and rulers of various German and Italian states in 1848 and early 1849 were subsequently reversed between mid-1849 and the end of 1851. These reversals accompanied campaigns of persecution against the revolutionaries throughout European by the restored conservative leaders of these countries and states.
French revolutionaries enjoyed possibly the most auspicious success with their creation of the short-lived Second Republic in 1848. Even though Louis Napoleon subverted the Second Republic with a coup in December 1851 that led to the creation of the Second Empire (the First Empire being that of Napoleon Bonaparte, his uncle), he had to do so under the guise of an implicit popular mandate, which he had established with his election as president of the Second Republic in December 1848. Throughout his reign, Louis Napoleon was mindful of popular opinion, even accepting quasi-democratic reforms during the second half of his reign. Despite its brevity the Second Republic set precedents for republican governance in France that would be adopted and built upon in the Third, the Fourth, and the Fifth French Republics.
Sprinkled among the 1820, 1830, and 1848 Revolutions were a number of national independence movements. A weakening Ottoman empire was the most vulnerable multiethnic and religiously diverse Eurasian empire to such movements, with limited autonomy being gained by Serbia in 1817 and Moldavia and Wallachia in 1829, and national independence by Greece in 1832. Italian states unified under the auspices of the Kingdom of Sardinia in 1861, and German states under Prussian direction in 1871.
Ultimately, the activists who carried out these movements during the first half of the nineteenth century failed because they couldn’t work together. They had different agendas in terms of visions, goals, and means. In the aftermath of the 1820 – 48 Revolutions, conservative national leaders in France, the Italian states, and the German states took control of the process of change and reform, establishing top-down control. However, the efforts of these revolutionaries built upon the efforts of the 1789 – 95 French revolutionaries, laying the foundation for successes in European democratization during the late nineteenth and twentieth centuries.
Attributions
Images courtesy of Wikipedia Commons
Title Image - "Liberty Leading the People" by Eugene Delacroix. Attribution: Eugène Delacroix, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:Eug%C3%A8ne_Delacroix_-_Le_28_Juillet._La_Libert%C3%A9_guidant_le_peuple.jpg. License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"The Congress of Vienna"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-congress-of-vienna/
"France after 1815"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/france-after-1815/
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oercommons
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2025-03-18T00:36:53.836853
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"url": "https://oercommons.org/courseware/lesson/87918/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
"author": null
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https://oercommons.org/courseware/lesson/87919/overview
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State Sponsored Nationalism and Liberalism (1848-1871)
Overview
State Sponsored Nationalism and Liberalism (1848 – 1871)
In the period after the 1848 Revolutions, liberalism, or constitutionalism, and cultural and ethnic nationalism shaped the formation of national governments in western and central Europe, and, to a lesser extent, Australia, Canada, New Zealand, and the United States. State-sponsored nationalism and liberalism, as directed by conservative government leaders sought to restrict political, social and economic change. The conservative nature of this process was informed by the experiences and fears of European leaders who wanted to restore the ancien regime. The monarchies of Austria, Prussia, and Russia spearheaded the efforts after Napoleon’s final defeat, with the goal of restoring or protecting the pre-revolutionary dynastic monarchies.
Learning Objective
- Explain the consolidation of national states in Europe during the 19th century.
Key Terms / Key Concepts
ancien regime: Kingdom of France from approximately the 15th century until the latter part of the 18th century (“early modern France”), under the late Valois and Bourbon Dynasties; used to refer to the similar feudal social and political order of the time elsewhere in Europe
Kingdom of Piedmont-Sardinia: independent kingdom in northern Italy that was the base for Italian unification
Efforts between 1820 and 1848 to create new republics, adopt constitutions in existing monarchies, or unify culturally similar states had enjoyed little success. A number of national leaders learned from these failures, and sought to limit change. Consequently, their efforts at nation-building from the 1848 Revolutions through the unification of Germany were conservative. However, these conservative leaders had to adjust their goals and strategies to the ideological and economic aspirations of the crystallizing middle classes of mid-nineteenth century Europe. Members of these new middle classes sought to eliminate the class- and status-based restrictions which limited their upward mobility, along with the priviledges, among other advantages, enjoyed by national aristocracies and monarchies. Conversely, members of these middle classes opposed populist-based efforts of members of the lower classes to put themselves on the same economic and political footing with the middle and upper classes. Conservative national leaders exploited this middle class predilection to limit democratization, as part of their own national efforts to slow down the pace of such change, a tactic manifest in the gradual political democratization of the United Kingdom through four parliamentary reform acts, passed between 1832 and 1918.
The two best examples of successful state sponsored nationalism and liberalism in nation-building between 1848 to1871 are the creation of the Kingdom of Italy in 1861 and the German empire in 1871. Each epitomizes the conservative nature of state-sponsored nationalism and liberalism during this period. In both cases the head of state and the head of government in one of the leading states led the process of unification, controlling the options and defining the terms of each of these two new nations to keep the process a conservative one in which these states led the final product. In Italy the king and prime minister of the Kingdom of Piedmont-Sardinia forged the Kingdom of Italy by bringing together most of the various states in the Italian peninsula. In Germany the King and prime minister of Prussia orchestrated the unification of the German states outside of Austria. Each effort was conservative and designed to establish the leadership role in the new nation of the leading state. While each of these two efforts was successful in the restraint of change, the founding of these two new European powers, along with earlier more revolutionary efforts from 1820 to 1848 foreshadowed revolutionary efforts which succeeded from the late nineteenth century through the twentieth century.
Attributions
Images courtesy of Wikipedia Commons
Title Image - 1860 photo of Giuseppe Mazzini. Attribution: Unknown author, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:Giuseppe_Mazzini.jpg. License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"The Congress of Vienna"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-congress-of-vienna/
"France after 1815"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/france-after-1815/
"German Unification"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/german-unification/
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oercommons
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2025-03-18T00:36:53.855382
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"url": "https://oercommons.org/courseware/lesson/87919/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
"author": null
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https://oercommons.org/courseware/lesson/87920/overview
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Latin American Independence
Overview
Latin American Independence Movements
By the late 18th century, the Spanish and Portuguese empires began to have many issues. The Napoleonic Wars in Europe had a direct impact on the Latin American Independence movements, because the removal of the Spanish and Portuguese kings demonstrated to the colonies that they could rule themselves. The three regions of Latin American independence were: Mexico, Spanish South America, and Brazil.
Learning Objectives
- Evaluate the cause of the independence movements in Latin America.
- Evaluate the impact of Napoleonic Wars on the Latin American experience.
Key Terms / Key Concepts
- Libertadores: Refers to the principal leaders of the Latin American wars of independence from Spain and Portugal. They are named in contrast with the Conquistadors, who were so far the only Spanish/Portuguese peoples recorded in the South American history. They were largely bourgeois criollos (local-born people of European, mostly of Spanish or Portuguese, ancestry) influenced by liberalism and in most cases with military training in the metropole (mother country).
- Napoleonic wars: A series of major conflicts pitting the French Empire and its allies, led by Napoleon I, against a fluctuating array of European powers formed into various coalitions, primarily led and financed by the United Kingdom. The wars resulted from the unresolved disputes associated with the French Revolution and the Revolutionary Wars, which raged for years before concluding with the Treaty of Amiens in 1802. The resumption of hostilities the following year paved the way for more than a decade of constant warfare. These wars had profound consequences for global and European history, leading to the spread of nationalism and liberalism, the rise of the British Empire as the world’s premier power, the independence movements in Latin America and the collapse of the Spanish Empire, the fundamental reorganization of German and Italian territories into larger states, and the establishment of radically new methods in warfare.
- Peninsular War: A military conflict between Napoleon’s empire and the allied powers of Spain, Britain, and Portugal for control of the Iberian Peninsula during the Napoleonic Wars. The war started when French and Spanish armies invaded and occupied Portugal in 1807, and escalated in 1808 when France turned on Spain, its previous ally. The war on the peninsula lasted until the Sixth Coalition defeated Napoleon in 1814, and is regarded as one of the first wars of national liberation, significant for the emergence of large-scale guerrilla warfare.
- Creole: A social class in the hierarchy of the overseas colonies established by Spain in the 16th century, especially in Hispanic America, comprising the locally born people of confirmed European (primarily Spanish) ancestry. Although they were legally Spaniards, in practice, they ranked below the Iberian-born Peninsulares. Nevertheless, they had preeminence over all the other populations: Amerindians, enslaved Africans, and people of mixed descent.
- caudillismo: A cultural and political phenomenon first appearing during the early 19th century in revolutionary Spanish America, characterized by a military land owners who possessed political power, charismatic personalities, and populist politics and created authoritarian regimes in Latin American nations.
Napoleonic War’s Impact on Latin America
The Latin American Wars of Independence were the revolutions that took place during the late 18th and early 19th centuries and resulted in the creation of a number of independent countries in Latin America. These revolutions followed the American and French Revolutions, which had profound effects on the Spanish, Portuguese, and French colonies in the Americas. Haiti, a French slave colony, was the first to follow the United States to independence during the Haitian Revolution, which lasted from 1791 to 1804. From this Napoleon Bonaparte emerged as French ruler, whose armies set out to conquer Europe, including Spain and Portugal, in 1808.
The Peninsular War, which resulted from the Napoleonic occupation of Spain, caused Spanish Creoles in Spanish America to question their allegiance to Spain, stoking independence movements that culminated in the wars of independence, lasting almost two decades. The crisis of political legitimacy in Spain with the Napoleonic invasion sparked reaction in Spain’s overseas empire. The outcome in Spanish America was that most of the region achieved political independence and instigated the creation of sovereign nations. The areas that were most recently formed as viceroyalties were the first to achieve independence, while the old centers of Spanish power in Mexico and Peru with strong and entrenched institutions and the elites were the last to achieve independence. The two exceptions were the islands of Cuba and Puerto Rico, which along with the Philippines remained Spanish colonies until the 1898 Spanish-America War. At the same time, the Portuguese monarchy relocated to Brazil during Portugal’s French occupation. After the royal court returned to Lisbon, the prince regent, Pedro, remained in Brazil and in 1822 successfully declared himself emperor of a newly independent Brazil.
During the Peninsula War, Napoleon installed his brother Joseph Bonaparte on the Spanish Throne and captured King Fernando VII. Both Spain and Portugual were in Napoleon’s control. This meant that many who were loyal to the Spanish king felt that they could not trust Napoleon’s brother. The result was local governments having more political power and stability. Several assemblies were established after 1810 by the Criollos to recover the sovereignty and self-government based in Seven-Part Code and restore the laws of Castilian succession to rule the lands in the name of Ferdinand VII of Spain.
This experience of self-government, along with the influence of Liberalism and the ideas of the French and American Revolutions, brought about a struggle for independence led by the Libertadores. The territories freed themselves, often with help from foreign mercenaries and privateers. United States, Europe and the British Empire were neutral, aiming to achieve political influence and trade without the Spanish monopoly.
Effect on Spanish America
This impasse was resolved through negotiations between the juntas and the Council of Castile, which led to the creation of a “Supreme Central and Governmental Junta of Spain and the Indies” on September 25, 1808. It was agreed that the traditional kingdoms of the peninsula would send two representatives to this Central Junta, and that the overseas kingdoms would send one representative each. These “kingdoms” were defined as “the viceroyalties of New Spain [Mexico], Peru, New Granada, and Buenos Aires, and the independent captaincies general of the island of Cuba, Puerto Rico, Guatemala, Chile, Province of Venezuela, and the Philippines.”
This scheme was criticized for providing unequal representation to the overseas territories. The dissolution of the Supreme Junta on January 29, 1810, because of the reverses suffered after the Battle of Ocaña by the Spanish forces paid with Spanish American money set off another wave of juntas in the Americas. French forces had taken over southern Spain and forced the Supreme Junta to seek refuge in the island-city of Cadiz. The Junta replaced itself with a smaller, five-man council, the Council of Regency of Spain and the Indies. Most Spanish Americans saw no reason to recognize a rump government that was under the threat of capture by the French at any moment, and began to work for the creation of local juntas to preserve the region’s independence from the French. Junta movements were successful in New Granada (Colombia), Venezuela, Chile, and Río de la Plata (Argentina).
The creation of juntas in Spanish America, such as the Junta Suprema de Caracas on April 19, 1810, set the stage for the fighting that would afflict the region for the next decade and a half. Political fault lines appeared and often caused military conflict. Although the juntas claimed to carry out their actions in the name of the deposed king, Ferdinand VII, their creation provided an opportunity for people who favored outright independence to publicly and safely promote their agenda. The proponents of independence called themselves patriots, a term which eventually was generally applied to them.
The Spanish Constitution of 1812 adopted by the Cortes de Cadiz served as the basis for independence in New Spain (Mexico) and Central America, since in both regions it was a coalition of conservative and liberal royalist leaders who led the establishment of new states. The restoration of the Spanish Constitution and representative government was enthusiastically welcomed in New Spain and Central America. Elections were held, local governments formed, and deputies sent to the Cortes. Among liberals, however, there was fear that the new regime would not last, and conservatives and the Church worried that the new liberal government would expand its reforms and anti-clerical legislation. This climate of instability created the conditions for the two sides to forge an alliance. This coalesced towards the end of 1820 behind Agustín de Iturbide, a colonel in the royal army, who at the time was assigned to destroy the guerrilla forces led by Vicente Guerrero.
In January 1821, Iturbide began peace negotiations with Guerrero, suggesting they unite to establish an independent New Spain. The simple terms that Iturbide proposed became the basis of the Plan of Iguala: the independence of New Spain (now called the Mexican Empire) with Ferdinand VII or another Bourbon as emperor; the retention of the Catholic Church as the official state religion and the protection of its existing privileges; and the equality of all New Spaniards, whether immigrants or native-born. The resulting Treaty of Córdoba, signed on August 24, kept all existing laws, including the 1812 Constitution, in force until a new constitution for Mexico was written. O’Donojú became part of the provisional governing junta until his death on October 8. [d]Both the Spanish Cortes and Ferdinand VII rejected the Treaty of Córdoba, and the final break with the mother country came on May 19, 1822, when the Mexican Congress conferred the throne on Itrubide.
New Spain
As a colony, Mexico was part of the much larger Viceroyalty of New Spain, which included Cuba, Puerto Rico, Central America as far south as Costa Rica, the southwestern United States as well as Florida, and the Philippines. Although New Spain was a dependency of Spain, it was a kingdom not a colony, subject to the presiding monarch on the Iberian Peninsula. The monarch had sweeping power in the overseas territories. According to historian Clarence Haring: “The king possessed not only the sovereign right but the property rights; he was the absolute proprietor, the sole political head of his American dominions. Every privilege and position, economic political, or religious came from him. It was on this basis that the conquest, occupation, and government of the [Spanish] New World was achieved.”
Racial Divides
The population of New Spain was divided into four main groups or classes. The group a person belonged to was determined by racial background and birthplace. Created by Hispanic elites, this hierarchical system of race classification (sistema de castas), was based on the principle that people varied due to their birth, color, race and origin of ethnic types. The system of castas was more than socio-racial classification. It had an effect on every aspect of life, including economics and taxation. Both the Spanish colonial state and the Church required more tax and tribute payments from those of lower socio-racial categories. Related to Spanish ideas about purity of blood (which historically also related to its reconquest of Spain from the Moors), the colonists established a caste system in Latin America by which a person’s socio-economic status generally correlated with race or racial mix in the known family background, or simply on phenotype (physical appearance) if the family background was unknown. The casta records were kept by the Catholic Church and would remain one of the major divisions with in Latin American culture throughout the colonial and independence eras.
The syncretism between indigenous and Spanish cultures gave rise to many of nowadays Mexican staple and world-famous cultural traits like tequila (since the 16th century), mariachi (18th), jarabe (17th), churros (17th) and the highly prized Mexican cuisine, fruit of the mixture of European and indigenous ingredients and techniques.
The Creoles, Mestizos, and Indians often disagreed, but all resented the small minority of Spaniards who had all the political power. By the early 1800s, many native-born Mexicans believed that Mexico should become independent of Spain, following the example of the United States. The man who finally touched off the revolt against Spain was the Catholic priest Father Miguel Hidalgo Y Costilla. He is remembered today as the Father of Mexican Independence.
Attributions
Attributions
Images courtesy of Wikimedia Commons: Congreso de Cúcuta: https://en.wikipedia.org/wiki/Spanish_American_wars_of_independence#/media/File:Congreso_de_C%C3%BAcuta.jpg
Boundless World History
https://www.coursehero.com/study-guides/boundless-worldhistory/the-south-american-revolutions/
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oercommons
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2025-03-18T00:36:53.885463
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"url": "https://oercommons.org/courseware/lesson/87920/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
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https://oercommons.org/courseware/lesson/87921/overview
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Central America
Overview
Mexican War of Independence
The Central American Independence Movement was very important because there were two very key problems that were established. There were two distinct waves of reform, one a social revolution and then a political independence movement.
Learning Objectives
- Evaluate the impact of the Napoleonic Wars on Central American independence movements.
- Evaluate the impact of the Hidalgo Revolution on the Mexican Independence movement.
Key Terms / Key Concepts
Mestizos: a person of mixed race, especially the offspring of a Spaniard and an American Indian
New Spain: a colonial territory of the Spanish Empire, in the New World north of the Isthmus of Panama (It was established following the Spanish conquest of the Aztec Empire in 1521, and following additional conquests, it was made a viceroyalty in 1535. The first of four viceroyalties Spain created in the Americas, it comprised Mexico, Central America, much of the Southwestern and Central United States, and Spanish Florida as well as the Philippines, Guam, Mariana, and Caroline Islands.)
Miguel Hidalgo y Costilla: a Mexican Roman Catholic priest and a leader of the Mexican War of Independence
hagiographic: a biography of a saint or an ecclesiastical leader in any of the world’s spiritual traditions. (The term, especially in contemporary times, is often used as a pejorative reference to biographies and histories whose authors are perceived to be uncritical of or reverential to their subject.)
Ignacio Allende: a captain of the Spanish Army in Mexico who came to sympathize with the Mexican independence movement (He attended the secret meetings organized by Josefa Ortiz de Domínguez where the possibility of an independent New Spain was discussed. He fought along with Miguel Hidalgo y Costilla in the first stage of the struggle, eventually succeeding him in leadership of the rebellion.)
Plan of Iguala: a revolutionary proclamation promulgated on February 24, 1821, in the final stage of the Mexican War of Independence from Spain; stated that Mexico was to become a constitutional monarchy whose sole official religion would be Roman Catholicism and that the Peninsulares and Creoles of Mexico would enjoy equal political and social rights
Agustín de Iturbide: a Mexican army general and politician (During the Mexican War of Independence, he built a successful political and military coalition that took control in Mexico City on September 27, 1821, decisively gaining independence for Mexico. After the secession of Mexico was secured, he was proclaimed President of the Regency in 1821. A year later, he was announced as the Constitutional Emperor of Mexico, reigning briefly from May 19, 1822, to March 19, 1823. He is credited as the original designer of the first Mexican flag.)
Start of the Mexican War of Independence
September 16 is celebrated as Mexican Independence Day. The Mexican War of Independence was an armed conflict. It was the culmination of a political and social process which ended the rule of Spain in the territory of New Spain in 1821. The war had its antecedent in the French invasion of Spain in 1808. And it extended from the publication of Grito de Dolores by Father Miguel Hidalgo y Costilla on September 16, 1810 to the entrance of the Army of the Three Guarantees, led by Augustín de Iturbide, in to Mexico City on September 27, 1821.
The movement for independence was inspired by the Age of Enlightenment and the liberal revolutions of the last part of the 18th century. By that time, the educated elite of New Spain began to reflect on the relations between Spain and its colonial kingdoms. Changes in the social and political structure occasioned by Bourbon reforms and a deep economic crisis in New Spain caused discomfort among the Creole (native-born) elite.
Political events in Europe had a decisive effect on events in most of Spanish America. In 1808, King Charles IV and Ferdinand VII abdicated in favor of French leader Napoleon Bonaparte, who left the crown of Spain to his brother Joseph Bonaparte. The same year, the ayuntamiento (city council) of Mexico City, supported by viceroy José de Iturrigaray, claimed sovereignty in the absence of the legitimate king. That led to a coup against the viceroy, which when suppressed ended with the leaders of the movement being jailed.
Despite the defeat in Mexico City, small groups of conspirators met in other cities of New Spain to raise movements against colonial rule. In 1810, after being discovered, Querétaro conspirators chose to take up arms on September 16 in the company of peasants and indigenous inhabitants of Dolores (Guanajuato), who were called to action by the secular Catholic priest Miguel Hidalgo, former rector of the Colegio de San Nicolás Obispo.
The Hidalgo Revolt
Miguel Hidalgo y Costilla, who later became known as a top theologian, was a priest and member of a group of educated Criollos in Querétaro. When his older brother died in 1803, Hidalgo took over as priest for the town of Dolores. In 1810, Hidalgo concluded that a revolt was needed because of injustices against the poor of Mexico. By this time, Hidalgo was known for his achievements at the prestigious San Nicolás Obispo school in Valladolid (now Morelia), where he later served as rector.
Hidalgo hosted secret gatherings in his home to discuss whether it was better to obey or to revolt against a tyrannical government, as he defined the Spanish colonial government in Mexico. Famed military leader Ignacio Allende was among his attendees. Hidalgo was in Dolores on September 15, 1810, with other rebel leaders including commander Allende, when they learned their conspiracy had been discovered. Hidalgo ran to the church, calling for all the people to gather, where from the pulpit he called upon them to revolt. They all shouted in agreement. They were a comparatively small group and poorly armed with whatever was at hand, including sticks and rocks. On the morning of September 16, 1810, Hidalgo called upon the remaining locals who happened to be in the market, and again, from the pulpit, exhorted the people of Dolores to join him. Most did. Hidalgo had a mob of some 600 men within minutes. This became known as the Grito de Dolores or Cry of Dolores.
Hidalgo’s Grito didn’t condemn the notion of monarchy or criticize the current social order in detail, but his opposition to the events in Spain and the current viceregal government was clearly expressed in his reference to bad government. The Grito also emphasized loyalty to the Catholic religion, a sentiment with which both Creoles and Peninsulares could sympathize. Hidalgo was met with an outpouring of support. Intellectuals, liberal priests, and many poor people followed Hidalgo with enthusiasm. Hidalgo also permitted Indians and mestizos to join his war.
Hidalgo and Allende marched their army through towns including San Miguel and Celaya, where the angry rebels killed all the Spaniards they found. Along the way they adopted the standard of the Virgin of Guadalupe as their symbol and protector. When they reached the town of Guanajuato on September 28, they found Spanish forces barricaded inside the public granary. Among them were some “forced” Royalists—Creoles who had served and sided with the Spanish. By this time, the rebels numbered 30,000 and the battle was horrific. They killed more than 500 Spanish and creoles, then marched on toward Mexico City.
The Viceroy quickly organized a defense, sending out the Spanish general Torcuato Trujillo with 1,000 men, 400 horsemen, and 2 cannons, all that could be found on such short notice. On October 30, Hidalgo’s army encountered Spanish military resistance at the Battle of Monte de las Cruces, which ended with Hidalgo achieving victory after the cannons were captured and the surviving Royalists retreated to the City.
Despite having the advantage, Hidalgo retreated against the counsel of Allende. This retreat on the verge of apparent victory has puzzled historians and biographers ever since. They generally believe that Hidalgo wanted to spare the numerous Mexican citizens in Mexico City from the inevitable sacking and plunder that would have ensued. His retreat is considered Hidalgo’s greatest tactical error.
Rebel survivors sought refuge in nearby provinces and villages. The insurgent forces planned a defensive strategy at a bridge on the Calderón River, pursued by the Spanish army. In January 1811, Spanish forces fought the Battle of the Bridge of Calderón and defeated the insurgent army, forcing the rebels to flee towards the United States-Mexican border, where they hoped to escape.
Unfortunately, Hidalgo’s army was intercepted by the Spanish army. Hidalgo and his remaining soldiers were captured in the state of Coahuila at the Wells of Baján (Norias de Baján). All of the rebel leaders were found guilty of treason and sentenced to death, except for Mariano Abasolo. He was sent to Spain to serve a life sentence in prison. Allende, Jiménez, and Aldama were executed on June 26, 1811, shot in the back as a sign of dishonor. Hidalgo, as a priest, had to undergo a civil trial and review by the Inquisition. He was eventually stripped of his priesthood, found guilty, and executed on July 30. The heads of Hidalgo, Allende, Aldama, and Jiménez were preserved and hung from the four corners of the granary of Guanajuato as a warning to those who dared follow in their footsteps.
Following the execution of Hidalgo, José María Morelos took over leadership of the insurgency. He achieved the occupation of the cities of Oaxaca and Acapulco. In 1813, he convened the Congress of Chilpancingo to bring representatives together and, on November 6 of that year, the Congress signed the first official document of independence, known as the “Solemn Act of the Declaration of Independence of Northern America.” A long period of war followed. In 1815, Morelos was captured by Spanish colonial authorities, tried, and executed for treason.
Legacy and Analysis of the Hidalgo Revolt
Father Hidalgo is today remembered as the Father of his Country, the great hero of Mexico’s War for Independence. There are numerous hagiographic biographies about him.
The truth about Hidalgo is more complex. His was the first serious insurrection on Mexican soil against Spanish authority, and his achievements with a poorly armed mob were significant. He was a charismatic leader and worked well with Allende despite their differences. After decades of abuse of Creoles and poor Mestizos, Hidalgo found that there was a vast well of resentment and hatred of the Spanish government. He provided the catalyst for Mexico’s poor to vent their anger on the hated Spaniards, but his “army” was impossible to manage or control. His leadership decisions, most importantly his retreat from Mexico City, contributed to his defeat. Hidalgo’s shortcomings have made historians ask, “What if?” Historians can only speculate about the result if Hidalgo had pushed into Mexico City in November 1810. Hidalgo appeared to be too proud or stubborn to listen to the sound military advice offered by Allende and others and press his advantage.
Finally, Hidalgo’s approval of the violent sacking and looting by his forces in Guanajuato and other towns alienated the group most vital to any independence movement: middle-class and wealthy Creoles like himself. They were needed to develop a new identity and government for Mexico, one that would allow Mexicans to break from Spain.
Hidalgo achieved mythic status after his death. His martyrdom was an example to others who picked up the fallen banner of freedom and independence. He influenced later fighters such as José María Morelos, Guadalupe Victoria, and others. Today, Hidalgo’s remains are held in a Mexico City monument known as “the Angel of Independence,” along with other Revolutionary heroes.
Vicente Guerrero and Colonel Agustín de Iturbide
After the suppression of Hidalgo’s revolt, from 1815 to 1821 most fighting for independence from Spain was by small and isolated guerrilla bands. From these, two leaders arose: Guadalupe Victoria (born José Miguel Fernández y Félix) in Puebla and Vicente Guerrero in Oaxaca, both of whom gained allegiance and respect from their followers.
After Hidalgo was stopped, the Spanish viceroy believed the situation under control and issued a general pardon to every rebel who would lay down his arms. By early 1820,after ten years of civil war and the death of two of its founders, the independence movement was stalemated and close to collapse. The rebels faced stiff Spanish military resistance and the apathy of many of the most influential criollos.
In what was supposed to be the final government campaign against the insurgents, in December 1820 Viceroy Juan Ruiz de Apodaca sent a force led by a royalist criollo Colonel Agustín de Iturbide to defeat Guerrero’s army in Oaxaca. Iturbide, a native of Valladolid (now Morelia), gained renown for his zeal against Hidalgo’s and Morelos’s rebels during the early independence struggle. A favorite of the Mexican church hierarchy, Iturbide symbolized conservative criollo values; he was devoutly religious and committed to the defense of property rights and social privileges. He also resented his lack of promotion and failure to gain wealth.
Iturbide’s assignment to the Oaxaca expedition coincided with a successful military coup in Spain against the monarchy of Ferdinand VII. The coup leaders, part of an expeditionary force assembled to suppress the independence movements in the Americas, had turned against the monarchy. They compelled the reluctant Ferdinand to reinstate the liberal Spanish Constitution of 1812 that created a constitutional monarchy. When news of the liberal charter reached Mexico, Iturbide perceived it both as a threat to the status quo and a catalyst to rouse the criollos to gain control of Mexico. The tides turned when conservative Royalist forces in the colonies chose to rise up against the liberal regime in Spain; it was a total turnaround compared to their previous opposition to the peasant insurgency. After an initial clash with Guerrero’s forces, Iturbide assumed command of the royal army. At Iguala, he allied his formerly royalist force with Guerrero’s radical insurgents to discuss the renewed struggle for independence.
While stationed in the town of Iguala, Iturbide proclaimed three principles, or “guarantees,” for Mexican independence from Spain. Mexico would be an independent monarchy governed by King Ferdinand, another Bourbon prince, or some other conservative European prince; criollos would be given equal rights and privileges to peninsulares (those born in Spain); and the Roman Catholic Church in Mexico would retain its privileges and position as the established religion of the land. After convincing his troops to accept the principles, which were promulgated on February 24, 1821 as the Plan of Iguala, Iturbide persuaded Guerrero to join his forces in support of this conservative independence movement. A new army, the Army of the Three Guarantees, was placed under Iturbide’s command to enforce the Plan of Iguala. The plan was so broadly based that it pleased both patriots and loyalists. The goal of independence and the protection of Roman Catholicism brought together all factions.
Iturbide’s army was joined by rebel forces from all over Mexico. When the rebel victory became certain, the Viceroy resigned. On August 24, 1821, representatives of the Spanish crown and Iturbide signed the Treaty of Córdoba, which recognized Mexican independence under the Plan of Iguala. On September 27, 1821, the Army of the Three Guarantees entered Mexico City, and the following day Iturbide proclaimed the independence of the Mexican Empire, as New Spain would henceforth be called.
On the night of May 18, 1822, a mass demonstration led by the Regiment of Celaya, which Iturbide had commanded during the war, marched through the streets and demanded their commander-in-chief to accept the throne. The following day, the congress declared Iturbide emperor of Mexico. On October 31, 1822, Iturbide dissolved Congress and replaced it with a sympathetic junta.
After Independence: The Mexican Empire
The Spanish attempts to reconquer Mexico comprised episodes of war between Spain and the new nation. The designation mainly covers two periods: from 1821 to 1825 in Mexico’s waters, and a second period of two stages, including a Mexican plan to take the Spanish-held island of Cuba between 1826 and 1828, and the 1829 landing of Spanish General Isidro Barradas in Mexico to reconquer the territory. Although Spain never regained control of the country, it damaged the fledgling economy.
After independence, Mexican politics were chaotic. The presidency changed hands 75 times over the next 55 years (1821 – 76). The newly independent nation was in dire straits after 11 years of the War of Independence. No plans or guidelines were established by the revolutionaries, so internal struggles for control of the government ensued. Mexico suffered a complete lack of funds to administer a country of over 4.5 million km². (In 1822, Mexico had annexed the Federal Republic of Central America, which includes present-day Costa Rica, El Salvador, Guatemala, Honduras, Nicaragua, and part of Chiapas.) And it faced the threats of emerging internal rebellions and of invasion by Spanish forces from their base in nearby Cuba.
Mexico now had its own government, but Iturbide quickly became a dictator. He even had himself proclaimed emperor of Mexico, copying the ceremony used by Napoleon when he proclaimed himself emperor of France. No one was allowed to speak against Iturbide. He filled his government with corrupt officials who became rich by taking bribes and making dishonest business deals.
Attributions
Attributions
Images courtesy of Wikimedia Commons Miguel Hidalgo con estandarte: https://upload.wikimedia.org/wikipedia/commons/7/7d/Miguel_Hidalgo_con_estandarte.jpg
Boundless World History
https://www.coursehero.com/study-guides/boundless-worldhistory/the-mexican-war-of-independence/
https://www.coursehero.com/study-guides/boundless-worldhistory/the-south-american-revolutions/
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"url": "https://oercommons.org/courseware/lesson/87921/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
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https://oercommons.org/courseware/lesson/87922/overview
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Spanish South America
Overview
Simón Bolívar
South American independence movements demonstrate the importance of Simon Bolivar and his linking with San Martin. Bolivar led militaries throughout South America to be successful in removing the Spanish from South America.
Learning Objectives
- Evaluate the differences between the Caribbean and Southern American Age of Revolutions.
- Analyze the impact of Napoleonic Wars on the South American Age of Revolutions.
Key Terms / Key Concepts
- Gran Colombia: name used today for the state that encompassed much of northern South America and part of southern Central America from 1819 to 1831; a territory including present-day Colombia, Venezuela, Ecuador, Panama, northern Peru, western Guyana, and northwest Brazil
- New Granada: the name given on May 27, 1717 to the jurisdiction of the Spanish Empire in northern South America, which corresponds to modern Colombia, Ecuador, Panama, and Venezuela
- Battle of Carabobo: a battle fought between independence fighters led by Venezuelan General Simón Bolívar and the Royalist forces led by Spanish Field Marshal Miguel de la Torre (Bolívar’s decisive victory at Carabobo led to the independence of Venezuela and establishment of the Republic of Gran Colombia.)
- Army of the Andes: a military force created by the United Provinces of the Río de la Plata (Argentina) and mustered by general José de San Martín in his campaign to free Chile from the Spanish Empire (In 1817, it crossed the Andes Mountains from the Argentine province of Cuyo at the current-day province of Mendoza, Argentina, and it succeeded in dislodging the Spanish from the country.)
- Crossing of the Andes: one of the most important feats in the Argentine and Chilean wars of independence, in which a combined army of Argentine soldiers and Chilean exiles invaded Chile, leading to Chile’s liberation from Spanish rule (The crossing of the Andes was a major step in the strategy devised by José de San Martín to defeat the royalist forces at their stronghold of Lima, Viceroyalty of Perú, and secure the Spanish American independence movements.)
Spanish South America El Libertador: Simón Bolívar
Simón Bolívar (July 24, 1783 – December 17, 1830) was a Venezuelan military and political leader who played a key role in the establishment of Venezuela, Bolivia, Colombia, Ecuador, Peru, and Panama as sovereign states independent of Spanish rule.
Bolívar was born into a wealthy, aristocratic Creole family and like others of his day was educated abroad at a young age, arriving in Spain when he was 16 and later moving to France. While in Europe, he was introduced to the ideas of Enlightenment philosophers, which gave him the ambition to replace the Spanish as rulers. Taking advantage of the disorder in Spain prompted by the Peninsular War, Bolívar began his campaign for Venezuelan independence in 1808, appealing to the wealthy Creole population through a conservative process. He established an organized national congress within three years. Despite several hindrances, including the arrival of an unprecedentedly large Spanish expeditionary force, the revolutionaries eventually prevailed, culminating in a patriot victory at the Battle of Carabobo in 1821 that effectively made Venezuela an independent country.
Following this triumph over the Spanish monarchy, Bolívar participated in the foundation of the first union of independent nations in Latin America: Gran Colombia. He was president of Gran Colombia from 1819 to 1830. Through further military campaigns, he ousted Spanish rulers from Ecuador, Peru, and Bolivia (which was named after him). He was simultaneously president of Gran Colombia (current Venezuela, Colombia, Panamá, and Ecuador) and Peru, while his second in command Antonio José de Sucre was appointed president of Bolivia. He aimed at a strong and united Spanish America able to cope not only with the threats emanating from Spain and the European Holy Alliance but also with the emerging power of the United States. At the peak of his power, Bolívar ruled over a vast territory from the Argentine border to the Caribbean Sea.
In his 21-year career, Bolívar faced two main challenges. First was gaining acceptance as undisputed leader of the republican cause. Despite claiming such a role since 1813, he began to achieve acceptance only in 1817, and consolidated his hold on power after his dramatic and unexpected victory in New Granada in 1819. His second challenge was implementing a vision to unify the region into one large state, which he believed (and most would agree, correctly) would be the only guarantee of maintaining independence from the Spanish in northern South America. His early experiences under the First Venezuelan Republic and in New Granada convinced him that divisions among republicans, augmented by federal forms of government, only allowed Spanish American royalists to eventually gain the upper hand. Once again, it was his victory in 1819 that gave him the leverage to bring about the creation of a unified state, Gran Colombia with which to oppose the Spanish Monarchy on the continent.
Bolívar is, along with Argentine General José de San Martín, considered one of the great heroes of the Hispanic independence movements of the early 19th century.
Failed Dream of a Unified Latin America
At the end of the wars of independence (1808 – 1825), many new sovereign states emerged in the Americas from the former Spanish colonies. Throughout this revolutionary era, Bolívar envisioned various unions that would ensure the independence of Spanish America vis-à-vis the European powers—in particular Britain—and the expanding United States. In his 1815 Cartagena Manifesto, Bolívar had already advocated that the Spanish American provinces should present a united front to the Spanish in order to prevent being re-conquered piecemeal, but he had not yet proposed a political union of any kind. During the wars of independence, the fight against Spain was marked by an emerging sense of nationalism. It was unclear what the new states that replaced the Spanish Monarchy should be. Most of those who fought for independence identified with both their birth provinces and Spanish America as a whole, both of which they referred to as their patria—a term roughly translated as “fatherland” and “homeland.”
For Bolivar, Hispanic America was the fatherland. He dreamed of a united Spanish America and in the pursuit of that purpose not only created Gran Colombia but also the Confederation of the Andes. The conference gathered in Peru and Bolivia. Moreover, he envisaged and promoted a network of treaties that would hold together the newly liberated Hispanic American countries. Nonetheless, he was unable to control the centrifugal process that pushed in all directions. On January 20, 1830, as his dream fell apart, Bolívar delivered his last address to the nation, announcing that he would be stepping down from the presidency of Gran Colombia. At the time, “Colombians” referred to the people of Gran Colombia (Venezuela, New Granada, and Ecuador), not modern-day Colombia. In his speech, a distraught Bolívar urged the people to maintain the union and to be wary of the intentions of those who advocated for separation:
“Colombians! Today I cease to govern you. I have served you for twenty years as soldier and leader. During this long period we have taken back our country, liberated three republics, fomented many civil wars, and four times I have returned to the people their omnipotence, convening personally four constitutional congresses. These services were inspired by your virtues, your courage, and your patriotism; mine is the great privilege of having governed you…
Colombians! Gather around the constitutional congress. It represents the wisdom of the nation, the legitimate hope of the people, and the final point of reunion of the patriots. Its sovereign decrees will determine our lives, the happiness of the Republic, and the glory of Colombia. If dire circumstances should cause you to abandon it, there will be no health for the country, and you will drown in the ocean of anarchy, leaving as your children’s legacy nothing but crime, blood, and death.
Fellow Countrymen! Hear my final plea as I end my political career; in the name of Colombia I ask you, beg you, to remain united, lest you become the assassins of the country and your own executioners.”
Bolívar ultimately failed in his attempt to prevent the collapse of the union.Gran Colombia was dissolved later that year and replaced by the republics of Venezuela, New Granada, and Ecuador. Ironically, these countries were established as centralist nations and would be governed for decades this way by leaders who, during Bolívar’s last years, accused him of betraying republican principles and wanting to establish a permanent dictatorship. These separatists, among them José Antonio Páez and Francisco de Paula Santander, justified their opposition to Bolívar for this reason and publicly denounced him as a monarch.
Southern Cone Independence
Southern South American Independence: San Martín
José de San Martín was an Argentine general and the prime leader of the southern part of South America’s successful struggle for independence from the Spanish Empire. Born in Yapeyú, Corrientes, in modern-day Argentina, he left his mother country at the early age of seven to study in Málaga, Spain.
In 1808, after taking part in the Peninsular War against Napoleon’s France, San Martín contacted South American supporters of independence from Spain. In 1812, he set sail for Buenos Aires and offered his services to the United Provinces of the Río de la Plata, present-day Argentina. After the Battle of San Lorenzo and time commanding the Army of the North during 1814, he organized a plan to defeat the Spanish forces that menaced the United Provinces from the north, using an alternative path to the Viceroyalty of Peru. This objective first involved the establishment of a new army, the Army of the Andes, in Cuyo Province, Argentina. From there, he led the Crossing of the Andes to Chile and triumphed at the Battle of Chacabuco and the Battle of Maipú (1818), thus liberating Chile from royalist rule. Then he sailed to attack the Spanish stronghold of Lima, Peru.
On July 12, 1821, after seizing partial control of Lima, San Martín was appointed Protector of Peru, and Peruvian independence was officially declared on July 28. On July 22, after a closed-door meeting with fellow libertador Simón Bolívar at Guayaquil, Ecuador, Bolívar took over the task of fully liberating Peru. San Martín unexpectedly left the country and resigned the command of his army, excluding himself from politics and the military, and moved to France in 1824. The details of the July 22 meeting would be a subject of debate by later historians.
San Martín is regarded as a national hero of Argentina and Peru, and together with Bolívar, one of the Liberators of Spanish South America. The Order of the Liberator General San Martín (Orden del Libertador General San Martín), created in his honor, is the highest decoration conferred by the Argentine government.
Wars of Independence: Argentina, Chile, Peru
San Martín entered the Argentine War of Independence about a year after it started. The reasons that he left Spain in 1811 to join the Spanish American wars of independence as a patriot remain contentious among historians. The action would seem contradictory and out of character, because if the patriots were waging an independentist and anti-Hispanic war, then he would be a traitor or deserter. There are a variety of explanations by different historians. Some argue that he returned because he missed South America and the war of independence justified changing sides to support it. Others contend that the wars in the Americas were not initially separatist but between supporters of absolutism and liberalism, which thus maintains a continuity between San Martín’s actions in Spain and in Latin America.
The Argentine War of Independence started with the May Revolution and other military campaigns with mixed success. The undesired outcomes of the Paraguay and Upper Peru campaigns led the Junta (the provisional government after the May Revolution) to be replaced by an executive Triumvirate in September 1811.
A few days after his arrival in Buenos Aires, San Martín was interviewed by the First Triumvirate. They appointed him a lieutenant colonel of cavalry and asked him to create a cavalry unit, as Buenos Aires did not have good cavalry. He began to organize the Regiment of Mounted Grenadiers with Alvear and Zapiola. As Buenos Aires lacked professional military leaders, San Martín was entrusted with the protection of the whole city, but kept focused on the task of building the military unit. A year later the Triumvirate was renewed, and San Martín was promoted to colonel.
San Martín came up with a plan: organize an army in Mendoza, cross the Andes to Chile, and move to Peru by sea, all while another general defended the north frontier. This would place him in Peru without crossing the harsh terrain of Upper Peru, where two campaigns had already been defeated. To advance this plan, he requested the governorship of the Cuyo province, which was accepted.
San Martín immediately began to organize the Army of the Andes. He drafted all citizens who could bear arms and all slaves from ages 16 to 30, requested reinforcements to Buenos Aires, and reorganized the economy for war production. San Martín proposed that the country declare independence immediately, before the crossing. That way, they would be acting as a sovereign nation and not as a mere rebellion, but the proposal never was accepted. Needing even more soldiers, San Martín extended the emancipation of slaves to ages 14 to 55, and even allowed them to be promoted to higher military ranks. He proposed a similar measure at the national level, but Pueyrredón encountered severe resistance. He included the Chileans who escaped Chile after the disaster of Rancagua, and organized them in four units: infantry, cavalry, artillery, and dragoons. At the end of 1816, the Army of the Andes had 5,000 men, 10,000 mules, and 1,500 horses. San Martin organized military intelligence, propaganda, and disinformation to confuse the royalist armies (such as the specific routes taken in the Andes), boost the national fervor of his army, and promote desertion among the royalists.
In early 1817, San Martín led the Crossing of the Andes into Chile, obtaining a decisive victory at the battle of Chacabuco on February 17, which allowed the exiled Chilean leader Bernardo O’Higgins to enter Santiago de Chile unopposed and install a new independent government. In December 1817, a popular referendum was set up to decide on the Independence of Chile. On February 18, 1818, the first anniversary of the battle of Chacabuco, Chile declared its independence from the Spanish Crown.
From there, San Martín took the Army of the Andes to fight in Peru. To begin the liberation of Peru and prepare for the invasion, Argentina and Chile signed a treaty on February 5, 1819. General José de San Martín believed that the liberation of Argentina wouldn’t be secure until the royalist stronghold in Peru was defeated. Peru had armed forces nearly four times the strength of those of San Martín. With this disparity, San Martín tried to avoid battles. He tried instead to divide the enemy forces in several locations, as during the Crossing of the Andes, and trap the royalists with a pincer movement with either reinforcements of the Army of the North from the South or the army of Simón Bolívar from the North. He also tried to promote rebellions and insurrection within the royalist ranks and promised the emancipation of any slaves that deserted their Peruvian masters to join his army. When he reached Lima, San Martín invited all of the populace of Lima to swear oath to the Independence cause. The signing of the Act of Independence of Peru was held on July 15, 1821. San Martín became the leader of the government, even though he did not want to lead. He was appointed Protector of Peru. After several years of fighting, San Martín abandoned Peru in September 1822 and left the whole command of the Independence movement to Simon Bolivar. The Peruvian War culminated in 1824 with the defeat of the Spanish Empire in the battles of Junin and Ayacucho.
Guayaquil Conference
The Guayaquil Conference was a meeting that took place on July 26, 1822, in Guayaquil, Ecuador, between José de San Martín and Simón Bolívar, to discuss the future of Perú (and South America in general). San Martín arrived in Guayaquil on July 25, where he was enthusiastically greeted by Bolívar. However, the two men could not come to an agreement, despite their common goals and mutual respect, even when San Martín offered to serve under Bolívar. Both men had very different ideas about how to organize the governments of the countries that they had liberated. Bolívar was in favor of forming a series of republics in the newly independent nations, whereas San Martín preferred the European system of rule and wanted to put monarchies in place. San Martín was also in favor of placing a European prince in power as King of Peru when it was liberated. The conference, consequently, was a failure, at least for San Martín.
San Martín, after meeting with Bolívar for several hours on July 26, stayed for a banquet and ball given in his honor. Bolívar proposed a toast to “the two greatest men in South America: the general San Martín and myself,” whereas San Martín drank to “the prompt conclusion of the war, the organization of the different Republics of the continent and the health of the Liberator of Colombia.” After the conference, San Martín abdicated his powers in Peru and returned to Argentina. Soon afterward, he left South America entirely and retired in France.
Primary Source: Simón de Bolívar: Message to the Congress of Angostura, 1819
We are not Europeans; we are not Indians; we are but a mixed species of aborigines and Spaniards. Americans by birth and Europeans by law, we find ourselves engaged in a dual conflict: we are disputing with the natives for titles of ownership, and at the same time we are struggling to maintain ourselves in the country that gave us birth against the opposition of the invaders. Thus our position is most extraordinary and complicated. But there is more. As our role has always been strictly passive and political existence nil, we find that our quest for liberty is now even more difficult of accomplishment; for we, having been placed in a state lower than slavery, had been robbed not only of our freedom but also of the right to exercise an active domestic tyranny. . .We have been ruled more by deceit than by force, and we have been degraded more by vice than by superstition. Slavery is the daughter of darkness: an ignorant people is a blind instrument of its own destruction. Ambition and intrigue abuses the credulity and experience of men lacking all political, economic, and civic knowledge; they adopt pure illusion as reality; they take license for liberty, treachery for patriotism, and vengeance for justice. If a people, perverted by their training, succeed in achieving their liberty, they will soon lose it, for it would be of no avail to endeavor to explain to them that happiness consists in the practice of virtue; that the rule of law is more powerful than the rule of tyrants, because, as the laws are more inflexible, every one should submit to their beneficent austerity; that proper morals, and not force, are the bases of law; and that to practice justice is to practice liberty.
Although those people [North Americans], so lacking in many respects, are unique in the history of mankind, it is a marvel, I repeat, that so weak and complicated a government as the federal system has managed to govern them in the difficult and trying circumstances of their past. But, regardless of the effectiveness of this form of government with respect to North America, I must say that it has never for a moment entered my mind to compare the position and character of two states as dissimilar as the English-American and the Spanish-American. Would it not be most difficult to apply to Spain the English system of political, civil, and religious liberty: Hence, it would be even more difficult to adapt to Venezuela the laws of North America.
Nothing in our fundamental laws would have to be altered were we to adopt a legislative power similar to that held by the British Parliament. Like the North Americans, we have divided national representation into two chambers: that of Representatives and the Senate. The first is very wisely constituted. It enjoys all its proper functions, and it requires no essential revision, because the Constitution, in creating it, gave it the form and powers which the people deemed necessary in order that they might be legally and properly represented. If the Senate were hereditary rather than elective, it would, in my opinion, be the basis, the tie, the very soul of our republic. In political storms this body would arrest the thunderbolts of the government and would repel any violent popular reaction. Devoted to the government because of a natural interest in its own preservation, a hereditary senate would always oppose any attempt on the part of the people to infringe upon the jurisdiction and authority of their magistrates. . .The creation of a hereditary senate would in no way be a violation of political equality. I do not solicit the establishment of a nobility, for as a celebrated republican has said, that would simultaneously destroy equality and liberty. What I propose is an office for which the candidates must prepare themselves, an office that demands great knowledge and the ability to acquire such knowledge. All should not be left to chance and the outcome of elections. The people are more easily deceived than is Nature perfected by art; and although these senators, it is true, would not be bred in an environment that is all virtue, it is equally true that they would be raised in an atmosphere of enlightened education. The hereditary senate will also serve as a counterweight to both government and people; and as a neutral power it will weaken the mutual attacks of these two eternally rival powers.
The British executive power possesses all the authority properly appertaining to a sovereign, but he is surrounded by a triple line of dams, barriers, and stockades. He is the head of government, but his ministers and subordinates rely more upon law than upon his authority, as they are personally responsible; and not even decrees of royal authority can exempt them from this responsibility. The executive is commander in chief of the army and navy; he makes peace and declares war; but Parliament annually determines what sums are to be paid to these military forces. While the courts and judges are dependent on the executive power, the laws originate in and are made by Parliament. Give Venezuela such an executive power in the person of a president chosen by the people or their representatives, and you will have taken a great step toward national happiness. No matter what citizen occupies this office, he will be aided by the Constitution, and therein being authorized to do good, he can do no harm, because his ministers will cooperate with him only insofar as he abides by the law. If he attempts to infringe upon the law, his own ministers will desert him, thereby isolating him from the Republic, and they will even bring charges against him in the Senate. The ministers, being responsible for any transgressions committed, will actually govern, since they must account for their actions.
A republican magistrate is an individual set apart from society, charged with checking the impulse of the people toward license and the propensity of judges and administrators toward abuse of the laws. He is directly subject to the legislative body, the senate, and the people: he is the one man who resists the combined pressure of the opinions, interests, and passions of the social state and who, as Carnot states, does little more than struggle constantly with the urge to dominate and the desire to escape domination. This weakness can only be corrected by a strongly rooted force. It should be strongly proportioned to meet the resistance which the executive must expect from the legislature, from the judiciary, and from the people of a republic. Unless the executive has easy access to all the administrative resources, fixed by a just distribution of powers, he inevitably becomes a nonentity or abuses his authority. By this I mean that the result will be the death of the government, whose heirs are anarchy, usurpation, and tyranny. . . Therefore, let the entire system of government be strengthened, and let the balance of power be drawn up in such a manner that it will be permanent and incapable of decay because of its own tenuity. Precisely because no form of government is so weak as the democratic, its framework must be firmer, and its institutions must be studied to determine their degree of stability...unless this is done, we will have to reckon with an ungovernable, tumultuous, and anarchic society, not with a social order where happiness, peace, and justice prevail.
Source:
From: Simón Bolívar, An Address of Bolivar at the Congress of Angostura (February 15, 1819), Reprint Ed., (Washington, D.C.: Press of B. S. Adams, 1919), passim.
Scanned by: J. S. Arkenberg, Dept. of History, Cal. State Fullerton. Prof. Arkenberg has modernized the text.
Attributions
Attributions
Images courtesy of Wikimedia Commons
Boundless World History
https://courses.lumenlearning.com/boundless-worldhistory/chapter/north-america/
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oercommons
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2025-03-18T00:36:53.945802
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Brazil
Overview
Brazil
Brazil's independence movement was a direct result of the outcomes of the Napoleonic invasions. Brazil was unique in the fact that they had established a Empire following independence.
Learning Objectives
Analyze the difference between the Spanish and Portuguese independence movements.
Evaluate the impact of the Napoleonic Wars on the Independence Movements of Brazil.
Analyze the difference between the Brazilian Independence and other Latin American states.
Key Terms / Key Concepts
- Constitutionalist Revolution: a Portuguese political revolution that erupted in 1820. It began with a military insurrection in the city of Porto, in northern Portugal, that quickly and peacefully spread to the rest of the country; resulted in the return in 1821 of the Portuguese Court to Portugal from Brazil; initiated a constitutional period in which the 1822 Constitution was ratified and implemented
- United Kingdom of Portugal, Brazil, and the Algarves: a monarchy formed by the elevation of the Portuguese colony of Brazil to the status of a kingdom and by the simultaneous union of that Kingdom of Brazil with the Kingdom of Portugal and the Kingdom of the Algarves, constituting a single state consisting of three kingdoms; formed in 1815 after the transfer of the Portuguese Court to Brazil during the Napoleonic invasions of Portugal and continued to exist for about one year after the return of the Court to Europe (It was de facto dissolved in 1822 when Brazil proclaimed its independence.)
- Brazilian war of independence: a war waged between the newly independent Empire of Brazil and United Kingdom of Portugal; lasted from February 1822, when the first skirmishes took place, to March 1824, when the last Portuguese garrison of Montevideo surrendered to Commander Sinian Kersey
- First Brazilian Republic: the period of Brazilian history from 1889 to 1930. (It ended with a military coup, also known as the Brazilian Revolution of 1930, that installed Getúlio Vargas as a dictator.)
- Pedro I: nicknamed “the Liberator”; the founder and first ruler of the Empire of Brazil; reigned briefly over Portugal
- bicameral parliament: a legislature in which the legislators are divided into two separate assemblies, chambers, or houses; often, the members of the two chambers are elected or selected using different methods that vary from country to country
- Pedro II: the second and last ruler of the Empire of Brazil, reigning for over 58 years (Inheriting an empire on the verge of disintegration, he turned Portuguese-speaking Brazil into an emerging power in the international arena. The nation grew distinguished from its Hispanic neighbors on account of its political stability, zealously guarded freedom of speech, respect for civil rights, vibrant economic growth, and especially its government: a functional, representative parliamentary monarchy.)
- Peninsular War: a military conflict between Napoleon’s empire and the allied powers of Spain, Britain, and Portugal for control of the Iberian Peninsula during the Napoleonic Wars
- Spanish Constitution of 1812: Spain’s first national sovereign assembly established on March 19, 1812 by the Cádiz Cortes; established the principles of universal male suffrage, national sovereignty, constitutional monarchy, and freedom of the press, and supported land reform and free enterprise; Spain’s first Constitution
- juntas: a Spanish and Portuguese term for a civil deliberative or administrative council (In English, it predominantly refers to the government of an authoritarian state run by high-ranking officers of a military. The term literally means “union” and often refers to the army, navy, and air force commanders taking over the power of the president, prime minister, king, or other non-military leader.)
Brazilian Independence: Pedro II
From 1807 to 1811, Napoleonic French forces invaded Portugal three times. During the invasion of Portugal (1807), the Portuguese royal family fled to Brazil, establishing Rio de Janeiro as the de facto capital of Portugal. From Brazil, the Portuguese king João VI ruled his trans-Atlantic empire for 13 years.
The capital’s move to Rio de Janeiro accentuated the economic, institutional, and social crises in mainland Portugal, which was administered by English commercial and military interests under William Beresford’s rule in the absence of the monarch. The influence of liberal ideals was strengthened by the aftermath of the war, the continuing impact of the American and French revolutions, discontent under absolutist government, and the general indifference shown by the Portuguese regency for the plight of its people.
This also had the side effect of creating within Brazil many of the institutions required to exist as an independent state; most importantly, it freed the country to trade with other nations at will. After Napoleon’s army was finally defeated in 1815, King João VI of Portugal raised the de jure status of Brazil to an equal, integral part of a United Kingdom of Portugal, Brazil, and the Algarves, rather than a mere colony; this was done in order to maintain the capital in Brazil. It enjoyed this status for the next seven years.
Following the defeat of the French forces, Portugal experienced a prolonged period of political turmoil in which many sought greater self-rule for the Portuguese people. Eventually this unrest put an end to the king’s long stay in Brazil and prompted his return to Portugal.
Even though the Portuguese participated in the defeat of the French, the country found itself virtually a British protectorate. The officers of the Portuguese Army resented British control of the Portuguese armed forces. After Napoleon’s definite defeat in 1815, a clandestine Supreme Regenerative Council of Portugal and the Algarve was formed in Lisbon by army officers and freemasons, headed by General Gomes Freire de Andrade—Grand Master of the Grande Oriente Lusitano and former general under Napoleon until his defeat in 1814. This was done with the objective of ending British control of the country and promoting “salvation and independence.”
In 1820 the Constitutionalist Revolution erupted in Portugal. The movement initiated by the liberal constitutionalists resulted in the meeting of the Cortes (or Constituent Assembly) that would create the kingdom’s first constitution. The Cortes demanded the return of King João VI, who had been living in Brazil since 1808. The revolution began with a military insurrection in the city of Porto, in northern Portugal, that quickly and peacefully spread to the rest of the country. In 1821, the Revolution resulted in the return of the Portuguese Court to Portugal from Brazil and initiated a constitutional period in which the 1822 Constitution was ratified and implemented. The revolutionaries also sought to restore Portuguese exclusivity in the trade with Brazil, reverting Brazil to the status of a colony; it was officially reduced to a “Principality of Brazil,” instead of the Kingdom of Brazil, which it had been for the past five years. The movement’s liberal ideas had an important influence on Portuguese society and political organization in the 19th century.
Early Brazilian Independence
Brazilian Independence
King João returned to Portugal in April 1821, leaving behind his son and heir, Prince Dom Pedro, to rule Brazil as his regent. The Portuguese government immediately moved to revoke the political autonomy that Brazil had been granted since 1808. The threat of losing their limited control over local affairs ignited widespread opposition among Brazilians. José Bonifácio de Andrada, along with other Brazilian leaders, convinced Pedro to declare Brazil’s independence from Portugal on September 7, 1822. On October 12, the prince was acclaimed Pedro I—first Emperor of the newly created Empire of Brazil, which was a constitutional monarchy. The declaration of independence was opposed throughout Brazil by armed military units loyal to Portugal. The ensuing Brazilian war of independence was fought across the country, with battles in the northern, northeastern, and southern regions. The war lasted from February 1822, when the first skirmishes took place, to March 1824, when the last Portuguese garrison of Montevideo surrendered to Commander Sinian Kersey. It was fought on land and sea and involved both regular forces and civilian militia. Independence was recognized by Portugal in August 1825.
Early Years
Unlike most of the neighboring Hispanic American republics, Brazil had political stability, vibrant economic growth, constitutionally guaranteed freedom of speech, and respect for civil rights of its subjects—albeit with legal restrictions on women and slaves who were regarded as property and not citizens. The empire’s bicameral parliament was elected under comparatively democratic methods for the era, as were the provincial and local legislatures. This led to a long ideological conflict between Pedro I and a sizable parliamentary faction over the role of the monarch in the government.
Pedro I also faced other obstacles. The unsuccessful Cisplatine War against the neighboring United Provinces of the Río de la Plata in 1828 led to the secession of the province of Cisplatina (later Uruguay). In 1826, despite his role in Brazilian independence, Pedro I became the king of Portugal; he immediately abdicated the Portuguese throne in favor of his eldest daughter. Two years later, she was usurped by Pedro I’s younger brother Miguel. Unable to deal with both Brazilian and Portuguese affairs, Pedro I abdicated his Brazilian throne on April 7, 1831, and immediately departed for Europe to restore his daughter to the Portuguese throne.
Pedro II
Pedro I’s successor in Brazil was his five-year-old son, Pedro II. As the latter was still a minor, a weak regency was created. The power vacuum resulting from the absence of a ruling monarch led to regional civil wars between local factions. Having inherited an empire on the verge of disintegration, Pedro II, once he was declared of age, managed to bring peace and stability to the country, which eventually became an emerging international power.
Under Pedro II’s rule Brazil was victorious in three international conflicts (the Platine War, the Uruguayan War, and the Paraguayan War). The Empire also prevailed in several other international disputes and outbreaks of domestic strife. With prosperity and economic development came an influx of European immigration, including Protestants and Jews, although Brazil remained mostly Catholic. Slavery, which was initially widespread, was restricted by successive legislation until its final abolition in 1888. Brazilian visual arts, literature, and theater developed during this time of progress. Although heavily influenced by European styles that ranged from Neoclassicism to Romanticism, each concept was adapted to create a culture that was uniquely Brazilian.
End of the Empire
Even though the last four decades of Pedro II’s reign were marked by continuous internal peace and economic prosperity, he had no desire to see the monarchy survive beyond his lifetime and made no effort to maintain support for the institution. The next in line to the throne was his daughter Isabel, but neither Pedro II nor the ruling classes considered a female monarch acceptable. Lacking any viable heir, the Empire’s political leaders saw no reason to defend the monarchy.
Although there was no desire for a change in the form of government among most Brazilians, after a 58-year reign, on November 15, 1889, the emperor was overthrown in a sudden coup d’état led by a clique of military leaders whose goal was the formation of a republic headed by a dictator, forming the First Brazilian Republic. Pedro II had become weary of emperorship and despaired over the monarchy’s future prospects, despite its overwhelming popular support. He allowed no prevention of his ouster and did not support any attempt to restore the monarchy. He spent the last two years of his life in exile in Europe, living alone on very little money.
The reign of Pedro II thus came to an unusual end—he was overthrown while highly regarded by the people and at the pinnacle of his popularity, and some of his accomplishments were soon brought to naught as Brazil slipped into a long period of weak governments, dictatorships, and constitutional and economic crises. The men who had exiled him soon began to see in him a model for the Brazilian republic.
Attributions
Attributions
Images courtesy of Wikimedia Commons: Independence or Death: https://upload.wikimedia.org/wikipedia/commons/c/cb/Independencia_brasil_001.jpg
Boundless World History
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2025-03-18T00:36:53.973952
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"url": "https://oercommons.org/courseware/lesson/87923/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
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https://oercommons.org/courseware/lesson/87924/overview
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Unification of Germany
Overview
Background Of and Factors in German Unification
The German empire, created in 1871, was one of a number of new nations which emerged in Europe during the nineteenth century based on geographic proximity, cultural affinity, and ethnic identify. In this respect it paralleled the Kingdom of Italy forged by the Kingdom of Piedmont-Sardinia ten years earlier. The German empire also reflected the conservative nature of nation building in nineteenth-century Europe. National leaders tried to control this process toward the end of limiting political, social, and economic change in these new nations that might impinge upon their powers and prerogatives. Although the roots of this new German nation go back to the fall of the Roman empire, the events immediately leading to its formation began in the aftermath of Napoleon’s final defeat.
Learning Objective
Explain the consolidation of national states in Europe during the 19th century.
Key Terms / Key Concepts
Franco-Prussian War - third and concluding war of German unification, between the French and Prussian empires, paving the way for German unification, in the form of the German empire, also known as the Second Reich
Holy Roman Empire: a multi-ethnic complex of territories in central Europe that developed during the Early Middle Ages and continued until its dissolution in 1806 (The largest territory of the empire after 962 was the Kingdom of Germany, though it also came to include the Kingdom of Bohemia, the Kingdom of Burgundy, the Kingdom of Italy, and numerous other territories.)
Toward a German Identity
The unification of Germany into a single nation state officially occurred on January 18, 1871, in the Hall of Mirrors at the Palace of Versailles in France. Princes of the German states gathered there to proclaim Wilhelm I of Prussia as German Emperor after the French capitulation in the Franco-Prussian War. Unofficially, the de facto transition of most of the German-speaking populations into a federated organization of states had been progressing in fits and starts since the Middle Ages, through formal and informal alliances between princely rulers. Self-interests of the various parties hampered the process over nearly a century of autocratic experimentation beginning in the era of the Napoleonic Wars, which saw the dissolution of the Holy Roman Empire (1806) and subsequent rise of German nationalism. The surge of German nationalism, stimulated by the experience of Germans in the Napoleonic period, the development of a German cultural and artistic identity, and improved transportation through the region, moved Germany toward unification during the 19th century.
German Cultural Identity
In the late 18th century, the sense of a German cultural identity began to emerge. Before 1750, the German upper classes looked to France for intellectual, cultural, and architectural leadership, as French was the language of high society. By the mid-18th century, the “Aufklärung” (The Enlightenment) had transformed German high culture in music, philosophy, science, and literature. The author Christian Wolff (1679 – 1754) was the pioneer who expounded the Enlightenment to German readers; he legitimized German as a philosophic language.
Johann Gottfried von Herder (1744 – 1803) broke new ground in philosophy and poetry as a leader of the Sturm und Drang movement of proto-Romanticism. Weimar Classicism was a cultural and literary movement based in Weimar that sought to establish a new humanism by synthesizing Romantic, Classical, and Enlightenment ideas. The movement, from 1772 until 1805, involved Herder, as well as polymath Johann Wolfgang von Goethe (1749 – 1832) and Friedrich Schiller (1759 – 1805), a poet and historian. Herder argued that every folk had its own particular identity expressed in its language and culture. This legitimized the promotion of German language and culture and helped shape the development of German nationalism. Schiller’s plays expressed the restless spirit of his generation, depicting the hero’s struggle against social pressures and the force of destiny.
The German States during the French Revolution and the Napoleonic Period
The Holy Roman Empire of the German Nation, which included more than 500 independent states, was effectively dissolved when Emperor Francis II abdicated during the War of the Third Coalition in August 1806. Despite the legal, administrative, and political disruption associated with the end of the Empire, the people of the German-speaking areas of the old Empire had a common linguistic, cultural, and legal tradition further enhanced by their shared experience in the French Revolutionary Wars and Napoleonic Wars.
Rise of German Nationalism
Under the hegemony of the Napoleonic French Empire (1804 – 1814), popular German nationalism thrived in the reorganized German states. Due in part to the shared experience under French dominance, various justifications emerged to identify “Germany” as a single state. For the German philosopher Johann Gottlieb Fichte, the first, original, and truly natural boundaries of states are beyond doubt their internal boundaries. Those who speak the same language are joined to each other by a multitude of invisible bonds by nature herself, long before any human art begins; they understand each other and have the power of continuing to make themselves understood more and more clearly; they belong together and are by nature one and an inseparable whole.
A common language may have been seen to serve as the basis of a nation, but as contemporary historians of 19th-century Germany noted, it took more than linguistic similarity to unify these several hundred polities. The experience of German-speaking Central Europe during the years of French hegemony contributed to a sense of common cause to remove the French invaders and reassert control over their own lands. The exigencies of Napoleon’s campaigns in Poland (1806 – 1807), the Iberian Peninsula, western Germany, and his disastrous invasion of Russia in 1812 disillusioned many Germans, princes and peasants alike. Napoleon’s Continental System nearly ruined the Central European economy. The invasion of Russia included nearly 125,000 troops from German lands, and the loss of that army encouraged many Germans, both high- and low-born, to envision a Central Europe free of Napoleon’s influence.
The surge of German nationalism, stimulated by the experience of Germans in the Napoleonic period and initially allied with liberalism, shifted political, social, and cultural relationships within the German states during the beginning of the German Confederation. Figures like August Heinrich Hoffmann von Fallersleben, Ludwig Uhland, Georg Herwegh, Heinrich Heine, Georg Büchner, Ludwig Börne, and Bettina von Arnim rose in the Vormärz era. Father Friedrich Jahn’s gymnastic associations exposed middle-class German youth to nationalist and democratic ideas, which took the form of the nationalistic and liberal democratic college fraternities known as the Burschenschaften.
The Wartburg Festival in 1817 celebrated Martin Luther as a proto-German nationalist, linking Lutheranism to German nationalism, and helping arouse religious sentiments for the cause of German nationhood. The festival culminated in the burning of several books and other items that symbolized reactionary attitudes. One item was a book by August von Kotzebue, who was accused of spying for Russia in 1819 and then murdered by theological student Karl Ludwig Sand, who himself was later executed for the crime. Sand belonged to a militant nationalist faction of the Burschenschaften. Metternich used the murder as a pretext to issue the Carlsbad Decrees of 1819, which dissolved the Burschenschaften, cracked down on the liberal press, and seriously restricted academic freedom.
Metternich was able to harness conservative outrage at the assassination to consolidate legislation that would further limit the press and constrain the rising liberal and nationalist movements. Consequently, these decrees drove the Burschenschaften underground, restricted the publication of nationalist materials, expanded censorship of the press and private correspondence, and limited academic speech by prohibiting university professors from encouraging nationalist discussion.
Other Factors for Unification
By the early 19th century, German roads had deteriorated to an appalling extent. Travelers both foreign and local complained bitterly about the state of the Heerstraßen, the military roads previously maintained for the ease of moving troops. As German states ceased to be a military crossroads, however, the roads improved; the length of hard-surfaced roads in Prussia increased from 3,800 kilometers (2,400 mi) in 1816 to 16,600 kilometers (10,300 mi) in 1852. By 1835, Heinrich von Gagern wrote that roads were the “veins and arteries of the body politic” and predicted that they would promote freedom, independence, and prosperity. As people moved around, they came into contact with others on trains, at hotels, in restaurants, and for some, at fashionable resorts such as the spa in Baden-Baden. Water transportation also improved.
As important as these improvements were, they could not compete with the impact of the railway. Historians of the Second Empire later regarded the railways as the first indicator of a unified state; the patriotic novelist, Wilhelm Raabe, wrote: “The German empire was founded with the construction of the first railway.” Rail travel changed how cities looked and how people traveled. Its impact reached throughout the social order, affecting everyone from the highest-born to the lowest. Although some of the outlying German provinces were not serviced by rail until the 1890s, the majority of the population, manufacturing centers, and production centers were linked to the rail network by 1865.
As travel became easier, faster, and less expensive, Germans started to see unity in factors other than language. The Brothers Grimm, who compiled a massive dictionary known as The Grimm, also assembled a compendium of folk tales and fables that highlighted the storytelling parallels between different regions. Karl Baedeker wrote guidebooks to different cities and regions of Central Europe, indicating places to stay, sites to visit, and giving a short history of castles, battlefields, famous buildings, and famous people. His guides also included distances, roads to avoid, and hiking paths to follow.
The words of August Heinrich Hoffmann von Fallersleben expressed not only the linguistic unity of the German people but also their geographic unity. Patriotic songs as “Die Wacht am Rhein” (“The Watch on the Rhine”) by Max Schneckenburger began to focus attention on geographic space, not limiting “German-ness” to a common language. Schneckenburger wrote “The Watch on the Rhine” in a specific patriotic response to French assertions that the Rhine was France’s “natural” eastern boundary.
The German Confederation
In 1815 the Congress of Vienna created the German Confederation (German: Deutscher Bund), an association of 39 German states in Central Europe. This congress created it to coordinate the economies of separate German-speaking countries and to replace the former Holy Roman Empire. A number of historians have judged the Confederation to be weak and ineffective, as well as an obstacle to German nationalist aspirations. It acted as a buffer between the powerful states of Austria and Prussia. Britain approved of the Confederation because London felt there was need for a stable, peaceful power in central Europe that could discourage aggressive moves by France or Russia. In 1848, revolutions by liberals and nationalists failed at attempts to establish a unified German state. Furthermore, talks between the German states failed in 1848. The Confederation briefly dissolved as a result, but it was reestablished in 1850. It decidedly fell apart only after the Prussian victory in the Seven Weeks' War of 1866. The German Confederation ultimately collapsed because of the rivalry between Prussia and Austria (known as German dualism), warfare, the 1848 revolution, and the inability of members to compromise. The dispute between the two dominant member states of the Confederation, Austria and Prussia, over which had the inherent right to rule German lands ended in favor of Prussia after the Seven Weeks’ War of 1866. This led to the creation of the North German Confederation under Prussian leadership in 1867. A number of South German states remained independent until they joined the North German Confederation, which was renamed the German Empire.
Learning Objective
Explain the consolidation of national states in Europe during the 19th century.
Key Terms / Key Concepts
Congress of Vienna: a conference of ambassadors of European states chaired by Austrian statesman Klemens von Metternich and held in Vienna from November 1814 to June 1815, though the delegates had arrived and were already negotiating by late September 1814 (The objective was to provide a long-term peace plan for Europe by settling critical issues arising from the French Revolutionary Wars and the Napoleonic Wars. The goal was not simply to restore old boundaries but to resize the main powers so they could balance each other and remain at peace.)
Austro-Prussian/Seven Weeks War - second of three wars of German unification in which Prussia's triumph made it the dominant German state and opened the door for the formation of the German empire, or Second Reich, under Prussian auspices
Holy Roman Empire: a multi-ethnic complex of territories in central Europe that developed during the Early Middle Ages and continued until its dissolution in 1806 (The largest territory of the empire after 962 was the Kingdom of Germany, though it also came to include the Kingdom of Bohemia, the Kingdom of Burgundy, the Kingdom of Italy, and numerous other territories.)
German Confederation - confederation of German states created by the Congress of Vienna in 1815 to replace the Holy Roman Empire, it set the stage for a competition for control among German states that ultimately led to German unification under Prussian auspices in 1871
Zollverein: a coalition of German states formed to manage tariffs and economic policies within their territories, created during the German Confederation
Frankfurt Assembly: the first freely elected parliament for all of Germany, elected on May 1, 1848 (The session was held from May 18, 1848, to May 31, 1849, in the Paulskirche at Frankfurt am Main. Its existence was both part of and the result of the “March Revolution” in the states of the German Confederation. After long and controversial debates, the assembly produced the so-called Frankfurt Constitution.)
North German Confederation: a confederation of 22 previously independent states of northern Germany with nearly 30 million inhabitants, formed after Prussia left the German Confederation with allies (It was the first modern German nation state and the basis for the later German Empire, 1871 – 1918, when several south German states such as Bavaria joined.)
Franco-Prussian War - third and concluding war of German unification, between the French and Prussian empires, paving the way for German unification, in the form of the German empire, also known as the Second Reich
History and Structure of the Confederation
Between 1806 and 1815, Napoleon had organized the German states into the Confederation of the Rhine under his control, but this collapsed with his defeat in 1815. The German Confederation had roughly the same boundaries as the Empire at the time of the French Revolution (minus what is now Belgium). It also kept intact most of Confederation’s reconstituted member states and their boundaries. The member states, drastically reduced to 39 from more than 300 under the Holy Roman Empire, were recognized as fully sovereign. The members pledged themselves to mutual defense and joint maintenance of the fortresses at Mainz, the city of Luxembourg, Rastatt, Ulm, and Landau.
The only organ of the Confederation was the Federal Assembly. It met in Frankfurt and consisted of delegates from the states’ governments. There was no head of state; the Austrian delegate presided over the Assembly but was not granted extra power. The Confederation was enabled to accept and deploy ambassadors. It allowed ambassadors of the European powers to the Assembly, but rarely deployed ambassadors itself.
During the revolution of 1848 – 49, the Federal Assembly was inactive and transferred its powers to the revolutionary German Central Government of the Frankfurt National Assembly. After crushing the revolution and illegally disbanding the National Assembly, the Prussian King failed to create a German nation state by himself. The Federal Assembly was revived in 1850 on Austrian initiative, but only fully reinstalled in the Summer of 1851.
Rivalry between Prussia and Austria grew substantially beginning in 1859. The Confederation was dissolved in 1866 after the Austro-Prussian War, and it was succeeded in 1866 by the Prussian-dominated North German Confederation. Unlike the German Confederation, the North German Confederation was in fact a true state. Its territory comprised the parts of the German Confederation north of the river Main, plus Prussia’s eastern territories and the Duchy of Schleswig, but excluded Austria and the other southern German states.
Prussia’s influence was widened by the Franco-Prussian War resulting in the proclamation of the German Empire at Versailles on January 18, 1871, which united the North German Federation with the southern German states. Constituent states of the former German Confederation became part of the German Empire in 1871, except Austria, Luxembourg, the Duchy of Limburg, and Liechtenstein.
Politics and Economy of the Confederation
Although the forces unleashed by the French Revolution were seemingly under control after the Vienna Congress, the conflict between conservative forces and liberal nationalists was only deferred. The era until the failed 1848 revolution when these tensions escalated is commonly referred to as Vormärz (“pre-March”), in reference to the outbreak of riots in March 1848.
This conflict pitted the forces of the old order against those inspired by the French Revolution and the Rights of Man. The sociological breakdown of the competition was roughly one side engaged mostly in commerce, trade, and industry, and the other side associated with landowning aristocracy or military aristocracy (the Junker) in Prussia, the Habsburg monarchy in Austria, and the conservative notables of the small princely states and city-states in Germany.
Meanwhile, demands for change from below had been stirring since the influence of the French Revolution. Throughout the German Confederation, Austrian influence was paramount, drawing the ire of the nationalist movements. Metternich considered nationalism, especially the nationalist youth movement, the most pressing danger: German nationalism might not only reject Austrian dominance of the Confederation, but also stimulate nationalist sentiment within the Austrian Empire itself. In a multinational multilingual state in which Slavs and Magyars outnumbered the Germans, the prospects of Czech, Slovak, Hungarian, Polish, Serb, or Croatian sentiment along with middle-class liberalism was certainly horrifying.
Further efforts to improve the Confederation began in 1834 with the establishment of a customs union—the Zollverein. In 1834, the Prussian regime sought to stimulate wider trade advantages and industrialism by decree—a logical continuation of the program of Stein and Hardenberg less than two decades earlier. Historians have seen three Prussian goals for their reforms: as a political tool to eliminate Austrian influence in Germany; as a way to improve the economies; and to strengthen Germany against potential French aggression while reducing the economic independence of smaller states. Inadvertently, these reforms sparked the unification movement and augmented a middle class demanding further political rights, but at the time backwardness and Prussia’s fears of its stronger neighbors were greater concerns. The customs union opened up a common market, ended tariffs between states, and standardized weights, measures, and currencies within member states (excluding Austria), forming the basis of a proto-national economy.
European liberalism offered an intellectual basis for unification by challenging dynastic and absolutist models of social and political organization; its German manifestation emphasized the importance of tradition, education, and linguistic unity of people in a geographic region. Economically, the creation of the Prussian Zollverein (customs union) in 1818 and its subsequent expansion to include other states of the German Confederation reduced competition between and within states. Emerging modes of transportation facilitated business and recreational travel, leading to contact and sometimes conflict among German speakers throughout Central Europe.
European liberalism offered an intellectual basis for unification by challenging dynastic and absolutist models of social and political organization; its German manifestation emphasized the importance of tradition, education, and linguistic unity of people in a geographic region. Economically, the creation of the Prussian Zollverein (customs union) in 1818 and its subsequent expansion to include other states of the German Confederation reduced competition between and within states. Emerging modes of transportation facilitated business and recreational travel, leading to contact and sometimes conflict among German speakers throughout Central Europe.
The German Revolutions of 1848
Growing discontent with the political and social order imposed by the Congress of Vienna led to the outbreak in 1848 of the March Revolutions in the German states. These revolutions were initially part of the Revolutions of 1848 that broke out in many European countries. They were a series of loosely coordinated protests and rebellions in the states of the German Confederation, including the Austrian Empire. The revolutions, which stressed pan-Germanism, demonstrated popular discontent with the traditional, largely autocratic political structure of the 39 independent states of the Confederation that inherited the German territory of the former Holy Roman Empire. They demonstrated the popular desire for the Zollverein movement.
The middle-class elements of the 1848 Revolutions were committed to liberal principles, while the working class sought radical improvements to their working and living conditions. As the middle class and working-class components of the Revolutions split, the conservative aristocracy defeated it. Liberals were forced into exile to escape political persecution, where they became known as Forty-Eighters. Many immigrated to the United States, settling from Wisconsin to Texas.
Learning Objective
Explain the consolidation of national states in Europe during the 19th century.
Key Terms / Key Concepts
Holy Roman Empire: a multi-ethnic complex of territories in central Europe that developed during the Early Middle Ages and continued until its dissolution in 1806 (The largest territory of the empire after 962 was the Kingdom of Germany, though it also came to include the Kingdom of Bohemia, the Kingdom of Burgundy, the Kingdom of Italy, and numerous other territories.)
Congress of Vienna: a conference of ambassadors of European states chaired by Austrian statesman Klemens von Metternich and held in Vienna from November 1814 to June 1815, though the delegates had arrived and were already negotiating by late September 1814 (The objective was to provide a long-term peace plan for Europe by settling critical issues arising from the French Revolutionary Wars and the Napoleonic Wars. The goal was not simply to restore old boundaries but to resize the main powers so they could balance each other and remain at peace.)
Frankfurt Assembly: the first freely elected parliament for all of Germany, elected on May 1, 1848 (The session was held from May 18, 1848, to May 31, 1849, in the Paulskirche at Frankfurt am Main. Its existence was both part of and the result of the “March Revolution” in the states of the German Confederation. After long and controversial debates, the assembly produced the so-called Frankfurt Constitution.)
Otto von Bismarck: a conservative Prussian statesman who dominated German and European affairs from the 1860s until 1890 (In the 1860s he engineered a series of wars that unified the German states, significantly and deliberately excluding Austria, into a powerful German Empire under Prussian leadership. With that accomplished by 1871, he skillfully used balance of power diplomacy to maintain Germany’s position in a Europe which, despite many disputes and war scares, remained at peace.)
Unrest Spreads
The groundwork of the 1848 uprisings in Germany was laid long beforehand. The Hambacher Fest of 1832, for instance, reflected growing unrest in the face of heavy taxation and political censorship. The Hambacher Fest is noteworthy for the republicans adopting the black-red-gold colors (used on today’s national flag of Germany) as a symbol of the republican movement and of unity among the German-speaking people.
Activism for liberal reform spread through many of the German states, each of which had distinct revolutions. They were also inspired by street demonstrations of workers and artisans in Paris, France, from February 22 – 24, 1848, which resulted in the abdication by King Louis Philippe of France and his exile in Britain. In France the revolution of 1848 became known as the February Revolution.
The revolutions spread across Europe; they erupted in Austria and Germany, beginning with the large demonstrations on March 13, 1848, in Vienna. This resulted in the resignation of Prince von Metternich as chief minister to Emperor Ferdinand I of Austria, and his exile in Britain. Because of the date of the Vienna demonstrations, the revolutions in Germany are usually called the March Revolution.
In the south and west, large popular assemblies and mass demonstrations took place. They demanded freedom of the press, freedom of assembly, written constitutions, arming of the people, and a parliament. Fearing the fate of Louis-Philippe of France, some monarchs in Germany accepted some of the demands of the revolutionaries, at least temporarily.
Uprisings: Austria and Prussia
In 1848, Austria was the predominant German state. It was considered the successor to the Holy Roman Empire, which had been dissolved by Napoleon in 1806 and was not resurrected by the Congress of Vienna in 1815. German Austrian chancellor Metternich had dominated Austrian politics from 1815 until 1848.
On March 13, 1848, university students mounted a large street demonstration in Vienna, and it was covered by the press across the German-speaking states. Following the important but relatively minor demonstrations against Lola Montez in Bavaria on February 9, 1848, the first major revolt of 1848 in German lands occurred in Vienna on March 13, 1848. The student demonstrators demanded a constitution and a constituent assembly elected by universal male suffrage. Emperor Ferdinand and his chief adviser Metternich directed troops to crush the demonstration. When demonstrators moved to the streets near the palace, the troops fired on the students, killing several. The new working class of Vienna joined the student demonstrations, developing an armed insurrection. The Diet of Lower Austria demanded Metternich’s resignation. With no forces rallying to Metternich’s defense, Ferdinand reluctantly complied and dismissed him. The former chancellor went into exile in London.
In Prussia, in March 1848, crowds of people gathered in Berlin to present their demands in an “address to the king.” King Frederick William IV, taken by surprise, yielded verbally to all the demonstrators’ demands, including parliamentary elections, a constitution, and freedom of the press. He promised that “Prussia was to be merged forthwith into Germany.”
On March 13, the army charged people returning from a meeting in the Tiergarten; they left one person dead and many injured. On March 18, a large demonstration occurred; when two shots were fired, the people feared that some of the 20,000 soldiers would be used against them. They erected barricades, fighting started, and a battle took place until troops were ordered 13 hours later to retreat, leaving hundreds dead. Afterwards, Frederick William attempted to reassure the public that he would proceed with reorganizing his government. The king also approved arming the citizens.
Starting on May 18, 1848, the Frankfurt Assembly worked to find ways to unite the various German states and write a constitution. The Assembly was unable to pass resolutions and dissolved into endless debate. After long and controversial discussions, the assembly produced the so-called Frankfurt Constitution, which proclaimed a German Empire based on the principles of parliamentary democracy. This constitution fulfilled the main demands of the liberal and nationalist movements of the Vormärz and provided a foundation of basic rights, both of which stood in opposition to Metternich’s system of Restoration. The parliament also proposed a constitutional monarchy headed by a hereditary emperor (Kaiser).
King Frederick William IV of Prussia unilaterally imposed a monarchist constitution to undercut the democratic forces. This constitution took effect on December 5, 1848. On December 5, 1848, the revolutionary Assembly was dissolved and replaced with the bicameral legislature allowed under the monarchist Constitution. Otto von Bismarck was elected to the first congress elected under the new monarchical constitution. Other uprising occurred in Baden, the Palatinate, Saxony, the Rhineland, and Bavaria.
Failures of the Revolutions
By late 1848, the Prussian aristocrats—including Otto von Bismarck—and generals had regained power in Berlin. They were not defeated permanently during the incidents of March, but had only retreated temporarily. General von Wrangel led the troops who recaptured Berlin for the old powers, and King Frederick William IV of Prussia immediately rejoined the old forces. In November, the king dissolved the new Prussian parliament and put forth a constitution of his own based upon the work of the assembly, one that maintained the ultimate authority of the king.
The achievements of the revolutionaries of March 1848 were reversed in all of the German states, and by 1851 the Basic Rights from the Frankfurt Assembly had also been abolished nearly everywhere. In the end, the revolution fizzled because of the divisions between the various factions in Frankfurt, the calculating caution of the liberals, the failure of the left to marshal popular support, and the overwhelming superiority of the monarchist forces.
The Revolution of 1848 failed in its attempt to unify the German-speaking states because the Frankfurt Assembly reflected the many different interests of the German ruling classes. Its members were unable to form coalitions and push for specific aims. The first conflict arose over the goals of the assembly. The moderate liberals wanted to draft a constitution to present to the monarchs; whereas, the smaller group of radical members wanted the assembly to declare itself as a law-giving parliament. They were unable to overcome this fundamental division and did not take any definitive action toward unification or the introduction of democratic rules. The assembly declined into debate. While the French revolution drew on an existing nation state, the democratic and liberal forces in Germany of 1848 were confronted with the need to build a nation state and a constitutional at the same time, which overtaxed them.
Otto von Bismarck and German Unification
In the 1860s, Otto von Bismarck, then Minister President of Prussia, orchestrated three short, decisive wars against Denmark, Austria, and France, aligning the smaller German states behind Prussia in its defeat of France. Through these wars Bismarck was able to forge the new German Empire, or Second Reich, under Prussian auspices. This new German Empire was not only the culmination of German unification in the aftermath of the disintegration of the old Holy Roman Empire. It also marked the final step in Prussia's emergence as a great European power, within the framework of the German Empire. In 1871 the German Empire came into existence with the crowning of its first emperor, Kaiser Wilhelm I. The German Empire would be one of Europe's most powerful states until its demise in the aftermath of the First World War.
Learning Objective
Explain the consolidation of national states in Europe during the 19th century.
Key Terms / Key Concepts
North German Confederation: a confederation of 22 previously independent states of northern Germany with nearly 30 million inhabitants, formed after Prussia left the German Confederation with allies (It was the first modern German nation state and the basis for the later German Empire, 1871 – 1918, when several south German states such as Bavaria joined.)
Junker: a noble honorific, meaning “young nobleman” (The term became popularly used as a reference for the landed nobility, particularly of the east, that controlled almost all of the land and government, or by extension the Prussian estate owners regardless of noble status. With the formation of the German Empire in 1871, this dominated the central German government and the Prussian military. The term is often contrasted with the elites of the western and southern states in Germany, such as the city-republic of Hamburg, which had no nobility.)
Kulturkampf: refers to power struggles between emerging constitutional and democratic nation states and the Roman Catholic Church over the place and role of religion in modern polity, usually in connection with secularization campaigns
realpolitik: politics or diplomacy based primarily on considerations of given circumstances and factors, rather than explicit ideological notions or moral and ethical premises (In this respect, it shares aspects of its philosophical approach with those of realism and pragmatism. The term is sometimes used pejoratively to imply politics that are coercive, amoral, or Machiavellian.)
Otto von Bismarck: a conservative Prussian statesman who dominated German and European affairs from the 1860s until 1890 (In the 1860s he engineered a series of wars that unified the German states, significantly and deliberately excluding Austria, into a powerful German Empire under Prussian leadership. With that accomplished by 1871, he skillfully used balance of power diplomacy to maintain Germany’s position in a Europe which, despite many disputes and war scares, remained at peace.)
Franco-Prussian War - third and concluding war of German unification, between the French and Prussian empires, paving the way for German unification, in the form of the German empire, also known as the Second Reich
Kaiser Wilhelm II: the last German Emperor (Kaiser) and King of Prussia, ruling the German Empire and the Kingdom of Prussia from June 1888 to November 1918 (He dismissed the Chancellor Otto von Bismarck in 1890 and launched Germany on a bellicose “New Course” in foreign affairs that culminated in his support for Austria-Hungary in the crisis of July 1914, which led in a matter of days to the First World War.)
Reichstag: the Parliament of Germany from 1871 to 1918 (It shared legislative powers with the Bundesrat, the Imperial Council of the reigning princes of the German States. It had no formal right to appoint or dismiss governments, but by contemporary standards it was considered a highly modern and progressive parliament. All German men over 25 years of age were eligible to vote, and members were elected by general, universal, and secret suffrage.
Otto von Bismarck
Otto von Bismarck was a conservative Prussian statesman who dominated German and European affairs from the 1860s until 1890. In 1862, King Wilhelm I appointed Bismarck as Minister President of Prussia, a position he would hold until 1890 (except for a short break in 1873). He provoked three short, decisive wars against Denmark, Austria, and France, aligning the smaller German states behind Prussia in its defeat of France. In 1871 he formed the German Empire with himself as Chancellor while retaining control of Prussia. His diplomacy of realpolitik and powerful rule at home gained him the nickname the “Iron Chancellor.” German unification and its rapid economic growth were the foundations of his foreign policy. He disliked colonialism but reluctantly built an overseas empire when it was demanded by both elite and mass opinion. Juggling a very complex interlocking series of conferences, negotiations, and alliances, he used his diplomatic skills to maintain Germany’s position and used the balance of power to keep Europe at peace in the 1870s and 1880s.
A master of complex politics at home, Bismarck created the first welfare state in the modern world, with the goal of gaining working-class support that might otherwise have gone to his Socialist enemies. In the 1870s he allied himself with the Liberals (who were low-tariff and anti-Catholic) and fought the Catholic Church in what was called the Kulturkampf (“culture struggle”). He lost that battle as the Catholics responded by forming a powerful Centre party and using universal male suffrage to gain a bloc of seats. Bismarck then reversed himself, ended the Kulturkampf, broke with the Liberals, imposed protective tariffs, and formed a political alliance with the Centre Party to fight the Socialists.
Bismarck—a Junker himself—was strong-willed, outspoken, and sometimes considered overbearing, but he could also be polite, charming, and witty. Occasionally he displayed a violent temper, and he kept his power by melodramatically threatening resignation time and again, which cowed Wilhelm I. He possessed not only a long-term national and international vision but also the short-term ability to juggle complex developments. As the leader of what historians call “revolutionary conservatism,” Bismarck became a hero to German nationalists; they built many monuments honoring the founder of the new Reich. Many historians praise him as a visionary who was instrumental in uniting Germany and, once that had been accomplished, keeping the peace in Europe through adroit diplomacy.
Franco-Prussian War and Creation of the German Empire
Prussia’s victory over Austria in 1866, a war that ended the German Confederation and resulted in the creation of the North German Confederation, increased already existing tensions with France. The Emperor of France, Napoleon III, tried to gain territory for France (in Belgium and on the left bank of the Rhine) as compensation for not joining the war against Prussia and was disappointed by the surprisingly quick outcome of the war. The conflict was caused by Prussian ambitions to extend German unification and French fears of the shift in the European balance of power that would result if the Prussians succeeded. Some historians argue that Bismarck deliberately provoked a French attack to draw the southern German states—Baden, Württemberg, Bavaria and Hesse-Darmstadt—into an alliance with the North German Confederation dominated by Prussia, while others contend that Bismarck did not plan anything and merely exploited the circumstances as they unfolded.
A suitable pretext for war arose in 1870 when the German Prince Leopold of Hohenzollern-Sigmaringen was offered the Spanish throne, vacant since a revolution in 1868. France pressured Leopold into withdrawing his candidacy. Not content with this, Paris demanded that Wilhelm, as head of the House of Hohenzollern, assure that no Hohenzollern would ever seek the Spanish crown again. To provoke France into declaring war with Prussia, Bismarck published the Ems Dispatch, a carefully edited version of a conversation between King Wilhelm and the French ambassador to Prussia, Count Benedetti. This conversation had been edited so that each nation felt its ambassador had been slighted and ridiculed, thus inflaming popular sentiment on both sides in favor of war.
France mobilized and declared war on July 19. The German states saw France as the aggressor, and—swept up by nationalism and patriotic zeal—they rallied to Prussia’s side and provided troops. A series of swift Prussian and German victories in eastern France, culminating in the Siege of Metz and the Battle of Sedan, saw Napoleon III captured and the army of the Second Empire decisively defeated. A Government of National Defense declared the Third Republic in Paris on September 4 and continued the war for another five months; the German forces fought and defeated new French armies in northern France. Following the Siege of Paris, the capital fell on January 28, 1871. Then, a revolutionary uprising called the Paris Commune seized power in the capital and held it for two months until it was bloodily suppressed by the regular French army at the end of May 1871.
Bismarck acted immediately to secure the unification of Germany. He negotiated with representatives of the southern German states, offering special concessions if they agreed to unification. The negotiations succeeded; patriotic sentiment overwhelmed any opposition that remained. While the war was in its final phase, Wilhelm I of Prussia was proclaimed German Emperor on January 18, 1871 in the Hall of Mirrors in the Château de Versailles. The new German Empire was a federation; each of its 25 constituent states (kingdoms, grand duchies, duchies, principalities, and free cities) retained some autonomy. The King of Prussia, as German Emperor, was not sovereign over the entirety of Germany; he was only primus inter pares, or first among equals.
Victory in the Franco-Prussian War proved the capstone of the nationalist issue. In the first half of the 1860s, Austria and Prussia both contended to speak for the German states; both maintained they could support German interests abroad and protect German interests at home. After the victory over Austria in 1866, Prussia began internally asserting its authority to speak for the German states and defend German interests, while Austria began directing more of its attention to possessions in the Balkans. The victory over France in 1871 expanded Prussian hegemony in the German states to the international level. With the proclamation of Wilhelm as Kaiser, Prussia assumed the leadership of the new empire. The southern states became officially incorporated into a unified Germany at the Treaty of Versailles of 1871 (signed February 26, 1871; later ratified in the Treaty of Frankfurt of May 10, 1871), which formally ended the war.
Under the Treaty of Frankfurt, France relinquished most of its traditionally German regions (Alsace and the German-speaking part of Lorraine); paid an indemnity, calculated (on the basis of population) as the precise equivalent of the indemnity that Napoleon Bonaparte imposed on Prussia in 1807; and accepted German administration of Paris and most of northern France, with “German troops to be withdrawn stage by stage with each installment of the indemnity payment.”
Political Structure
On December 10, 1870, the North German Confederation Reichstag renamed the Confederation as the German Empire and gave the title of German Emperor to William I, the King of Prussia. The new constitution (Constitution of the German Confederation) and the title Emperor came into effect on January 1, 1871. During the Siege of Paris on January 18, 1871, William accepted to be proclaimed Emperor in the Hall of Mirrors at the Palace of Versailles.
The second German Constitution was adopted by the Reichstag on April 14, 1871, and proclaimed by the Emperor on April 16. It was substantially based upon Bismarck’s North German Constitution. The political system remained the same. The empire had a parliament called the Reichstag, which was elected by universal male suffrage. However, the original constituencies drawn in 1871 were never redrawn to reflect the growth of urban areas. As a result, by the time of the great expansion of German cities in the 1890s and first decade of the 20th century, rural areas were grossly over-represented.
Legislation also required the consent of the Bundesrat, the federal council of deputies from the 27 states. Executive power was vested in the emperor, or Kaiser, who was assisted by a chancellor responsible only to him. The emperor was given extensive powers by the constitution. He alone appointed and dismissed the chancellor (which in practice was used by the emperor to rule the empire through him), was supreme commander-in-chief of the armed forces, final arbiter of all foreign affairs, and could disband the Reichstag to call for new elections. Officially, the chancellor was a one-man cabinet and was responsible for the conduct of all state affairs; in practice, the State Secretaries (bureaucratic top officials in charge of such fields as finance, war, foreign affairs, etc.) acted as unofficial portfolio ministers. The Reichstag had the power to pass, amend, or reject bills and initiate legislation. However, as mentioned above, in practice the real power was vested in the emperor, who exercised it through his chancellor.
Although nominally a federal empire and league of equals, in practice the empire was dominated by the largest and most powerful state, Prussia. It stretched across the northern two-thirds of the new Reich and contained three-fifths of its population. The imperial crown was hereditary in the House of Hohenzollern, the ruling house of Prussia. With the exception of the years 1872 – 1873 and 1892 – 1894, the chancellor was always simultaneously the prime minister of Prussia. With 17 out of 58 votes in the Bundesrat, Berlin needed only a few votes from the small states to exercise effective control. The other states retained their own governments but had only limited aspects of sovereignty. For example, both postage stamps and currency were issued for the empire as a whole.
The German Empire
After the French defeat in the Franco-Prussian War, the German princes proclaimed the founding of the German Empire in 1871 at Versailles, uniting all scattered parts of Germany, except Austria. The German Empire (officially Deutsches Reich) was the historical German nation state that existed from the unification of Germany in 1871 to the abdication of Kaiser Wilhelm II in November 1918, when Germany became a federal republic (the Weimar Republic).
The German Empire consisted of 26 constituent territories, most ruled by royal families. This included four kingdoms, six grand duchies, five duchies (six before 1876), seven principalities, three free Hanseatic cities, and one imperial territory. Although the Kingdom of Prussia contained most of the Empire’s population and territory, it eventually played a relatively lesser role in politics. As Dwyer (2005) points out, Prussia’s “political and cultural influence had diminished considerably” by the 1890s, after the era of Bismarck’s leadership.
After Germany was united by Otto von Bismarck into the “German Reich,” he dominated German politics until 1890 as Chancellor. Bismarck’s post-1871 foreign policy was conservative and sought to preserve the balance of power in Europe. Bismarck tried to foster alliances in Europe to contain France and consolidate Germany’s influence in Europe. British historian Eric Hobsbawm concludes that he “remained undisputed world champion at the game of multilateral diplomatic chess for almost twenty years after 1871, [devoting] himself exclusively, and successfully, to maintaining peace between the powers.” His chief concern was that France would plot revenge after its defeat in the Franco-Prussian War. As the French lacked the strength to defeat Germany by themselves, they sought an alliance with Russia that would trap Germany between the two in a war (as would ultimately happen in 1914). Bismarck wanted to prevent this at all costs and maintain friendly relations with the Russians, and thereby formed an alliance with them and Austria-Hungary. The League of Three Emperors was signed in 1872 by Russia, Austria, and Germany. It stated that republicanism and socialism were common enemies and that the three powers would discuss any matters concerning foreign policy.
Bismarck’s domestic policies played an important role in forging the authoritarian political culture of the new Empire. Less preoccupied by continental power politics following unification in 1871, Germany’s semi-parliamentary government carried out a relatively smooth economic and political revolution from above that pushed them along the way to becoming the world’s leading industrial power of the time.
Bismarck’s “revolutionary conservatism” was a conservative state-building strategy designed to make ordinary Germans—not just the Junker elite—more loyal to state and emperor. His strategy was to grant social rights to enhance the integration of a hierarchical society, forge a bond between workers and the state to strengthen the latter, maintain traditional relations of authority between social and status groups, and provide a countervailing power against the modernist forces of liberalism and socialism. He created the modern welfare state in Germany in the 1880s, with an introduction of health care and social security. He also enacted universal male suffrage in the new German Empire in 1871. He became a great hero to German conservatives, who erected many monuments to his memory and tried to emulate his policies.
At the same time Bismarck tried to reduce the political influence of the emancipated Catholic minority in the Kulturkampf, literally “culture struggle.” The Catholics only grew stronger, forming the Center (Zentrum) Party. Germany grew rapidly in industrial and economic power, matching Britain by 1900. Its highly professional army was the best in the world, but the navy could never catch up with Britain’s Royal Navy.
In 1888, the young and ambitious Kaiser Wilhelm II became emperor. He could not abide advice, least of all from the most experienced politician and diplomat in Europe, so he fired Bismarck. The Kaiser opposed Bismarck’s careful foreign policy and wanted Germany to pursue colonialist policies as Britain and France had been doing for decades, as well as build a navy that could match the British. The Kaiser promoted active colonization of Africa and Asia for those areas that were not already colonies of other European powers; his record was notoriously brutal and set the stage for genocide. In what became known as the “First Genocide of the Twentieth-Century,” between 1904 and 1907, the German colonial government in South-West Africa (present-day Namibia) ordered the annihilation of the local Herero and Namaqua peoples as a punitive measure for an uprising against German colonial rule, killing over 100,000 people. The Kaiser took a mostly unilateral approach in Europe with the Austro-Hungarian Empire as its main ally. And an arms race with Britain eventually led to the assassination of the Austrian-Hungarian crown prince, which sparked World War I.
After four years of warfare in which approximately two million German soldiers were killed, a general armistice ended the fighting on November 11, and German troops returned home. In the aftermath of this armistice imposed on Germany by the Allies, a revolution occurred later that month. As a result, Emperor Wilhelm II and all German ruling princes abdicated their positions and responsibilities, marking the beginning of the Weimar Republic. Germany’s new political leadership signed the Treaty of Versailles in 1919.
Attributions
Images courtesy of Wikipedia Commons
Title Image - Die Proklamation des Deutschen Kaiserreiches by Anton von Werner (1877),. Attribution: Anton von Werner, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:A_v_Werner_-_Kaiserproklamation_am_18_Januar_1871_(3._Fassung_1885).jpg. License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"The Congress of Vienna"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-congress-of-vienna/
"German Unification"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/german-unification/
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oercommons
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2025-03-18T00:36:54.020090
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Unification of Italy
Overview
Unification of Italy
The Kingdom of Italy, created in 1861 in a process known as the Risorgimento, was one of the new nations that emerged in Europe during the nineteenth century based on geographic proximity, cultural affinity, and ethnic identify. In this respect it paralleled the German empire crafted by Prussia ten years later. The Kingdom of Italy also reflected the conservative nature of nation building in nineteenth-century Europe, controlled by national leaders with the goal of limiting political, social, and economic change in these new nations that might impinge upon their own powers and prerogatives. As with the emergence of the German empire, the creation of the Kingdom of Italy was a process that began in the aftermath of the Napoleonic Wars and the French Revolution.
Learning Objectives
- Explain the consolidation of national states in Europe during the 19th century.
- Outline, explain, and assess the events in the process of the national unification of Italy.
- Explain the historic context of the development of European national in which the national unification of Italy occurred.
Key Terms / Key Concepts
Giuseppe Mazzini: an intellectual and advocate of nationalism and republicanism, who participated in the creation of the Young Italy movement
Giuseppe Garibaldi - Italian nationalist and soldier who led a small army across the southern half of the Italian peninsula in 1860 as part of Italian unification, his march was coopted Count Cavour in the creation of the unified Kingdom of Italy under the auspices of the Kingdom of Piedmont-Sardinia
Young Italy: organization founded in 1831 by Italian nationalists, dedicated to the national unification of the Italian states under a republican government
Kingdom of Piedmont-Sardinia: independent kingdom in northern Italy that was the base for Italian unification
King Victor Emmanuel I: King of Piedmont-Sardinia and first king of the Kingdom of Italy
Camillo Benso, Count of Cavour: prime minister of the Kingdom of Piedmont-Sardinia and architect of Italian unification
Otto von Bismarck: a conservative Prussian statesman who dominated German and European affairs from the 1860s until 1890 (In the 1860s he engineered a series of wars that unified the German states, significantly and deliberately excluding Austria, into a powerful German Empire under Prussian leadership. With that accomplished by 1871, he skillfully used balance of power diplomacy to maintain Germany’s position in a Europe which, despite many disputes and war scares, remained at peace.)
Risorgimento: term for Italian unification resulting in the establishment of the Kingdom of Italy in 1861
Franco-Prussian War - third and concluding war of German unification, between the French and Prussian empires, paving the way for German unification, in the form of the German empire, also known as the Second Reich
Congress of Vienna
With the final defeat of Napoleon Bonaparte in 1815 the Congress of Vienna, an assembly of nations arrayed against Napoleon, pursued a reactionary agenda of trying to restore Europe as closely as possible to what it had been before the French Revolution. The Austrian, Prussian, and Russian empires led this reactionary effort. As part of the settlement, the Italian peninsula, along with Sicily, was divided into seven political entities, most of which were directly or indirectly under the control of the Austrian empire.
While the Austrian empire tried to restore the old order in the Italian peninsula, the French Revolution and Napoleon’s rule spread new ideas that sharpened the desire for republican government and/or national unification among a number of groups across the peninsula. These groups included aristocrats, army officers, and an emerging new bourgeoisie focused on industrialization. Members of these groups discussed their ideas in a number of venues across the peninsula, as well as other areas of Europe, including universities, national and provincial legislatures, and public gathering places, as well as with in print.
1820 – 48 Revolutions
Members of these groups also participated in revolutionary movements from 1820 through 1848, with the goals of political reform. These political reforms included democratization and the establishment of constitutional and/or republican governments, along with national unification. While these uprisings overlapped with each other in terms goals and methods and achieved some success and progress, they were uncoordinated, even disjointed, operating on a local or provincial level, and, often, in conflict in their differing goals. They disagreed over issues of governance, such as republican versus monarchical government, economic reform, and sectional differences, particularly between northern and southern Italian states. They demonstrated the need for one central force and a definitive agenda to secure national unification.
The founding of Young Italy in 1831 illustrates this need. Young Italy was an organization of Italian nationalists who sought the unification of Italian states under a republican government. The founder, Giuseppe Mazzini, was an intellectual who favored republicanism and nationalism. However, neither he nor other members of this new organization possessed the resources necessary to bring together the Italian states. Only a nation-state possessed such resources.
The Kingdom of Piedmont-Sardinia
The central force behind Italian unification was the Kingdom of Piedmont-Sardinia, as led by King Victor Emmanuel II and Camillo Benso, who was Count of Cavour and prime minister of Piedmont-Sardinia. Cavour was the architect of Italian unification. And their coupled vision for a unified Italy was one led by Piedmont-Sardinia with the King being the focal point of political and national power in the new nation. In this respect, the role of Piedmont-Sardinia paralleled that of Prussia in the unification. Victor Emmanuel II and Cavour of Piedmont-Sardinia played the same roles in the creation of the Kingdom of Italy that King Wilhelm and Prime Minister Otto von Bismarck played in the establishment of the new German empire, also known as the Second Reich. These parallels between the unification of Italy and Germany reflected the concentration of political power in Europe during the third quarter of the nineteenth century.
Italian Wars of Unification
Four wars punctuated the progress toward the creation of the Kingdom of Italy, which became the vehicle for Italian unification. They are known collectively as the Italian Wars of Unification. The third and fourth wars in this series involved Austria and Prussia, and they are also known as the Second and Third Wars of German unification. These wars reflected the shifting diplomatic alliances across Europe and primarily were concerned with national unification and territorial acquisition.
The First War of Italian Unification, in 1848 – 1849, was couched within revolutions that occurred in a number of Italian states in 1848. A number of these uprisings, including those in the Kingdom of Piedmont-Sardinia, sought to replace monarchical governments with republican governments in various Italian states and territories. The King of Piedmont-Sardinia, Charles Albert, started this war by attacking Austria in order to stymie such uprisings in Piedmont-Sardinia. Austrian forces defeated the Italians, and, in the subsequent peacemaking process, Charles Albert was forced to abdicate in favor of his son, Victor Emmanuel II.
This loss to Austria convinced a number of Piedmont-Sardinian leaders, including the new king and Cavour, who would be his future prime minister, that Piedmont-Sardinia would need allies in its struggle against Austria—the main opponent among European states of Italian unification. Consequently, Sardinia participated along with Britain and France in the 1853 – 1856 Crimean War. These allied powers fought to prevent Russia from gaining access to the Mediterranean Sea from the Black Sea by taking from the Ottoman empire the Bosporus and Dardanelle Straits that connected these two seas. Control over these straits would have given Russian naval forces unimpeded access to the Mediterranean Sea, and, in the process, threatened British and French imperial interests in that sea. Piedmont-Sardinian participation in the successful war effort against Russia bolstered its diplomatic influence in Europe, which would help it attract French help against Austria in the Second War of Italian Unification.
The Second War of Italian Unification, from 1859 through 1861, resulted in the creation of the Kingdom of Italy, with all but Venetia and the Papal State entering the new nation. It progressed in two phases. During the first phase in 1859 Piedmont-Sardinia and France went to war against Austria. As a result of victory against Austria in this war, Piedmont-Sardinia gained Lombardy, a north Italian state, from Austria through a transfer by France. Lombardy was one of a number of Italian states under direct or indirect Austrian control. Acquisition of Lombardy inspired nationalists in other states under Austrian control in the northern half of the Italian peninsula to support annexation by Piedmont-Sardinia's newly emerging Kingdom of Italy.
In the second phase Piedmont-Sardinia coopted the 1860 march through the southern half of the Italian peninsula by nationalists under the leadership of Giuseppe Garibaldi, an Italian adventurer and nationalist. Through this march into Sicily at the southern end of the peninsula, Garibaldi galvanized support for a new Italian nation. Piedmont-Sardinia then exploited this support, declaring the states therein to be part of the new kingdom and announcing Garibaldi as the national hero of this unification. With the defeat of Austria in 1859, neither Garibaldi nor any other Italian leader or state had the power or inclination to oppose Piedmont-Sardinia. Consequently, the Piedmont-Sardinian government formally declared the creation of the Kingdom of Italy in 1861. However, this new nation was still missing two important pieces: Venetia, in northeastern Italy under Austrian control, and the Papal State in the central portion of the peninsula, which included Rome.
The third war was the Austro-Italian-Prussian War. The primary conflict in this war was between Austria and Prussia, fighting over which would dominate the German states. The Austro-Prussian portion of this war was also the second of three wars that marked the progress of German unification under Prussian auspices. In this war Italy was an ally of Prussia, attacking Austria from the south while Prussia attacked Austria from the north. Italian forces did not do well against Austrian forces in this war; failures included the Battle of Lissa in 1866, which was the first engagement of opposing ironclad fleets fought in the Adriatic Sea; still, Italy acquired Venetia from the Austrian empire by way of a diplomatic exchange with France.
The fourth war, the Franco-Prussian War of 1870 – 1871, also the third war of German unification, did not directly involve Italy. With the withdrawal of French troops from the Papal State to fight against the Prussians and their German allies in 1870, troops from the new Kingdom of Italy captured Rome and the Papal State, leading to the Kingdom’s annexation of the Papal State and the completion of Italian unification. The annexation of the Papal State left the Papacy in an awkward situation. Pope Pius IX, pope at the time of this annexation, refused to recognize Italian sovereignty over the Papal State nor Rome as the legitimate capital of the Kingdom of Italy. Until the 1929 Lateran Pact between the Papacy and Italy, the Papacy continued this refusal. With this 1929 pact, the Papacy finally recognized that Rome was part of Italy and was the legitimate capital of Italy. In return the Italian government recognized the sovereignty of the Vatican City as an independent state under the control of the Papacy.
The Papacy and the Kingdom of Italy
The annexation of the Papal State by the Kingdom of Italy was the final step in the weakening of the Papacy’s temporal power in Europe. For over a thousand years the Papal State had been a sovereign entity, which bestowed upon the Pope the status of a temporal leader, among other European temporal leaders. This was in addition to his role as Europe’s spiritual leader. With the Papal State now part of the Kingdom of Italy, the Pope was stripped of that status and power. Pope Pius IX would have to adapt to the new limits on his powers as Pope. These new limits epitomized the larger trend toward the secularization of European society and the West that had been unfolding since the Scientific Revolution and the Enlightenment.
The unification of Italy, along with the unification of Germany, left Europe and the world with two new powerful and ambitious states that further shook the conservative order so many surviving dynastic powers were trying to maintain. The Kingdom of Italy also further encouraged other ethnic groups without nations across southeastern Europe. Both of these consequences contributed to the coming of the First World War.
Attributions
Images courtesy of Wikimedia Commons
Title Image - Satirical 1861 cartoon on Cavour and Garibaldi unifying Italy. Attribution: See page for author, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:Garibaldiecavour.JPG. License: CC BY-SA: Attribution-ShareAlike
"Unification of Italy". Wikipedia. https://en.wikipedia.org/wiki/Unification_of_Italy. License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"The Congress of Vienna"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-congress-of-vienna/
"The Century of Peace"
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-century-of-peace/
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oercommons
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2025-03-18T00:36:54.049171
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https://oercommons.org/courseware/lesson/87926/overview
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Manifest Destiny
Overview
Manifest Destiny
Manifest Destiny is a phrase coined by journalist John O'Sullivan in the 1840s. It assured white Americans it was their God-given responsibility to conquer North America’s Native American population and land. This idea gained popularity and helped fuel migration out of the eastern half of the United States into places such as Oregon Territory, California, and Texas.
Learning Objectives
- Investigate the origins of “Manifest Destiny” and how it affected the United States in the nineteenth century.
Key Terms / Key Concepts
John O’Sullivan: nineteenth-century journalist who coined the phrase, “Manifest Destiny”
Manifest Destiny: nineteenth-century ideology that became popular for its assertion that it was the God-given duty of white Americans to conquer North America’s peoples and land
William Walker: famous American filibuster who became president of Nicaragua
Filibusters: nineteenth-century person who went into foreign countries with hired mercenaries with the intent of starting revolutions and government overthrows
Oregon Trail: 2,000-mile trail used by wagon trains and pioneers during the nineteenth century; connected Missouri territory to Oregon
Texas War for Independence: nineteenth-century war in North America fought between American colonists in Texas and the country of Mexico
Manifest Destiny
In 1845, New York journalist John O’Sullivan coined a phrase that has become established as the nineteenth-century vision of the American Dream: Manifest Destiny. In short, the term assured Americans it was their God-given destiny to conquer North America from coast to coast. Through wars and treaties; establishment of law and order; building farms, ranches, and towns; marking trails and digging mines; and pulling in great migrations of foreigners, the United States expanded from coast to coast, fulfilling the notion of the American Dream.
From the early 1830s to 1869, the Oregon Trail and its many offshoots were used by over 300,000 settlers. ’49ers (in the California Gold Rush), ranchers, farmers, and entrepreneurs and their families headed to California, Oregon, and other points in the far west. Wagon trains took five or six months to complete; after 1869, the trip took six days by rail.
As the nation grew, manifest destiny became a rallying cry for expansionists in the Democratic Party. In the 1840s the Tyler and Polk administrations (1841 – 49) successfully promoted this nationalistic doctrine. However, the Whig Party, which represented business and financial interests, was opposed. Whig leaders such as Henry Clay and Abraham Lincoln called for deepening society through modernization and urbanization instead of simple horizontal expansion. Starting with the annexation of Texas, the expansionists had the upper hand. John Quincy Adams, an anti-slavery Whig, felt the Texas annexation in 1845 was “the heaviest calamity that ever befell myself and my country.”
Texan War for Independence
Mexico became independent of Spain in 1821 and took over Spain’s northern possessions from Texas to California. The Spanish and Mexican governments attracted American settlers to Texas with generous terms. Tensions rose, however, after an abortive attempt to establish the independent nation of Fredonia in 1826. William Travis, leading the “war party,” advocated for independence from Mexico, while the “peace party” led by Austin attempted to get more autonomy within the current relationship. Immigration continued and 30,000 Anglos with 3,000 slaves were settled in Texas by 1835. In 1836, the Texas Revolution erupted. Following losses at the Alamo and Goliad, the Texans won the decisive Battle of San Jacinto to secure independence. The U.S. Congress declined to annex Texas, stalemated by contentious arguments over slavery and regional power. Thus, the Republic of Texas remained an independent power for nearly a decade before it was annexed as the 28th state in 1845. The government of Mexico, however, viewed Texas as a runaway province and asserted its ownership.
Manifest Destiny in the American West
The latter half of the 19th century was marked by the rapid development and settlement of the far West, first by wagon trains and riverboats and then aided by the completion of the transcontinental railroad. Large numbers of European immigrants (especially from Germany and Scandinavia) took up low-cost or free farms in the Prairie States. Mining for silver and copper opened up the Rocky Mountain regions. The United States Army fought frequent small-scale wars with Native Americans as settlers encroached on their traditional lands. Gradually the U.S. purchased the Native American tribal lands and extinguished their claims, forcing most tribes onto subsidized reservations.
William Walker, Manifest Destiny, and Latin America
By the mid-1800s, politicians in the United States knew their counterparts in Western Europe had expanding empires. To keep up with countries such as England and France, some wealthy and influential people in the United States began to consider creating an empire. To do so, they played upon the idea of manifest destiny. Among those who sought to extend American power was former lawyer and journalist, William Walker.
A Tennessee native with strong Southern sympathies, Walker studied medicine in Scotland, France, and Germany where he witnessed the revolutions of 1848. These social movements influenced his later revolutionary inclinations. Upon returning to the United States, he moved to California and worked as an editor in San Francisco in 1850. While there, presumably because of his close interaction with Hispanic populations, he began to dream of expanding American territory and presence into Latin America. He was not alone. Numerous other wealthy Americans shared his dream of expanding the United States influence throughout the Western Hemisphere as part of manifest destiny.
A movement, unsanctioned by the United States government, arose of adventurous and often wealthy men who sought to spread American culture and politics into Latin America and the Caribbean. Called Filibusters, Walker became the most famous of the movement because of his brief success in Nicaragua.
After a failed attempt to settle a colony in Mexico, Walker hired a mercenary group of American soldiers to invade Latin America and “liberate” Nicaragua, which was in the midst of a civil war. Walker quickly exploited the situation and was able to defeat the opposition at the Battle of Rivas. His victories received initial support and excitement from some Nicaraguans, and Walker immediately declared himself president of Nicaragua. His popularity was, however, short-lived. At odds with his patron, Cornelius Vanderbilt, Walker severed ties. And as an ardent slavery supporter, Walker reversed anti-slavery policies in Nicaragua, which quickly lost him favor. Revolts erupted and Walker was forced to surrender only two years after his triumphant victory. He fled in 1857.
Undaunted and convinced of his God-given duty to conquer Latin America, Walker returned to Honduras in 1860. His last filibustering adventure into Central America proved fatal. Deserted by his men, he surrendered to a nearby British naval officer whose vessel patrolled British islands off the coast of Honduras. Instead of returning Walker to the United States, as perhaps Walker expected, the officer delivered him to the enraged Honduran authorities. He was subsequently court martialed and executed by firing squad. The last of the American filibusters, his remains are buried in a cemetery in Trujillo, Honduras.
Attributions
Images courtesy of Wikimedia Commons
“William Walker” by Fanny Juda. http://www.sfmuseum.org/hist1/walker.html
Boundless World History
https://courses.lumenlearning.com/boundless-worldhistory/chapter/north-america/
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2025-03-18T00:36:54.071226
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United States Civil War
Overview
United States Civil War
In the aftermath of the election of Abraham Lincoln as President of the U.S., slaveholders and those who aspired to be slaveholders took seven Southern slaveholding states out of the Union. These seven Southern states intended to establish a new nation founded on the premise of enslaving African Americans and precipitating an existential conflict with the United States. This conflict was born out of the disagreement between the slaveholding southern states and the non-slaveholding northern and western states over the future of slavery, particularly after territory was taken from Mexico in the U.S. war of aggressive conquest against that nation. Until the war against Mexico states entering the Union had entered in pairs: one slave and one non-slave. Members of Congress from the slaveholding and non-slaveholding states were able to work out a fragile and tenuous compromise in 1850 over the status of slavery in conquered or settled territories, but events during the 1850s exacerbated tensions and hostilities between the two groups. Lincoln’s November 1860 election set off the secession of seven, later eleven, southern states from the United States. Formal hostilities between the two nations began the following April.
Learning Objectives
- Discuss the US in the 19th century: the Civil War.
- Explain the causes, course, outcome, and consequences of the United States Civil War.
- Assess the historic impact and significance of the United States Civil War.
Key Terms / Key Concepts
chattel slavery: a form of slavery in which slaves are seen as property, and thus dehumanized
Confederate States of America - nation formed in 1861 by slaveholding interests in the souheastern and south, central states of the United States toward the end of not only protecting chattel slavery but expanding it, leading to the U.S. Civil War
Emancipation Proclamation: a policy implemented by the Lincoln Administration in 1863 by which slaves in Confederate-held areas were freed
For southerners who owned slaves or aspired to own slaves, chattel slavery was not just part of their sectional economy, it was part of their culture. Owning slaves was a measure of status in Southern society. As part of this culture many European-Americans in the South went from seeing slavery as a “necessary evil” in the late eighteenth century, to defending it as a positive good in human civilization by the 1840s. With a number of other Western nations beginning to turn away from slavery, Southern supporters of slavery became increasingly defensive about their “peculiar institution.” By the 1850s these Southerners advocated U.S. expansion to acquire Cuba and/or Central America to add new slaveholding states to the Union in order to ensure parity with the non-slave states in Congress. By the 1850s a number of Southerners came to favor secession of the slaveholding states from the U.S. and the formation of a new nation that would protect and expand slavery. They believed that remaining part of the U.S. would ultimately lead to the abolition of slavery. Accruing events made Southerners who supported slavery feel unwelcome in the U.S; these included the 1852 publication of Uncle Tom’s Cabin, which was a critique of slavery, and Northern support for escaping slaves via the Underground Railroad, as well as John Brown’s 1859 raid on the U.S. arsenal at Harpers Ferry, Virginia.
Ironically, most European Americans in the non-slave states were not concerned about slavery or slaves. While they believed that slavery was wrong, they only feared competition from slave labor in their own states or the new western territories beyond the Mississippi River. This fear manifested itself in the creation of the Republican Party in 1854 in opposition to the Kansas-Nebraska Act of that year, which allowed voters in each of these two newly organized territories to determine whether or not slavery would be allowed. Northerners feared that such a competition, based on the political principle of popular sovereignty, would open part or all of the West to slave labor, threatening free labor in the process. Until the Civil War the Republican Party was dedicated to preventing the spread of slavery westward, with a number of Republicans going further by advocating the abolition of slavery in the states in which it already existed. In the 1856 presidential election the Republican presidential candidate, John Fremont, carried the support all of the states in the upper North, along with New York and Ohio, which was taken as an ominous sign for the future of slavery. When Lincoln won the presidential election in 1860, he brought with him the support of all the Northern states, but not the Southern states, and Southern supporters of slavery no longer felt part of the U.S.
Forming the Confederate States of America was a relatively simple process. With the geographic configuration of the war neatly sectional in nature, separation between the two sides was a simple process, as was the war they fought. With secession, Southern states had to do little more than change the signs on post offices. In 1860 the U.S. government presence in the states was little more than post offices and a small number of army and navy bases.
The war consisted of U.S. military forces trying to regain control of the seceded states, and Confederate military forces trying to stop them. The U.S. had the advantage in material and human resources, while the C.S. had the advantage in that it only had to outlast the U.S. Most people on both sides underestimated the resolve of their opponents, and, thus, underestimated the length of the war, assuming the other side would surrender before Christmas of 1861. That optimism is reflected in the U.S. government’s first hastily organized offensive, the object of which was to capture Richmond, the Confederate capital. This offensive failed with the first major battle of the war: the 21 July 1861 Battle of Bull Run. In the aftermath of this loss the Lincoln Administration reconfigured the U.S. war effort toward a longer struggle across several large border areas between the two sides. In Virginia the Lincoln Administration continued its campaigns to capture Richmond, not succeeding until March 1865.
In the area west of the Appalachian mountains and east of the Mississippi River, the Lincoln Administration launched a string of successful campaigns to take control of the Ohio and the Mississippi Rivers, along with their tributaries; the objective was to disrupt Confederate transportation and trade. Arguably it was in this area that the Confederacy was broken geographically and economically. As part of these campaigns, U.S. forces also liberated Memphis, Nashville, and New Orleans, which exacerbated Confederate economic difficulties and hurt Confederate morale. With the successful conclusion of the Vicksburg, Mississippi campaign in July 1863, the U.S. controlled the Mississippi River, splitting the Confederacy in two.
While the Confederacy tried to defend the new nation’s eleven states, it also sought to expand westward to the Pacific coast. In 1862 Confederate forces invaded the New Mexico Territory, but were not able to maintain their occupation due to supply problems. This invasion was part of a larger effort to bring the Arizona Territory and the southern half of California into the Confederacy, with ultimate goal of secure a port on the Pacific coast.
Another area where U.S. forces were succeeding was along the coastal areas of the states occupied by the Confederates. As the war progressed the U.S. Navy imposed an increasingly effective blockade along these coastlines. This blockade reduced the flow of much-needed resources to the Confederacy from abroad. It also inspired Confederate efforts to break the blockade, including the construction of ironclad naval vessels—a new type of ship being developed by various countries, including the United Kingdom, France, and Russia. The C.S.S. Virginia—formerly the U.S.S. Merrimack—was the first Confederate ironclad. It took part in the first battle between ironclads when it fought against the U.S.S. Monitor, the first U.S. ironclad naval vessel. Ironclads were just one of a number of innovations during the Civil War.
Photography also experienced advancement during the Civil War. This conflict was the first war in U.S. history extensively and comprehensively covered by photographers. Photographers such as Matthew Brady provided images of all the major battles, along with conditions for soldiers in their camps and on the battlefields, civilians in their communities, and freed slaves in their efforts to establish new lives for themselves. These photographs presented another challenge for the Lincoln Administration in terms of their impact on Northern morale and support for the U.S. war effort. The Lincoln Administration had to ensure continual progress was photographed, so that Northern civilians could see evidence of success in their local newspapers.
Along with technological advances the Civil War also was influenced by industrialization. Each side used factories for the production of guns, artillery, uniforms, rations, and other war materials, with the U.S. having a significant advantage over the Confederacy in this area. For transportation both sides relied on railroads; the defense of friendly railroads and the destruction of enemy-held railroads was a significant part of each side’s strategy. Both sides also developed new methods for enlisting and training hundreds of thousands of soldiers, using methods similar to those being developed in manufacturing industries. In this respect trained soldiers and their units might be seen as the finished goods of each nation’s soldier factories.
Although the Civil War was not an international war, it did have global implications. The Lincoln Administration had to work to keep the British and French governments from aiding the Confederacy, a possibility at certain times of the war. Some British leaders wanted to see the Confederacy succeed in order to protect British imperial interests in the Americas. These leaders thought that a smaller U.S. would present less of a threat to these interests. Other British leaders, along with many in Britain, opposed slavery and would not support the Confederacy. Louis Napoleon, Emperor of the Second Empire of France, wanted to see the Confederacy succeed so as to be able to pursue his own plans to conquer Mexico. He would not, however, support the Confederacy openly unless the British government did. The Civil War struck a chord with other nations as well. While the Confederates were trying to break away from the U.S., the Kingdom of Piedmont-Sardinia already had orchestrated the unification of most of the Italian states into the Kingdom of Italy. At the same time Prussian Prime Minister Otto von Bismark was beginning his campaign to create the German Empire under Prussian auspices. In 1861 the Russian government freed Russian serfs. Coincidentally, the Russian government supported the U.S. in the war. One of the reasons for this support was to be able to secure visits of Russian ships at U.S. Pacific ports, which unlike Russian Pacific ports, were free of ice during the winter months.
Through 1863 the U.S. was stalemated in efforts to capture Richmond. In fact, a Confederate field army under Robert Lee invaded Maryland in 1862 and Pennsylvania in 1863, culminating in the Battles of Antietam and Gettysburg, respectively. Following the 17 September 1862 Battle of Antietam, Lincoln announced the Emancipation Proclamation, which declared slaves in Confederate-held areas to be free. This proclamation changed the war from just a struggle to restore the Union into a struggle to abolish slavey. This proclamation was also one of a number of steps which turned the Civil War into a revolution of sorts, leading to the ratification of the Thirteenth Amendment to the U.S. Constitution in 1865, which abolished slavery.
In the spring of 1864 Lincoln named Ulysses Grant general-in-chief of the U.S., with responsibility for managing the U.S. war effort. Grant had succeeded in a number of military campaigns in Tennessee and along the Mississippi River, including the successful liberation of the Mississippi River from Confederate control. As general-in-chief Grant implemented the first coordinated strategy for the defeat of the Confederates in all areas where there was fighting. The two main tasks were to capture Atlanta and Richmond, along with the Confederate forces that defended each. By April 1865 U.S. forces had captured both, and the process of the Confederate surrender and disintegration had begun.
In the generation that followed the end of the Rebellion, former Confederates and their descendants created their own mythology about this conflict toward the end of justifying this uprising, often depicting themselves as the victims of Northern aggression. The 1915 motion picture “Birth of a Nation,” which glorified the Ku Klux Klan, is one example of such a depiction of Confederates as victims of Northerners and freed slaves. Former Confederates after the war also partially replaced slavery with Jim Crow, an informal system of white supremacy imposed through state and local statutes and policies, cultural customs, and socially sanctioned violence. These efforts by former Confederates and their biological and ideological descendants have left a legacy of hate and racism that plagues the U.S. to the present; this has manifested in several ways, one of which is the continued support, violent at times, for the public display of Confederate leaders in the form of monuments.
The U.S. Civil War was a revolutionary struggle in a number of ways. First, it was an effort to reverse the progress toward equality of opportunity among people in the U.S. and around the world. The Confederate Rebellion was a purposeful and all but explicit effort by Southern slaveholders, along with non-slaveholding Southern European-Americans, not only to protect slavery in the Southern states in which it had been legalized but also expand it geographically—northward, at least to the Ohio River, and westward to the Pacific Ocean. Ironically the Confederate Rebellion was also revolutionary in that it resulted in an abrupt end to slavery as a legal institution in the U.S. By precipitating a war with the U.S., the Confederacy provoked many European Americans in the North to accept, if not support, the immediate abolition of slavery as a necessary step in stopping the existential threat to the U.S. that the Confederacy presented. Many Northerners did not support abolition for the sake of the freed slaves; rather, they wished to hurt the Confederacy. The Confederate Rebellion also resulted in expected revolutionary advances in medicine, military technology, and governmental organization that usually accompany wars.
Regardless of the changes that occurred during and in the aftermath of the Civil War, in many ways the U.S. still has not come to terms with slavery. While the U.S. government abolished the enslavement of African Americans as chattel, it had not officially repudiated the institution; this left a bitter legacy which includes the continual denial of many aspects of legalized slavery. Many European Americans today still do not recognize all the implications of this institution, including structural inequities built on race, which is not surprising to many as it is logical to remember that a problem cannot be solved until it is acknowledged.
Attributions
Images courtesy of Wikipedia Commons
Title Image - 1862 Matthew Brady photo of "Contrabands at Headquarters of General Lafayette," Attribution: Matthew Benjamin Brady, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:Contrabands_at_Headquarters_of_General_Lafayette_by_Mathew_Brady.jpg. License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"North America"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/north-america/
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2025-03-18T00:36:54.093133
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Dominion of Canada
Overview
Dominion of Canada
In 1867 the British Parliament passed the British North America Act, creating the Dominion of Canada. Originally, the Dominion consisted of the four provinces of New Brunswick, Nova Scotia, Ontario, and Quebec. These four provinces represented the ethnic and geographic diversity of the Dominion. Over the next century Canada evolved into an independent nation which stretched from the Atlantic to the Pacific Ocean. In this respect Canada was one of four sets of British settlements colonies which became independent nations. Canada, along with Australia and New Zealand, became independent through emergence as dominions within the British empire, while the United States, a fourth set, became indepent through political revolution and a war for national independence. All four share a number of characteristics of development in common, including British and European cultural foundations, a common political tradition that facilitated the development of representative and responsible government, the marginalization of indigenous peoples, and defining divisions within each society which grew out of the different groups which came to each.
Learning Objectives
- Explain how and why Canada secured national independence
Key Terms / Key Concepts
British North America Act: act passed by the British Parliament creating the Dominion of Canada; a key step in the process by which Canada became an independent nation
John Macdonald: architect of the Dominion of Canada and its first prime minister; provided the first vision for Canada as an independent, transcontinental nation in North America
National Policy: John Macdonald’s policy for the development of Canada, including protective tariffs and westward expansion
The Canadian Provinces
Quebec, the oldest of the provinces, was founded in the early seventeenth century as New France along the St. Lawrence River. During seventeenth and the first half of the eighteenth centuries, Quebec developed and grew slowly with small settlements along the St. Lawrence. Despite this slow development and growth Quebec became a major center of French colonial culture. In the 1763 the British acquired it as part of the Treaty of Paris which ended the French and Indian War. From then French Canadians struggled to define their place under British sovereignty.
Ontario, began as Upper Canada after the French and Indian War. Originally it was a refuge for Loyalists driven out of the Thirteen Colonies during the Revolution. The name Upper Canada referred to its position upstream from Quebec along the St. Lawrence; Quebec was known as Lower Canada during the late eighteenth and early nineteenth century. The juxtaposition of English Upper Canada and French Lower Canada came to be one of if not the defining division in Canada.French settlers founded Acadia in the early seventeenth century, and the British divided it into several new British colonies, including New Brunswick and Nova Scotia. These two colonies were the foundations of maritime Canada.
Moving toward Dominion
During the first half of the nineteenth century Canadian domestic sovereignty developed within the context of British imperial authority. The British government allowed for increasing Canadian domestic autonomy, in part as a correction of the mistakes it made in its efforts to tax the Thirteen Colonies during the 1760s and 1770s. In response to 1837 – 8 uprisings in Lower and Upper Canada toward the end of securing more representative government, the British government commissioned a study of the Canadian situation the next year. This report called the unification of Upper and Lower Canada and provision for responsible and representative government through an elected provincial legislature.
Over the next twenty-five years Canada developed a political structure within its provincial legislature that allowed for the representation of most of its interests. Many in Canada sought greater autonomy in the British empire, an aspiration shared by residents of two other settlement colonies within the empire: Australia and New Zealand. John Macdonald, an immigrant from Scotland, worked within this system to create the Dominion of Canada. He was the architect of Canada’s original vision for nationhood. He sought to create Canada as an alternative to the U.S., and he worked to realize this vision as the Dominion’s first prime minister. In 1878 he articulated Canada’s National Policy, which included the implementation of protective tariffs to safeguard Canada’s developing manufacturing industries, the construction of a transcontinental railroad to solidify eastern and western Canada, and the settlement of the western provinces.
The single greatest influence on the creation of the Dominion of Canada was the United States. Canadians both respected U.S. accomplishments in the development of their own nation and feared the possibility of U.S. conquest. Canada had been a target of conquest for the U.S. during the Revolutionary War and the War of 1812. In part, Canadian respect for and fear of the U.S. drove Canada’s own expansion to the Pacific Ocean, both to match U.S. expansion and prevent the U.S. from boxing in Canada.
The Dominion of Canada epitomized the maturation of British imperial policy, providing for the transition from colony to sovereign dominion within the British empire. The British government only applied this policy to settlement colonies founded by British settlers, including Australia and New Zealand, along with Canada. This policy was another response to the American Revolution. India, not being a settlement colony in which indigenous peoples were marginalized, was not granted dominion status during the nineteenth century and, therefore, had to work harder to secure national independence in 1947.
French Canadians in Canada
One of the greatest challenges that Canada has faced in its maturation as a nation is finding a place for French Canadians and the French-Canadian province of Quebec. The division between English Canadians and French Canadians is the most visible division in Canadian society, in its own way as visible as the division in the U.S. between those of European ancestry and those of African ancestry. Since 1763 French Canadians have had to deal with the British conquest of Quebec in the French and Indian War. In 1774 the British Parliament passed “the Quebec,” by which the British government promised to respect French laws, customs, and institutions, along with the Catholic Church, in Quebec. This act succeeded in partially appeasing many French Canadians, leading to more acceptance of British rule.
During the late eighteenth and the first half of the nineteenth centuries a number of French Canadians across Quebec embraced the economic changes then occurring in British trade and manufacturing. Some of these French Canadians became part of an emerging bourgeoisie in Quebec, particularly Montreal, the province’s largest city. Members of the French Quebec bourgeoisie came to support and work for the creation of the Dominion of Canada. These French Canadians favored the creation of a dominion within the British empire because of the economic prosperity such a dominion promised for them. They believed that they could protect their French-Canadian culture as part of the new dominion. After the creation of the Dominion, French Canadians continued to participate in the Dominion legislature, along with the Quebec provincial legislature. A number of French Canadians have served as Canadian prime minister, the first being Wilfrid Laurier, who served from 1896 to 1911. Laurier embodied the belief that French Canadians could work and prosper within an explicitly diverse Canada.
Throughout Canadian history a number of French Canadians have sought greater sovereignty for Quebec. Their goals have ranged from greater control over their own cultural affairs within Quebec to national independence for Quebec. Unlike the Confederates in the U.S., such French Canadians have pursued these sovereignty agendas largely without violence. One such effort was a sovereignty referendum in Quebec in 1995, which barely failed to secure the majority of votes necessary to proceed toward Quebec independence.
Westward Expansion
Over the next forty years the Dominion came to expand westward to the Pacific Ocean, as well as eastward, adding to the Dominion the provinces of Manitoba in 1870, British Columbia in 1871, Prince Edward Island on the Atlantic coast in 1873, and Saskatchewan and Alberta in 1905. In this respect Canada caught up with the U.S. in reaching the Pacific coast. As part of Canadian westward expansion, the Canadian government constructed a transcontinental railroad to match the U.S. transcontinental railroads, completing it in 1885, sixteen years after the completion of the first transcontinental railroad in the U.S. Canada, along with Australia and New Zealand, also paralleled the U.S. in two other ways: One was the attraction of immigrants to their lands during the latter half of the nineteenth and the early twentieth centuries; the other was the marginalization of indigenous peoples.
While Canadian westward expansion paralleled U.S. westward expansion across North America during the nineteenth century, Canadian marginalization of indigenous peoples was less prominent than such marginalization in the U.S., for that matter, Australia and New Zealand. Throughout Canadian history most of the non-indigenous peoples of Canada have lived along a narrow southern band, within one hundred miles of the U.S. border. This has meant less conflict between indigenous and non-indigenous peoples across most of the rest of Canada. One of the few prominent uprisings of indigenous peoples illustrates this generalization, the 1869-70 Red River Rebellion, led by Louis Riel, who identified as a Metis. The Metis were a people of mixed French and indigenous ancestry who lived in the western prarie regions of Canada. They rebelled against the Dominion government, based on their complex indigenous and French ancestry. In another context, that of imperialism, this failed uprising was similar to other unsuccessful uprisings against imperial control in other American nations, Africa, and Asia.
An Expanding and Maturing Dominion
During the late nineteenth and the first half of the twentieth centuries, the process by which the Dominion of Canada emerged as an ally and partner of the UK was punctuated by participating with the UK in the Boer War in southern Africa and in the two world wars. After the First World War, in 1931, Canada, along with Australia and New Zealand, secured control over its foreign policy with the Statute of Westminster, which was another key step toward nationhood. Parliament passed it partly due to the service of Australian, Canadian, and New Zealand troops in the Allied war effort of World War I. These three dominions were effectively full-fledged partners with the Allied powers in the First World War.
Canada, along with Australia and New Zealand, also fought as Allied powers in the Second World War. After the Second World War, each would continue to participate in international affairs, including in military alliances with the United Kingdom and the United States. Canada, along with the UK and the U.S., was one of the original members of the North Atlantic Treaty Organization, formed to protect Europe from external aggressors, such as the Soviet Union. Canada also was one of the original members of the United Nations, and it has contributed both people and money to UN efforts to maintain peace and order around the world. Such participation in the UN and NATO represents another step in Canada’s maturation as a nation.
Canada is one of four sets of settlement colonies established by the British that secured their independence. Of the other three Australia and New Zealand, like Canada, became independent within the empire, maturing into members of the British Commonwealth—the successor to the empire. The U.S. violently established its independence as a result of disputes over tax policies. All four have been the beneficiaries of British political tradition, practice, and history. They are part of the legacy that the British empire has left for representative and responsible government.
Attributions
Images courtesy of Wikipedia Commons
Title Image - 1885 James Ashfield photo of 1884 Robert Harris painting, "The Fathers of Confederation" Attribution:Photographer: James Ashfield, Public domain, via Wikimedia Commons. Provided by: Wikipedia. Location: https://commons.wikimedia.org/wiki/File:Fathers_of_Confederation_LAC_c001855.jpg.License: CC BY-SA: Attribution-ShareAlike
Boundless World History
"North America"
Adapted from https://courses.lumenlearning.com/boundless-worldhistory/chapter/north-america/
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oercommons
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2025-03-18T00:36:54.116218
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Reaction to Revolution: China
Overview
Reaction to Revolution: China
In the 19th century, a rising British Empire challenged China’s traditional leadership in East Asia.
Learning Objectives
- Analyze the weaknesses of the Qing Dynasty in the 19th century that opened China to foreign influence and aggression
Key Terms / Key Concepts
Pax Britannica: the period of relative peace in Europe (1815 – 1914) during which the British Empire became the global hegemonic power and adopted the role of a global police force
The imperial Chinese tributary system: the network of trade and foreign relations between China and its tributaries, which helped to shape much of East Asian affairs. It consisted almost entirely of mutually beneficial economic relationships, with politically autonomous and usually independent member states, as well as facilitated frequent economic and cultural exchange
Opium Wars: two wars in the mid-19th century (1839 – 1842 and 1856 – 1860) involving Anglo-Chinese disputes over British trade in China and China’s sovereignty, which weakened the Qing dynasty and forced China to trade with the rest of the world
British East India Company: an English and later British joint-stock company formed to pursue trade with the East Indies but in actuality trading mainly with the Indian subcontinent and Qing China
Kowtow: the act of deep respect shown by prostration: kneeling and bowing so low as to have one’s head touching the ground (In East Asian culture, it is the highest sign of reverence and is widely used for one’s elders, superiors, and especially the emperor, as well as for religious and cultural objects of worship.)
Treaty of Tientsin: a collective name for several documents signed in 1858 that ended the first phase of the Second Opium War involving the Qing, Russian, Second French Empires, United Kingdom, and United States (These unequal treaties opened more Chinese ports to foreign trade, permitted foreign legations in the Chinese capital Beijing, allowed Christian missionary activity, and legalized the import of opium. They were ratified by the Emperor of China in the Convention of Peking in 1860 after the end of the war.)
Treaty of Nanjing: a peace treaty that ended the First Opium War (1839 – 42) between the United Kingdom and the Qing dynasty of China, signed in August 1842, which ended the old Canton System and created a new framework for China’s foreign relations and overseas trade that would last for almost 100 years (From the Chinese perspective, the most injurious terms were the fixed trade tariff, extraterritoriality, and the most favored nation provisions. It was the first of what the Chinese later called the unequal treaties in which Britain had no obligations in return.)
First Opium War: an 1839 – 1842 war fought between the United Kingdom and the Qing dynasty over their conflicting viewpoints on diplomatic relations, trade, and the administration of justice for foreign nationals in China
Convention of Beijing: an agreement comprising three distinct treaties between the Qing Empire (China) and the United Kingdom, France, and Russia in 1860, which ended the Second Opium War
Century of Humiliation: the period of intervention and imperialism by Western powers and Japan in China between 1839 and 1949, which arose in 1915 in the atmosphere of increased Chinese nationalism
Second Opium War: a war pitting the British Empire and the French Empire against the Qing dynasty of China, lasting from 1856 to 1860
Reaction to Revolution: China
As Europe was engulphed in the early stages of the Industrial Revolution and in the throes of the French Revolution and Napoleonic Wars in the late 18th and early 19th century, China remained a stable and prosperous empire under the Qin Dynasty. However, as the 19th century progressed, China found itself bullied by the rising British Empire, which was emerging from the Industrial Revolution and the Napoleonic Wars as a dominating world power.
Pax Britannica
Pax Britannica (Latin for “British Peace,” modeled after Pax Romana) was the period of relative peace in Europe (1815 – 1914) during which the British Empire became the global hegemonic power and adopted the role of a global police force.
Between 1815 and 1914, a period referred to as Britain’s “imperial century,” around 10 million square miles of territory and roughly 400 million people were added to the British Empire. Victory over Napoleonic France left the British without any serious international rival, other than perhaps Russia in central Asia. When Russia tried expanding its influence in the Balkans, the British and French defeated it in the Crimean War (1854 – 56), thereby protecting the by-then feeble Ottoman Empire.
Britain’s Royal Navy controlled most of the key maritime trade routes and enjoyed unchallenged sea power. Alongside the formal control it exerted over its own colonies, Britain’s dominant position in world trade meant that it effectively controlled access to many regions, such as Asia and Latin America. British merchants, shippers, and bankers had such an overwhelming advantage over everyone else that in addition to its colonies, it had an informal empire.
The global superiority of British military and commerce was aided by a divided and relatively weak continental Europe and the presence of the Royal Navy on all of the world’s oceans and seas. Even outside its formal empire, Britain controlled trade with countries such as China, Siam, and Argentina. Following the Congress of Vienna, the British Empire’s economic strength continued to develop through naval dominance and diplomatic efforts to maintain a balance of power in continental Europe.
In this era, the Royal Navy provided services around the world that benefited other nations, such as the suppression of piracy and blocking the slave trade. The Slave Trade Act 1807 banned the trade across the British Empire, after which the Royal Navy established the West Africa Squadron and the government negotiated international treaties under which they could enforce the ban. Sea power, however, did not project on land. Land wars fought between the major powers include the Crimean War, the Franco-Austrian War, the Austro-Prussian War, and the Franco-Prussian War, as well as numerous conflicts between lesser powers. The Royal Navy engaged in the First Opium War (1839 – 1842) and Second Opium War (1856 – 1860) against Imperial China. The Royal Navy was superior to any other two navies in the world, combined. Between 1815 and the passage of the German naval laws of 1890 and 1898, only France was a potential naval threat.
Imperial Chinese Tributary System
The rise of the British Empire challenged the traditional leadership that imperial China had maintained across East Asia. The imperial Chinese tributary system was the network of trade and foreign relations between China and its tributaries (neighboring states under China’s authority) which helped to shape much of East Asian affairs. Contrary to other tribute systems around the world, the Chinese system consisted almost entirely of mutually beneficial economic relationships. Member states of the system were politically autonomous and usually independent. The system shaped foreign policy and trade for over 2,000 years of imperial China’s economic and cultural dominance of the region and thus played a huge role in the history of Asia, particularly East Asia. The tributary system was the primary instrument of diplomatic exchange throughout the Imperial Era. While most member states of the system during the Qing rule were smaller Asian states, Great Britain, the Netherlands, and Portugal also sent tributes to China.
European Trade with Qing China
British ships began to appear sporadically around the coasts of China from 1635. Without establishing formal relations through the tributary system, British merchants were allowed to trade at the ports of Zhoushan and Xiamen in addition to Guangzhou (Canton). However, trade began to flourish after the Qing dynasty relaxed maritime trade restrictions in the 1680s and after Taiwan came under Qing control in 1683. Even rhetoric about the tributary status of Europeans was muted. Official British trade was conducted through the auspices of the British East India Company, which held a royal charter for trade with the Far East. The British East India Company gradually came to dominate Sino-European trade from its position in India.
Guangzhou (Canton) was the port of preference for most foreign trade. From 1700 – 1842, Guangzhou came to dominate maritime trade with China, and this period became known as the Canton System. From the inception of the Canton System in 1757, trade in goods from China was extremely lucrative for European and Chinese merchants alike. However, foreign traders were only permitted to do business through a body of Chinese merchants known as the Cohong and were restricted to Canton. Foreigners could only live in one of the Thirteen Factories, a neighborhood along the Pearl River in southwestern Guangzhou, and were not allowed to enter, much less live or trade in, any other part of China.
While silk and porcelain drove trade through popularity in the west, an insatiable demand for tea existed in Britain. However, only silver was accepted in payment by China, which resulted in a chronic trade deficit. From the mid-17th century, around 28 million kilograms of silver were received by China, principally from European powers, in exchange for Chinese goods. Britain had been on the gold standard since the 18th century, so it had to purchase silver from continental Europe and Mexico to supply the Chinese appetite for silver. Attempts at the end of the 18th and the beginning of the 19th centuries by a British embassy (twice), a Dutch mission, and Russia to negotiate more expansive access to the Chinese market were all vetoed by successive Emperors. By 1817, the British realized they could reduce the trade deficit and turn the Indian colony profitable by counter-trading in narcotic Indian opium. The Qing administration initially tolerated opium importation because it created an indirect tax on Chinese subjects while allowing the British to double tea exports from China to England, thereby profiting the monopoly on tea exports held by the Qing imperial treasury and its agents. The increasingly complex opium trade would eventually become a source of a military conflict between the Qing dynasty and Britain (Opium Wars).
Foreign Relations
The kowtow—or prostration—was an issue facing Western embassies to China. Western diplomats understood that kowtowing meant accepting the superiority of the Emperor of China over their own monarchs, an act they found unacceptable. The British embassies of George Macartney (1793) and William Pitt Amherst (1816) were unsuccessful at negotiating the expansion of trade and interstate relations, partly because kowtowing would mean acknowledging their king as a subject of the Chinese Emperor. However, Dutch ambassador Isaac Titsingh did not refuse to kowtow during his 1794 – 1795 mission to the imperial court of the Qianlong Emperor. The members of the Titsingh mission made every effort to conform with the demands of complex Imperial court etiquette. Other European powers were not willing to make such a concession.
China did not deal with Russia through the Ministry of Tributary Affairs, but rather through the same ministry as the Mongols (seen by the Chinese as a problematic partner), which served to acknowledge Russia’s status as a non-tributary nation. In 1665, Russian explorers had met the Manchus in present-day northeastern China. This initial contact led eventually to a treaty between the two powers. Using the common language of Latin, which the Chinese knew from Jesuit missionaries, the Kangxi Emperor of China and Tsar Peter I of the Russian Empire negotiated the Treaty of Nerchinsk in 1689. This delineated the borders between Russia and China, some sections of which still exist today.
Under the Canton System, between 1757 and 1842, Western merchants in China were restricted to live and conduct business only in the approved area of the port of Guangzhou, through a government-approved merchant house. Their factories formed a tight-knit community, which the historian Jacques Downs called a “golden ghetto” because it was both isolated and lucrative.
The Chinese worldview changed very little during the Qing dynasty as China’s perspectives on foreigners continued to be informed and reinforced by deliberate policies and practices designed to minimize evidence of its growing weakness and West’s evolving power. After the Titsingh mission, no further non-Asian ambassadors were even allowed to approach the Qing capital until the consequences of the Opium Wars changed everything.
The Opium Wars
The history of opium in China began with the use of opium for medicinal purposes during the 7th century. In the 17th century, the practice of mixing opium with tobacco for the act of smoking spread from Southeast Asia; this created a far greater demand.
In the mid-18th century, after the British gained control over the Bengal Presidency—the largest colonial subdivision of British India, , the former monopoly on opium production held by the Mughal emperors passed to the East India Company (EIC) under the The East India Company Act of 1793. However, the EIC was £28 million in debt, partly as a result of the insatiable demand for Chinese tea in the UK market. Chinese tea had to be paid for in silver, so silver supplies had to be purchased from continental Europe and Mexico. To redress the imbalance, the EIC began auctions of opium in Calcutta and saw its profits soar from the opium trade. Considering that importation of opium into China had been virtually banned by Chinese law, the EIC established an elaborate trading scheme, partially relying on legal markets and partially leveraging illicit ones. British merchants bought tea in Canton on credit and balanced their debts by selling opium at auction in Calcutta. From there, the opium would reach the Chinese coast hidden aboard British ships and was smuggled into China by native merchants.
In 1797, the EIC further tightened its grip on the opium trade by enforcing direct trade between opium farmers and the British and ending the role of Bengali purchasing agents. British exports of opium to China grew from an estimated 15 long tons in 1730 to 75 long tons in 1773 shipped in over 2,000 chests. The Qing dynasty Jiaqing Emperor issued an imperial decree banning imports of the drug in 1799. Nevertheless, by 1804, the British trade deficit with China turned into a surplus, leading to seven million silver dollars going to India between 1806 and 1809. Meanwhile, Americans entered the opium trade with less expensive but inferior Turkish opium and by 1810 claimed ~10% of the trade in Canton.
In the same year the emperor issued a further imperial edict prohibiting the use and trade of opium. The decree had little effect. The Qing government, far away in Beijing in the north of China, was unable to halt opium smuggling in the southern provinces. A porous Chinese border and rampant local demand facilitated the trade and by the 1820s, China was importing 900 long tons of Bengali opium annually. The opium trafficked into China was processed by the EIC at its two factories in Patna and Benares. In the 1820s, opium from Malwa in the non-British controlled part of India became available and, as prices fell due to competition, production was stepped up.
In addition to the drain of silver, by 1838 the number of Chinese opium addicts had grown to between 4 million and 12 million and the Daoguang Emperor demanded action. Officials at the court who advocated legalizing and taxing the trade were defeated by those who advocated suppressing it. The Emperor sent the leader of the hard-line faction, Special Imperial Commissioner Lin Zexu, to Canton, where he quickly arrested Chinese opium dealers and summarily demanded that foreign firms turn over their stocks with no compensation. When they refused, Lin stopped trade altogether and placed the foreign residents under virtual siege in their factories. The British Superintendent of Trade in China, Charles Elliot got the British traders to agree to hand over their opium stock with the promise of eventual compensation from the British government for their loss. While this amounted to a tacit acknowledgment that the British government did not disapprove of the trade, it also placed a huge liability on the exchequer. This promise and the inability of the British government to pay it without causing a political storm was an important casus belli for the subsequent British offensive.
First Opium War
In October 1839, the Thomas Coutts arrived in China and sailed to Canton. The ship was owned by Quakers, who refused to deal in opium. The ship’s captain, Warner, believed Elliot had exceeded his legal authority by banning the signing of the “no opium trade” bond and negotiated with the governor of Canton, hoping that all British ships could unload their goods at Chuenpi, an island near Humen. To prevent other British ships from following the Thomas Coutts, Elliot ordered a blockade of the Pearl River. Fighting began on November 3, 1839, when a second British ship, the Royal Saxon, attempted to sail to Canton. Then the British Royal Navy ships HMS Volage and HMS Hyacinth fired warning shots at the Royal Saxon. The Qing navy’s official report claimed that the navy attempted to protect the British merchant vessel and reported a victory for that day. In reality, they had been overtaken by the Royal Naval vessels and many Chinese ships were sunk.
The First Opium War revealed the outdated state of the Chinese military. The Qing navy was severely outclassed by the modern tactics and firepower of the British Royal Navy. British soldiers, using advanced muskets and artillery, easily outmaneuvered and outgunned Qing forces in ground battles. The Qing surrender in 1842 marked a decisive, humiliating blow to China. The Treaty of Nanjing demanded war reparations, forced China to open up the Treaty Ports of Canton, Amoy, Fuchow, Ningpo, and Shanghai to western trade and missionaries, and to cede Hong Kong Island to Britain. It revealed weaknesses in the Qing government and provoked rebellions against the regime.
Second Opium War
The 1850s saw the rapid growth of European aggression toward China. Some shared goals of the European powers were the expansion of their overseas markets and the establishment of new ports of call. To expand their privileges in China, Britain demanded the Qing authorities renegotiate the 1842 Treaty of Nanking, citing their most favored nation status. The British demands included opening all of China to British merchant companies, legalizing the opium trade, exempting foreign imports from internal transit duties, suppression of piracy, regulation of the coolie (indentured laborers) trade, permission for a British ambassador to reside in Beijing, and for the English-language version of all treaties to take precedence over the Chinese language.
To give Chinese merchant vessels operating around treaty ports the same privileges accorded British ships by the Treaty of Nanking, British authorities granted these vessels British registration in Hong Kong. In October 1856, Chinese marines in Canton seized a cargo ship called the Arrow on suspicion of piracy, arresting 12 of its 14 Chinese crew members. The Arrow was previously used by pirates, captured by the Chinese government, and subsequently resold. It was then registered as a British ship and still flew the British flag at the time of its detainment, although its registration had expired. Its captain, Thomas Kennedy, aboard a nearby vessel at the time, reported seeing Chinese marines pull the British flag down from the ship. The British consul in Canton, Harry Parkes, contacted Ye Mingchen—imperial commissioner and Viceroy of Liangguang—to demand the immediate release of the crew and an apology for the alleged insult to the flag. Ye released nine of the crew members but refused to release the last three.
On October 25, the British demanded to enter Canton. The next day, they started to bombard the city, firing one shot every 10 minutes. Ye Mingchen issued a bounty on every British head taken. On October 29, a hole was blasted in the city walls and troops entered, with a flag of the United States of America being planted by James Keenan (U.S. Consul) on the walls and residence of Ye Mingchen. Negotiations failed, the city was bombarded, and the war escalated.
In 1858, with no other options, the Xianfeng Emperor agreed to the Treaty of Tientsin, which contained clauses deeply insulting to the Chinese, such as a demand that all official Chinese documents be written in English and a proviso granting British warships unlimited access to all navigable Chinese rivers. Shortly after the Qing imperial court agreed to the disadvantageous treaties, hawkish ministers prevailed upon the Xianfeng Emperor to resist Western encroachment, which led to a resumption of hostilities. In 1860, with Anglo-French forces marching on Beijing, the emperor and his court fled the capital for the imperial hunting lodge at Rehe. Once in Beijing, the Anglo-French forces looted the Old Summer Palace and, in an act of revenge for the arrest of several Englishmen, burnt it to the ground. Prince Gong, a younger half-brother of the emperor, was forced to sign the Convention of Beijing. The agreement comprised three distinct treaties concluded between the Qing Empire and the United Kingdom, France, and Russia (while Russia had not been a belligerent, it threatened weakened China with a war on a second front). The British, French, and Russians were granted a permanent diplomatic presence in Beijing, something the Qing Empire resisted to the very end, as it suggested equality between China and the European powers. The Chinese had to pay 8 million taels to Britain and France. Britain acquired Kowloon (next to Hong Kong). The opium trade was legalized, and Christians were granted full civil rights, including the right to own property and the right to evangelize. The treaty also ceded parts of Outer Manchuria to the Russian Empire.
Legacy
The First Opium War marked the start of what 20th century Chinese nationalists called the Century of Humiliation. The ease with which the British forces defeated the numerically superior Chinese armies damaged the Qing dynasty’s prestige. The Treaty of Nanking was a step to opening the lucrative Chinese market to global commerce and the opium trade.
Historian Jonathan Spence notes that the harm opium caused was clear, but that in a stagnating economy, it supplied fluid capital and created new tax sources. Smugglers, poor farmers, coolies, retail merchants and officials all depended on opium for their livelihoods. In the last decade of the Qing dynasty, however, a focused moral outrage overcame these vested interests.
The terms of the treaties ending the Opium Wars undermined China’s traditional mechanisms of foreign relations and methods of controlled trade. More ports were opened for trade, gunboats, and foreign residence. Hong Kong was seized by the British to become a free and open port. Tariffs were abolished preventing the Chinese from raising future duties to protect domestic industries and extraterritorial practices exempted Westerners from Chinese law. This made them subject to their own civil and criminal laws of their home country. Most importantly, the opium problem was never addressed and after the treaty ending the First War was signed, opium addiction doubled. Due to the Qing government’s inability to control collection of taxes on imported goods, the British government convinced the Manchu court to allow Westerners to partake in government official affairs. In 1858 opium was legalized.
The First Opium War both reflected and contributed to a further weakening of the Chinese state’s power and legitimacy. Anti-Qing sentiment grew in the form of rebellions such as the Taiping Rebellion—a civil war lasting from 1850-64 in which at least 20 million Chinese died.
The opium trade faced intense enmity from the later British Prime Minister William Ewart Gladstone. As a member of Parliament, Gladstone called it “most infamous and atrocious,” referring to the opium trade between China and British India in particular. Gladstone was fiercely against both Opium Wars, denounced British violence against Chinese, and was ardently opposed to the British trade in opium to China. Gladstone criticized the First War as “unjust in its origin, a war more calculated in its progress to cover this country with permanent disgrace.” His hostility to opium stemmed from the effects of the drug on his sister Helen.
The standard interpretation in the People’s Republic of China presented the war as the beginning of modern China and the emergence of the Chinese people’s resistance to imperialism and feudalism.
Attributions
Title Image
https://commons.wikimedia.org/wiki/File:Dragoon_Guards_in_Second_Opium_War.jpg
The Engish King's Dragoon Guards closing with the Chinese cavalry in the engagement near Peking on 21 September 1860 during the Second Opium War.- "From a sketch by our special artist in China", Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-century-of-peace/
https://creativecommons.org/licenses/by-sa/4.0/
https://courses.lumenlearning.com/boundless-worldhistory/chapter/the-last-chinese-dynasty/
https://creativecommons.org/licenses/by-sa/4.0/
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oercommons
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2025-03-18T00:36:54.149442
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"url": "https://oercommons.org/courseware/lesson/88264/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
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https://oercommons.org/courseware/lesson/88265/overview
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Reaction to Revolution: Southeast Asia
Overview
Reaction to Revolution: Southeast Asia
After experiencing its series of revolutions, an industrialized France in the 19th century saw Southeast Asia as source of raw material for its expanding economy.
Learning Objectives
- Identify the factors that resulted in the expansion of French control in Southeast Asia (Indochina)
Key Terms / Key Concepts
Dark Ages of Cambodia: the historical era from the early 15th century to 1863, the year that marks the beginning of the French Protectorate of Cambodia (As reliable sources for the 15th and 16th century in particular are very rare, a fully defensible and conclusive explanation for the decline of the Khmer Empire, recognized unanimously by the scientific community, has so far not been produced.)
Greater India: a term most used to encompass the historical and geographic extent of all political entities of the Indian subcontinent and beyond (To varying degrees, these entities were transformed by the acceptance and induction of cultural and institutional elements of pre-Islamic India.)
Indochina: a geographical term originating in the early 19th century and referring to the continental portion of the region now known as Southeast Asia, referring to the lands historically within the cultural influence of India and China and physically bound by India in the west and China in the north (It corresponds to the present-day areas of Myanmar, Thailand, Laos, Cambodia, Vietnam, and (variably) peninsular Malaysia. The term was later adopted as the name of the French colony of today’s Vietnam, Cambodia, and Laos.)
French Indochina: a grouping of French colonial territories in Southeast Asia consisting of three Vietnamese regions of Tonkin (north), Annam (center), and Cochinchina (south), Cambodia, and Laos, with the leased Chinese territory of Guangzhouwan added in 1898
Cochinchina Campaign: an 1858 – 1862 military campaign fought between the French and Spanish on one side and the Vietnamese on the other (It began as a limited punitive campaign and ended as a French war of conquest. The war concluded with the establishment of the French colony of Cochinchina, a development that inaugurated nearly a century of French colonial dominance in Vietnam.)
Reaction to Revolution: Southeast Asia
The French emperor, Napoleon III (reigned 1852 – 1870) fancied himself to be a champion of Liberalism and Nationalism, just like his uncle and namesake Napoleon I. As a nationalist, Napoleon III hoped to advance French economic interests. Napoleon III and French industrialists viewed Southeast Asia primarily as a source of raw silk for silk mills in France. To secure this resource, during Napoleon III’s reign, France began to carve out for itself territory in Southeast Asia, which Europeans referred to as Indochina. In this period France took advantage of Chinese weakness, as that empire—the traditionally dominant regional power—was in the midst of the Opium Wars.
Indochina
Indochina is a geographical term originating in the early 19th century for the continental portion of the region now known as Southeast Asia. The name refers to the lands historically within the cultural influence of India and China, which were physically bound by India in the west and China in the north. It corresponds to the present-day areas of Myanmar, Thailand, Laos, Cambodia, Vietnam, and (variably) peninsular Malaysia. The term was later adopted as the name of the colony of French Indochina (today’s Vietnam, Cambodia, and Laos). The entire area of Indochina is now usually referred to as the Indochinese Peninsula or Mainland Southeast Asia.
Greater India
In the pre-modern era, significant parts of the region that would later become French Indochina belonged to what is known as Greater India. Although the term is not precise, Greater India is most used to encompass the historical and geographic extent of all political entities of the Indian subcontinent and beyond; those that had been transformed in varying degrees by the acceptance and induction of cultural and institutional elements of pre-Islamic India. Since around 500 BCE, Asia’s expanding land and maritime trade resulted in prolonged socioeconomic and cultural stimulation and diffusion of Hindu and Buddhist beliefs into regional cosmology, particularly in Southeast Asia and Sri Lanka. The kingdoms that belonged to Greater India, and eventually overlapped with what would become French Indochina, were Funan and its successor Chenla, Champa, and the Khmer Empire.
Champa controlled what is now south and central Vietnam since approximately 192 CE. The dominant religion was Hinduism and the culture was heavily influenced by India. By the late 15th century, the Vietnamese—descendants of the Sinic (Chinese) civilization sphere—conquered the last remaining territories of the once powerful maritime kingdom of Champa. The last surviving Chams began their diaspora in 1471, many resettling in Khmer territory.
Between the 3rd and the 5th centuries CE, Funan and its successor, Chenla, coalesced in present-day Cambodia and southwestern Vietnam. For more than 2,000 years, what was to become Cambodia absorbed influences from India, passing them on to other Southeast Asian civilizations that are now Thailand and Laos. The Khmer Empire, with the capital city in Angkor, grew out of the remnants of Chenla, and it was firmly established in 802 when Jayavarman II declared independence from Java. He and his followers instituted the cult of the God-king and began a series of conquests that formed an empire, which flourished in the area from the 9th to the 15th centuries. Around the 13th century, monks from Sri Lanka introduced Theravada Buddhism to Southeast Asia. The religion spread and eventually displaced Hinduism and Mahayana Buddhism as the popular religion of Angkor.
After a long series of wars with neighboring kingdoms, Angkor was sacked by the Thai Ayutthaya Kingdom in modern day Thailand. The city was abandoned in 1432 because of ecological failure and infrastructure breakdown. This led to a period of economic, social, and cultural stagnation when the Angkor kingdom’s internal affairs came increasingly under the control of its neighbors. The period that followed is today known as the Dark Ages of Cambodia: the historical era from the early 15th century to 1863 - the year that marks the beginning of the French Protectorate of Cambodia. As reliable sources from this period are very rare, a fully defensible and conclusive explanation for the decline of the Khmer Empire, recognized unanimously by the scientific community, has so far not been produced.
In the 19th century a renewed struggle between Siam (Thailand) and Vietnam for control of Cambodia resulted in a period when Vietnamese officials attempted to force the Khmers to adopt Vietnamese customs. This led to several rebellions against the Vietnamese and appeals to Thailand for assistance. The Siamese-Vietnamese War (1841 – 1845) ended with an agreement to place the country under joint suzerainty. This later led to the signing of a treaty for French Protection of Cambodia by King Norodom Prohmborirak.
Lan Xang
Laos was inhabited the Lao people, who are closely related ethnically to the neighboring T(h)ai peoples, as they both speak similar languages. The Lao and Thai peoples had migrated to southeast Asia from southern China by 1000 CE. Laos traces its history to the kingdom of Lan Xang (Million Elephants), founded in the 14th century by Lao prince Fa Ngum, who with 10,000 Khmer troops took over Vientiane. Ngum made Theravada Buddhism the state religion. Within 20 years of its formation, the kingdom expanded eastward to Champa and along the Annamite mountains in Vietnam. Following the exile of Ngum, his eldest son, Oun Heuan, came to the throne under the name Samsenthai and reigned for 43 years. During his reign, Lan Xang became an important trade center. After his death in 1421, Lan Xang collapsed into warring factions for the next 100 years.
By the 17th century, Lan Xang had recovered from this factionalism and would further expand its frontiers; in today’s history of Laos, this period is often regarded as the country’s golden age. In the 18th century, however, Burmese armies overran northern Laos and annexed Luang Phrabang, while Champasak eventually came under Siamese suzerainty. Chao Anouvong was installed as a vassal king of Vientiane by the Siamese. He encouraged a renaissance of Lao fine arts and literature. Under Vietnamese pressure, he rebelled against the Siamese in 1826. The rebellion failed and Vientiane was ransacked. Anouvong was taken to Bangkok as a prisoner, where he died.
Lan Xang had ethnic diversity from trade and overland ethnic migrations. The multiple hill tribe peoples were grouped into the broad cultural categories of Lao Sung and Lao Theung, which included most indigenous groups and the Mon-Khmer. The Lao Loum were ethnically dominant and there were several closely related T(h)ai groups. Perhaps because of the complicated ethnic diversity of Lan Xang, the structure of society was fairly straightforward, especially in comparison to the Khmer with their complex caste system and concepts of a divine kingship or devaraja.
Dynastic Vietnam
In 938, the Vietnamese lord Ngo Quyen defeated the forces of the Chinese Southern Han state and achieved full independence for Vietnam after a millennium of Chinese domination. Renamed as Dai Viet (Great Viet), the state enjoyed a golden era between the 11th and the beginning of the 15th centuries. Buddhism flourished and became the state religion. In the 15th century, Vietnamese independence was briefly interrupted by the Chinese Ming dynasty, but was restored by Le Loi, the founder of the Le dynasty. The Vietnamese dynasties reached their zenith in the Le dynasty of the 15th century. Between the 11th and 18th centuries, Vietnam expanded southward, eventually conquering the kingdom of Champa and part of the Khmer Empire. From the 16th century, civil strife and frequent political infighting engulfed much of Vietnam. Although the state remained nominally under the Le dynasty, actual power was divided between the northern Trinh lords and the southern Nguyen lords, who engaged in a civil war for more than four decades before a truce was called in the 1670s. During this time, the Nguyen expanded southern Vietnam into the Mekong Delta, annexing the Central Highlands and the Khmer lands there.
The division of the country ended a century later in the 18th century when the Tay Son brothers established a new dynasty. However, their rule did not last long, and they were defeated by the remnants of the Nguyen lords aided by the French, who soon took over the region.
Background: French Imperial Ambitions in Indochina
The French had few pretexts to justify their imperial ambitions in Indochina. In the early years of the 19th century, some in France believed that the Vietnamese emperor Gia Long owed the French a favor for the help French troops had given him in 1802 against his Tay Son enemies. However, it soon became clear that Gia Long felt no more bound to France than he did to China, which had also provided help. Gia Long believed that as the French government did not honor its agreement to assist him in the civil war—the Frenchmen who helped were volunteers and adventurers, not government units—he was not obliged to return any favors. Vietnamese leaders were interested in reproducing the French strategies of fortification and in buying French cannon and rifles, but neither Gia Long nor his successor Minh Mang had any intention of coming under French influence.
Regardless of Gia Long’s desires, the French were determined to establish their presence in the region, and it was religious persecution that they eventually used as pretext for intervention. French missionaries had been active in Vietnam since the 17th century and by the middle of the 19th century, there were around 300,000 Roman Catholic converts in Annam and Tonkin. Most of the bishops and priests were either French or Spanish. Many in Vietnam were suspicious of this sizable Christian community and its foreign leaders. The French, conversely, began to claim responsibility for their safety. The tension built up gradually. During the 1840s, persecution or harassment of Catholic missionaries in Vietnam by the Vietnamese emperors Minh Mang and Thieu Tri evoked only sporadic and unofficial French reprisals. In 1857, the Vietnamese emperor Tu Duc executed two Spanish Catholic missionaries. It was neither the first nor the last such incident and on previous occasions the French government had overlooked them. But this time, the incident coincided with the Second Opium War. France and Britain had just dispatched a joint military expedition to the Far East, so the French had troops on hand and could easily intervene in Annam.
Seizing Control
In 1858, a joint French and Spanish expedition landed at Tourane (Da Nang) and captured the town. What began as a limited punitive campaign, known as Cochinchina Campaign, ended as a French war of conquest. Sailing south, French troops captured the poorly defended city of Saigon in 1859. In 1862, the Vietnamese government was forced to cede three additional provinces and Emperor Tu Duc was forced to cede three treaty ports in Annam and Tonkin as well as all Cochinchina, the latter formally declared a French territory in 1864. In 1867, three other provinces were added to French-controlled territories.
During the 19th century, the kingdom of Cambodia had been reduced to a vassal state of the kingdom of Siam (present-day Thailand), which had annexed its western provinces while growing influence from the Vietnamese Nguyen Dynasty threatened the eastern portion of the country. In 1863, King Norodom of Cambodia, installed as a leader by Siam, requested a French protectorate over his kingdom. At the time, Pierre-Paul de La Grandière, colonial governor of Cochinchina, was carrying out plans to expand French rule over the whole of Vietnam and viewed Cambodia as a buffer between French possessions in Vietnam and Siam. The country gradually fell under the French control. In 1867, Siam renounced suzerainty over Cambodia and officially recognized the 1863 French protectorate over Cambodia in exchange for the control of Battambang and Siem Reap provinces, which officially became part of Thailand. These provinces were ceded back to Cambodia by a border treaty between France and Siam in the first decade of the 20th century. Under the treaty with the French, the Cambodian monarchy was allowed to remain, but power was largely vested in a resident general to be housed in Phnom Penh. France was also to oversee Cambodia’s foreign and trade relations and provide military protection.
Attributions
Title Image
Painting from the Le Dynasty (Vietnam), circa 17th century - Wazin Kyle, Public domain, via Wikimedia Commons
Adapted from:
https://courses.lumenlearning.com/boundless-worldhistory/chapter/indochina-2/
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oercommons
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2025-03-18T00:36:54.176861
| null |
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"url": "https://oercommons.org/courseware/lesson/88265/overview",
"title": "Statewide Dual Credit World History, The Period of Revolution 1650-1871 CE",
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https://oercommons.org/courseware/lesson/15193/overview
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Introduction
Since its founding, the United States has relied on citizen participation to govern at the local, state, and national levels. This civic engagement ensures that representative democracy will continue to flourish and that people will continue to influence government. The right of citizens to participate in government is an important feature of democracy, and over the centuries many have fought to acquire and defend this right. During the American Revolution (1775–1783), British colonists fought for the right to govern themselves. In the early nineteenth century, agitated citizens called for the removal of property requirements for voting so poor white men could participate in government just as wealthy men could. Throughout the late nineteenth and twentieth centuries, women, African Americans, Native Americans, and many other groups fought for the right to vote and hold office.
The poster shown above (Figure), created during World War II, depicts voting as an important part of the fight to keep the United States free. The purpose of voting and other forms of political engagement is to ensure that government serves the people, and not the other way around. But what does government do to serve the people? What different forms of government exist? How do they differ? How can citizens best engage with and participate in the crucial process of governing the nation? This chapter seeks to answer these questions.
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oercommons
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2025-03-18T00:36:54.192516
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07/10/2017
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"url": "https://oercommons.org/courseware/lesson/15193/overview",
"title": "American Government, Students and the System, American Government and Civic Engagement, Introduction",
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https://oercommons.org/courseware/lesson/66245/overview
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Independence for Texas
Overview
Independence for Texas
Learning Objective
By the end of this section, you will be able to:
- Describe the political culture of Texas and how it has developed over time
Introduction
American expansionists had desired the area of Spain’s empire we now call Texas for many years. After the 1819 Adams-Onís treaty established the boundary between Mexico and the United States, more American expansionists began to move into the northern portion of Mexico’s province of Coahuila y Texas. Following Mexico’s independence from Spain in 1821, American settlers immigrated to Texas in even larger numbers, intent on taking the land from the new and vulnerable Mexican nation in order to create a new American slave state.
American Settlers Move to Texas
After the 1819 Adams-Onís Treaty defined the U.S.-Mexico boundary, Spain began actively encouraging Americans to settle their northern province. Texas was sparsely settled, and the few Mexican farmers and ranchers who lived there were under constant threat of attack by hostile Indian tribes, especially the Comanche, who supplemented their hunting with raids in pursuit of horses and cattle.
To increase the non-Indian population in Texas and provide a buffer zone between its hostile tribes and the rest of Mexico, Spain began to recruit empresarios. An empresario was someone who brought settlers to the region in exchange for generous grants of land. Moses Austin, a once-prosperous entrepreneur reduced to poverty by the Panic of 1819, requested permission to settle three hundred English-speaking American residents in Texas. Spain agreed on the condition that the resettled people convert to Roman Catholicism.
On his deathbed in 1821, Austin asked his son Stephen to carry out his plans, and Mexico, which had won independence from Spain the same year, allowed Stephen to take control of his father’s grant. Like Spain, Mexico also wished to encourage settlement in the state of Coahuila y Texas and passed colonization laws to encourage immigration.
Thousands of Americans, primarily from slave states, flocked to Texas and quickly came to outnumber the Tejanos, the Mexican residents of the region. The soil and climate offered good opportunities to expand slavery and the cotton kingdom. Land was plentiful and offered at generous terms. Unlike the U.S. government, Mexico allowed buyers to pay for their land in installments and did not require a minimum purchase.
Furthermore, to many whites, it seemed not only their God-given right but also their patriotic duty to populate the lands beyond the Mississippi River, bringing with them American slavery, culture, laws, and political traditions.
The Texas War for Independence
Many Americans who migrated to Texas at the invitation of the Mexican government did not completely shed their identity or loyalty to the United States. They brought American traditions and expectations with them (including, for many, the right to own slaves). For instance, the majority of these new settlers were Protestant, and though they were not required to attend the Catholic mass, Mexico’s prohibition on the public practice of other religions upset them and they routinely ignored it.
Accustomed to representative democracy, jury trials, and the defendant’s right to appear before a judge, the Anglo-American settlers in Texas also disliked the Mexican legal system, which provided for an initial hearing by an alcalde, an administrator who often combined the duties of mayor, judge, and law enforcement officer. The alcalde sent a written record of the proceeding to a judge in Saltillo, the state capital, who decided the outcome. Settlers also resented that at most two Texas representatives were allowed in the state legislature.
Their greatest source of discontent, though, was the Mexican government’s 1829 abolition of slavery. Most American settlers were from southern states, and many had brought slaves with them. Mexico tried to accommodate them by maintaining the fiction that the slaves were indentured servants. But American slaveholders in Texas distrusted the Mexican government and wanted Texas to be a new U.S. slave state. The dislike of most for Roman Catholicism (the prevailing religion of Mexico) and a widely held belief in American racial superiority led them generally to regard Mexicans as dishonest, ignorant, and backward.
Belief in their own superiority inspired some Texans to try to undermine the power of the Mexican government. When empresario Haden Edwards attempted to evict people who had settled his land grant before he gained title to it, the Mexican government nullified its agreement with him. Outraged, Edwards and a small party of men took prisoner the alcalde of Nacogdoches. The Mexican army marched to the town, and Edwards and his troops then declared the formation of the Republic of Fredonia between the Sabine and Rio Grande Rivers. To demonstrate loyalty to their adopted country, a force led by Stephen Austin hastened to Nacogdoches to support the Mexican army. Edwards’s revolt collapsed, and the revolutionaries fled Texas.
The growing presence of American settlers in Texas, their reluctance to abide by Mexican law, and their desire for independence caused the Mexican government to grow wary. In 1830, it forbade future U.S. immigration and increased its military presence in Texas. Settlers continued to stream illegally across the long border; by 1835, after immigration resumed, there were twenty thousand Anglo-Americans in Texas.
Fifty-five delegates from the Anglo-American settlements gathered in 1831 to demand the suspension of customs duties, the resumption of immigration from the United States, better protection from Indian tribes, the granting of promised land titles, and the creation of an independent state of Texas separate from Coahuila. Ordered to disband, the delegates reconvened in early April 1833 to write a constitution for an independent Texas. Surprisingly, General Antonio Lopez de Santa Anna, Mexico’s new president, agreed to all demands, except the call for statehood. Coahuila y Texas made provisions for jury trials, increased Texas’s representation in the state legislature, and removed restrictions on commerce.
Texans’ hopes for independence were quashed in 1834, however, when Santa Anna dismissed the Mexican Congress and abolished all state governments, including that of Coahuila y Texas. In January 1835, reneging on earlier promises, he dispatched troops to the town of Anahuac to collect customs duties. Lawyer and soldier William B. Travis and a small force marched on Anahuac in June, and the fort surrendered. On October 2, Anglo-American forces met Mexican troops at the town of Gonzales; the Mexican troops fled and the Americans moved on to take San Antonio. Now more cautious, delegates to the Consultation of 1835 at San Felipe de Austin voted against declaring independence, instead drafting a statement, which became known as the Declaration of Causes, promising continued loyalty if Mexico returned to a constitutional form of government. They selected Henry Smith, leader of the Independence Party, as governor of Texas and placed Sam Houston, a former soldier who had been a congressman and governor of Tennessee, in charge of its small military force.
The Consultation delegates met again in March 1836. They declared their independence from Mexico and drafted a constitution calling for an American-style judicial system and an elected president and legislature. Significantly, they also established that slavery would not be prohibited in Texas. Many wealthy Tejanos supported the push for independence, hoping for liberal governmental reforms and economic benefits.
Remember the Alamo!
Mexico had no intention of losing its northern province. Santa Anna and his army of four thousand had besieged San Antonio in February 1836. Hopelessly outnumbered, its two hundred defenders, under Travis, fought fiercely from their refuge in an old mission known as the Alamo. After ten days, however, the mission was taken and all but a few of the defenders were dead, including Travis and James Bowie, the famed frontiersman who was also a land speculator and slave trader. A few male survivors, possibly including the frontier legend and former Tennessee congressman Davy Crockett, were led outside the walls and executed. The few women and children inside the mission were allowed to leave with the only adult male survivor, a slave owned by Travis who was then freed by the Mexican Army. Terrified, they fled.
Although hungry for revenge, the Texas forces under Sam Houston nevertheless withdrew across Texas, gathering recruits as they went. Coming upon Santa Anna’s encampment on the banks of San Jacinto River on April 21, 1836, they waited as the Mexican troops settled for an afternoon nap. Assured by Houston that “Victory is certain!” and told to “Trust in God and fear not!” the seven hundred men descended on a sleeping force nearly twice their number with cries of “Remember the Alamo!” Within fifteen minutes the Battle of San Jacinto was over.
Approximately half the Mexican troops were killed, and the survivors, including Santa Anna, taken prisoner.
Santa Anna grudgingly signed a peace treaty and was sent to Washington, where he met with President Andrew Jackson and, under pressure, agreed to recognize an independent Texas with the Rio Grande River as its southwestern border. By the time the agreement had been signed, however, Santa Anna had been removed from power in Mexico.
For that reason, the Mexican Congress refused to be bound by Santa Anna’s promises and continued to insist that the renegade territory still belonged to Mexico.
| Visit the official Alamo website to learn more about the battle of the Alamo and take a virtual tour of the old mission. |
The Lone Star Republic
In September 1836, military hero Sam Houston was elected president of Texas, and, following the relentless logic of U.S. expansion, Texans voted in favor of annexation to the United States. This had been the dream of many settlers in Texas all along. They wanted to expand the United States west and saw Texas as the next logical step. Slaveholders there, such as Sam Houston, William B. Travis and James Bowie (the latter two of whom died at the Alamo), believed too in the destiny of slavery.
Mindful of the vicious debates over Missouri that had led to talk of disunion and war, American politicians were reluctant to annex Texas or, indeed, even to recognize it as a sovereign nation. Annexation would almost certainly mean war with Mexico, and the admission of a state with a large slave population, though permissible under the Missouri Compromise, would bring the issue of slavery once again to the fore.
Texas had no choice but to organize itself as the independent Lone Star Republic. To protect itself from Mexican attempts to reclaim it, Texas sought and received recognition from France, Great Britain, Belgium, and the Netherlands. The United States did not officially recognize Texas as an independent nation until March 1837, nearly a year after the final victory over the Mexican army at San Jacinto.
Uncertainty about its future did not discourage Americans committed to expansion, especially slaveholders, from rushing to settle in the Lone Star Republic, however. Between 1836 and 1846, its population nearly tripled. By 1840, nearly twelve thousand enslaved Africans had been brought to Texas by American slaveholders. Many new settlers had suffered financial losses in the severe financial depression of 1837 and hoped for a new start in the new nation. According to folklore, across the United States, homes and farms were deserted overnight, and curious neighbors found notes reading only “GTT” (“Gone to Texas”). Many Europeans, especially Germans, also immigrated to Texas during this period.
In keeping with the program of ethnic cleansing and white racial domination, as illustrated by the image at the beginning of this chapter, Americans in Texas generally treated both Tejano and Indian residents with utter contempt, eager to displace and dispossess them. Anglo- American leaders failed to return the support their Tejano neighbors had extended during the rebellion and repaid them by seizing their lands. In 1839, the republic’s militia attempted to drive out the Cherokee and Comanche.
The impulse to expand did not lay dormant, and Anglo-American settlers and leaders in the newly formed Texas republic soon cast their gaze on the Mexican province of New Mexico as well. Repeating the tactics of earlier filibusters, a Texas force set out in 1841 intent on taking Santa Fe. Its members encountered an army of New Mexicans and were taken prisoner and sent to Mexico City. On Christmas Day, 1842, Texans avenged a Mexican assault on San Antonio by attacking the Mexican town of Mier. In August, another Texas army was sent to attack Santa Fe, but Mexican troops forced them to retreat. Clearly, hostilities between Texas and Mexico had not ended simply because Texas had declared its independence.
Licenses and Attributions
CC LICENSED CONTENT, ORIGINAL
Revision and Adaptation. Authored by: Daniel M. Regalado. License: CC BY: Attribution
CC LICENSED CONTENT, SHARED PREVIOUSLY
U.S. History. Authored by: OpenStax. Provided by: OpenStax; Rice University. Located at: http://cnx.org/contents/a7ba2fb8-8925-4987- b182-5f4429d48daa@6.16
License: CC BY: Attribution. License Terms: Download for free at http://cnx.org/contents/a7ba2fb8-8925-4987-b182-5f4429d48daa@6.16.
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oercommons
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2025-03-18T00:36:54.224907
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05/05/2020
|
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"title": "Texas Government 2.0, Introduction to Texas History and Politics, Independence for Texas",
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https://oercommons.org/courseware/lesson/66248/overview
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Reconstruction
Overview
Reconstruction
Learning Objective
By the end of this section/chapter, you will be able to:
- Summarize the influence Reconstruction had on Texas
Introduction
The term Reconstruction has two applications: the first applies to the complete history of the entire country from 1865 to 1877 following the American Civil War; the second, to the attempted transformation of the 11 former Confederate states from 1863 to 1877, as directed by Congress, and the role of the Union states in that transformation. Reconstruction ended the remnants of Confederate secession and abolished slavery, making the newly freed slaves citizens with civil rights ostensibly guaranteed by three new constitutional amendments. As a former Confederate state, Texas underwent this transformation.
Juneteenth
During the American Civil War, Texas had joined the Confederate States. The Confederacy was defeated, and U.S. Army soldiers arrived in Texas on June 19, 1865 to take possession of the state, restore order, and enforce the emancipation of slaves. The date is now commemorated as the holiday Juneteenth. On June 25, troops raised the American flag in Austin, the state capital.
Formerly enslaved people in Galveston rejoiced in the streets after the announcement, although in the years afterward many struggled to work through the changes against the resistance of whites. The following year, freedmenorganized the first of what became the annual celebration of Juneteenth in Texas.3 In some cities, African-Americans were barred from using public parks because of state-sponsored segregation of facilities. Across parts of Texas, freed people pooled their funds to purchase land to hold their celebrations, such as Houston's Emancipation Park, Mexia's Booker T. Washington Park, and Emancipation Park in Austin.
Reconstruction in Texas
U.S. President Andrew Johnson appointed Union General Andrew J. Hamilton, a prominent politician before the war, as the provisional governor on June 17. He granted amnesty to ex- Confederates if they promised to support the Union in the future, appointing some to office. Angry returning veterans seized state property and Texas went through a period of extensive violence and disorder. Most outrages took place in northern Texas and were committed by outlaws who had their headquarters in the Indian Territory and plundered and murdered without distinction of party.
On March 30, 1870, the United States Congress readmitted Texas into the Union, although Texas did not meet all the formal requirements for readmission. Like other Southern states, by the late 1870s white Democrats regained control, often with a mix of intimidation and terrorism by paramilitary groups operating for the Democratic Party. They passed a new constitution in 1876 that segregated schools and established a poll tax to support them, but it was not originally required for voting. In 1901 the Democratic- dominated legislature imposed a poll tax as a requirement for voting, and succeeded in disfranchising most blacks. The number of voters decreased from 100,000 in the 1890s to 5,000 by 1906.
References and Further Reading
Stephenson, Mrs. Charles (Grace Murray). Emancipation Day Celebration band, June 19, 1900, photograph, June 19, 1900; Accessed August 25, 2019.
University of North Texas Libraries, The Portal to Texas History, crediting Austin History Center, Austin Public Library.
Clampit, Brad R. (April 2005). The Breakup: The Collapse of the Confederate Trans-Mississippi Army in Texas, 1865. Southwest Historical Quarterly. CVIII.
"Juneteenth". Texas State Library and Archives Commission. Retrieved August 25, 2019.
Gates, Henry Louis, Jr. "What Is Juneteenth?" The African Americans: Many Rivers to Cross. PBS. Originally posted on The Root. Retrieved August 25, 2019.
Constitution of 1876. Handbook of Texas Online. Accessed August 25, 2019.
W. Marvin Dulaney, "AFRICAN AMERICANS," Handbook of Texas Online, accessed February 22, 2014. Uploaded on June 9, 2010. Modified on June 20, 2013. Published by the Texas State Historical Association.
Licenses And Attributions
CC LICENSED CONTENT, ORIGINAL
Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution
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oercommons
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2025-03-18T00:36:54.244596
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05/05/2020
|
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https://oercommons.org/courseware/lesson/66268/overview
|
Assessment
Overview
This is a quiz for Chapter Two
Texas Government Chapter Two Quiz
Check your knowledge of Chapter Two by taking the quiz linked below. The quiz will open in a new browser window or tab.
This is a quiz for Chapter Two
Check your knowledge of Chapter Two by taking the quiz linked below. The quiz will open in a new browser window or tab.
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oercommons
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2025-03-18T00:36:54.262103
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05/05/2020
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{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/66268/overview",
"title": "Texas Government 2.0, The Texas State Constitution and the American Federal System, Assessment",
"author": "Kris Seago"
}
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https://oercommons.org/courseware/lesson/66247/overview
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Texas in the American Civil War
Overview
Texas in the American Civil War
Learning Objective
By the end of this section, you will be able to:
- Summarize the American Civil War's influence on Texas
Introduction
The U.S. state of Texas declared its secession from the United States of America on February 1, 1861, and joined the Confederate States on March 2, 1861, after it replaced its governor, Sam Houston, when he refused to take an oath of allegiance to the Confederacy. As with those of other States, the Declaration was not recognized by the United States government at Washington. Some Texan military units fought in the Civil War east of the Mississippi River, but Texas was most useful for supplying soldiers and horses for Confederate forces. Texas’ supply role lasted until mid-1863, after which time Union gunboats controlled the Mississippi River, making large transfers of men, horses or cattle impossible. Some cotton was sold in Mexico, but most of the crop became useless because of the Union naval blockade of Galveston, Houston, and other ports.
Secession
In the late winter of 1860, Texan counties sent delegates to a special convention to debate the merits of secession. The convention adopted an “Ordinance of Secession” by a vote of 166 to 8, which was ratified by a popular referendum on February 23.
Separately from the Ordinance of Secession, which was considered a legal document, Texas also issued a declaration of causes spelling out the rationale for declaring secession. The document specifies several reasons for secession, including its solidarity with its “sister slave-holding States,” the U.S. government’s inability to prevent Indian attacks, slave-stealing raids, and other border-crossing acts of banditry. It accuses northern politicians and abolitionists of committing a variety of outrages upon Texans. The bulk of the document offers justifications for slavery saying that remaining a part of the United States would jeopardize the security of the two. The declaration includes this extract praising slavery, in which the Union itself is referred to as the “confederacy”:
"We hold as undeniable truths that the governments of the various States, and of the confederacy itself, were established exclusively by the white race, for themselves and their posterity; that the African race had no agency in their establishment; that they were rightfully held and regarded as an inferior and dependent race, and in that condition only could their existence in this country be rendered beneficial or tolerable."
— Texas Secession Convention, A Declaration of the Causes which Impel the State of Texas to Secede from the Federal Union, (February 1861).
At this time, African Americans comprised 30 percent of the state’s population, and they were overwhelmingly enslaved. According to one Texan, keeping them enslaved was the primary goal of the state in joining the Confederacy:
"Independence without slavery, would be valueless… The South without slavery would not be worth a mess of pottage."
— Caleb Cutwell, letter to the Galveston Tri- Weekly, (February 22, 1865).
Secession Convention and the Confederacy
Following the election of Abraham Lincoln in 1860, public opinion in the cotton states of the Lower South (South Carolina through Texas) swung in favor of secession. By February 1861, the other six states of the sub-region had separately passed ordinances of secession. However, events in Texas were delayed, largely due to the resistance of Southern Unionist governor, Sam Houston.
Unlike the other “cotton states”‘ chief executives, who took the initiative in secessionist efforts, Houston refused to call the Texas Legislature into special session to consider the question, relenting only when it became apparent citizens were prepared to act without him.
In early December 1860, before South Carolina even seceded, a group of State officials published via newspaper a call for a statewide election of convention delegates on January 8, 1861. This election was highly irregular, even for the standards of the day. It often relied on voice vote at public meetings, although “viva voce” (voice) voting for popular elections had been used since at least March 1846, less than three months after statehood. Unionists were often discouraged from attending or chose not to participate. This resulted in lopsided representation of secessionists delegates.
The election call had stipulated for the delegates to assemble in convention on January 28. Houston called the Legislature into session, hoping that the elected body would declare the unauthorized convention illegal. On January 21, 1861, the Legislature met in Austin and was addressed by Houston. Calling Lincoln’s election “unfortunate,” he nonetheless emphasized, in a reference to the upcoming meeting of the secession convention, it was no justification for “rash action.” However, the Texas Legislature voted the delegates’ expense money and supplies and—over Houston’s veto—made a pledge to uphold the legality of the Convention’s actions. The only stipulation was that the people of Texas have the final say in referendum.
With gubernatorial forces routed, the Secession Convention convened on January 28 and, in the first order of business, voted to back the legislature 140–28 in that an ordinance of secession, if adopted, be submitted for statewide consideration. The following day, convention president Oran Roberts introduced a resolution suggesting Texas leave the Union. The ordinance was read on the floor the next day, citing the failures of the federal government to protect the lives and property of Texas citizens and accusing the Northern states of using the same as a weapon to “strike down the interests and prosperity” of the Southern people.
After the grievances were listed, the ordinance repealed the one of July 4, 1845, in which Texas approved annexation by the United States and the Constitution of the United States, and revoked all powers of, obligations to, and allegiance to, the U.S. federal government and the U.S. Constitution.
In the interests of historical significance and posterity, the ordinance was written to take effect on March 2, the date of Texas Declaration of Independence (and, coincidentally, Houston’s birthday).
On February 1, members of the Legislature, and a huge crowd of private citizens, packed the House galleries and balcony to watch the final vote on the question of secession. Seventy “yea” votes were recorded before there was a single “nay.” One of the negative votes is enshrined in Texas history books. James Webb Throckmorton, from Collin County in North Texas, in response to the roar of hisses and boos and catcalls which greeted his decision, retorted, “When the rabble hiss, well may patriots tremble.” Appreciating his style, the crowd afforded him a grudging round of applause (like many Texans who initially opposed secession, Throckmorton accepted the result and served his state, rising to the rank of brigadier-general in the Confederate army).
The final tally for secession was 166–7, a vote whose legality was upheld by the Texas Legislature on February 7. Other than in South Carolina, where the vote was unanimous, this was the highest percentage of any other state of the Lower South. On February 7, the Legislature ordered a referendum to be held on the ordinance under the direction of the convention. The decision was further affirmed on February 23 when a statewide referendum resulted in Texas voters approving the measure, 46,129 to 14,697.
The last order of business was to appoint a delegation to represent Texas in Montgomery, Alabama, where their counterparts from the other six seceding states were meeting to form a new Confederacy. On March 4, the convention assembled again to formally declare Texas out of the Union and to approve the “Constitution of the Confederate States of America”, which had been drawn up by its “Provisional Congress” (as it turned out, Texas had already been admitted into the fold on March 1).In March, George Williamson, the Louisianan state commissioner, addressed the Texan secession convention, where he called upon Texas and the slave states of the U.S. to declare secession from the Union in order to continue the institution of slavery:
"With the social balance wheel of slavery to regulate its machinery, we may fondly indulge the hope that our Southern government will be perpetual… Louisiana looks to the formation of a Southern confederacy to preserve the blessings of African slavery…"
— George Williamson, speech to the Texan secession convention, (March 1861).
Governor Sam Houston accepted secession but asserted that the Convention had no power to link the state with the new Southern Confederacy. Instead, he urged that Texas revert to its former status as an independent republic and stay neutral. Houston took his seat on March 16, the date state officials were scheduled to take an oath of allegiance to the Confederacy. He remained silent as his name was called out three times and, after failing to respond, the office of governor was declared vacant and Houston was deposed from office.
Seizure of Federal Property and Arms
After Texas passed its Ordinance of Secession, the state government appointed four men as “Commissioners of Public Safety” to negotiate with the federal government for the safe transfer of military installations and bases in Texas to the Confederates. Along with land baron Samuel A. Maverick and Thomas J. Devine, Dr. Philip N. Luckett met with U.S. Army General David E. Twiggs on February 8, 1861, to arrange the surrender of the federal property in San Antonio, including the military stores being housed in the old Alamo mission.
As a result of the negotiations, Twiggs delivered his entire command and its associated Army property (10,000 rifled muskets) to the Confederacy, an act that brought cries of treason from Unionists throughout the state. Almost immediately, Twiggs was dismissed from the U.S. Army by President Buchanan for “treachery to the flag of his country.” Shortly afterwards, he accepted a commission as general in the Confederate Army but was so upset by being branded a traitor that he wrote a letter to Buchanan stating the intention to call upon him for a “personal interview” (then a common euphemism to fight a duel). Future Confederate general Robert E. Lee, then still a colonel in the U.S. Army, was in San Antonio at the time and when he heard the news of the surrender to Texas authorities, responded, “Has it come so soon as this?”
Unionist Sentiment and Opposition to The Confederacy
Despite the prevailing view of the vast majority of the state’s politicians and the delegates to the Secession Convention, there were a significant number of Texans who opposed secession. The referendum on the issue indicated that some 25% favored remaining in the Union at the time the question was originally considered.
The largest concentration of anti-secession sentiment was among the German Texan population in the Texas Hill Country, and in some of the counties of North Texas. In the latter region, most of the residents were originally from states of the Upper South. Some of the leaders initially opposed to secession accepted the Confederate cause once the matter was decided, some withdrew from public life, others left the state, and a few even joined the Union army. Confederate conscription laws forced most men of military age into the Confederate army, regardless of their sentiment. However, at least 2000 Texans joined the Union rank.
In October 1862, approximately 150 settlers in and around Cooke County on the Red River were arrested by the 11th Texas Cavalry led by Colonel William C. Young on the orders of Colonel James Bourland, Confederate Provost Marshal for northern Texas. A court was convened in Gainesville to try them for allegedly plotting to seize the arsenals at Sherman and Gainesville and to kill their Confederate neighbors, seize their property, and to cooperate with Union army forces poised to invade northern Texas from Arkansas and/or Indian Territory. Several of the settlers were hanged in what is now downtown Gainesville during the first week of October.
Nineteen additional men were found guilty and hanged before the end of the month. A total of about forty Unionists were hanged in Gainesville, two were shot while trying to escape, and two more were hanged elsewhere after being turned over to a military tribunal. Under the primitive conditions on the Texas frontier during the Civil War, evidence against the accused was questionable, and the legal proceedings were highly imperfect. A granite monument in a small park marks the spot where the hangings took place.
The Confederacy’s conscription act proved controversial, not only in Texas but all across the South. Despite the referendum result, some opponents argued that the war was being fought by poor people on behalf of a few wealthy slave owners. The Act exempted from the draft men who owned fifteen or more slaves. Draft resistance was widespread especially among Texans of German or Mexican descent; many of the latter went to Mexico. Potential draftees went into hiding, Confederate officials hunted them down, and many were shot or captured and forced into the army.
Sam Houston
Sam Houston was the premier Southern Unionist in Texas. While he argued for slave property rights and deplored the election of the Lincoln Administration, he considered secession unconstitutional and thought secession at that moment in time was a “rash action” that was certain to lead to a conflict favoring the industrial and populated North. He predicted: “Let me tell you what is coming. After the sacrifice of countless millions of treasure and hundreds of thousands of lives, you may win Southern independence if God be not against you, but I doubt it. I tell you that, while I believe with you in the doctrine of states rights, the North is determined to preserve this Union. They are not a fiery, impulsive people as you are, for they live in colder climates. But when they begin to move in a given direction, they move with the steady momentum and perseverance of a mighty avalanche; and what I fear is, they will overwhelm the South.”
Houston rejected the actions of the Texas Secession Convention, believing it had overstepped its authority in becoming a member state of the newly formed Confederacy. He refused to take an oath of allegiance to the Confederacy and was deposed from office. In a speech he wrote, but did not deliver, he said:
Fellow-Citizens, in the name of your rights and liberties, which I believe have been trampled upon, I refuse to take this oath. In the name of the nationality of Texas, which has been betrayed by the Convention, I refuse to take this oath. In the name of the Constitution of Texas, I refuse to take this oath. In the name of my own conscience and manhood, which this Convention would degrade by dragging me before it, to pander to the malice of my enemies, I refuse to take this oath. I deny the power of this Convention to speak for Texas….I protest….against all the acts and doings of this convention and I declare them null and void.
After his ouster from the governor’s office, Houston maintained a low public profile until his death in July 1863. Before he died, Houston wrote a friend: “There comes a time a man’s section is his country…I stand with mine. I was a conservative citizen of the United States…I am now a conservative citizen of the Southern Confederacy.”
Military Recruitment
Over 70,000 Texans served in the Confederate army and Texas regiments fought in every major battle throughout the war. Some men were veterans of the Mexican–American War; a few had served in the earlier Texas Revolution. The state furnished the Confederacy with 45 regiments of cavalry, 23 regiments of infantry, 12 battalions of cavalry, 4 battalions of infantry, 5 regiments of heavy artillery, and 30 batteries of light artillery. The state maintained at its own expense some additional troops that were for home defense. These included 5 regiments and 4 battalions of cavalry, and 4 regiments and one battalion of infantry. In 1862 the Confederate Congress in Richmond, Virginia, passed a conscription law that ordered all men from 18 to 45 years of age to be placed into military service except ministers, state, city, county officers, and certain slave owners; all persons holding 20 slaves or more were exempt from Confederate conscription under the “Twenty Negro Law.”
When the first companies of Texas soldiers reached Richmond, Virginia, Confederate President Jefferson Davis greeted them with the words: “Texans! The troops of other states have their reputations to gain, but the sons of the defenders of the Alamo have theirs to maintain. I am assured that you will be faithful to the trust.”
“The Texas Brigade” (also known as “Hood’s Brigade”) was a unit composed of the 1st, 4th and 5th Texas infantry regiments augmented at times by the 18th Georgia Infantry and Hampton’s (South Carolina) Legion until they were permanently teamed with the 3rd Arkansas Infantry. Often serving as “shock troops” of General Robert E. Lee’s Army of Northern Virginia, the Texas Brigade was “always favorites” of General Lee and on more than one occasion Lee praised their fighting qualities, remarking that none had brought greater honor to their native state than “my Texans.” Hood’s men suffered severe casualties in a number of fights, most notably at the Battle of Antietam, where they faced off with Wisconsin’s Iron Brigade, and at Gettysburg, where they assaulted Houck’s Ridge and then Little Round Top.
“Walker’s Greyhound Division” was a division composed of four brigades with Texan units; the only division in the Confederate States Army that maintained its single-state composition throughout the War. Formed in 1862 under command of Major General John George Walker it fought in the Western Theater and the Trans-Mississippi Department, and was considered an elite backbone of the army. Detached from the division in 1863, the 4th brigade fought at the Battle of Arkansas Post, where it became isolated and was forced to surrender. A new fourth brigade was added the division in 1865.
Among the most famous mounted units were Terry’s Texas Rangers, a militia of former rangers and frontiersmen, many of whom later became peacekeepers in the Old West; and the 33rd Texas Cavalry Regiment of Colonel Santos Benavides, which guarded the Confederate cotton trade lines from Texas into northern Mexico.
Over 2,000 Texas men joined the Union Army. Notable among them was future Texas governor Edmund J. Davis who initially commanded the Union Army’s 1st Texas Cavalry and rose to the rank of brigadier general.
Texas’s relatively large German population around Austin County led by Paul Machemehl tried to remain neutral in the War but eventually left Confederate Texas for Mexico. East Texas gave the most support to secession, and the only East Texas counties in which significant numbers of people opposed secession were Angelina County, Fannin County, and Lamar County, although these counties supplied many men to Texas regiments, including the 9th Texas Infantry Regiment; the 1st Partisan Rangers; 3rd, 4th, 9th, 27th, and 29th Texas Cavalry; and the 9th Texas Field Battery.
In 1862, Abraham Lincoln named a former United States Congressman, Andrew J. Hamilton, as the Military Governor of Texas. Hamilton held the title throughout the War. During the early stages of Reconstruction Hamilton was named as the first provisional civilian governor. For a time thereafter, active-duty U.S. Army officers served as military governors of Texas.
Years into the war, one Confederate soldier from Texas gave his reasons for fighting for the Confederacy, stating that “we are fighting for our property”, whereas Union soldiers were fighting for the “flimsy and abstract idea that a negro is equal to an Anglo.”
Civil War Battles In Texas
Texas did not experience many significant battles. However, the Union mounted several attempts to capture the “Trans-Mississippi” regions of Texas and Louisiana from 1862 until the war’s end. With ports to the east captured or under blockade, Texas in particular became a blockade-running haven. Referred to as the “backdoor” of the Confederacy, Texas and western Louisiana continued to provide loads of harvested cotton that were transported overland to the Mexican border town of Matamoros, Tamaulipas and shipped to Europe in exchange for supplies. Determined to shut off this trade, the Union mounted several attacks, each of them unsuccessful.
Texas Occupation
The U.S. Navy blockaded the principal seaport, Galveston, for four years, and federal infantry occupied the city for three months in late 1862. Confederate troops under Gen. John B. Magruder recaptured the city on January 1, 1863 and it remained in Confederate hands until the end of the war. A few days later the Confederate raider CSS Alabama attacked and sank the USS Hatteras in a naval engagement off the coast of Galveston.
A few other cities also fell to Union troops at times during the war, including Port Lavaca, Indianola, and Brownsville. Federal attempts to seize control of Laredo, Corpus Christi, and Sabine Pass failed. By the end of the war no territory but Brazos Island and El Paso was in Union hands. The California Column occupied the region around El Paso from 1862 to the end of the war.
The most notable military battle in Texas during the war happened on September 8, 1863. At the Second Battle of Sabine Pass, a small garrison of 46 Confederates from the mostly-Irish Davis Guards under Lt. Richard W. Dowling, 1st Texas Heavy Artillery, defeated a much larger Union force from New Orleans under Gen. William B. Franklin. Skilled gunnery by Dowling’s troops disabled the lead ships in Franklin’s flotilla, prompting the remainder—4,000 men on 27 ships—to retreat back to New Orleans. This victory against such overwhelming odds resulted in the Confederate Congress passing a special resolution of recognition, and the only contemporary military decoration of the South, the Davis Guard Medal. CSA President Jefferson Davis stated, “Sabine Pass will stand, perhaps for all time, as the greatest military victory in the history of the world.”
In 1864, many Texas forces, including a division under Camille de Polignac, a French prince and Confederate general, moved into Northwestern Louisiana to stall Union Maj. Gen. Nathaniel Banks’ Red River Campaign, which was intended to advance into Texas from its eastern border. Confederate forces halted the expedition at the Battle of Mansfield, just east of the Texas border.
Union forces from Brazos Island launched the Brazos Santiago Expedition, leading to the last battle of the Civil War, the Battle of Palmito Ranch, fought in Texas on May 12, 1865, well after Robert E. Lee’s surrender on April 9, 1865, at Old Appomattox Court House, Virginia.
Collapse of Confederate Authority In Texas
In the spring of 1865, Texas contained over 60,000 soldiers of the Army of the Trans-Mississippi under General Edmund Kirby Smith. As garrison troops far removed from the main theaters of the war, morale had deteriorated to the point of frequent desertion and thievery. News of the surrender of Lee and other Confederate generals east of the Mississippi finally reached Texas around April.
Local Confederate authorities had mixed opinions on their future course of action. Most senior military leaders vowed to press on with the war, including commanding general Kirby Smith. Many soldiers, however, greeted frequent speeches whose theme was “fight on, boys” with derision, or simply failed to attend them.
The month of May brought increasing rates of desertion. News of Joseph E. Johnston’s and Richard Taylor’s surrenders confirmed that Texas, Louisiana, and Arkansas were now essentially alone to continue the Confederate cause. On May 14, troops in Galveston briefly mutinied, but were persuaded to remain under arms.
However, morale continued to sink. Generals John B. Magruder and Kirby Smith (who had already corresponded with Union Maj. Gen. John Pope regarding surrender terms on May 9) no longer sought to rally their demoralized troops, but rather began discussing the distribution of Confederate government property. Magruder pleaded that the rapid disbanding of the army would prevent depredations by disgruntled soldiers against the civilian population.
The haste to disband the army, combined with the pressing need to protect Confederate property from Union confiscation, created general mayhem. Soldiers began openly pillaging the Galveston quartermasters stores on May 21. Over the next few days, a mob demanded that a government warehouse be opened to them, and soldiers detained and plundered a train. Several hundred civilians sacked the blockade runner Lark when it docked on May 24, and troops sent to pacify the crowd soon joined in the plunder. On May 23, residents in Houston sacked the ordnance building and the clothing bureau. Riots continued in the city until May 26. Both government and private stores were raided extensively in Tyler, Marshall, Huntsville, Gonzales, Hempstead, La Grange, and Brownsville. In Navasota, a powder explosion cost eight lives and flattened twenty buildings. In Austin, the State Treasury was raided and $17,000 in gold was stolen. By May 27, half of the original confederate forces in Texas had deserted or been disbanded, and formal order had disappeared into lawlessness in many areas of Texas.
The formal remnants of Kirby Smith’s army had finally disintegrated by the end of May. Upon his arrival in Houston from Shreveport, the general called a court of inquiry to investigate the “causes and manner of the disbandment of the troops in the District of Texas, New Mexico and Arizona.” The May 30 findings laid the blame primarily on the civilian population. Kirby Smith addressed his few remaining soldiers and condemned those that had fled for not struggling to the last and leaving him “a commander without an army– a General without troops.” On June 2, he formally surrendered what was left of the Army of the “Trans-Mississippi.”
Restoration to The Union
Federal troops did not arrive in Texas to restore order until June 19, 1865, when Union Maj. Gen. Gordon Granger and 2,000 Union soldiers arrived on Galveston Island to take possession of the state and enforce the new freedoms of former slaves. The Texas holiday Juneteenth commemorates this date. The Stars and Stripes were not raised over Austin until June 25.
President Andrew Johnson appointed Union General Andrew J. Hamilton, a prominent politician before the war, as the provisional governor on June 17. He granted amnesty to ex-confederates if they promised to support the Union in the future, appointing some to office. On March 30, 1870, the United States Congress permitted Texas’ representatives to take their seat in Congress, although Texas did not meet all the formal requirements for readmission.
Notable Civil War Leaders from Texas
A number of notable leaders were associated with Texas during the Civil War. John Bell Hood gained fame as the commander of the Texas Brigade in the Army of Northern Virginia and played a prominent role as an army commander late in the war. “Sul” Ross was a significant leader in a number of “Trans-Mississippi” Confederate armies. Felix Huston Robertson was the only native Texan Confederate general. Capt. TJ Goree was one of Lt. General James Longstreet’s most trusted aides. John H. Reagan was an influential member of Jefferson Davis’s cabinet. Col. Santos Benavides was a Confederate colonel during the American Civil War. Benavides was the highest-ranking Tejano soldier to serve in the Confederate military.
The office of Governor of Texas was in flux throughout the war, with several men in power at various times. Sam Houston was governor when Texas seceded from the United States, but refused to declare any loyalty to the new Confederacy. He was replaced by Lieutenant Governor Edward Clark. Clark filled the rest of Houston’s term in 1861, and narrowly lost re-election by just 124 votes to Francis Lubbock. During his tenure, Lubbock supported Confederate conscription, working to draft all able-bodied men, including resident aliens, into the Confederate army. When Lubbock’s term ended in 1863, he joined the military. Ardent secessionist Pendleton Murrah replaced him in office. Even after Robert E. Lee surrendered in 1865, Murrah encouraged Texans to continue the revolution, and he and several supporters fled to Mexico.
Lingering Effects
The effects of the American Civil War linger even after 150 years have passed. It’s not uncommon to see the Confederate flag (especially the “Confederate Battle Flag”) and there are dozens of statues, monuments, and schools named after Confederate leaders. The controversy over these elements rages today.
References and Further Reading
"A Declaration of the Causes which Impel the State of Texas to Secede from the Federal Union". Avalon Project. Yale Law School. 2008.
Cutwell, Caleb (February 22, 1865). "Letter to the Galveston Tri- Weekly". Civil War Talk. Texas. Retrieved September 13, 2015.
An Act to direct the mode of voting in all popular elections, approved March 19, 1846. Gammel, H.P.N., ed. (1898). The Laws of Texas, 1822- 1897. 2. University of North Texas. p. 1318.
Buenger, Walter L. (March 8, 2011). "Secession Convention". Handbook of Texas Online. Texas State Historical Association.
Buenger, Walter L. (March 8, 2011). "Secession Convention". Handbook of Texas Online. Texas State Historical Association.
"An Ordinance: To dissolve the union between the State of Texas and the other States, united under the compact styled "The Constitution of the United States of America." Adopted in Convention, at Austin City, the first day of February, A.D. 1861." Narrative History of Texas Secession and Readmission to the Union. Austin. August 24, 2011.
"An Ordinance: To dissolve the union between the State of Texas and the other States, united under the compact styled "The Constitution of the United States of America." Adopted in Convention, at Austin City, the first day of February, A.D. 1861." Narrative History of Texas Secession and Readmission to the Union. Austin. August 24, 2011.
Minor, David (November 1, 2011). "Throckmorton, James Webb". Handbook of Texas Online. Texas State Historical Association.
An Act to provide for submitting the Ordinance of Secession to a vote of the People, approved February 7, 1861. Gammel, H.P.N., ed. (1898). The Laws of Texas, 1822-1897. 5. University of North Texas. pp. 347–348.
Winkler, E.W. (1861). Journal of the Secession Convention of Texas. Texas. Retrieved September 8, 2015.
Roberts, O.M. (1899). Evans, Clement A., ed. Texas. Confederate Military History. XI. Atlanta, Georgia: Confederate Publishing Company. pp. 20–22.
"General Twiggs and Buchanan". The New York Times. May 13, 1861.
Freeman, Douglas S. (1934). "R. E. Lee, A Biography". Charles Scribner's Sons. Retrieved May 20, 2008.
"Civil War". Texas Military Forces Museum. Retrieved November 5, 2015.
Wooster, Ralph A. (March 4, 2011). "Civil War". Handbook of Texas Online. Texas State Historical Association. McGowen, Stanley S. (July 2000). "Battle or Massacre? The Incident on the Nueces, August 10, 1862". Southwestern Historical Quarterly. Texas State Historical Association. 104 (1): 64–86. JSTOR 30241669.
Campbell, Randolph B. (2003). Gone to Texas: A History of the Lone Star State. New York: Oxford University Press. p. 265. ISBN 978-0-1998- 8138-3.
"Lamar W. Henkins: German Freethinkers and the Massacre at the Nueces". The Rag Blog. August 15, 2012.
Foner, Eric (March 1989). "The South's Inner Civil War: The more fiercely the Confederacy fought for its independence, the more bitterly divided it became. To fully understand the vast changes the war unleashed on the country, you must first understand the plight of the Southerners who didn't want secession". American Heritage. Vol. 40 no.
American Heritage Publishing Company. p. 5. Archived from the original on January 3, 2015. Retrieved December 18, 2013.
McCaslin, Richard B. (June 15, 2010). "Great Hanging at Gainesville". Handbook of Texas Online. Texas State Historical Association. Retrieved 22 November 2014.
Texas in the Civil War: A Capsule History Archived August 20, 2006, at the Wayback Machine.
Elliott, Claude (1947). "Union Sentiment in Texas 1861-1865". Southwestern Historical Quarterly. Texas State Historical Association. 50 (4): 449–477. JSTOR 30237490.
Williams, Alfred Mason (1893). Sam Houston and the War of Independence in Texas. Houghton, Mifflin and Company. p. 354.
Haley, James l. (2004). Sam Houston. Norman: University of Oklahoma Press. pp. 390–391. ISBN 978-0-8061-5214-1.
Houston, General (June 2, 1861). "Gen. Houston's Position". The New York Times. Retrieved July 11, 2011.
Loewen, James W. (2007). Lies My Teacher Told Me: Everything Your American History Textbook Got Wrong. New York: The New Press. pp. 224–226. ISBN 978-1-56584-100-0. OCLC 29877812. Retrieved January 19, 2016.
McComb, David G. (1989). Texas, a modern history. Austin: University of Texas Press. p. 72. ISBN 0-292-74665-2.
McPherson, James M. (1997). For Cause and Comrades: Why Men Fought in the Civil War. New York City, New York: Oxford University Press, Inc. p. 117. ISBN 0-19-509-023-3. OCLC 34912692. Retrieved March 8, 2016.
Clampitt, Brad R. (April 2005). "The Breakup: The Collapse of the Confederate Trans-Mississippi Army in Texas, 1865". Southwest Historical
Quarterly. Texas State Historical Association. 108 (4). JSTOR 30240424.
"An Act to admit the State of Texas to Representation in the Congress of the United States". Texas State Archives and Library Commission. Retrieved August 24, 2011.
McComb, David G. (1989). Texas, a modern history. Austin: University of Texas Press. p. 72. ISBN 0-292-74665-2.
McPherson, James M. (1997). For Cause and Comrades: Why Men Fought in the Civil War. New York City, New York: Oxford University Press, Inc. p. 117. ISBN 0-19-509-023-3. OCLC 34912692. Retrieved March 8, 2016.
Clampitt, Brad R. (April 2005). "The Breakup: The Collapse of the Confederate Trans-Mississippi Army in Texas, 1865". Southwest Historical Quarterly. Texas State Historical Association. 108 (4). JSTOR 30240424.
"An Act to admit the State of Texas to Representation in the Congress of the United States". Texas State Archives and Library Commission. Retrieved August 24, 2011.
Licenses And Attributions
CC LICENSED CONTENT, ORIGINAL
Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution
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oercommons
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2025-03-18T00:36:54.299028
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05/05/2020
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"url": "https://oercommons.org/courseware/lesson/66247/overview",
"title": "Texas Government 2.0, Introduction to Texas History and Politics, Texas in the American Civil War",
"author": "Kris Seago"
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https://oercommons.org/courseware/lesson/66265/overview
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The Evolution of Federalism
Overview
The Evolution of Federalism
Learning Objectives
By the end of this section, you will be able to:
- Analyze the state and federal powers in a constitutional context
Introduction
This section discusses how our federal system has evolved over time.
The Evolution of Federalism
Federalism is a system of government that creates two relatively autonomous levels of government, each possessing authority granted to them by the national constitution. Federal systems like the one in the United States are different from unitary systems, which concentrate authority in the national government, and from confederations, which concentrate authority in subnational governments.
The Constitution sketches a federal framework that aims to balance the forces of decentralized and centralized governance in general terms; it does not flesh out standard operating procedures that say precisely how the states and federal governments are to handle all policy contingencies imaginable. Therefore, officials at the state and national levels have had some room to maneuver as they operate within the Constitution’s federal design. This has led to changes in the configuration of federalism over time, changes corresponding to different historical phases that capture distinct balances between state and federal authority.
The U.S. Constitution allocates powers to the states and federal government, structures the relationship between these two levels of government, and guides state-to-state relationships. Federal, state, and local governments rely on different sources of revenue to enable them to fulfill their public responsibilities.
Cooperative Federalism
The Great Depression of the 1930s brought economic hardships the nation had never witnessed before. Between 1929 and 1933, the national unemployment rate reached 25 percent, industrial output dropped by half, stock market assets lost more than half their value, thousands of banks went out of business, and the gross domestic product shrunk by one- quarter.
Given the magnitude of the economic depression, there was pressure on the national government to coordinate a robust national response along with the states.
Cooperative federalism was born of necessity and lasted well into the twentieth century as the national and state governments each found it beneficial. Under this model, both levels of government coordinated their actions to solve national problems, such as the Great Depression and the civil rights struggle of the following decades. In contrast to dual federalism, it erodes the jurisdictional boundaries between the states and national government, leading to a blending of layers as in a marble cake. The era of cooperative federalism contributed to the gradual incursion of national authority into the jurisdictional domain of the states, as well as the expansion of the national government’s power in concurrent policy areas.
The New Deal programs President Franklin D. Roosevelt proposed as a means to tackle the Great Depression ran afoul of the dual-federalism mindset of the justices on the Supreme Court in the 1930s. The court struck down key pillars of the New Deal—the National Industrial Recovery Act and the Agricultural Adjustment Act, for example—on the grounds that the federal government was operating in matters that were within the purview of the states. The court’s obstructionist position infuriated Roosevelt, leading him in 1937 to propose a court-packing plan that would add one new justice for each one over the age of seventy, thus allowing the president to make a maximum of six new appointments.
Before Congress took action on the proposal, the Supreme Court began leaning in support of the New Deal as Chief Justice Charles, Evans Hughes, and Justice Owen Roberts changed their view on federalism.
In National Labor Relations Board (NLRB) v. Jones and Laughlin Steel, for instance, the Supreme Court ruled the National Labor Relations Act of 1935 constitutional, asserting that Congress can use its authority under the commerce clause to regulate both manufacturing activities and labor-management relations. The New Deal changed the relationship Americans had with the national government. Before the Great Depression, the government offered little in terms of financial aid, social benefits, and economic rights. After the New Deal, it provided old-age pensions (Social Security), unemployment insurance, agricultural subsidies, protections for organizing in the workplace, and a variety of other public services created during Roosevelt’s administration.
In the 1960s, President Lyndon Johnson’s administration expanded the national government’s role in society even more. Medicaid (which provides medical assistance to the indigent), Medicare (which provides health insurance to the elderly and disabled), and school nutrition programs were created. The Elementary and Secondary Education Act (1965), the Higher Education Act (1965), and the Head Start preschool program (1965) were established to expand educational opportunities and equality. The Clean Air Act (1965), the Highway Safety Act (1966), and the Fair Packaging and Labeling Act (1966) promoted environmental and consumer protection. Finally, laws were passed to promote urban renewal, public housing development, and affordable housing. In addition to these Great Society programs, the Civil Rights Act (1964) and the Voting Rights Act (1965) gave the federal government effective tools to promote civil rights equality across the country.
While the era of cooperative federalism witnessed a broadening of federal powers in concurrent and state policy domains, it is also the era of a deepening coordination between the states and the federal government in Washington. Nowhere is this clearer than with respect to the social welfare and social insurance programs created during the New Deal and Great Society eras, most of which are administered by both state and federal authorities and are jointly funded. The Social Security Act of 1935, which created federal subsidies for state-administered programs for the elderly; people with handicaps; dependent mothers; and children, gave state and local officials wide discretion over eligibility and benefit levels. The unemployment insurance program, also created by the Social Security Act, requires states to provide jobless benefits, but it allows them significant latitude to decide the level of tax to impose on businesses in order to fund the program as well as the duration and replacement rate of unemployment benefits. A similar multilevel division of labor governs Medicaid and Children’s Health Insurance.
Thus, the era of cooperative federalism left two lasting attributes on federalism in the United States. First, a nationalization of politics emerged as a result of federal legislative activism aimed at addressing national problems such as marketplace inefficiencies, social and political inequality, and poverty. The nationalization process expanded the size of the federal administrative apparatus and increased the flow of federal grants to state and local authorities, which have helped offset the financial costs of maintaining a host of New Deal- and Great Society–era programs. The second lasting attribute is the flexibility that states and local authorities were given in the implementation of federal social welfare programs. One consequence of administrative flexibility, however, is that it has led to cross-state differences in the levels of benefits and coverage.
The Struggle Between National Power and State Power
As George Washington’s secretary of the treasury from 1789 to 1795, Alexander Hamilton championed legislative efforts to create a publicly chartered bank. For Hamilton, the establishment of the Bank of the United States was fully within Congress’s authority, and he hoped the bank would foster economic development, print and circulate paper money, and provide loans to the government. Although Thomas Jefferson, Washington’s secretary of state, staunchly opposed Hamilton’s plan on the constitutional grounds that the national government had no authority to create such an instrument, Hamilton managed to convince the reluctant president to sign the legislation.
When the bank’s charter expired in 1811, Jeffersonian Democratic-Republicans prevailed in blocking its renewal. However, the fiscal hardships that plagued the government during the War of 1812, coupled with the fragility of the country’s financial system, convinced Congress and then-president James Madison to create the Second Bank of the United States in 1816. Many states rejected the Second Bank, arguing that the national government was infringing upon the states’ constitutional jurisdiction.
A political showdown between Maryland and the national government emerged when James McCulloch, an agent for the Baltimore branch of the Second Bank, refused to pay a tax that Maryland had imposed on all out-of-state chartered banks. The standoff raised two constitutional questions: Did Congress have the authority to charter a national bank? Were states allowed to tax federal property? In McCulloch v. Maryland, Chief Justice John Marshall argued that Congress could create a national bank even though the Constitution did not expressly authorize it.
Under the necessary and proper clause of Article I, Section 8, the Supreme Court asserted that Congress could establish “all means which are appropriate” to fulfill “the legitimate ends” of the Constitution. In other words, the bank was an appropriate instrument that enabled the national government to carry out several of its enumerated powers, such as regulating interstate commerce, collecting taxes, and borrowing money
This ruling established the doctrine of implied powers, granting Congress a vast source of discretionary power to achieve its constitutional responsibilities. The Supreme Court also sided with the federal government on the issue of whether states could tax federal property.
Under the supremacy clause of Article VI, legitimate national laws trump conflicting state laws. As the court observed, “the government of the Union, though limited in its powers, is supreme within its sphere of action and its laws, when made in pursuance of the constitution, form the supreme law of the land.” Maryland’s action violated national supremacy because “the power to tax is the power to destroy.” This second ruling established the principle of national supremacy, which prohibits states from meddling in the lawful activities of the national government.
Defining the scope of national power was the subject of another landmark Supreme Court decision in 1824. In Gibbons v. Ogden, the court had to interpret the commerce clause of Article I, Section 8; specifically, it had to determine whether the federal government had the sole authority to regulate the licensing of steamboats operating between New York and New Jersey.
Aaron Ogden, who had obtained an exclusive license from New York State to operate steamboat ferries between New York City and New Jersey, sued Thomas Gibbons, who was operating ferries along the same route under a coasting license issued by the federal government. Gibbons lost in New York state courts and appealed. Chief Justice Marshall delivered a two-part ruling in favor of Gibbons that strengthened the power of the national government. First, interstate commerce was interpreted broadly to mean “commercial intercourse” among states, thus allowing Congress to regulate navigation. Second, because the federal Licensing Act of 1793, which regulated coastal commerce, was a constitutional exercise of Congress’s authority under the commerce clause, federal law trumped the New York State license-monopoly law that had granted Ogden an exclusive steamboat operating license. As Marshall pointed out, “the acts of New York must yield to the law of Congress.”
Various states railed against the nationalization of power that had been going on since the late 1700s. When President John Adams signed the Sedition Act in 1798, which made it a crime to speak openly against the government, the Kentucky and Virginia legislatures passed resolutions declaring the act null on the grounds that they retained the discretion to follow national laws. In effect, these resolutions articulated the legal reasoning underpinning the doctrine of nullification—that states had the right to reject national laws they deemed unconstitutional.
A nullification crisis emerged in the 1830s over President Andrew Jackson’s tariff acts of 1828 and 1832. Led by John Calhoun, President Jackson’s vice president, nullifiers argued that high tariffs on imported goods benefited northern manufacturing interests while disadvantaging economies in the South. South Carolina passed an Ordinance of Nullification declaring both tariff acts null and void and threatened to leave the Union. The federal government responded by enacting the Force Bill in 1833, authorizing President Jackson to use military force against states that challenged federal tariff laws. The prospect of military action coupled with the passage of the Compromise Tariff Act of 1833 (which lowered tariffs over time) led South Carolina to back off, ending the nullification crisis. The ultimate showdown between national and state authority came during the Civil War. Prior to the conflict, in Dred Scott v. Sandford, the Supreme Court ruled that the national government lacked the authority to ban slavery in the territories.
But the election of President Abraham Lincoln in 1860 led eleven southern states to secede from the United States because they believed the new president would challenge the institution of slavery. What was initially a conflict to preserve the Union became a conflict to end slavery when Lincoln issued the Emancipation Proclamation in 1863, freeing all slaves in the rebellious states. The defeat of the South had a huge impact on the balance of power between the states and the national government in two important ways. First, the Union victory put an end to the right of states to secede and to challenge legitimate national laws. Second, Congress imposed several conditions for readmitting former Confederate states into the Union; among them was ratification of the Fourteenth and Fifteenth Amendments. In sum, after the Civil War the power balance shifted toward the national government, a movement that had begun several decades before with McCulloch v. Maryland (1819) and Gibbons v. Odgen (1824).
The period between 1819 and the 1860s demonstrated that the national government sought to establish its role within the newly created federal design, which in turn often provoked the states to resist as they sought to protect their interests. With the exception of the Civil War, the Supreme Court settled the power struggles between the states and national government. From a historical perspective, the national supremacy principle introduced during this period did not so much narrow the states’ scope of constitutional authority as restrict their encroachment on national powers.
Dual Federalism
The late 1870s ushered in a new phase in the evolution of U.S. federalism. Under dual federalism, the states and national government exercise exclusive authority in distinctly delineated spheres of jurisdiction. Like the layers of a cake, the levels of government do not blend with one another but rather are clearly defined. Two factors contributed to the emergence of this conception of federalism. First, several Supreme Court rulings blocked attempts by both state and federal governments to step outside their jurisdictional boundaries. Second, the prevailing economic philosophy at the time loathed government interference in the process of industrial development.
Industrialization changed the socio-economic landscape of the United States. One of its adverse effects was the concentration of market power. Because there was no national regulatory supervision to ensure fairness in market practices, collusive behavior among powerful firms emerged in several industries.
To curtail widespread anti-competitive practices in the railroad industry, Congress passed the Interstate Commerce Act in 1887, which created the Interstate Commerce Commission. Three years later, national regulatory capacity was broadened by the Sherman Antitrust Act of 1890, which made it illegal to monopolize or attempt to monopolize and conspire in restraining commerce. In the early stages of industrial capitalism, federal regulations were focused for the most part on promoting market competition rather than on addressing the social dislocations resulting from market operations, something the government began to tackle in the 1930s.
The late 1870s ushered in a new phase in the evolution of U.S. federalism. Under dual federalism, the states and national government exercise exclusive authority in distinctly delineated spheres of jurisdiction. Like the layers of a cake, the levels of government do not blend with one another but rather are clearly defined. Two factors contributed to the emergence of this conception of federalism. First, several Supreme Court rulings blocked attempts by both state and federal governments to step outside their jurisdictional boundaries. Second, the prevailing economic philosophy at the time loathed government interference in the process of industrial development.
Industrialization changed the socio-economic landscape of the United States. One of its adverse effects was the concentration of market power. Because there was no national regulatory supervision to ensure fairness in market practices, collusive behavior among powerful firms emerged in several industries.
The case came about when the government, using its regulatory power under the Sherman Act, attempted to override American Sugar’s purchase of four sugar refineries, which would give the company a commanding share of the industry. Distinguishing between commerce among states and the production of goods, the court argued that the national government’s regulatory authority applied only to commercial activities. If manufacturing activities fell within the purview of the commerce clause of the Constitution, then “comparatively little of business operations would be left for state control,” the court argued.
In the late 1800s, some states attempted to regulate working conditions. For example, New York State passed the Bakeshop Act in 1897, which prohibited bakery employees from working more than sixty hours in a week. In Lochner v. New York, the Supreme Court ruled this state regulation that capped work hours unconstitutional, on the grounds that it violated the due process clause of the Fourteenth Amendment.
In other words, the right to sell and buy labor is a “liberty of the individual” safeguarded by the Constitution, the court asserted. The federal government also took up the issue of working conditions, but that case resulted in the same outcome as in the Lochner case.
New Federalism
During the administrations of Presidents Richard Nixon (1969–1974) and Ronald Reagan (1981–1989), attempts were made to reverse the process of nationalization—that is, to restore states’ prominence in policy areas into which the federal government had moved in the past. New federalism is premised on the idea that the decentralization of policies enhances administrative efficiency, reduces overall public spending, and improves policy outcomes. During Nixon’s administration, general revenue sharing programs were created that distributed funds to the state and local governments with minimal restrictions on how the money was spent. The election of Ronald Reagan heralded the advent of a “devolution revolution” in U.S. federalism, in which the president pledged to return authority to the states according to the Constitution. In the Omnibus Budget Reconciliation Act of 1981, congressional leaders together with President Reagan consolidated numerous federal grant programs related to social welfare and reformulated them in order to give state and local administrators greater discretion in using federal funds.
However, Reagan’s track record in promoting new federalism was inconsistent. This was partly due to the fact that the president’s devolution agenda met some opposition from Democrats in Congress, moderate Republicans, and interest groups, preventing him from making further advances on that front. For example, his efforts to completely devolve Aid to Families With Dependent Children (a New Deal-era program) and food stamps (a Great Society-era program) to the states were rejected by members of Congress, who feared states would underfund both programs, and by members of the National Governors’ Association, who believed the proposal would be too costly for states. Reagan terminated general revenue sharing in 1986.
Several Supreme Court rulings also promoted new federalism by hemming in the scope of the national government’s power, especially under the commerce clause. For example, in United States v. Lopez, the court struck down the Gun-Free School Zones Act of 1990, which banned gun possession in school zones.
It argued that the regulation in question did not “substantively affect interstate commerce.” The ruling ended a nearly sixty-year period in which the court had used a broad interpretation of the commerce clause that by the 1960s allowed it to regulate numerous local commercial activities.
However, many would say that the years since the 9/11 attacks have swung the pendulum back in the direction of central federal power. The creation of the Department of Homeland Security federalized disaster response power in Washington, and the Transportation Security Administration was created to federalize airport security. Broad new federal policies and mandates have also been carried out in the form of the Faith-Based Initiative and No Child Left Behind (during the George W. Bush administration) and the Affordable Care Act (during Barack Obama’s administration)
Cooperative Federalism Versus New Federalism
Morton Grodzins coined the cake analogy of federalism in the 1950s while conducting research on the evolution of American federalism. Until then most scholars had thought of federalism as a layer cake, but according to Grodzins the 1930s ushered in “marble-cake federalism”: “The American form of government is often, but erroneously, symbolized by a three-layer cake. A far more accurate image is the rainbow or marble cake, characterized by an inseparable mingling of differently colored ingredients, the colors appearing in vertical and diagonal strands, and unexpected whirls. As colors are mixed in the marble cake, so functions are mixed in the American federal system.”
Cooperative federalism has several merits:
Because state and local governments have varying fiscal capacities, the national government’s involvement in state activities such as education, health, and social welfare is necessary to ensure some degree of uniformity in the provision of public services to citizens in richer and poorer states.
The problem of collective action, which dissuades state and local authorities from raising regulatory standards for fear they will be disadvantaged as others lower theirs, is resolved by requiring state and local authorities to meet minimum federal standards (e.g., minimum wage and air quality).
Federal assistance is necessary to ensure state and local programs (e.g., water and air pollution controls) that generate positive externalities are maintained. For example, one state’s environmental regulations impose higher fuel prices on its residents, but the externality of the cleaner air they produce benefits neighboring states. Without the federal government’s support, this state and others like it would underfund such programs.
New federalism has advantages as well:
Because there are economic, demographic, social, and geographical differences among states, one-size-fits-all features of federal laws are suboptimal. Decentralization accommodates the diversity that exists across states. By virtue of being closer to citizens, state and local authorities are better than federal agencies at discerning the public’s needs. Decentralized federalism fosters a marketplace of innovative policy ideas as states compete against each other to minimize administrative costs and maximize policy output.
Federalism in the United States has gone through several phases of evolution during which the relationship between the federal and state governments has varied. In the era of dual federalism, both levels of government stayed within their own jurisdictional spheres. During the era of cooperative federalism, the federal government became active in policy areas previously handled by the states. The 1970s ushered in an era of new federalism and attempts to decentralize policy management.
References and Further Reading
The Lehrman Institute. “The Founding Trio: Washington, Hamilton and Jefferson”
McCulloch v. Maryland, 17 U.S. 316 (1819).
Gibbons v. Ogden, 22 U.S. 1 (1824).
Gibbons v. Ogden, 22 U.S. 1 (1824).
W. Kirk Wood. 2008. Nullification, A Constitutional History, 1776–1833. Lanham, MD: University Press of America.
Dred Scott v. Sandford, 60 U.S. 393 (1857).
Joseph R. Marbach, Troy E. Smith, and Ellis Katz. 2005. Federalism in America: An Encyclopedia. Westport, CT: Greenwood Publishing.
Marc Allen Eisner. 2014. The American Political Economy: Institutional Evolution of Market and State. New York: Routledge.
Eisner, The American Political Economy; Stephen Skowronek. 1982. Building a New American State: The Expansion of National Administrative Capacities, 1877– 1920. Cambridge, MA: Cambridge University Press.
United States v. E. C. Knight, 156 U.S. 1 (1895).
Lochner v. New York, 198 U.S. 45 (1905).
Hammer v. Dagenhart, 247 U.S. 251 (1918).
Nicholas Crafts and Peter Fearon. 2010. “Lessons from the 1930s Great Depression,” Oxford Review of Economic Policy 26: 286–287; Gene Smiley. “The Concise Encyclopedia of Economics: Great Depression”
Marbach et al, Federalism in America: An Encyclopedia. ↵
Jeff Shesol. 2010. Supreme Power: Franklin Roosevelt vs. The Supreme Court. New York: W. W. Norton.
National Labor Relations Board (NLRB) v. Jones & Laughlin Steel, 301 U.S. 1 (1937).
Lawrence R. Jacobs and Theda Skocpol. 2014. “Progressive Federalism and the Contested Implemented of Obama’s Health Reform,” In The Politics of Major Policy Reform in Postwar America, eds. Jeffrey A. Jenkins and Sidney M. Milkis. New York: Cambridge University Press.
R. Kent Weaver. 2000. Ending Welfare as We Know It. Washington, DC: The Brookings Institution.
Dilger, “Federal Grants to State and Local Governments,” 30–31.
United States v. Lopez, 514 U.S. 549 (1995).
See Printz v. The United States, 521 U.S. 898 (1997).
Morton Grodzins. 2004. “The Federal System.” In American Government Readings and Cases, ed. P. Woll. New York: Pearson Longman, 74–78.
Licensing and Attribution
CC LICENSED CONTENT, ORIGINAL
Revision and Adaptation. Authored by: Daniel M. Regalado. License: CC BY: Attribution
CC LICENSED CONTENT, SHARED PREVIOUSLY
American Government. Authored by: OpenStax. Provided by: OpenStax; Rice University. Located at: http://cnx.org/contents/5bcc0e59-7345- 421d-8507-a1e4608685e8@18.11 License: CC BY: Attribution License Terms: Download for free at http://cnx.org/contents/5bcc0e59-7345-421d-8507-a1e4608685e8@18.11.
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oercommons
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05/05/2020
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"title": "Texas Government 2.0, The Texas State Constitution and the American Federal System, The Evolution of Federalism",
"author": "Kris Seago"
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https://oercommons.org/courseware/lesson/66257/overview
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Constitution Of Coahuila And Texas (1827)
Overview
Constitution Of Coahuila And Texas (1827)
Learning Objectives
By the end of this section, you will be able to:
- Understand the Constitution Of Coahuila And Texas (1827)’s role in Texas history
Introduction
This section discusses the Constitution Of Coahuila And Texas (1827)’s role in Texas history.
Constitution Of Coahuila And Texas (1827)
The Constitution of 1824 of the Republic of Mexico provided that each state in the republic should frame its own constitution. The state of Coahuila and the former Spanish province of Texas were combined as the state of Coahuila and Texas. The legislature for the new state was organized at Saltillo in August 1824, with the Baron de Bastrop representing Texas.
The Constitution of Coahuila and Texas divided the state into three departments, of which Texas, as the District of Bexar, was one. The Catholic religion was made the state religion; citizens were guaranteed liberty, security, property, and equality; slavery was forbidden after promulgation of the constitution, and there could be no import of slaves after six months. Citizenship was defined and its forfeiture outlined. Legislative power was delegated to a unicameral legislature composed of twelve deputies elected by popular vote; Texas was allowed two of the twelve. The body, which met annually from January through April and could be called in special session, was given wide and diverse powers. In addition to legislative functions, it could elect state officials if no majority was shown in the regular voting, could serve as a grand jury in political and electoral matters, and could regulate the army and militia. It was instructed to promote education and protect the liberty of the press.
Executive power was vested in a governor and vice governor, elected for four-year terms by popular vote. The governor could recommend legislation, grant pardons, lead the state militia, and see that the laws were obeyed. The vice governor presided over the council and served as police chief at the capital. The governor appointed for each department a chief of police, and an elaborate plan of local government was set up. Judicial authority was vested in state courts having charge of minor crimes and civil cases. The courts could try cases but could not interpret the law; misdemeanors were tried by the judge without a jury. Military men and ecclesiastics were subject to rules made by their own orders. Trial by jury, promised by the constitution, was never established, nor was the school system ever set up. The laws were published only in Spanish, which few Anglo-Texans could read. Because of widespread objections to government under this document, the Convention of 1833 proposed a new constitution to give Texas statehood separate from Coahuila
Link to Learning
More information on the Constitution Of Coahuila And Texas (1827) may be found at the Texas Constitutions 1824-1876 project of the Tarlton Law Library, Jamail Center for Legal Research at the University of Texas School of Law at the University of Texas at Austin.
The project includes digitized images and searchable text versions of the constitutions.
References and Further Reading
Vito Alessio Robles, Coahuila y Texas en la época colonial (Mexico City: Editorial Cultura, 1938; 2d ed., Mexico City: Editorial Porrúa, 1978).
Nettie Lee Benson, "Texas as Viewed from Mexico, 1820–1834,"
Southwestern Historical Quarterly 90 (January 1987).
The Constitution of Mexico, and of the State of Coahuila and Texas
(New York: Ludwig and Tolefree, 1832).
Hans Peter Nielsen Gammel, comp., Laws of Texas, 1822–1897 (10 vols., Austin: Gammel, 1898).
Henderson K. Yoakum, History of Texas from Its First Settlement in 1685 to Its Annexation to the United States in 1846 (2 vols., New York: Redfield, 1855).
Handbook of Texas Online, S. S. McKay, "CONSTITUTION OF COAHUILA AND TEXAS," accessed August 23, 2019.
Licenses and Attributions
CC LICENSED CONTENT, ORIGINAL
Revision and Adaptation. Authored by: Kris S. Seago. License: CC BY: Attribution
Revision and Adaptation: Constitution of Coahuila and Texas. Authored by: John Osterman. License: CC BY: Attribution
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oercommons
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2025-03-18T00:36:54.373088
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05/05/2020
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"url": "https://oercommons.org/courseware/lesson/66257/overview",
"title": "Texas Government 2.0, The Texas State Constitution and the American Federal System, Constitution Of Coahuila And Texas (1827)",
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https://oercommons.org/courseware/lesson/87600/overview
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3.3 Plant Biotechnology
3.3 Plant Germplasm
3_Influence-of-Genetic-Engineering-on-Agriculture-and-Germplasm-Conservation
Exercise 3a Herbaceous Cuttings
Exercise 3b Flower Reproductive Parts Dissection
Influence of Genetic Engineering on Agriculture and Germplasm Conservation
Overview
Plant tissue cultures being grown at a USDA facility. USDA, Lance Cheung, Public domain, via Wikimedia Commons
Did you have an idea for improving this content? We’d love your input.
Introduction
Learning Objectives
- Compare conventional breeding and genetic engineering.
- List the advantages and disadvantages of plant breeding.
- Explain the steps in molecular cloning.
- List examples of genetically engireered, transgenic crops.
- Define germplasm.
- Explain the significance of germplasm conservation.
- Describe USDA-ARS National Plant Germplasm System.
Key Terms
biotechnology - use of biological agents for technological advancement
clone - exact replica of an organism, a cell, DNA molecule
contig - larger sequence of DNA assembled from overlapping shorter sequences
conventional breeding - crossing or mating the organisms with preferred traits and selecting the progeny that produces those traits or a combination of traits.
cytogenetic mapping - a technique that uses a microscope to create a map from stained chromosomes
ex-situ conservation - conserving an organism outside of its natural habitat, such as a zoo
foreign DNA - DNA that belongs to a different species or DNA that is artificially synthesized
gene targeting - method for altering the sequence of a specific gene by introducing the modified version on a vector
genetic engineering - alteration of the genetic makeup of an organism
genetic recombination - DNA exchange between homologous chromosome pairs
genetically modified organism (GMO) - an organism whose genome has been artificially changed
germplasm - a collection of all genetic material stored as seeds, tissues, and live samples.
in-situ conservation - conserving an organism in its natural habitat
recombinant DNA - combining DNA fragments from two different sources or organisms
recombinant protein - a gene's protein product derived by molecular cloning
transgenic - organism that receives DNA from a different species
Introduction
Plants are the source of food for humans as well as livestock. Farmers have historically developed ways to select plant varieties with desirable traits, long before modern-day biotechnology practices were established. conventional breeding relies on crossing or mating the organisms with preferred traits and selecting the progeny that produces those traits or a combination of traits. conventional breeding has generated many present-day crops from wild relatives over thousands of years. However, modern scientific techniques have led to faster and more efficient practices. Staples like corn, potatoes, and tomatoes were the first crop plants that scientists genetically engineered. Biotechnology creates organisms by using a targeted approach to modify specific traits, changing an organism's genomic composition or DNA. Since the discovery of the structure of DNA in 1953, the biotechnology field has proliferated through both academic research and private companies. The primary applications of this technology are in medicine (vaccine and antibiotic production) and agriculture (crop genetic modification to increase yields). Biotechnology has many industrial applications, such as increasing fermentation, treating oil spills, and producing biofuels. Similarly, the collection and maintenance of germplasm, is critical for advancements in technology. Germplasm is a collection of all genetic material stored as seeds, tissues, and live samples. The conservation and documentation of all the samples and related documentation provide vital information useful in biotechnology.
DNA and Recombinant DNA
To understand the basic techniques used to work with nucleic acids, it is important to remember a few basic facts:
- Nucleic acids are macromolecules made of nucleotides—a sugar, a phosphate, and a nitrogenous base—linked by phosphodiester bonds. The phosphate groups on these molecules each have a net negative charge.
- An entire set of DNA molecules in the nucleus is called the genome. DNA has two complementary strands linked by hydrogen bonds between the paired bases. Exposure to high temperatures (DNA denaturation) can separate the two strands and cooling can reanneal them.
- The DNA polymerase enzyme can replicate the DNA.
- Unlike DNA, located in the eukaryotic cells' nucleus, RNA molecules leave the nucleus.
- The most common type of RNA that researchers analyze is messenger RNA (mRNA) because it represents the protein-coding genes that are actively expressed. However, RNA molecules present some other challenges to analysis, as they are often less stable than DNA.
Access for free at https://openstax.org/books/biology-2e/pages/17-1-biotechnology
Molecular Cloning
In general, the word “cloning” means the creation of a perfect replica; however, in biology, the re-creation of a whole organism is referred to as “reproductive cloning.” Long before attempts were made to clone an entire organism, researchers learned how to reproduce desired regions or fragments of the genome, a process that is referred to as molecular cloning. The technique offered methods to create new medicines and overcome difficulties with existing ones. Scientists have repurposed and engineered plasmids as vectors for molecular cloning and the large-scale production of important reagents, such as insulin and human growth hormone. Cloning small genome fragments allows researchers to manipulate and study-specific genes (and their protein products) or noncoding regions in isolation. A plasmid, or vector, is a small circular DNA molecule that replicates independently of the chromosomal DNA.
In cloning, scientists can use the plasmid molecules to provide a "folder" in which to insert the desired DNA fragment. Plasmids are usually introduced into a bacterial host for proliferation. In the bacterial context, scientists call the DNA fragment from the genome of the studied organism, foreign DNA —or a transgene; to differentiate it from the bacterium's DNA—or the host DNA.
Plasmids occur naturally in bacterial populations (such as Escherichia coli) and have genes that can contribute favorable traits to the organism, such as antibiotic resistance (the ability to be unaffected by antibiotics). An important feature of plasmid vectors is the ease with which scientists can introduce a foreign DNA fragment via the multiple cloning site (MCS). The MCS is a short DNA sequence containing multiple sites that different commonly available restriction endonucleases can cut. Restriction endonucleases recognize specific DNA sequences and cut them in a predictable manner. They are naturally produced by bacteria as a defense mechanism against foreign DNA. Many restriction endonucleases make staggered cuts in the two DNA strands, such that the cut ends have a 2- or 4-base single-stranded overhang. Because these overhangs are capable of annealing with complementary overhangs, we call them “sticky ends.” Adding the enzyme DNA ligase permanently joins the DNA fragments via phosphodiester bonds. In this way, scientists can splice any DNA fragment generated by restriction endonuclease cleavage between the plasmid DNA's two ends that have been cut with the same restriction endonuclease (Figure 3.3.1).
Plasmids with foreign DNA inserted into them are called recombinant DNA molecules (Figure 3.3.1) because they are created artificially and do not occur in nature. They are also called chimeric molecules because the origin of different molecule parts of molecules can be traced back to different species of biological organisms or even to chemical synthesis. We call proteins that are expressed from recombinant DNA molecules recombinant protein.
Not all recombinant plasmids can express genes. The recombinant DNA may need to move into a different vector (or host) that is better designed for gene expression. Scientists may also engineer plasmids to express proteins only when certain environmental factors stimulate them, so they can control the recombinant proteins' expression.
Genetic Engineering
Scientists have genetically modified bacteria, plants, and animals since the early 1970s for academic, medical, agricultural, and industrial purposes. Genetic engineering is the alteration of an organism’s genotype using recombinant DNA technology to modify an organism’s DNA for the purpose of achieving desirable traits. The addition of foreign DNA in the form of recombinant DNA vectors generated by molecular cloning is the most common method of genetic engineering. The organism that receives the recombinant DNA is a genetically modified organism (GMO). In the US, GMOs such as Roundup-ready soybeans and borer-resistant corn are part of many common processed foods. If the foreign DNA comes from a different species, the host organism is transgenic, Bt corn and Bt cotton are two such examples of transgenic plants.
Gene Targeting
Although classical methods of studying gene function began with a given phenotype and determined the genetic basis of that phenotype, modern techniques allow researchers to start at the DNA sequence level and ask: "What does this gene or DNA element do?" This technique is called reverse genetics, and it has resulted in reversing the classic genetic methodology. This method would be like damaging a body part to determine its function. For instance, an insect that loses a wing cannot fly. The classical genetic method would compare insects that cannot fly with insects that can fly and observe that the non-flying insects have lost wings; this would result in understanding that the function of the wing is flight. Similarly, mutating or deleting genes provides researchers with clues about gene function. We collectively call these methods they use to disable gene function – gene targeting. Gene targeting is the use of recombinant DNA vectors to alter a particular gene's expression, either by introducing mutations in a gene or by eliminating a certain gene's expression by deleting a part or all the gene sequences from the organism's genome.
Access for free at https://openstax.org/books/biology-2e/pages/17-1-biotechnology
Plant Biotechnology
Plant biotechnology includes techniques used to adapt plants for specific needs or a possibility. Situations that combine multiple needs and opportunities are common. For example, a single crop may be required to provide sustainable food and healthful nutrition, protection of the environment, and opportunities for jobs and income. Finding or developing suitable plants is typically a highly complex challenge. Plant biotechnologies utilize tools and resources from genetics, genomics, marker-assisted selection (MAS), and transgenic (genetically engineered) crops to assist in developing new varieties and/or new traits in plants. This allows researchers to detect and map genes, discover their functions, select specific genes in genetic resources and breeding, and transfer genes for specific traits into plants where they are needed, for example, research and development of disease-resistant crops.
Most public research on transgenic crops focuses on one or two general objectives:
- a better understanding of all aspects of the transgenic/genetic engineering process, for enhancing efficiency, precision, and proper expression of the added genes or nucleic acid molecules
- and a wider range of useful and valuable traits, including complex traits.
National Institute of Food and Agriculture (NIFA) a U.S federal government body, funds research, training, and extension for developing and using biotechnologies for food and agriculture. Areas of work include, but are not limited to:
- genetic structures and mechanisms,
- methods for transgenic biotechnology (also known as genetic engineering),
- identification of traits and genes that can contribute to national and global goals for agriculture,
- plant genome sequences—molecular markers and bioinformatics,
- gene editing/genome editing,
- and synthetic biology.
Transgenic and genetically modified Plants
Manipulating the DNA of plants—creating GMOs—has helped to create desirable traits, such as disease resistance, herbicide and pesticide resistance, better nutritional value, and better shelf-life (Figure 3.3.2). As mentioned in the previous section, GMOs are plants that receive recombinant DNA) and transgenic plants receive DNA from other species. Because they are not natural, government agencies closely monitor transgenic plants and other GMOs to ensure that they are fit for human consumption and do not endanger other plant and animal life. To prevent foreign genes from spreading to other species in the environment, extensive testing is required to ensure ecological stability. Let us discuss some common methods used in developing tansgenic and genetically modified plants.
Explore the Nature Education article on GMOs by using this link.
Explore US Food & Drug Administration page on GMOs
Transformation of Plants Using Agrobacterium tumefaciens
Gene transfer occurs naturally between species in microbial populations. Many viruses that cause human diseases, such as cancer, act by incorporating their DNA into the human genome. In plants, tumors caused by the bacterium Agrobacterium tumefaciens occur by DNA transfer from the bacterium to the plant. Although the tumors do not kill the plants, they stunt the plants and they become more susceptible to harsh environmental conditions. A. tumefaciens affects many plants, such as walnuts, grapes, nut trees, and beets.
The artificial introduction of DNA into plant cells is more challenging because of the thick cell wall compared to animal cells. Researchers use the natural transfer of DNA from Agrobacterium to introduce DNA fragments of their choice into plant hosts. In nature, the disease-causing A. tumefaciens have a set of plasmids—Ti plasmids (tumor-inducing plasmids) —that contain genes to produce tumors in plants. DNA from the Ti plasmid integrates into the infected plant cell’s genome. Researchers manipulate the Ti plasmids to remove the tumor-causing genes and insert the desired DNA fragment for transfer into the plant genome. This newly engineered plasmid also carries antibiotic resistance genes to aid selection and researchers can propagate them in E. coli cells as well. Agrobacterium has been used as a vector to transform many GMOs such as canola, sugar beet, cotton, and soybean.
The Organic Insecticide Bacillus thuringiensis
Bt maize and Bt cotton are two examples of genetically modified crops with B. thuringiensis toxin. Bacillus thuringiensis (Bt) is a bacterium (Figure 3.3.3) that produces protein crystals (figure 3.3.4) during sporulation that is toxic to many insect species that affect plants. Insects need to ingest Bt toxin to activate the toxin. Insects that have eaten Bt toxin stop feeding on the plants within a few hours. After the toxin activates in the insects' intestines, they die within a couple of days (Figure 3.3.6). Modern biotechnology has allowed plants to encode their own crystal Bt toxin that acts against insects. Scientists have cloned the crystal toxin genes from Bt and introduced them into plants. Bt toxin is safe for the environment and non-toxic to humans and other mammals, and organic farmers have approved it as a natural insecticide. This reduces the use of synthetic spray pesticides.
Let us look at the basics of one of the techniques used in creating genetically modified plants with Bt toxin.
Step 1. Scientists identify the trait that is desired (for example, insect resistance).
Step 2. Find an organism that already has that trait - Bacillus thuringiensis (Bt) produces toxins against insects.
Step 3. Gene governing the production of toxins is excised using enzymes called restriction enzymes.
Step 4. Excised gene is utilized to create a DNA construct that includes the gene of interest or reporter gene as well as promoter and terminator sequences for proper transformation.
Step 5. DNA constructs are coated on gold particles and delivered to the undifferentiated plant cells or directly into a plant using a gene gun (Figure 3.3.5).
Step 6. The cells that absorb the DNA construct are stable and are selected and grown under with nutritive medium and treated with plant hormones to cause differentiation to form new plants.
Step 7. Newly formed young plants are grown and monitored in greenhouses and tested in fields. After a comprehensive evaluation, introduced for commercial purposes.
Study the use and impact of Bt Corn in this Nature article.
Here are some examples of successfully developed transgenic or genetically modified plants.
Flavr Savr Tomato
The first genetically modified crop on the market was the Flavr Savr Tomato, created in 1994. Scientists used antisense RNA technology to slow the softening and rotting process caused by fungal infections, which led to the increased shelf life of this tomato. Additional genetic modification improved the tomato's flavor. However, the Flavr Savr tomato did not successfully stay in the market because of problems maintaining and shipping the crop.
Golden Rice
Golden rice (Figure 3.3.8) was created to combat widespread vitamin A deficiency in children that live in developing nations, especially Africa, South Asia, and Southeast Asia (Figure 3.3.7). Golden rice is genetically modified to produce beta-carotene in the endosperm. Beta carotene is converted to vitamin A by the human body. Vitamin A is critical for normal vision, growth, and immune reaction. Night blindness is an early sign of vitamin A deficiency. Prolonged deficiency can cause complete blindness, as well as premature death. According to WHO, as many as 250,000 to 500,000 children are affected by this deficiency and about half of these children die within 12 months of losing their sight. The first country to adopt Golden Rice for production and consumption was the Philippines. However, due to misinformation and misunderstandings about genetically modified organisms, fewer countries have adopted the commercial use of golden rice.
Visit the USDA National Institute of Food & Agriculture to know more about plant biotechnology.
Kew's Millenium seed bank.
Access for free at https://openstax.org/books/biology-2e/pages/17-1-biotechnology
Plant Germplasm
Since the domestication of plants—over many thousands of years, humans have collected the seeds and other plant material for the purpose of propagation over growing seasons or years. germplasm is a collection of any plant material or data that can be utilized to conserve and investigate the genetic composition of a species. Germplasm includes seeds, vegetative parts of a plant, plant tissue culture collection samples, DNA samples, cultivars, landraces, crop wild relatives (CWR), and accessions with the relevant documentation and data on these collections (Veerala et al, 2021) (Figure 3.3.9). Genetic diversity of plants is critical, and acquisition, maintenance, research & analysis, documentation, conservation, and distribution are vital to the conservation of plant diversity.
Food security, dietary expectations, availability of feed for animals, medicine, fibers, and oils, as well as demands for fuel, continue to grow alongside the expanding human population. According to Byrne et al., 2018, a 25 to 70% increase in global agricultural production is required to meet food demand by 2050. With increased agricultural demands comes the increased risk of environmental deterioration due to soil erosion, greenhouse gas emissions, and nutrient runoff to waterways; additionally, global climate changes are presenting new challenges, such as increasing temperatures, water scarcity, and new emerging pests. Genetic engineering can aid in the needed response to these growing concerns, along with plant breeding, improved horticulture practices, integrated pest management, sustainable farming practices, and research in the various fields that inform better plant science.
Effective conservation and efficient use and access to the diversity of germplasm dictate the production of cultivars/accessions that are more suited to the various environmental conditions such as drought, flooding, soil salinity, nutrient-deficient soils as well as pathogen/pest infestation, and increased nutritional quality, and increased crop yield.
National Plant Germplasm System (NPGS)
USDA-ARS National Plant Germplasm System (NPGS) is the primary body involved in the preservation of germplasm resources in the United States. NPGS is made up of many laboratories and research stations (table 1). Multiple USDA offices and USDA Animal and Plant Health Inspection Service participate in acquiring, quarantining, and distributing of NPGS collections with collaboration. The complete and comprehensive database of NPGS collections is administered via the National Germplasm resource Laboratory, Beltsville, Maryland. NPGS is part of an international collaboration called the GRIN-Global project. (National Research Council 1991. The U.S. National Plant Germplasm System).
Visit the website of the USDA plant germplasm collection.
Collection/Facility | Location | Number of collections |
National seed storage laboratory | Fort Collins, Colorado | 230,000 accessions |
4 Regional stations | Pullman, Washington. Ames, Iowa Geneva, New York Griffin, GA
| 135,000 accessions of 4000 species |
10 National clonal germplasm repositories |
| 27,000 accessions of 3000 species |
National small grain collection | Aberdeen, Idaho | 110,000 accessions |
Interregional Research Project-1 | Sturgeon Bay, Wisconsin | 3500 potato accessions |
Multiple collections in universities/USDA laboratories |
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Unit 3 Lab Exercises
Exercise 3a: Herbaceous Cuttings
Students learn the techniques and procedures for propagating plants through herbaceous cuttings, including steps for selecting, preparing, and planting cuttings to ensure successful growth and development.
Exercise 3b: Flower Reproductive Parts Dissection
Students dissect a flower to identify and study its reproductive parts, including the stamen, pistil, and ovary. This exercise aims to help students understand the structure and function of these components in plant reproduction.
Attributions
Biology 2e By Mary Ann Clark, Matthew Douglas, Jung Choi. OpenStax is licensed under Creative Commons Attribution License v4.0
Priyanka, V.; Kumar, R.; Dhaliwal, I.; Kaushik, P. Germplasm Conservation: Instrumental in Agricultural Biodiversity—A Review. Sustainability 2021, 13, 6743. https://doi.org/10.3390/su13126743
Sustaining the Future of plant breeding: The critical role of the USDA-ARS National Plant Germplasm System by Patrick F Byrne, Gayle M Volk, Candice Gardner, Michael A Gore, Philipp W. Simon and Stephen Smith. Crop Science, 58:451-468 (2018). doi: 10.2135/crp[sco2017.05.0303
Crop Science Society of America | 5585 Guilford Rd., Madison, WI 53711 USA. This is an open-access article distributed under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).Published January 12, 2018
https://acsess.onlinelibrary.wiley.com/doi/10.2135/cropsci2017.05.0303
National Research Council 1991. The U.S. National Plant Germplasm System. Washington, DC: The National Academies Press. Https://doi.org/10.17226/1583
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"title": "Statewide Dual Credit Introduction to Plant Science, Plant Reproduction and Propagation, Influence of Genetic Engineering on Agriculture and Germplasm Conservation",
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1.3 Components of Prokaryotic Cell
1.4 Components of Eukaryotic Cell
1.5 Components of a Plant Cell
1_The-Cell
The Cell
Overview
Red and cyan fluorescent proteins marking plant cell nuclei. Fernan Federici
CC-BY-NC-SA-2.0
Botany by Melissa Ha, Maria Morrow & Kammy Algiers
https://bio.libretexts.org/Bookshelves/Botany/Botany_(Ha_Morrow_and_Algiers)
A Photographic Atlas for Botany by Maria Morrow https://bio.libretexts.org/Bookshelves/Botany/A_Photographic_Atlas_for_Botany_(Morrow)
Introduction to Botany By Alexey Shipunov
https://bio.libretexts.org/Bookshelves/Botany/Introduction_to_Botany_(Shipunov)
Plant Anatomy and Physiology by Sean Bellairs
https://bio.libretexts.org/Bookshelves/Botany/Book%3A_Plant_Anatomy_and_Physiology_(Bellairs)
Did you have an idea for improving this content? We’d love your input.
Introduction
Learning Objectives
- Define cell.
- Summarize the main components of a light microscope.
- List the features of a prokaryotic cell.
- Define cell theory.
- Explain how the surface area to volume ratio regulates cell size.
- List and describe the cellular components of a eukaryotic cell.
- Identify characteristic features of a plant cell.
- Explain the structure and function of the cell wall, chloroplast, central vacuole, and plasmodesmata in the plant cell.
Key Terms
cell theory/unified cell theory - a biological concept that states that all organisms are made up of cells; the cell is the basic unit of life, and new cells arise from existing cells
cell wall - rigid cell covering comprised of various molecules that protect the cell, provides structural support, and give shape to the cell
cellulose - the main component of cell wall, made up of glucose polymer
central vacuole - large plant cell organelle that regulates the cell’s storage compartment, holds water, and plays a significant role in cell growth as the site of macromolecule degradation
chlorophyll - the green pigment that captures the light energy that drives the light reactions of photosynthesis
chloroplast - plant cell organelle that carries out photosynthesis
endoplasmic reticulum (ER) - series of interconnected membranous structures within eukaryotic cells that collectively modify proteins and synthesize lipids
eukaryotic cell - a cell that has a membrane-bound nucleus and several other membrane-bound compartments or sacs
light microscope - an instrument that magnifies an object using a beam of visible light that passes and bends through a lens system to visualize a specimen
lignin - phenolic polymer, a component of plant cell wall
nucleus - cell organelle that houses the cell’s DNA and directs ribosome and protein synthesis
pectin - polysaccharide commonly found in the primary cell wall of plants
peptidoglycan - polysaccharide commonly found in the bacterial cell wall
plasma membrane - phospholipid bilayer with embedded (integral) or attached (peripheral) proteins, and separates the cell's internal content from its surrounding environment
plasmodesma - (plural = plasmodesmata) channel that passes between adjacent cell walls of plant cells, connects their cytoplasm, and allows transporting of materials from cell to cell
primary cell wall - outermost cell wall in a plant cell, primary made up of cellulose and pectin; usually flexible and permeable
prokaryote - a unicellular organism that lacks a nucleus or any other membrane-bound organelle
secondary cell wall - cell wall between the primary cell wall and plasma membrane in a plant cell; usually rigid and impermeable
Introduction
Close your eyes and picture a brick wall. What is the wall's basic building block? It is a single brick. Like a brick wall, cells are the building blocks that make up our body.
Our body has many kinds of cells, each specialized for a specific purpose. Just as we use a variety of materials to build a home, the human body is constructed from many cell types. Given their enormous variety, cells from all organisms—even ones as diverse as bacteria, onions, and humans—share certain fundamental characteristics.
Microscopy, Cell Theory & Cell Size
A cell is the smallest unit of all living things. We call “living things” – organism(s). Whether it is a single-cell organism (like bacteria) or a multi-cellular organism (like a human). Thus, cells are the basic building blocks of all organisms.
Several cells of one kind that interconnect with each other and perform a shared function make a tissue. These tissues combine to form an organ (your stomach, heart, or brain), and several organs comprise an organ system (such as the digestive system, circulatory system, or nervous system). Several systems that function together form an organism (like a human being). Here, we will examine the structure and function of cells.
All cells can be broadly categorized as prokaryotic and eukaryotic. For example, we classify both animal and plant cells as eukaryotic cells, whereas we classify bacterial cells as prokaryotic. Before discussing the criteria for determining whether a cell is prokaryotic or eukaryotic, we will first examine how biologists study cells.
Microscopy
Cells vary in size. To give you a sense of cell size, a typical human red blood cell is about eight-millionths of a meter or eight micrometers (abbreviated as eight µm) in diameter. A pinhead is about two-thousandths of a meter (two mm) in diameter. That means about 250 red blood cells could fit on a pinhead. With few exceptions, we cannot see individual cells with the naked eye, so scientists use microscopes (micro- ="small; -scope = "to look at") to study them. A microscope is an instrument that magnifies an object. We photograph most cells with a microscope, so we can call these images micrographs.
The optics of a microscope’s lenses change the image orientation that the user sees. A specimen that is right-side up and facing right on the microscope slide will appear upside-down and facing left when one views through a microscope, and vice versa. Similarly, if one moves the slide left while looking through the microscope, it will appear to move right, and if one moves it down, it will seem to move up. This occurs because microscopes use two sets of lenses to magnify the image. Because of how light travels through the lenses, this two-lens system produces an inverted image (binocular, or dissecting microscopes, work in a similar manner, but include an additional magnification system that makes the final image appear to be upright).
Light Microscope
Most student microscopes are light microscopes (figure 1.1a). In this type of microscope, visible light passes and bends through the lens system to enable the user to see the specimen. Light microscopes are advantageous for viewing living organisms, but since individual cells are generally transparent, their components are not distinguishable unless they are colored with special stains. Staining, however, usually kills the cells.
Two parameters that are important in microscopy are magnification and resolving power. Magnification is the process of enlarging an object in appearance. Resolving power is the microscope's ability to distinguish two adjacent structures as separate: the higher the resolution, the better the image's clarity and detail. Light microscopes that students commonly use in the laboratory magnify up to approximately 400 times. Light microscopes can magnify up to 1,000 times when oil immersion lenses are used. To gain a better understanding of cellular structure and function, scientists typically use electron microscopes.
Electron Microscope
In contrast to light microscopes, electron microscopes (figure 1.1.1b) use a beam of electrons instead of a beam of light. Not only does this allow for higher magnification and, thus, more detail, but it also provides higher resolving power. There are two main types of electron microscopes, transmission electron microscope (TEM) and scanning electron microscope (SEM). In a scanning electron microscope, a beam of electrons moves back and forth across a cell’s surface, creating details of cell surface characteristics. In a transmission electron microscope, the electron beam penetrates the cell and provides details of a cell’s internal structures. As you might imagine, electron microscopes are significantly bulkier and more expensive than light microscopes.
To learn more about light microscopes, visit this site.
Cell theory
The microscopes we use today are far more complex than those that Dutch shopkeeper Antony van Leeuwenhoek, used in the 1600s. Skilled in crafting lenses, van Leeuwenhoek observed the movements of single-celled organisms, which he collectively termed “animalcules.” In the 1665 publication Micrographia, experimental scientist Robert Hooke coined the term “cell” for the box-like structures he observed when viewing cork tissue through a lens. In the 1670s, van Leeuwenhoek discovered bacteria and protozoa. Later advances in lenses, microscope construction, and staining techniques enabled other scientists to see some components inside cells. By the late 1830s, botanist Matthias Schleiden and zoologist Theodor Schwann were studying tissues and proposed the unified cell theory, which states that one or more cells comprise all living things, the cell is the basic unit of life, and new cells arise from existing cells. Rudolf Virchow later made important contributions to this theory.
Cells fall into one of two broad categories: prokaryotic and eukaryotic. We classify only the predominantly single-celled organisms Bacteria and Archaea as prokaryotes (pro- = “before”; -Kary- = “nucleus”). Animal cells, plants, fungi, and protists (protozoa) are all eukaryotes (EU- = “true”).
Cell Size
At 0.1 to 5.0 µm in diameter, prokaryotic cells are significantly smaller than eukaryotic cells, which have diameters ranging from 10 to 100 µm. The prokaryotes' small size allows ions and organic molecules that enter them to quickly diffuse to other parts of the cell. Similarly, any waste produced within a prokaryotic cell can quickly diffuse. This is not the case in eukaryotic cells, which have developed different structural adaptations to enhance intracellular transport. Small size, in general, is necessary for all cells, whether prokaryotic or eukaryotic. Let’s examine why that is so.
First, we’ll consider the area and volume of a typical cell. Not all cells are spherical in shape, but most tend to approximate a sphere. You may remember from your high school geometry course that the formula for the surface area of a sphere is 4πr2, while the formula for its volume is 4πr3/3. Thus, as the radius of a cell increases, its surface area increases as the square of its radius, but its volume increases as the cube of its radius (much more rapidly). Therefore, as a cell increases in size, it's surface area-to-volume ratio decreases. This same principle would apply if the cell had a cube shape (figure 1.1.2). If the cell grows too large, the plasma membrane will not have sufficient surface area to support the rate of diffusion required for the increased volume. In other words, as a cell grows, it becomes less efficient. One way to become more efficient is to divide. Other ways are to increase surface area by creating inward or outward projections of the cell membrane, becoming flat or thin and elongated, or by developing organelles that perform specific tasks. These adaptations lead to the development of more sophisticated cells, which we call eukaryotic cells.
For another perspective on cell size, try the HowBig interactive at this site.
Access for free at https://openstax.org/books/biology-2e/pages/4-1-studying-cells
Components of Prokaryotic Cell
All cells share four common components: 1) a plasma membrane, an outer covering that separates the cell’s interior from its surrounding environment; 2) cytoplasm, consisting of a jelly-like cytosol within the cell in which there are other cellular components; 3) DNA, the cell's genetic material; and 4) ribosome, which synthesize proteins. However, prokaryotes differ from eukaryotic cells in several ways.
A prokaryote is a simple, mostly single-celled (unicellular) organism that lacks a nucleus, or any other membrane-bound organelle. We will shortly come to see that this is significantly different in eukaryotes. Prokaryotic DNA is in the cell's central part: the nucleoid (figure 1.1.3)
Most prokaryotes have a Peptidoglycan cell wall, and many have a polysaccharide capsule (figure 1.1.3). The cell wall acts as an extra layer of protection, helps the cell maintain its shape, and prevents dehydration. The capsule enables the cell to attach to surfaces in its environment. Some prokaryotes have flagella, pili, or fimbriae. Flagella are used for locomotion. Pili exchange genetic material during conjugation, the process by which one bacterium transfers genetic material to another through direct contact. Bacteria use Fimbriae to attach to a host cell.
Access for free at https://openstax.org/books/biology-2e/pages/4-2-prokaryotic-cells
Components of Eukaryotic Cell
Have you ever heard the phrase “form follows function?” It’s a philosophy that many industries follow. In architecture, this means that buildings should be constructed to support the activities that will be carried out inside them. For example, a skyscraper should include several elevator banks. A hospital should place its emergency room where it is easily accessible.
Our natural world also utilizes the principle of form following function, especially in cell biology, and this will become clear as we explore eukaryotic (figure 1.1.4). Unlike prokaryote cells, eukaryotic cells have 1) a membrane-bound nucleus; 2) numerous membrane-bound organelles, such as the endoplasmic reticulum, Golgi apparatus, chloroplast, mitochondria, and others; and 3) several, rod-shaped chromosomes. Because a membrane surrounds the eukaryotic cell’s nucleus, it has a “true nucleus.” The word “organelle” means “little organ,” and, as we already mentioned, organelles have specialized cellular functions, just as your body's organs have specialized functions.
At this point, it should be clear to you that eukaryotic cells have a more complex structure than prokaryotic cells. Organelles allow different functions to be compartmentalized in different areas of the cell. Before turning to organelles, let’s first examine two important components of the cell: the plasma membrane and the cytoplasm.
The Plasma Membrane
Like prokaryotes, eukaryotic cells have a plasma membrane (figure 1.1.5), a phospholipid bilayer with embedded proteins that separate the internal contents of the cell from its surrounding environment. A phospholipid is a lipid molecule with two fatty acid chains and a phosphate-containing group. The plasma membrane controls the passage of organic molecules, ions, water, and oxygen into and out of the cell. Wastes (such as carbon dioxide and ammonia) also leave the cell by passing through the plasma membrane.
The Cytoplasm
The cytoplasm is the cell's entire region between the plasma membrane and the nuclear envelope (a structure we will discuss shortly). It is comprised of organelles suspended in the gel-like cytosol, the cytoskeleton, and various chemicals (figure 1.1.4). Even though the cytoplasm consists of 70 to 80 percent water, it has a semi-solid consistency, which comes from the proteins within it. However, proteins are not the only organic molecules in the cytoplasm. Glucose and other simple sugars, polysaccharides, amino acids, nucleic acids, fatty acids, and derivatives of glycerol are also there. Ions of sodium, potassium, calcium and many other elements also dissolve in the cytoplasm. Many metabolic reactions, including protein synthesis, take place in the cytoplasm.
The Nucleus
Typically, the nucleus is the most prominent organelle in a cell (figure 1.1.4). The nucleus (plural = nuclei) houses the cell’s DNA and directs the synthesis of ribosomes and proteins. Let’s look at it in more detail (figure 1.1.6).
The Nuclear Envelope
The nuclear envelope is a double-membrane structure that constitutes the nucleus' outermost portion (figure 1.1.6). Both the nuclear envelope's inner and outer membranes are phospholipid bilayers. The nuclear envelope is punctuated with pores that control the passage of ions, molecules, and RNA between the nucleoplasm and cytoplasm. The nucleoplasm is the semi-solid fluid inside the nucleus, where we find the chromatin and the nucleolus.
Chromatin and Chromosomes
To understand chromatin, it is helpful to first explore chromosomes, structures within the nucleus that are made up of DNA, the hereditary material. You may remember that in prokaryotes, DNA is organized into a single circular chromosome. In eukaryotes, chromosomes are linear structures. Every eukaryotic species has a specific number of chromosomes in the nucleus of each cell. For example, in humans, the chromosome number is 46, while in fruit flies, it is 8. Chromosomes are only visible and distinguishable from one another when the cell is getting ready to divide. When the cell is in the growth and maintenance phases of its life cycle, proteins attach to chromosomes. During this stage, they resemble an unwound, jumbled bunch of threads. We call these unwound protein-chromosome complexes chromatin (figure1.1.6 & 1.1.7). Chromatin describes the material that makes up the chromosomes both when condensed and decondensed.
The Nucleolus
We already know that the nucleus directs the synthesis of ribosomes, but how does it do this? Some chromosomes have sections of DNA that encode ribosomal RNA. A darkly staining area within the nucleus called the nucleolus (plural = nucleoli) aggregates the ribosomal RNA with associated proteins to assemble the ribosomal subunits that are then transported out through the pores in the nuclear envelope to the cytoplasm (figure 1.1.6).
Ribosomes
Ribosomes are the cellular structures responsible for protein synthesis. When we view them through an electron microscope, ribosomes appear either as clusters (polyribosomes) or as single, tiny dots that float freely in the cytoplasm. They may be attached to the cytoplasmic surfaces of the plasma membrane, on the endoplasmic reticulum, and the nuclear envelope (figure 1.1.4). Electron microscopy shows us that ribosomes, which are large protein and RNA complexes, consist of two subunits: large and small (figure 1.1.8). Ribosomes receive their “orders” for protein synthesis from the nucleus where the DNA transcribes into messenger RNA (mRNA). The mRNA travels to the ribosomes, which translate the code, provided by the sequence of the nitrogenous bases in the mRNA, into a specific order of amino acids in a protein. Amino acids are the building blocks of proteins.
Because protein synthesis is an essential function of all cells (including enzymes, hormones, antibodies, pigments, structural components, and surface receptors), there are ribosomes in practically every cell. Ribosomes are particularly abundant in cells that synthesize large amounts of protein. For example, the pancreas is responsible for creating several digestive enzymes and the cells that produce these enzymes contain many ribosomes. Thus, we see another example of the structure following function.
Mitochondria
Scientists often call mitochondria (singular = mitochondrion) “powerhouses” or “energy factories” of both plant and animal cells because they are responsible for making adenosine triphosphate (ATP) — the cell’s main energy-carrying molecule. Cellular respiration is the process of making ATP using the chemical energy in glucose and other nutrients. In mitochondria, this process uses oxygen and produces carbon dioxide as a waste product. Mitochondria are oval-shaped, double-membrane organelles (figure 1.1.9) that have their own ribosomes and DNA. Each membrane is a phospholipid bilayer embedded with proteins. The inner layer has inward projections or folds called cristae. The inner lumen of mitochondria is filled with viscous fluid called matrix, made up of enzymes, certain vitamins & minerals in different forms, ions, small and large proteins, DNA, and ribosomes.
Peroxisomes
Peroxisomes are small, round organelles enclosed by single membranes. They carry out oxidation reactions that break down fatty acids and amino acids. They also detoxify many poisons that may enter the body. (Many of these oxidation reactions release hydrogen peroxide H2O2, which would be damaging to cells; however, when these reactions are confined to peroxisomes, enzymes safely break down the H2O2 into oxygen and water.) For example, peroxisomes in liver cells detoxify alcohol. Glyoxysomes, which are specialized peroxisomes in plants, are responsible for converting stored fats into sugars. Plant cells contain many different types of peroxisomes that play a role in metabolism, pathogen defense, and stress response, to mention a few.
Vesicles and Vacuoles
Vesicles and vacuoles are membrane-bound sacs that function in storage and transport. Other than the fact that vacuoles are somewhat larger than vesicles, there is a very subtle distinction between them. Vesicle membranes can fuse with either the plasma membrane or other membrane systems within the cell. The vacuole's membrane does not fuse with the membranes of other cellular components. Additionally, some agents such as enzymes within plant vacuoles break down macromolecules.
Endomembrane System
Scientists have long noticed that bacteria, mitochondria, and chloroplast are similar in size. We also know that bacteria have DNA and ribosomes, just like mitochondria and chloroplasts. Scientists believe that host cells and bacteria formed an endosymbiotic relationship when the host cells ingested both aerobic and autotrophic bacteria (cyanobacteria) but did not destroy them. Through many millions of years of evolution, these ingested bacteria became more specialized in their functions, with the aerobic bacteria becoming mitochondria and the autotrophic bacteria becoming chloroplasts. The endomembrane system (endo = “within”) is a group of membranes and organelles (figure 1.1.4) in eukaryotic cells that works together to modify, package, and transport lipids and proteins. It includes the nuclear envelope, lysosomes, and vesicles, which we have already mentioned, as well as the endoplasmic reticulum and Golgi apparatus, which we will cover shortly. Although not technically within the cell, the plasma membrane is included in the endomembrane system because, as you will see, it interacts with the other endomembranous organelles. The endomembrane system does not include either mitochondria or chloroplast membranes.
The Endoplasmic Reticulum
The endoplasmic reticulum (ER) (figure 1.1.4) is a series of interconnected membranous sacs and tubules. The ER's membrane, which is a phospholipid bilayer embedded with proteins, is continuous with the nuclear envelope. The inner hollow space of ER is called lumen or cisternal space. ER is responsible for modifying proteins, and their transportation as well as for synthesizing lipids. However, these two functions take place in two different areas of the ER: the rough ER and the smooth ER, respectively.
Rough Endoplasmic Reticulum
Scientists have named the rough endoplasmic reticulum (RER) as such because the ribosomes attached to its cytoplasmic surface give it a studded appearance when viewing it through an electron microscope (figure 1.1.10). Ribosomes transfer their newly synthesized proteins into the RER's lumen where they undergo structural modifications, such as folding or acquiring side chains. These modified proteins incorporate into cellular membranes—the ER or the ER's or other organelles' membranes. The proteins can also secrete from the cell (such as protein hormones, and enzymes). The RER also makes phospholipids for cellular membranes. If the phospholipids or modified proteins are not destined to stay in the RER, they will reach their destinations via transport vesicles that bud from the RER’s membrane (figure 1.1.11).
Since the RER is engaged in modifying proteins (such as enzymes, for example) that secrete from the cell, you would be correct in assuming that the RER is abundant in cells that secrete proteins.
Smooth Endoplasmic Reticulum
The smooth endoplasmic reticulum (SER) is continuous with the RER but has few or no ribosomes on its cytoplasmic surface (figure 1.1.11). SER functions include the synthesis of carbohydrates, lipids, and steroid hormones; detoxification of medications and poisons; and storing calcium ions. In muscle cells, a specialized SER, the sarcoplasmic reticulum, is responsible for storing calcium ions that are needed to trigger the muscle cells' coordinated contractions.
The Golgi Apparatus
We have already mentioned that vesicles can bud from the ER and transport their contents elsewhere, but where do the vesicles go? Before reaching their final destination, the lipids or proteins within the transport vesicles still need sorting, packaging, and tagging so that they end up in the right place. Sorting, tagging, packaging, and distributing lipids and proteins takes place in the Golgi apparatus (also called the Golgi body), a series of flattened membranous sacs (figure 1.1.12).
The side of the Golgi apparatus that is closer to the ER is called the cis face. The opposite side is the trans face. The transport vesicles that formed from the ER travel to the cis face, fuse with it, and empty their contents into the lumen of the Golgi apparatus. As the proteins and lipids travel through the Golgi, they undergo further modifications that allow them to be sorted. The most frequent modification is adding short-chain sugar molecules. These newly modified proteins and lipids are then tagged with phosphate groups or other small molecules to travel to their target destinations. Finally, the modified and tagged proteins are packaged into secretory vesicles that bud from the Golgi's trans face. While some of these vesicles deposit their contents into other cell parts where they will be used, other secretory vesicles fuse with the plasma membrane and release their contents outside the cell.
In another example of form following function, cells that engage in a great deal of secretory activity (such as salivary gland cells that secrete digestive enzymes or immune system cells that secrete antibodies) have an abundance of Golgi. In a plant cell, the Golgi apparatus has the additional role of synthesizing polysaccharides, some of which are incorporated into the cell wall and some of which other cell parts use.
Lysosomes
The lysosomes are the cell’s “garbage disposal.” Enzymes within the lysosomes aid in breaking down proteins, polysaccharides, lipids, nucleic acids, and even worn-out organelles. Most plant cells do not have lysosomes, though many of these lysosomal enzymes are present in the vacuole of the plant cell. Lysosomes are also part of the endomembrane system.
You can watch an excellent animation of the endomembrane system here. At the end of the animation, there is a short self-assessment.
Cytoskeleton
If you were to remove all the organelles from a cell, would the plasma membrane and the cytoplasm be the only components left? No. Within the cytoplasm, there would still be ions and organic molecules, plus a network of protein fibers that help maintain the cell's shape, secure some organelles in specific positions, allow cytoplasm and vesicles to move within the cell, and enable cells within the all eukaryotic organisms to move. Collectively, scientists call this network of protein fibers the cytoskeleton. There are three types of fibers within the cytoskeleton: microfilaments, intermediate filaments, and microtubules (figure 1.1.13). Here, we will examine each.
Microfilaments
Also called actin filaments (figure 1.1.14), microfilaments are the narrowest. They function in cellular movement, have a diameter of about 7 nm, and are made up of intertwined strands of two globular proteins. Microfilaments also provide some rigidity and help cells to change their shape. Microfilaments function in muscle contraction, cytoplasmic streaming, maintaining the cell shape, internal transport and cytokinesis.
Intermediate Filaments
Intermediate filaments are filaments with a diameter of about 8 to 10 nm (figure 1.1.15). You are probably most familiar with keratin, the fibrous protein that strengthens your hair, nails, and the skin's epidermis. Intermediate filaments have no role in cell movement. Their function is purely structural. They bear tension, thus maintaining the cell's shape, and anchor the nucleus and other organelles in place. The intermediate filaments are the most diverse group of cytoskeletal elements. The research is ongoing to understand the function of intermediate filaments in plants.
Microtubules
As their name implies, microtubules are small hollow tubes. With a diameter of about 25 nm, microtubules are the widest component of cytoskeletons. Two globular proteins, α-tubulin and β-tubulin are polymerized as dimers, which then associate with other such dimers laterally to form tubular structures called protofilaments. One of the common arrangements is of 13 protofilaments joined to each other, side by side, to form a microtubule (figure 1.1.16). They help the cell resist compression, provide a track along which vesicles move through the cell, and pull replicated chromosomes to opposite ends of a dividing cell. Like microfilaments, microtubules can disassemble and reform quickly. Microtubules participate in cell division in plant cells.
You have now completed a broad survey of prokaryotic and eukaryotic cell components. For a summary of cellular components in prokaryotic and eukaryotic cells, see table 1.1
Cell Component | Function | Present in Prokaryotes? | Present in Animal Cells? | Present in Plant Cells? |
Plasma membrane | Separates cell from the external environment; controls passage of organic molecules, ions, water, oxygen, and wastes into and out of a cell | Yes | Yes | Yes |
Cytoplasm | Provides turgor pressure to plant cells as the fluid inside the central vacuole; site of many metabolic reactions; medium in which organelles are found | Yes | Yes | Yes |
Nucleolus | The darkened area within the nucleus where ribosomal subunits are synthesized. | No | Yes | Yes |
Nucleus | A cell organelle that houses DNA and directs the synthesis of ribosomes and proteins | No | Yes | Yes |
Ribosomes | Protein synthesis | Yes | Yes | Yes |
Mitochondria | ATP production/cellular respiration | No | Yes | Yes |
Peroxisomes | Oxidize and thus break down fatty acids and amino acids, and detoxify poisons | No | Yes | Yes |
Vesicles and vacuoles | Storage and transport; digestive function in plant cells | No | Yes | Yes |
Centrosome | Unspecified role in cell division in animal cells; microtubule source in animal cells | No | Yes | No |
Lysosomes | Digestion of macromolecules; recycling of worn-out organelles | No | Yes | Some |
Cell wall | Protection, structural support, and maintenance of cell shape | Yes, primarily peptidoglycan | No | Yes, primarily cellulose |
Chloroplasts | Photosynthesis | No | No | Yes |
Endoplasmic reticulum | Modifies proteins and synthesizes lipids | No | Yes | Yes |
Golgi apparatus | Modifies, sorts, tags, packages, and distributes lipids and proteins | No | Yes | Yes |
Cytoskeleton | Maintains cell’s shape, secures organelles in specific positions, allows cytoplasm and vesicles to move within the cell, and enables unicellular organisms to move independently | Yes | Yes | Yes |
Flagella | Cellular locomotion | Some | Some | No, except for some plant sperm cells |
Cilia | Cellular locomotion, movement of particles along plasma membrane's extracellular surface, and filtration | Some | Some | No |
Extracellular Structure
If you work on a group project, you need to communicate with others (at least your group members and the teacher). As you might expect, if cells are to work together, they must communicate with each other. Let’s look at how cells communicate with each other. Animal cells release materials into the extracellular space. The primary component of these materials is collagen. Collagen fibers are interwoven with proteoglycans, which are carbohydrate-containing protein molecules. Collectively, we call these materials the extracellular matrix. Plant cells do not secrete collagen but produce a rigid cell wall.
Access for free at https://openstax.org/books/biology-2e/pages/4-3-eukaryotic-cells
Components of a Plant Cell
At this point, you know that all eukaryotic cell has a plasma membrane, cytoplasm, a nucleus, ribosomes, mitochondria, peroxisomes, and in some vacuoles, microtubule organizing centers (MTOCs). Animal cells and plant cells have lysosomes, though lysosomes in plants operate differently and are not very common. There are some striking differences between animal and plant cells. In animal cells centrioles are associated with the MTOC, a complex we call the centrosome. Plant cells lack centrioles. Plant cells have a cell wall, chloroplasts, and other specialized plastids, and a large central vacuole, whereas animal cells do not.
The Cell Wall
If you examine figure 1.1.4 b, the plant cell diagram, you will see a structure external to the plasma membrane. This is the cell wall, a rigid covering that protects the cell, provides structural support, and gives shape to the cell. Fungal and some protistan cells also have cell walls. While the prokaryotic cell walls' chief component is peptidoglycan, the major organic molecule in the plant’s (and some protists') cell wall is cellulose — a polysaccharide comprised of glucose units (figure 1.1.17). Have you ever noticed that when you bite into a raw vegetable, like celery, it crunches? That’s because you are tearing the rigid cell walls of a celery stalk with your teeth.
Central Vacuole
Previously, we mentioned vacuoles as essential components of plant cells. If you look at figure 1.1.4b, you will see that each plant cell has a large central vacuole that occupies most of the space inside the cell. The central vacuole plays a key role in regulating the cell’s concentration of water in changing environmental conditions. Have you ever noticed that if you forget to water a plant for a few days, it wilts? That’s because as the water concentration in the soil becomes lower than the water concentration in the plant, water moves out of the central vacuoles and cytoplasm. As the central vacuole shrinks, it leaves the cell wall unsupported. This loss of support to the plant's cell walls results in a wilted appearance. The central vacuole also supports the cell's expansion. When the central vacuole holds more water, the cell becomes larger without having to invest considerable energy in synthesizing new cytoplasm.
Chloroplasts
Like the mitochondria, chloroplasts have their own DNA and ribosomes, but chloroplasts have an entirely different function. Chloroplasts are plant cell organelles that carry out photosynthesis. Photosynthesis is the series of reactions that use carbon dioxide, water, and light energy to make glucose and oxygen. This is a major difference between plants and animals. Plants (autotrophs) can make their own food, like sugars that is used in cellular respiration to provide ATP energy generated in the plant mitochondria. Animals (heterotrophs) must ingest their food.
Like mitochondria, chloroplasts have outer and inner membranes, but within the space enclosed by a chloroplast’s inner membrane is a set of interconnected and stacked fluid-filled membrane sacs we call thylakoids (figure 1.1.18). Each thylakoid stack is a granum (plural = grana). We call the fluid enclosed by the inner membrane that surrounds the grana the stroma. The chloroplasts contain a green pigment, chlorophyll, which captures the light energy that drives the reactions of photosynthesis. Like plant cells, photosynthetic protists also have chloroplasts. Some bacteria perform photosynthesis, but their chlorophyll is different from that of plants and is not present inside an organelle.
Intercellular Junctions
Cells can also communicate with each other via direct contact or intercellular junctions. There are differences in the ways that plant and animal and fungal cells communicate. Plasmodesmata are junctions between plant cells, whereas, animal cell contacts include tight junctions, gap junctions, and desmosomes. Only plasmodesmata are discussed here.
Plasmodesmata
In general, long stretches of the plasma membranes of neighboring plant cells cannot touch one another because the cell wall that surrounds each cell separates them (figure 1.1.4b). How then, can a plant transfer water and other soil nutrients from its roots, through its stems, and to its leaves? Such transport uses the vascular tissues (xylem and phloem) primarily. There also exist structural modifications, which we call plasmodesmata (singular = plasmodesma). Numerous channels pass between adjacent cell walls of plant cells connecting their cytoplasm, and enabling the transport of materials from cell to cell, and thus throughout the plant (figure 1.1.19).
Access for free at https://openstax.org/books/biology-2e/pages/4-3-eukaryotic-cells
Attributions
Biology 2e by Clark Mary Ann, Douglas Matthew, Choi Jung. OpenStax is licensed under Creative Commons Attribution License V 4.0
Introduction to Organismal Biology at https://sites.gatech.edu/organismalbio/ is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 3.0 Unported License.
Botany by Melissa Ha, Maria Morrow, and Kammy Algiers is shared under a CC BY-NC 4.0 license and was authored, remixed, and/or curated by Melissa Ha, Maria Morrow, & Kammy Algiers.
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oercommons
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Life Science
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https://oercommons.org/courseware/lesson/87592/overview
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3.3 Vascular Tissue
3.4 Ground Tissue & Cell Types
3_Plant-Tissues-and-Cell-Types
Plant Tissues and Cell Types
Overview
Introduction
Learning Objectives
- List three types of tissues in plants.
- Describe the identifying features of dermal tissue.
- List the most common modifications of dermal tissue.
- List two types of vascular tissues.
- Explain the structure of xylem tracheids and vessels.
- Explain the structure of phloem sieve tube members and companion cells.
- Differentiate between xylem and phloem.
- List the three types of plant cells.
- List the identifying features of parenchyma, collenchyma and sclerenchyma and their modifications.
Key Terms
adventitious root - an above ground root that arises from a plant part other than the radicle of the plant embryo
apical bud - bud formed at the tip of the shoot
apical meristem - meristematic tissue located at the tips of stems and roots; enables a plant to extend in length
axillary bud - bud located in the axil of a leaf, area of the stem where the petiole connects to the stem
bark - the tough, waterproof, outer epidermal layer of cork cells
bulb - modified underground stem that consists of a large bud surrounded by numerous leaf scales
Casparian strip - waxy coating that forces water to cross endodermal plasma membranes before entering the vascular cylinder, instead of moving between endodermal cells
collenchyma cell - elongated plant cell with unevenly thickened walls; provides structural support to the stem and leaves
companion cell - phloem cell that is connected to sieve-tube cells; has large amounts of ribosomes and mitochondria
compound leaf - a leaf in which the leaf blade is subdivided to form leaflets, all attached to the midrib
corm - rounded, fleshy underground stem that contains stored food
cortex - ground tissue found between the vascular tissue and the epidermis in a stem or root
cuticle - waxy covering on the outside of the leaf and stem that prevents the loss of water
dermal tissue - a protective plant tissue covering the outermost part of the plant; controls the gas exchange
endodermis - a layer of cells in the root that forms a selective barrier between the ground tissue and the vascular tissue, allowing water and minerals to enter the root while excluding toxins and pathogens
epidermis - a single layer of cells found in plant dermal tissue; covers and protects underlying tissue
fibrous root system - type of root system in which the roots arise from the base of the stem in a cluster, forming a dense network of roots; found in monocots
ground tissue - plant tissue involved in photosynthesis; provides support, and stores water and sugars
guard cells - paired cells on either side of a stoma that control the stomatal opening and thereby regulate the movement of gases and water vapor
intercalary meristem - meristematic tissue located at nodes and the bases of leaf blades; found only in monocots
internode - region between nodes on the stem
lamina - leaf blade
lateral meristem - also called secondary meristem, meristematic tissue that enables a plant to increase in thickness or girth caused by the vascular cambium and cork cambium
lenticel - opening on the surface of mature woody stems that facilitates gas exchange
meristem - plant region of continuous growth
meristematic tissue - tissue containing cells that constantly divide; contributes to plant growth
node - point along the stem at which leaves, flowers, or aerial roots originate
palmately compound leaf - leaf type with leaflets that emerge from a point, resembling the palm of a hand
parenchyma cell - most common type of plant cell; found in the stem, root, leaf, and in fruit pulp; site of photosynthesis and starch storage
pericycle - outer boundary of the stele from which lateral roots can arise
periderm - outermost covering of woody stems; consists of the cork cambium, cork cells, and the phelloderm
permanent tissue - plant tissue composed of cells that are no longer actively dividing
petiole - stalk of the leaf
phyllotaxy - arrangement of leaves on a stem
pinnately compound leaf - leaf type with a divided leaf blade consisting of leaflets arranged on both sides of the midrib
pith - ground tissue found towards the interior of the vascular tissue in a stem or root
primary growth - growth resulting in an increase in length of the stem and the root; caused by cell division in the shoot or root apical meristem
rhizome - modified underground stem that grows horizontally to the soil surface and has nodes and internodes
root cap - protective cells covering the tip of the growing root
root hair - hair-like structure that is an extension of epidermal cells; increases the root surface area and aids in absorption of water and minerals
root system - belowground portion of the plant that supports the plant and absorbs water and minerals
runner - stolon that runs above the ground and produces new clone plants at nodes
sclerenchyma cell - plant cell that has thick secondary walls and provides structural support, usually dead at maturity
sessile - leaf without a petiole that is attached directly to the plant stem
shoot system - aboveground portion of the plant; consists of nonreproductive plant parts, such as leaves and stems, and reproductive parts, such as flowers and fruits
sieve-tube cell - (sieve-tube members in angiosperms) phloem cell arranged end to end to form a sieve tube that transports organic substances, such as sugars and amino acids
simple leaf - leaf type in which the lamina is completely undivided or merely lobed
sink - growing parts of a plant, such as roots and young leaves, which require photosynthate
source - organ that produces photosynthate for a plant
stele - inner portion of the root containing the vascular tissue; surrounded by the endodermis
stipule - small green structure found on either side of the leaf stalk or petiole
stolon - modified stem that runs parallel to the ground and can give rise to new plants at the nodes
tap root system - type of root system with a main root that grows vertically with few lateral roots; found in dicots
tendril - modified stem consisting of slender, twining strands used for support or climbing
thorn - modified stem branch appearing as a sharp outgrowth that protects the plant
tracheid - xylem cell with thick secondary walls that helps transport water
translocation - mass transport of photosynthates from source to sink in vascular plants
transpiration - loss of water vapor to the atmosphere through stomata
trichome - hair-like structure on the epidermal surface
tuber - modified underground stem adapted for starch storage; has many adventitious buds
vascular bundle - strands of plant tissue made up of xylem and phloem
vascular stele - strands of root tissue made up of xylem and phloem
vascular tissue - tissue made up of xylem and phloem that transports food and water throughout the plant
venation - pattern of veins in a leaf; may be parallel (as in monocots), reticulate (as in dicots), or dichotomous (as in ginkgo biloba)
vessel element - xylem cell that is shorter than a tracheid and has thinner walls
whorled - pattern of leaf arrangement in which three or more leaves are connected at a node
Introduction
Plants are multicellular eukaryotes with tissue systems made of various cell types that carry out specific functions. Plant tissue systems fall into one of two general types: meristematic tissue or permanent (or non-meristematic) tissue. Cells of the meristematic tissue are found in meristems, which are plant regions of continuous cell division and growth. Meristematic tissue cells are either undifferentiated or incompletely differentiated, and they continue to divide and contribute to the growth of the plant. In contrast, permanent tissue consists of plant cells that are no longer actively dividing.
There are two types of meristematic tissues, based on their location in the plant. Apical meristem or primary meristem contain meristematic tissue located at the tips of stems and roots, which enable a plant to extend in length. Lateral meristem or secondary meristem facilitate growth in thickness or girth in a maturing woody plant. Intercalary meristem is found in some monocots such as grasses. Meristems produce cells that quickly differentiate, or specialize, and become permanent tissue. Such cells take on specific roles and lose their ability to divide further. They differentiate into three main types: dermal, vascular, and ground tissue.
Permanent tissues are either simple (composed of similar cell types) or complex (composed of different cell types). Dermal tissue, for example, is a simple tissue that covers the outer surface of the plant and controls gas exchange. Dermal tissue covers and protects the plant, while vascular tissue transports water, minerals, and sugars to different parts of the plant. Vascular tissue is an example of a complex tissue and is made of two specialized conducting tissues: xylem and phloem.
Xylem tissue transports water and nutrients from the roots to different parts of the plant and includes three different cell types: vessel elements and tracheids (both of which conduct water), and xylem parenchyma. Phloem tissue, which transports organic compounds from the site of photosynthesis to other parts of the plant, consists of four different cell types: sieve elements (which conduct photosynthates), companion cells, phloem parenchyma, and phloem fibers. Gymnosperms lack sieve elements and companion cells. Cells carrying out similar function in gymnosperms are called sieve cells. Unlike xylem conducting cells, phloem conducting cells are alive at maturity. The xylem and phloem always lie adjacent to each other (Figure 1.3.1). In stems, the xylem and the phloem form a structure called a vascular bundle; in roots, this is termed the vascular stele or vascular cylinder.
Ground tissue serves as a site for photosynthesis, provides a supporting matrix for the vascular tissue, and helps to store water and sugars.
Any part of a plant has three tissue systems: dermal, vascular, and ground tissue. Each is distinguished by characteristic cell types that perform specific tasks necessary for the plant’s growth and survival.
Access for free at https://openstax.org/books/biology-2e/pages/30-1-the-plant-body
Dermal Tissue
Dermal Tissue
The dermal tissue of the stem consists primarily of epidermis, a single layer of cells covering and protecting the underlying tissue. Woody plants have a tough, waterproof outer layer of cork cells commonly known as bark, which further protects the plant from damage. Epidermal cells are the most numerous and least differentiated of the cells in the epidermis. The epidermis of a leaf also contains openings known as stomata, through which the exchange of gases takes place (Figure 1.3.2). Two cells, known as guard cells, surround each leaf stoma, controlling its opening and closing and thus regulating the uptake of carbon dioxide and the release of oxygen and water vapor. Trichomes are hair-like structures on the epidermal surface. They help to reduce transpiration (the loss of water by aboveground plant parts), increase solar reflectance, and store compounds that defend the leaves against predation by herbivores.
Access for free at https://openstax.org/books/biology-2e/pages/30-2-stems
Vascular Tissue
Vascular Tissue
The xylem and phloem that make up the vascular tissue of the stem are arranged in distinct strands called vascular bundles, which run up and down the length of the stem. When the stem is viewed in cross section, the vascular bundles of dicot stems are arranged in a ring. In plants with stems that live for more than one year, the individual bundles grow together and produce the characteristic growth rings. In monocot stems, the vascular bundles are randomly scattered throughout the ground tissue (Figure 1.3.3).
Xylem tissue has three types of cells: xylem parenchyma, tracheids, and vessel elements. The latter two types conduct water and are dead at maturity. Tracheids are xylem cells with thick secondary cell walls that are lignified. Water moves from one tracheid to another through regions on the side walls known as pits, where secondary walls are absent. Vessel elements are xylem cells with thinner walls; they are shorter than tracheids. Each vessel element is connected to the next by means of a perforation plate at the end walls of the element. Water moves through the perforation plates to travel up the plant.
Phloem tissue is composed of sieve-tube cells, companion cells, phloem parenchyma, and phloem fibers. A series of sieve-elements (also called sieve-tube members) are arranged end to end to make up a long sieve tube, which transports organic substances such as sugars and amino acids. The sugars flow from one sieve-tube cell to the next through perforated sieve plates, which are found at the end junctions between two cells. Although still alive at maturity, the nucleus and other cell components of the sieve-tube cells have disintegrated. Companion cells are found alongside the sieve-tube cells, providing them with metabolic support. The companion cells contain more ribosomes and mitochondria than the sieve-tube cells, which lack some cellular organelles.
Access for free at https://openstax.org/books/biology-2e/pages/30-2-stems
Ground Tissue & Cell Types
Ground Tissue
Plant tissues that are not dermal or vascular are considered ground tissue. Cell of ground tisses perform many differnent types of functions, such as photosynthesis, storage, based on their location. In a stem ground tissue mostly contains parenchyma cells, but may also contain collenchyma and sclerenchyma cells that help support the stem. The ground tissue towards the interior of the vascular tissue in a stem or root is known as pith, while the layer of tissue between the vascular tissue and the epidermis is known as the cortex.
Let us look at three types of plant cells, parenchyma, collenchyma, and sclerenchyma cells.
Parenchyma cells are the most common plant cells (Figure 1.3.4). They are found in the stem, the root, the inside of the leaf, and the pulp of the fruit. These cells are somewhat spherical and have thin primary wall. This help in exchange of raw material and waste products between outside and the inside of the cell. Parenchyma cells are responsible for metabolic functions, such as photosynthesis, and they help repair and heal wounds. Some parenchyma cells also store starch. Parenchyma cells rarely show formation of secondary wall.
Collenchyma cells are elongated cells with unevenly thickened walls (Figure 1.3.5). They provide structural support, mainly to the stem and leaves. These cells are alive at maturity and are usually found below the epidermis. The “strings” of a celery stalk are an example of collenchyma cells.
Sclerenchyma cells also provide support to the plant, but unlike collenchyma cells, many of them are dead at maturity. There are two types of sclerenchyma cells: fibers and sclereids. Both types have secondary cell walls that are thickened with deposits of lignin—an organic compound that is a key component of wood. Fibers are long, slender cells; sclereids are smaller-sized. Sclereids give pears their gritty texture. Humans use sclerenchyma fibers to make linen and rope (Figure 1.3.6).
Access for free at https://openstax.org/books/biology-2e/pages/30-2-stems
Dig Deeper
Watch Botany Without Borders, a video produced by the Botanical Society of America about the importance of plants.
Attributions
Title: Browallia americana L.: entire flowering plant with separate parts of fruit and seeds. Coloured etching by M. Bouchard, 1774.
Work Type: Scientific illustrations
Date: 1774
Description: Browallia demissa pedunculis unifloris. H.Cliff.318.t.17. - Hort.Ups.179. - Linn.Sp.Plant.773
Repository: Wellcome Collection
Collection: Open Artstor: Wellcome Collection
ID Number: V0042766ER
Source: Image and original data from Wellcome Collection
License: Creative Commons: Attribution
Use of this image is in accordance with the applicable Terms & Conditions
Biology 2e by Clark Mary Ann, Douglas Matthew, Choi Jung. OpenStax is licensed under Creative Commons Attribution License V 4.0
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Textbook
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https://oercommons.org/courseware/lesson/91147/overview
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Why it Matters
Overview
Teacher resources for Unit 1 can be found on the next page.
Why explain what marketing is and how it’s used?
Resources for Unit 1: What is Marketing?
Slide Deck - PrinciplesofMarketing_01_WhatisMarketing_WbSR6Er.pptx
SDC Principles of Marketing Crosswalk with TN State Standards
Discussion Assignments and Alignment: Self-Introduction
Marketing Plan Resources
Marketing Plan Placement in Course
Pacing
The Principles of Marketing textbook contains sixteen units—roughly one unit per week for a 16-week semester. If you need to modify the pace and cover the material more quickly, the following units work well together:
- Unit 1: What Is Marketing? and Unit 2: Marketing Function. Both are lighter, introductory units.
- Unit 15: Global Marketing and Unit 16: Marketing Plan. Unit 16 has more course review and synthesis information than new material per se.
- Unit 5: Ethics can be combined with any unit. You can also move it around without losing anything.
- Unit 8: Positioning and Unit 9: Branding. Companion modules that can be covered in a single week.
- Unit 6: Marketing Information & Research and Unit 7: Consumer Behavior. Companion units that can be covered in a single week.
We recommend NOT doubling up the following units, because they are long and especially challenging. Students will need more time for mastery and completion of assignments.
- Unit 4: Marketing Strategy
- Unit 10: Product Marketing
- Unit 13: Promotion: Integrated Marketing Communication
Did you have an idea for improving this content? We’d love your input.
Learning Outcomes
- Define marketing
- Identify evidence of marketing in everyday life
- Demonstrate a clear understanding of the marketing concept
- Describe the role of marketing in building and managing customer relationships
- Describe how different types of organizations, such as non-profits, consumer product (B2C) firms and business-to-business (B2B) organizations, use marketing
- Explain how marketing creates value for the consumer, the company, and society
When you hear the term “marketing,” what comes to mind?
Based on what you know about marketing right now, what one word would you use to describe it? Take a moment to write it down. We’ll come back to it shortly.
Marketing is a tool used by companies, organizations, and people to shape our perceptions and persuade us to change our behavior. The most effective marketing uses a well-designed strategy and a variety of techniques to alter how people think about and interact with the product or service in question. Less-effective marketing causes people to turn off, tune out, or not even notice.
Why should you care about marketing? Marketing is an ever-present force in modern society, and it can work amazingly well to influence what we do and why we do it. Consider these points:
Marketing sells products.
Marketing changes how you think about things.
You can view the text alternative for “Best Commercial EVER!!!” (opens in new window).
Marketing creates memorable experiences.
You can view the transcript for “IKEA BIG Sleepover” (opens in new window).
Marketing alters history.
You can view the transcript for “Reagan 1984 Election Ad (Bear in the woods)” (opens in new window) or the text alternative for “Reagan 1984 Election Ad (Bear in the woods)” (opens in new window).
Marketing can use a variety of elements to shape perceptions and behavior: words, images, design, experiences, emotions, stories, relationships, humor, sex appeal, etc. And it can use a wide variety of tactics, from advertising and events to social media and search-engine optimization. Often the purpose is to sell products, but as you can see from the examples above, the goal of any specific marketing effort may have little to do with money and much more to do with what you think and do.
By the time you finish this course, you will have a broader understanding of marketing beyond TV commercials and billboards and those annoying pop-up ads on the websites you visit. You’ll learn how to see marketing for what it is. You’ll learn how to be a smart consumer and a smart user of marketing techniques when the need for them arises in your life.
Go back to that word you jotted down to describe marketing at the top of the page. Now that you’ve had a little more exposure to the concept, what word comes to mind to describe “marketing”? Is it the same word you chose earlier, or are you starting to think differently?
Stay tuned for more!
LICENSES AND ATTRIBUTIONS
CC LICENSED CONTENT, ORIGINAL
- Why It Matters: What Is Marketing? . Provided by: Lumen Learning. License: CC BY: Attribution
CC LICENSED CONTENT, SPECIFIC ATTRIBUTION
- People Start Pollution. Provided by: Ad Council. Located at: https://en.wikipedia.org/wiki/File:People_Start_Pollution_-_1971_Ad.jpg#/media/File:People_Start_Pollution_-_1971_Ad.jpg. License: Other. License Terms: Fair use under United States copyright law
ALL RIGHTS RESERVED CONTENT
- IKEA Big Sleepover. Provided by: IKEA UK. Located at: https://youtu.be/YMJD53fxihU. License: All Rights Reserved. License Terms: Standard YouTube license
- Commercial - Reagan 1984 Election Ad (Bear in the woods). Authored by: jpspin2122. Located at: https://youtu.be/KQNBNiXGMiA. License: All Rights Reserved. License Terms: Standard YouTube license
- Best Commercial EVER!. Authored by: loveallaroundyou. Located at: https://youtu.be/OAlyHUWjNjE. License: All Rights Reserved. License Terms: Standard YouTube license
- Screen shot of Amazon unicorn recommendations. Provided by: Amazon. License: All Rights Reserved. License Terms: Fair Use
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03/22/2022
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"author": "Anna McCollum"
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Marketing and Customer Relationships
Overview
Marketing and Customer Relationships
Outcome: Marketing and Customer Relationships
What you’ll learn to do: describe the role of marketing in building and managing customer relationships
The marketing concept provides exactly the right mindset for what we ultimately want to achieve: building strong relationships with customers. Next we’ll explore how marketing plays a central role in each stage of building and managing customer relationships.
The specific things you’ll learn in this section include:
- Define the concept of customer lifetime value
- Explain why customer relationship building is a central purpose of marketing
- Explain engagement marketing and how it alters a customer’s relationship with a brand.
Learning Activities
The learning activities for this section include the following:
- Reading: Marketing and Customer Relationships
LICENSES AND ATTRIBUTIONS
CC LICENSED CONTENT, ORIGINAL
- Outcome: Marketing and Customer Relationships. Provided by: Lumen Learning. License: CC BY: Attribution
Reading: Marketing and Customer Relationships
Customer Relationship Management: A Strategic Imperative
We have stated that the central purpose of marketing is to help organizations identify, satisfy, and retain their customers. These three activities lay the groundwork for what has become a strategic imperative in modern marketing: customer relationship management.
To a student of marketing in the digital age, the idea of relationship building between customers and companies may seem obvious and commonplace. It certainly is a natural outgrowth of the marketing concept, which orients entire organizations around understanding and addressing customer needs. But only in recent decades has technology made it possible for companies to capture and utilize information about their customers to such a great extent and in such meaningful ways. The Internet and digital social media have created new platforms for customers and product providers to find and communicate with one another. As a result, there are more tools now than ever before to help companies create, maintain, and manage customer relationships.
Maximizing Customer Lifetime Value
Central to these developments is the concept of customer lifetime value. Customer lifetime value predicts how much profit is associated with a customer during the course of their lifetime relationship with a company.1 One-time customers usually have a relatively low customer lifetime value, while frequent, loyal, repeat-customers typically have a high customer lifetime value.
How do companies develop strong, ongoing relationships with customers who are likely to have a high customer lifetime value? Through marketing, of course.
Marketing applies a customer-oriented mindset and, through particular marketing activities, tries to make initial contact with customers and move them through various stages of the relationship—all with the goal of increasing lifetime customer value. These activities are summarized below.
TYPICAL MARKETING ACTIVITIES DURING EACH STAGE OF THE CUSTOMER RELATIONSHIP
Stage 1: Meeting and Getting Acquainted
Find desirable target customers, including those likely to deliver a high customer lifetime value
Understand what these customers want
Build awareness and demand for what you offer
Capture new business
Stage 2: Providing a Satisfying Experience
Measure and improve customer satisfaction
Track how customers’ needs and wants evolve
Develop customer confidence, trust, and goodwill
Demonstrate and communicate competitive advantage
Monitor and counter competitive forces
Stage 3: Sustain a Committed Relationship
Convert contacts into loyal repeat customers, rather than one-time customers
Anticipate and respond to evolving needs
Deepen relationships, expand reach of and reliance on what you offer
Another benefit of effective customer relationship management is that it reduces the cost of business and increases profitability. As a rule, winning a new customer’s business takes significantly more time, effort, and marketing resources than it does to renew or expand business with an existing customer.
Customer Relationship As Competitive Advantage
As the global marketplace provides more and more choices for consumers, relationships can become a primary driver of why a customer chooses one company over others (or chooses none at all). When customers feel satisfaction with and affinity for a specific company or product, it simplifies their buying choices.
For example, why might a woman shopping for a cocktail dress choose to go to Nordstrom rather than Macy’s or Dillard’s, or pick from an army of online stores? Possibly because she prefers the selection of dresses at Nordstrom and the store’s atmosphere. It’s much more likely, though, that thanks to Nordstrom’s practices, this shopper has a relationship with an attentive sales associate who has helped her find great outfits and accessories in the past. She also knows about the store’s customer-friendly return policy, which might come in handy if she needs to return something.
A company like Nordstrom delivers such satisfactory experiences that its customers return again and again. A consistently positive customer experience matures into a relationship in which the customer becomes increasingly receptive to the company and its products. Over time, the customer relationship gives Nordstrom a competitive advantage over other traditional department stores and online retailers.
When Customers Become Your Best Marketing Tool
Customer testimonials and recommendations have always been powerful marketing tools. They often work to persuade new customers to give something a try. In today’s digital media landscape there is unprecedented opportunity for companies to engage customers as credible advocates. When organizations invest in building strong customer relationships, these activities become particularly fruitful.
For example, service providers like restauranteurs, physical therapists, and dentists frequently ask regular patrons and patients to write reviews about their real-life experiences on popular recommendation sites like Yelp and Google+. Product providers do the same on sites like Amazon and CNET.com. Although companies risk getting a bad review, they usually gain more by harnessing the credible voices and authentic experiences of customers they have served. In this process they also gain invaluable feedback about what’s working or not working for their customers. Using this input, they can retool their products or approach to better match what customers want and improve business over time.
Additionally, smart marketers know that when people take a public stance on a product or issue, they tend to become more committed to that position. Thus, customer relationship management can become a virtuous cycle. As customers have more exposure and positive interaction with a company and its products, they want to become more deeply engaged, and they are more likely to become vocal evangelists who share their opinions publicly. Customers become an active part of a marketing engine that generates new business and retains loyal customers for repeat business and increased customer lifetime value.
Engagement Marketing: Making Customers Part of the Brand
A further step beyond customer evangelism is engagement marketing, the practice of reaching out to customers and encouraging them to become full participants in marketing activity and the growth of a brand. Sometimes called “live marketing,” this approach is becoming more common as media and technology provide more interactive, visible, and sharable ways for consumers to connect with brands and companies.
A mind shift is under way, away from one-way, company-to-consumer communication toward marketing activities that invite consumers to shape and become part of the value a brand provides. In an increasingly crowded marketplace, many organizations find that they can distinguish themselves and their products by creating “tribes” of fans who not only advocate for the brand, but also actively make it part of their daily activities and lifestyle. Customers might even become involved in developing marketing programs, producing content that can be used for marketing purposes, and cultivating one-on-one relationships with a company or brand.
Creative marketers have invented many ways to foster engagement marketing. The self-promotional mindset and proliferating tools of social media are a natural fit for making customers part of a brand. People “check in” at their favorite restaurants and post photos to communicate with friends when they are having fun. Bloggers routinely name-check favorite products, review them, and carry on conversations about them in their posts.
The phenomenon of engagement marketing helps explain the meteoric rise in popularity of GoPro cameras. When company leaders realized that their customers had an unquenchable appetite for sharing videos of amazing outdoor adventures (shot with GoPro cameras, of course), they built the company brand and marketing strategy around engaging customers in viral sharing. The following video, produced by YouTube, explains this engagement marketing success story.
You can view the transcript for “GoPro YouTube Case Study | YouTube Advertisers” here (opens in new window).
- "Customer Lifetime Value." Cambridge Dictionary. Accessed September 10, 2019. http://dictionary.cambridge.org/us/dictionary/english/customer-lifetime-value ↵
LICENSES AND ATTRIBUTIONS
CC LICENSED CONTENT, ORIGINAL
- Marketing and Customer Relationships. Authored by: Lumen Learning. License: CC BY: Attribution
CC LICENSED CONTENT, SHARED PREVIOUSLY
- Lady on a Staircase. Authored by: torbakhopper. Located at: https://www.flickr.com/photos/gazeronly/10147130996/. License: CC BY-ND: Attribution-NoDerivatives
ALL RIGHTS RESERVED CONTENT
- Screen Shot of Yelp Review. Authored by: Yelp.com. Located at: https://www.yelp.com/biz/por-que-no-taqueria-portland. License: All Rights Reserved. License Terms: Fair Use
- GoPro YouTube Case Study. Provided by: YouTube Advertisers. Located at: https://youtu.be/oCUjAmW5yCA. License: All Rights Reserved. License Terms: Standard YouTube license
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oercommons
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2025-03-18T00:36:54.771355
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03/22/2022
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/91151/overview",
"title": "Statewide Dual Credit Principles of Marketing, What is Marketing?, Marketing and Customer Relationships",
"author": "Anna McCollum"
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https://oercommons.org/courseware/lesson/93365/overview
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Road to Allied Victory
Overview
The Tehran and Yalta Conferences
The Tehran Conference was a strategy meeting between Joseph Stalin, Franklin D. Roosevelt, and Winston Churchill that lasted from November 28 until December 1, 1943, in Tehran, Iran. It resulted in the Western Allies’ commitment to open a second front against Nazi Germany.
Learning Objectives
- Evaluate the significance and goals of the 1943 Tehran Conference.
- Evaluate the significance and goals of the 1945 Yalta Conference.
Key Terms / Key Concepts
Big Three: the leaders of the main three Allied countries: the United States, Britain, and the Soviet Union, namely led by Franklin D. Roosevelt, Winston Churchill, and Joseph Stalin
Declaration of Liberated Europe: a declaration created by Winston Churchill, Franklin D. Roosevelt, and Joseph Stalin during the Yalta Conference that gave the people of Europe the choice to “create democratic institutions of their own choice”
Tehran Conference: meeting of the Allied leaders of the U.S., U.K, and U.S.S.R. to discuss opening up a second front in Europe
The Yalta Conference: the meeting of the Big Three in February 1945 at Livadia, Crimea to discuss the restructuring of Europe when the war ended
The Tehran Conference
The Tehran Conference was a strategy meeting of Joseph Stalin, Franklin D. Roosevelt, and Winston Churchill from November 28 to December 1, 1943. It was held in the Soviet Union’s embassy in Tehran, Iran and was the first World War II conference of the “Big Three” Allied leaders. Although the three leaders arrived with differing objectives, the main outcome of the Tehran Conference was the Western Allies’ commitment to open a second front against Nazi Germany. The conference also addressed the Allies’ relations with Turkey and Iran, operations in Yugoslavia and against Japan, and the envisaged post-war settlement. A separate protocol signed at the conference pledged the Big Three to recognize Iran’s independence.
Proceedings
The conference was to convene at 4 p.m. on November 28, 1943. Stalin arrived early, followed by Roosevelt, who was brought in his wheelchair. It was here that Roosevelt, who had traveled 7,000 miles (11,000 km) to attend and whose health was already deteriorating, met Stalin for the first time. Churchill, walking with his General Staff from their accommodations nearby, arrived half an hour later.
The U.S. and Great Britain wanted to secure the cooperation of the Soviet Union in defeating Germany. Stalin agreed, but at a price: the U.S. and Britain would accept Soviet domination of Eastern Europe, support the Yugoslav Partisans, and agree to a westward shift of the border between Poland and the Soviet Union.
The leaders then turned to the conditions under which the Western Allies would open a new front by invading northern France, just as Stalin had pressed them to do since 1941. It was agreed that Operation Overlord—the Allied invasion of Nazi-occupied France—would occur by May 1944; Stalin agreed to support it by launching a concurrent major offensive on Germany’s eastern front to divert German forces from northern France.
The subjects of Iran and Turkey were also discussed in detail. Roosevelt, Churchill, and Stalin all agreed to support Iran’s government. In addition, the Soviet Union was required to pledge support to Turkey if that country entered the war. Roosevelt, Churchill, and Stalin agreed that it would also be most desirable if Turkey entered on the Allies’ side before the year was out.
Despite accepting the previously mentioned arrangements, Stalin dominated the conference, using the prestige of the Soviet victory at the Battle of Kursk on the Eastern Front to get his way. Roosevelt attempted to cope with Stalin’s onslaught of demands but was able to do little except appease him. Churchill argued for the invasion of Italy in 1943, then Overlord in 1944, on the basis that Overlord was physically impossible in 1943 and it would be unthinkable to do anything major until it could be launched in a realistic fashion.
Results
The Yugoslav Partisans were given full Allied support. The Communist Partisans under Tito took power in Yugoslavia as the Germans retreated from the Balkans.
Turkey’s president conferred with Roosevelt and Churchill at the Cairo Conference in November 1943 and promised to enter the war when it was fully armed. By August 1944 Turkey broke off relations with Germany. In February 1945, Turkey declared war on Germany and Japan, which may have been a symbolic move that allowed Turkey to join the future United Nations.
The invasion of France on June 6, 1944 took place about as planned, and the supporting invasion of southern France also occurred. The Soviets launched a major offensive against the Germans on June 22, 1944.
The Yalta Conference
The Yalta Conference, held February 4 – 11, 1945, was the meeting of Franklin Roosevelt, Winston Churchill, and Joseph Stalin to discuss Europe’s post-war reorganization. The Big Three met at Tsar Nicholas’ former palace in Livadia, Crimea. The Yalta conference was a crucial turning point in the Cold War.
The Conference
All three leaders attempted to establish an agenda for governing post-war Europe and keeping peace between post-war countries. However, by August 1944, Soviet forces were inside Poland and Romania as part of their drive west. And by the time of the Conference, Red Army Marshal Georgy Zhukov’s forces were 40 miles from Berlin; consequently, Stalin felt his position at the conference was so strong that he could dictate terms. And this led to a more diplomatic approach from Roosevelt and Churchill. According to U.S. delegation member and future Secretary of State James F. Byrnes, “It was not a question of what we would let the Russians do, but what we could get the Russians to do.” But each leader certainly had their own agendas for the Yalta Conference.
Roosevelt wanted Soviet support in the U.S. Pacific War against Japan, specifically for the planned invasion of Japan, and Soviet participation in the United Nations. Churchill pressed for free elections and democratic governments in Eastern and Central Europe (specifically Poland). And Stalin demanded a Soviet sphere of political influence in Eastern and Central Europe, an essential aspect of the USSR’s national security strategy.
Poland was the first item on the Soviet agenda. Stalin stated that “For the Soviet government, the question of Poland was one of honor,” but he also viewed it as a matter of security because Poland had served as a historical corridor for forces attempting to invade Russia. In addition, Stalin stated that “because the Russians had greatly sinned against Poland,” “the Soviet government was trying to atone for those sins.” Stalin concluded that “Poland must be strong” and that “the Soviet Union is interested in the creation of a mighty, free and independent Poland.” Accordingly, Stalin stipulated that Polish government-in-exile demands were not negotiable: the Soviet Union would keep the territory of eastern Poland they had already annexed in 1939, and Poland was to be compensated by extending its western borders at the expense of Germany. Stalin promised free elections in Poland despite the Soviet-sponsored provisional government recently installed in Polish territories occupied by the Red Army.
The Declaration of Liberated Europe was a promise that allowed the people of Europe “to create democratic institutions of their own choice.” The declaration pledged, “the earliest possible establishment through free elections governments responsive to the will of the people.” This is similar to the statements of the Atlantic Charter, which says, “the right of all people to choose the form of government under which they will live.” Stalin broke the pledge by encouraging Poland, Romania, Bulgaria, Hungary, and many more countries to construct a Communist government instead of letting the people construct their own. These countries later became known as Stalin’s Satellite Nations.
Long-term Impact
The meeting of the Big Three at Tehran established the precedent of, “The Enemy of my Enemy is my Friend.” Winston Churchill and Joseph Stalin despised one another. Franklin Roosevelt, who had been Churchill’s close associate for years, was able to work with both men. If he did not win the friendship of Stalin, he did win his respect—something that his successors would never be able to achieve during the Cold War. Still, the three men worked together in order to come up with a viable plan to defeat Nazi Germany. It was the first of several critical meetings between the leaders of the chief nations of the Allies.
The Yalta Conference was intended mainly to discuss the re-establishment of the nations of war-torn Europe. Within a few years, with the Cold War dividing the continent, Yalta had become a subject of intense controversy. To a degree, it has remained controversial.
Poland Fights Back: The Warsaw Uprising of 1944
Over the course of World War II, Poland and its people suffered enormously. In 1944, the Poles decided they had had enough of occupation and oppression by Nazi Germany. Despite being severely outgunned, the Poles undertook the largest resistance operation against Nazi oppression--the Warsaw Uprising.
Learning Objectives
- Evaluate the role of resistance in World War II.
- Analyze the significance and outcome of the Warsaw Uprising.
Key Terms / Key Concepts
Polish Government in-exile: legitimate government of independent Poland that was evacuated to London at the start of the war
Polish Home Army: primary Polish resistance force during World War II, stationed underground throughout Poland
Warsaw Uprising: August – October 1944 attempt by the Polish Home Army to overthrow Nazi rule in Warsaw and reclaim Polish independence
Wola and Ochota: districts of Warsaw that suffered horrific actions by the Nazis and their allies during the Warsaw Uprising
Background
Following the 1939 invasion of Poland, the Polish government fled the country. They were rescued and brought to London, where they attempted to govern the Polish people from afar. For the duration of the war, the London-based government was named the Polish government-in-exile. In the wake of the government’s departure, and Poland’s occupation by the Germans and Soviets, the Polish Home Army was formed. Over the course of the war, it became the largest resistance force in Europe. It attracted people from all works of life who worked for the larger, Polish underground state. Members of the partisans worked as both intelligence gatherers and resistance fighters. Often, they hid in underground, covert locations and launched periodic attacks on the Germans during the occupation. In other instances, Home Army soldiers were Polish troops who had escaped to England early in the war, who were later redeployed; this included the group of Polish special ops forces called the Cichociemni—elite troops remembered still by their unit nickname: “The Silent Unseen.” By the summer of 1944, it was comprised of between 200,000 – 600,000 men and women. Increasingly, the Home Army was pro-Polish independence, which meant a deteriorating relationship with the Soviets.
In 1943, the Polish government-in-exile proposed that the Home Army should stage several small revolts throughout Poland as the Red Army advanced; and German defenses seemed strained. By the summer of 1944, the Red Army was closing in on Warsaw. The Allies had successfully opened up a second theater of war in Western Europe, which forced Germany to divide its forces, leaving its eastern armies weaker. News circulated among the Poles that a Polish-led uprising would soon take place. With the Red Army in sight, the Polish-government-in-exile negotiated with the Polish Home Army. A date was agreed upon, news circulated to the members of the Polish underground resistance, and preparations were made. Although poorly equipped in comparison to the Germans, Warsaw would fight back. The hope was that the Soviets would weaken the German armies, then support the Polish uprising when it occurred. That hope would be ill-founded.
The Uprising Begins
The Warsaw Uprising began at 5:00 PM on August 1. Across the city, soldiers took to the streets and launched coordinated attacks on German positions throughout Warsaw. Much of the city covertly helped the effort, either by transferring information or producing materials for the uprising. But from the outset of the uprising, the Poles stood little chance of defeating the Germans on their own. They had roughly three thousand personal guns at the start of the uprising, a handful of machine guns, and essentially no heavy military equipment. Although a few German tanks were seized, the reality remained that the Poles were drastically outgunned and their troops were unaccustomed to fighting prolonged battles throughout the day.
It is likely that the Poles understood they could not defeat the Germans on their own. They instead, believed that the rapidly advancing Soviet Red Army would come to their aid. Although the Poles and Russians had experienced deteriorating relationships since the war began, the Poles believed that their common enemy—the Nazis—would unite their cause. Instead, the Soviets remained just to the east of Warsaw and never offered ground or air support, despite having a nearby air base. The reasons for Soviet inactivity during the Warsaw Uprising is still questioned and debated by historians. Regardless, their inaction would be the undoing for the Warsaw Uprising. For six weeks, the Poles would fight almost entirely alone against the Germans.
The Poles initially secured positions throughout Warsaw in the early days of the uprising. Tragically, their early successes prompted some of the most severe retaliation by the Germans of the war. As the western front lines moved into the neighborhoods of Wola and Ochota on August 4, the Poles would witness horrors that they could scarcely have imagined.
The Wola and Ochota Massacres
The Poles living in Warsaw during the uprising endured deprivation and extreme violence. In response to Polish attacks, Heinrich Himmler, Chief of the German SS, ordered his troops to make an example of Warsaw and raze it to the ground. As historian Timothy Snyder discusses in his renowned work, Bloodlands, Special SS Commando Oskar Paul Dirlewanger was sent with other ruthless SS commanders to suppress the Poles.
Mass looting, mass rapes, and mass murder of civilians devastated the Polish districts of Wola and Ochota. The SS went from house to house, shooting civilians regardless of age or gender. Mass killings occurred wherever the Germans and their allies discovered sheltering Poles. Even the hospital workers were not spared. Nurses were raped, stripped of their clothing, and hung. Homes, factories, businesses, and bodies burned throughout Warsaw. At the end of the massacres, estimates of civilian casualties reached as high as 100,000. As Snyder discusses, the German force deployed against Polish civilians is indescribable. “If military casualties on both sides of the [Warsaw Uprising] are counted, the ratio of [Polish] civilian casualties to military dead is 1000:1.”
The Uprising Ends
Within weeks, the Polish civilians began to suffer not only from the violence of the uprising, but also from lack of food and clean water. The Polish Home Army realized that they were severely outgunned, and that Soviet troops would not be reinforcing them. Moreover, the Soviets had balked at the idea of Western Allies supplying aid to the Warsaw Uprising. British and American pilots did drop supplies to Warsaw, but their aid proved too little, too late. The Germans secured Warsaw. The city’s sixty-three-day battle for independence failed.
On October 2, 1944, the Poles surrendered to the Germans and were promised humane treatment. However, more than a thousand Home Army soldiers were sent to German labor camps. Others slipped silent and unseen into the population, ready to fight when the call again rang. But, in response to the uprising, Hitler had ordered that Warsaw be “razed to the ground.” Consequently, the remainder of Poles in Warsaw were forced from the city. Thousands were sent to labor camps, thousands of others were killed at Auschwitz and other camps, but several thousand were sent to various parts of the German Reich to work. By the end of 1944, Hitler’s goal to erase Warsaw off the global map was virtually complete. Roughly 85% of the city had been destroyed through combat, the Uprising, and German bombings. In January 1945 when the Red Army entered Warsaw, they were met with smoldering ruins and little more.
Significance in the War
The Warsaw Uprising was one of the most significant moments of resistance to Nazi Germany occupation in all of World War II. And yet, the consequences for the civilian population would have, almost assuredly, been significantly less had the uprising never occurred. Tens of thousands of Polish civilians became the targets of extreme violence by the Nazis and their allies in August 1944. Despite the loss, the Poles remained committed to the battle for their independence until they accepted that the Red Army would not help their cause, and they could not win alone. The legacy of the Uprising remains mixed. On the one hand, it resulted in the near destruction of the city and brutal murders of tens of thousands of its civilians. On the other hand, it marked a moment in history where an occupied people stood up together against the odds to fight against oppression. Most tragically, inaction on the part of the Allies, particularly the Soviets, resulted in the complete failure of the Warsaw Uprising. And for the Poles, the story of occupation did not end with the Nazis. Instead, they would face their historic occupier—the Russians—in 1945. Although far less brutal than the Nazis, the Russians quickly demonstrated that they could also impose harsh measures on any Pole who did not solidly support communist rule.
The Battle of the Bulge and Westward Push to Berlin
The war in Europe concluded with an invasion of Germany by the Western Allies and the Soviet Union, culminating in the capture of Berlin by Soviet and Polish troops and the subsequent German unconditional surrender on May 8, 1945.
Learning Objectives
- Identify the key events and circumstances that led to Germany’s unconditional surrender and the end of World War II in Europe.
Key Terms / Key Concepts
Battle of Berlin: final major offensive of the European theatre of World War II when the Soviet Red Army invaded Berlin, Germany
Battle of the Bulge: last major German offensive battle on the Western Front in the winter of 1944 – 45
V-E Day: Victory in Europe Day; May 8, 1945
The Battle of the Bulge
The “Battle of the Bulge” earned its name from the initial success on side of the German army. In the early stage of the battle, the Germans cut a deep line of division between the Allies. On a map, the success of the German army’s advance appeared to “bulge” westward toward Belgium.
On December 16, 1944, Germany launched a last offensive campaign on the Western Front. The Germans advanced into the Ardennes Forest to in order to split the Western Allies, encircle large portions of Western Allied troops, and capture their primary supply port at Antwerp. The goal was to achieve a more leveraged peace settlement. The Germans initial phase of the battle caught the Allies totally by surprise and forced their retreat.
For the Americans, the Battle of the Bulge was the deadliest of the war. Fought during an unusually cold and snowy winter, Americans sustained over 100,000 casualties in just six weeks. Ultimately, the German advance halted due to a fuel shortages and Allied reinforcements. It was the last German offensive of World War II. For the next three and a half months, the Germans would retreat eastward toward the German border in preparation for an Allied assault on their homeland.
The Western Allied Invasion of Germany
The Western Allied invasion of Germany was coordinated by the Western Allies during the final months of hostilities in the European theater of World War II. The Allied invasion of Germany started with the Western Allies crossing the River Rhine in March 1945 before overrunning all of western Germany—from the Baltic in the north to Austria in the south—before the Germans surrendered on May 8, 1945. This is known as the “Central Europe Campaign” in United States military histories and is often considered the end of the second World War in Europe.
By the beginning of the Central Europe Campaign, Allied victory in Europe was inevitable. Having gambled his future ability to defend Germany on the Ardennes offensive and lost, Hitler had no strength left to stop the powerful Allied armies. The Western Allies still had to fight, often bitterly, for victory. Even when the hopelessness of the German situation became obvious to his most loyal subordinates, Hitler refused to admit defeat. Only when Soviet artillery was falling around his Berlin headquarters bunker did he begin to perceive the inevitable final outcome.
The crossing of the Rhine, the encirclement and reduction of the Ruhr, and the sweep to the Elbe-Mulde line and the Alps all established the final campaign on the Western Front as a showcase for Allied superiority in maneuver warfare. These mobile forces made great thrusts to isolate pockets of German troops, which were mopped up by additional infantry following close behind. The Allies rapidly eroded any remaining ability to resist.
The Battle of Berlin
The Battle of Berlin was the final major offensive of the European theater of World War II. The first defensive preparations at the outskirts of Berlin were made on March 20 under the newly appointed German commander, General Gotthard Heinrici. Before the main battle in Berlin commenced, the Red Army encircled the city. On April 16, 1945, two Soviet Red Army groups attacked Berlin from the east and south, while a third overran German forces positioned north of Berlin. On April 20, 1945, the Red Army began shelling Berlin’s city center, while a unit of Ukrainian troops pushed from the south. Defenses in Berlin consisted of several depleted and disorganized Wehrmacht and Waffen-SS divisions, along with poorly trained Hitler Youth members. Within the next few days, the Red Army reached the city center, where close-quarter combat raged.
The city’s garrison surrendered to Soviet forces on May 2, but fighting continued to the northwest, west, and southwest of the city until the end of the war in Europe on May 8. In the final days of the war, German units fought westward so that they could surrender to the Western Allies rather than to the Soviets. They widely believed that the British and American soldiers would be more likely to treat them with respect than the Soviets. In contrast, the Germans feared brutal reprisals would be carried out against them if they surrendered to the Soviets.
V-E Day
On May 8 1945, the world celebrated V-E Day—or Victory in Europe Day. After almost six years of warfare and genocidal actions in Europe, Nazi Germany and its allies were defeated. And yet, just as the war in Europe ended, it intensified in the Pacific Theater of War. American and British troops, war-weary and ready for peace, anticipated that they would soon be transferred to an even more brutal theater of war than the one they had just won.
April 1945: The Deaths of FDR, Mussolini, and Hitler
In April 1945, three heads of state died: Franklin D. Roosevelt, Benito Mussolini, and Adolf Hitler. All three had governed their countries for more than a decade. Each had a strong effect on their country. And two of them, Mussolini and Hitler, suffered unnatural deaths. Roosevelt, the oldest of the three, died of a stroke in his country home in Warm Springs, Georgia. In the final days of World War II, new leaders would attempt to hold their countries together.
Learning Objectives
- Evaluate the impact of the deaths of Hitler, Mussolini, and Roosevelt on their respective countries.
Key Terms / Key Concepts
Claretta Petacci: Mussolini’s mistress who was arrested and executed with him
Eva Braun: Hitler’s long-time mistress who he married one day before their double suicide
Führerbunker: bunker in Berlin where Hitler committed suicide
Harry Truman: FDR’s vice president who succeeded him after Roosevelt’s death
Karl Dönitz: Grand Admiral of the German fleet who succeeded Hitler as head-of-state after Hitler’s suicide
Little White House: FDR’s home in Warm Springs, GA where he died of a massive stroke
Piazalle Loreto: city square in Milan where Mussolini and Petacci’s bodies were displayed
Walter Audisio: Communist partisan who is believed to have executed Mussolini
The Death of a President
Franklin Delano Roosevelt was an ill man from the beginning of his presidency. Despite his warm and cordial exterior, he was a lonely person who, despite appearances, was still largely paralyzed from contracting Polio at the age of 39. He also suffered from high blood pressure, stress, and exhaustion. In the spring of 1945, Roosevelt traveled to his private home in Warm Springs, Georgia, which was dubbed the “Little White House” because he spent a good amount of time there. The home was small and quaint for a man of Roosevelt’s pedigree. He had found comfort in the rural Georgia mountains, though. During his initial recovery from Polio, his home in Warm Springs had offered solace and tranquility. Less than a month before Germany’s surrender, Roosevelt traveled to his home in Warm Springs to rest.
On the afternoon of April 12, Roosevelt sat for a portrait before Elizabeth Shoumatoff, an acclaimed artist. Around noon, he announced, “I have a terrific headache.” The president then collapsed. Doctors arrived and found Roosevelt unconscious. Three hours later, the 32nd president of the United States was dead. Roosevelt’s physician diagnosed the president as having had a massive stroke. The portrait of Roosevelt, titled the Unfinished Portrait, still hangs in the Little White House. Beside it is a second, completed portrait based on Shoumatoff’s memories of the president.
The public mourning for Roosevelt was unprecedented. For many Americans, it was hard to recall a president before FDR, who had served for over twelve years. For others, Roosevelt had represented the leader who had guided the United States through two of its greatest crises: the Great Depression and World War II. He personified the American spirit in a way his predecessors had not. Despite his privileged background, he had touched the lives of many of America’s poor, forgotten, and ignored. Tens of thousands of mourners watched his funeral train as it slowly carried Roosevelt’s casket from Georgia to his family home in Hyde Park, New York. As requested, Roosevelt was buried in his family’s rose garden.
Upon Roosevelt’s passing, Vice President Harry Truman was appointed president of the United States. Truman, however, was well-aware of the public’s mood. Far from celebrating his new position, Truman encouraged the country to mourn for their president for thirty days and kept the flags at half-mast. Truman, despite his capable qualities, would find it impossible to live up to his predecessor’s popularity.
The Death of Mussolini
If Franklin Roosevelt’s death was sedate and honorable, Benito Mussolini’s death sixteen days later was far from it.
In 1943, Italy was losing the war. The Allies were quickly gaining ground in Sicily and would push up through the southern part of Italy. Moreover, Italian civilians were suffering from lack of food and fuel. Support for the war was crumbling, and Mussolini discovered his country no longer supported his dictatorship. In July 1943, Mussolini was voted out of power and into exile on an Italian island. In September, the Italians signed an armistice with the Allies.
When the armistice was signed, the Germans rushed into northern Italy to occupy it. The Germans also quickly rescued Mussolini and instilled him as a puppet-dictator in the Northern Italian state called the Italian Social Republic. Although Mussolini tried to remain strong, it was evident that he was controlled by his German liberators. Among other deeds, he aided in the round-up and execution of Italian Jews. In the spring of 1945, the Allies pressed into northern Italy. With the Germans in retreat, Mussolini faced a decision: to be handed over to the Allies to face war crimes or try to escape. Fatefully, he chose the latter.
Mussolini's Failed Escape and Death
With the Allies quickly advancing into northern Italy, the Germans were in rapid retreat. And Mussolini tried to escape before the Allies could capture him. On April 25, he and his mistress, Carletta Petacci, climbed into a truck. It was part of a convoy carrying fascists out of the city of Milan. Bad luck awaited Mussolini two days later. On April 27, a group of Italian communist partisans stopped the convoy. They hunted the trucks and found Mussolini and his mistress crouched against the door.
In captivity, Benito Mussolini spent what must have proved a restless night. While he and his mistress awaited their fate, his captors discussed the same issue. At last, it was decided that Mussolini should be shot. Accounts differ about the nature of Mussolini’s execution in several points. However, they agree that on the morning of April 28, he and his mistress were led outside and stood against a wall. There, they were both shot multiple times, likely by a communist partisan named Walter Audisio.
The following morning, the corpses of Mussolini and his mistress were driven to Piazalle Loreto, a central city square in Milan. There, they were strung up on meat hooks beside other fascists outside of a gas station for the Italian public to see. Crowds formed and soon, the corpses became targets for stone-throwers. The corpses were badly mangled before being taken down and buried in unmarked graves. It wasn’t until the 1950s that Mussolini’s corpse was buried in his family crypt.
Adolf Hitler's Final Days
On April 22, Hitler learned news that sent him into a fury of rage—the Russian Red Army had entered Berlin. There would be no counter-offensive, no attack that could repel the Russian invasion. Hitler resolved, according to witnesses to commit suicide rather than face the end before the Allies.
Around midnight of April 29, Hitler married his long-time mistress, Eva Braun. Later that day, Hitler heard of Mussolini’s violent death by his own people. The death of Mussolini deeply affected Hitler. Mussolini had been an early teacher, an ally, and a fellow fascist. And his own people had slaughtered him during his attempt to escape. Hitler decided not to risk the same fate.
Deep in his Führerbunker in Berlin, Hitler prepared to commit suicide. Sometime on April 30, Hitler shot himself in the head. His wife took cyanide. Their bodies were found, taken outside, and burned before the Soviets could recover them.
For the next week, Grand Admiral Karl Doenitz was the German head-of-state. However, Berlin quickly fell to the Soviets, and the German people lost the will to fight. On May 7, 1945, Germany surrendered to the Allies. The following day, people around the world celebrated Victory Day in Europe.
At the time of their respective deaths, it is likely that each of the three leaders knew how World War II would end in Europe. Roosevelt’s intimate conversations with Churchill and Stalin, as well as his military intelligence, suggested that he knew an Allied victory was close at hand. Mussolini had seen the Germans retreat from northern Italy, and the separate peace signed between Italy and the Allies. And Hitler knew that at the time of his death, the Red Army was upon him, fighting throughout the German capital. Although all three men had led their countries through World War II, none would live to see its conclusion in early May 1945. In all three cases, their passing signaled the end of an era in their respective countries and the start of a new one.
Primary Source: The Yalta Conference
February, 1945
Washington, March 24 - The text of the agreements reached at the Crimea (Yalta) Conference between President Roosevelt, Prime Minister Churchill and Generalissimo Stalin, as released by the State Department today, follows:
PROTOCOL OF PROCEEDINGS OF CRIMEA CONFERENCE
The Crimea Conference of the heads of the Governments of the United States of America, the United Kingdom, and the Union of Soviet Socialist Republics, which took place from Feb. 4 to 11, came to the following conclusions:
I. WORLD ORGANIZATION
It was decided:
1. That a United Nations conference on the proposed world organization should be summoned for Wednesday, 25 April, 1945, and should be held in the United States of America.
2. The nations to be invited to this conference should be:
(a) the United Nations as they existed on 8 Feb., 1945; and
(b) Such of the Associated Nations as have declared war on the common enemy by 1 March, 1945. (For this purpose, by the term "Associated Nations" was meant the eight Associated Nations and Turkey.) When the conference on world organization is held, the delegates of the United Kingdom and United State of America will support a proposal to admit to original membership two Soviet Socialist Republics, i.e., the Ukraine and White Russia.
3. That the United States Government, on behalf of the three powers, should consult the Government of China and the French Provisional Government in regard to decisions taken at the present conference concerning the proposed world organization.
4. That the text of the invitation to be issued to all the nations which would take part in the United Nations conference should be as follows:
"The Government of the United States of America, on behalf of itself and of the Governments of the United Kingdom, the Union of Soviet Socialistic Republics and the Republic of China and of the Provisional Government of the French Republic invite the Government of -------- to send representatives to a conference to be held on 25 April, 1945, or soon thereafter , at San Francisco, in the United States of America, to prepare a charter for a general international organization for the maintenance of international peace and security.
"The above-named Governments suggest that the conference consider as affording a basis for such a Charter the proposals for the establishment of a general international organization which were made public last October as a result of the Dumbarton Oaks conference and which have now been supplemented by the following provisions for Section C of Chapter VI:
C. Voting
"1. Each member of the Security Council should have one vote.
"2. Decisions of the Security Council on procedural matters should be made by an affirmative vote of seven members.
"3. Decisions of the Security Council on all matters should be made by an affirmative vote of seven members, including the concurring votes of the permanent members; provided that, in decisions under Chapter VIII, Section A and under the second sentence of Paragraph 1 of Chapter VIII, Section C, a party to a dispute should abstain from voting.'
"Further information as to arrangements will be transmitted subsequently.
"In the event that the Government of -------- desires in advance of the conference to present views or comments concerning the proposals, the Government of the United States of America will be pleased to transmit such views and comments to the other participating Governments."
Territorial trusteeship:
It was agreed that the five nations which will have permanent seats on the Security Council should consult each other prior to the United Nations conference on the question of territorial trusteeship.
The acceptance of this recommendation is subject to its being made clear that territorial trusteeship will only apply to
- (a) existing mandates of the League of Nations;
- (b) territories detached from the enemy as a result of the present war;
- (c) any other territory which might voluntarily be placed under trusteeship; and
- (d) no discussion of actual territories is contemplated at the forthcoming United Nations conference or in the preliminary consultations, and it will be a matter for subsequent agreement which territories within the above categories will be place under trusteeship.
[Begin first section published Feb., 13, 1945.]
II. DECLARATION OF LIBERATED EUROPE
The following declaration has been approved:
The Premier of the Union of Soviet Socialist Republics, the Prime Minister of the United Kingdom and the President of the United States of America have consulted with each other in the common interests of the people of their countries and those of liberated Europe. They jointly declare their mutual agreement to concert during the temporary period of instability in liberated Europe the policies of their three Governments in assisting the peoples liberated from the domination of Nazi Germany and the peoples of the former Axis satellite states of Europe to solve by democratic means their pressing political and economic problems.
The establishment of order in Europe and the rebuilding of national economic life must be achieved by processes which will enable the liberated peoples to destroy the last vestiges of nazism and fascism and to create democratic institutions of their own choice. This is a principle of the Atlantic Charter - the right of all people to choose the form of government under which they will live - the restoration of sovereign rights and self-government to those peoples who have been forcibly deprived to them by the aggressor nations.
To foster the conditions in which the liberated people may exercise these rights, the three governments will jointly assist the people in any European liberated state or former Axis state in Europe where, in their judgment conditions require,
- (a) to establish conditions of internal peace;
- (b) to carry out emergency relief measures for the relief of distressed peoples;
- (c) to form interim governmental authorities broadly representative of all democratic elements in the population and pledged to the earliest possible establishment through free elections of Governments responsive to the will of the people; and
- (d) to facilitate where necessary the holding of such elections.
The three Governments will consult the other United Nations and provisional authorities or other Governments in Europe when matters of direct interest to them are under consideration.
When, in the opinion of the three Governments, conditions in any European liberated state or former Axis satellite in Europe make such action necessary, they will immediately consult together on the measure necessary to discharge the joint responsibilities set forth in this declaration.
By this declaration we reaffirm our faith in the principles of the Atlantic Charter, our pledge in the Declaration by the United Nations and our determination to build in cooperation with other peace-loving nations world order, under law, dedicated to peace, security, freedom and general well-being of all mankind.
In issuing this declaration, the three powers express the hope that the Provisional Government of the French Republic may be associated with them in the procedure suggested.
[End first section published Feb., 13, 1945.]
III. DISMEMBERMENT OF GERMANY
It was agreed that Article 12 (a) of the Surrender terms for Germany should be amended to read as follows:
"The United Kingdom, the United States of America and the Union of Soviet Socialist Republics shall possess supreme authority with respect to Germany. In the exercise of such authority they will take such steps, including the complete dismemberment of Germany as they deem requisite for future peace and security."
The study of the procedure of the dismemberment of Germany was referred to a committee consisting of Mr. Anthony Eden, Mr. John Winant, and Mr. Fedor T. Gusev. This body would consider the desirability of associating with it a French representative.
IV. ZONE OF OCCUPATION FOR THE FRENCH AND CONTROL COUNCIL FOR GERMANY.
It was agreed that a zone in Germany, to be occupied by the French forces, should be allocated France. This zone would be formed out of the British and American zones and its extent would be settled by the British and Americans in consultation with the French Provisional Government.
It was also agreed that the French Provisional Government should be invited to become a member of the Allied Control Council for Germany.
V. REPARATION
The following protocol has been approved:
Protocol
On the Talks Between the Heads of Three Governments at the Crimean Conference on the Question of the German Reparations in Kind
1. Germany must pay in kind for the losses caused by her to the Allied nations in the course of the war. Reparations are to be received in the first instance by those countries which have borne the main burden of the war, have suffered the heaviest losses and have organized victory over the enemy.
2. Reparation in kind is to be exacted from Germany in three following forms:
- (a) Removals within two years from the surrender of Germany or the cessation of organized resistance from the national wealth of Germany located on the territory of Germany herself as well as outside her territory (equipment, machine tools, ships, rolling stock, German investments abroad, shares of industrial, transport and other enterprises in Germany, etc.), these removals to be carried out chiefly for the purpose of destroying the war potential of Germany.
- (b) Annual deliveries of goods from current production for a period to be fixed.
- (c) Use of German labor.
3. For the working out on the above principles of a detailed plan for exaction of reparation from Germany an Allied reparation commission will be set up in Moscow. It will consist of three representatives - one from the Union of Soviet Socialist Republics, one from the United Kingdom and one from the United States of America.
4. With regard to the fixing of the total sum of the reparation as well as the distribution of it among the countries which suffered from the German aggression, the Soviet and American delegations agreed as follows:
"The Moscow reparation commission should take in its initial studies as a basis for discussion the suggestion of the Soviet Government that the total sum of the reparation in accordance with the points (a) and (b) of the Paragraph 2 should be 22 billion dollars and that 50 per cent should go to the Union of Soviet Socialist Republics."
The British delegation was of the opinion that, pending consideration of the reparation question by the Moscow reparation commission, no figures of reparation should be mentioned.
The above Soviet-American proposal has been passed to the Moscow reparation commission as one of the proposals to be considered by the commission.
VI. MAJOR WAR CRIMINALS
The conference agreed that the question of the major war criminals should be the subject of inquiry by the three Foreign Secretaries for report in due course after the close of the conference.
[Begin second section published Feb. 13, 1945.]
VII. POLAND
The following declaration on Poland was agreed by the conference:
"A new situation has been created in Poland as a result of her complete liberation by the Red Army. This calls for the establishment of a Polish Provisional Government which can be more broadly based than was possible before the recent liberation of the western part of Poland. The Provisional Government which is now functioning in Poland should therefore be reorganized on a broader democratic basis with the inclusion of democratic leaders from Poland itself and from Poles abroad. This new Government should then be called the Polish Provisional Government of National Unity.
"M. Molotov, Mr. Harriman and Sir A. Clark Kerr are authorized as a commission to consult in the first instance in Moscow with members of the present Provisional Government and with other Polish democratic leaders from within Poland and from abroad, with a view to the reorganization of the present Government along the above lines. This Polish Provisional Government of National Unity shall be pledged to the holding of free and unfettered elections as soon as possible on the basis of universal suffrage and secret ballot. In these elections all democratic and anti-Nazi parties shall have the right to take part and to put forward candidates.
"When a Polish Provisional of Government National Unity has been properly formed in conformity with the above, the Government of the U.S.S.R., which now maintains diplomatic relations with the present Provisional Government of Poland, and the Government of the United Kingdom and the Government of the United States of America will establish diplomatic relations with the new Polish Provisional Government National Unity, and will exchange Ambassadors by whose reports the respective Governments will be kept informed about the situation in Poland.
"The three heads of Government consider that the eastern frontier of Poland should follow the Curzon Line with digressions from it in some regions of five to eight kilometers in favor of Poland. They recognize that Poland must receive substantial accessions in territory in the north and west. They feel that the opinion of the new Polish Provisional Government of National Unity should be sought in due course of the extent of these accessions and that the final delimitation of the western frontier of Poland should thereafter await the peace conference."
VIII. YUGOSLAVIA
It was agreed to recommend to Marshal Tito and to Dr. Ivan Subasitch:
- (a) That the Tito-Subasitch agreement should immediately be put into effect and a new government formed on the basis of the agreement.
- (b) That as soon as the new Government has been formed it should declare:
- (I) That the Anti-Fascist Assembly of the National Liberation (AVNOJ) will be extended to include members of the last Yugoslav Skupstina who have not compromised themselves by collaboration with the enemy, thus forming a body to be known as a temporary Parliament and
- (II) That legislative acts passed by the Anti-Fascist Assembly of the National Liberation (AVNOJ) will be subject to subsequent ratification by a Constituent Assembly; and that this statement should be published in the communiqué of the conference.
IX. ITALO-YOGOSLAV FRONTIER - ITALO-AUSTRIAN FRONTIER
Notes on these subjects were put in by the British delegation and the American and Soviet delegations agreed to consider them and give their views later.
X. YUGOSLAV-BULGARIAN RELATIONS
There was an exchange of views between the Foreign Secretaries on the question of the desirability of a Yugoslav-Bulgarian pact of alliance. The question at issue was whether a state still under an armistice regime could be allowed to enter into a treaty with another state. Mr. Eden suggested that the Bulgarian and Yugoslav Governments should be informed that this could not be approved. Mr. Stettinius suggested that the British and American Ambassadors should discuss the matter further with Mr. Molotov in Moscow. Mr. Molotov agreed with the proposal of Mr. Stettinius.
XI. SOUTHEASTERN EUROPE
The British delegation put in notes for the consideration of their colleagues on the following subjects:
- (a) The Control Commission in Bulgaria.
- (b) Greek claims upon Bulgaria, more particularly with reference to reparations.
- (c) Oil equipment in Rumania.
XII. IRAN
Mr. Eden, Mr. Stettinius and Mr. Molotov exchanged views on the situation in Iran. It was agreed that this matter should be pursued through the diplomatic channel.
[Begin third section published Feb. 13, 1945.]
XIII. MEETINGS OF THE THREE FOREIGN SECRETARIES
The conference agreed that permanent machinery should be set up for consultation between the three Foreign Secretaries; they should meet as often as necessary, probably about every three or four months.
These meetings will be held in rotation in the three capitals, the first meeting being held in London.
[End third section published Feb. 13, 1945.]
XIV. THE MONTREAUX CONVENTION AND THE STRAITS
It was agreed that at the next meeting of the three Foreign Secretaries to be held in London, they should consider proposals which it was understood the Soviet Government would put forward in relation to the Montreaux Convention, and report to their Governments. The Turkish Government should be informed at the appropriate moment.
The forgoing protocol was approved and signed by the three Foreign Secretaries at the Crimean Conference Feb. 11, 1945.
E. R. Stettinius Jr.
M. Molotov
Anthony Eden
AGREEMENT REGARDING JAPAN
The leaders of the three great powers - the Soviet Union, the United States of America and Great Britain - have agreed that in two or three months after Germany has surrendered and the war in Europe is terminated, the Soviet Union shall enter into war against Japan on the side of the Allies on condition that:
- 1. The status quo in Outer Mongolia (the Mongolian People's Republic) shall be preserved.
- 2. The former rights of Russia violated by the treacherous attack of Japan in 1904 shall be restored, viz.:
- (a) The southern part of Sakhalin as well as the islands adjacent to it shall be returned to the Soviet Union;
- (b) The commercial port of Dairen shall be internationalized, the pre-eminent interests of the Soviet Union in this port being safeguarded, and the lease of Port Arthur as a naval base of the U.S.S.R. restored;
- (c) The Chinese-Eastern Railroad and the South Manchurian Railroad, which provide an outlet to Dairen, shall be jointly operated by the establishment of a joint Soviet-Chinese company, it being understood that the pre-eminent interests of the Soviet Union shall be safeguarded and that China shall retain sovereignty in Manchuria;
- 3. The Kurile Islands shall be handed over to the Soviet Union.
It is understood that the agreement concerning Outer Mongolia and the ports and railroads referred to above will require concurrence of Generalissimo Chiang Kai-shek. The President will take measures in order to maintain this concurrence on advice from Marshal Stalin.
The heads of the three great powers have agreed that these claims of the Soviet Union shall be unquestionably fulfilled after Japan has been defeated.
For its part, the Soviet Union expresses it readiness to conclude with the National Government of China a pact of friendship and alliance between the U.S.S.R. and China in order to render assistance to China with its armed forces for the purpose of liberating China from the Japanese yoke.
Joseph Stalin
Franklin D. Roosevelt
Winston S. Churchill
February 11, 1945.
Attributions
All Images courtesy of Wikimedia Commons
Snyder, Timothy. Bloodlands: Europe between Hitler and Stalin. Basic Books, New
York: 2010. 298-305.
History of Western Civilization, II.
“The Tehran Conference”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-tehran-conference/
https://creativecommons.org/licenses/by-sa/3.0/
“The Yalta Conference”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-yalta-conference/
https://creativecommons.org/licenses/by-sa/3.0/
“The Allied Push to Berlin”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-allied-push-to-berlin/
https://creativecommons.org/licenses/by-sa/4.0/
"The Yalta Conference." February 1945. Hosted by: Yale Law School/Lillian Goldman Law Library.
The Avalon Project : Yalta (Crimea) Conference (yale.edu)
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oercommons
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2025-03-18T00:36:54.853763
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Alison Vick
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"url": "https://oercommons.org/courseware/lesson/93365/overview",
"title": "Statewide Dual Credit World History, The Catastrophe of the Modern Era: 1919-Present CE, Chapter 14: The World Afire: World War II, Road to Allied Victory",
"author": "Anna McCollum"
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https://oercommons.org/courseware/lesson/88060/overview
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Turning the Tide in Europe
Overview
Operation Torch
From 1939 – 1942, an Axis victory in Europe seemed a very real possibility. Nazi Germany, bolstered by its ally Italy, as well as occupied nations in Europe, seemed destined to win the war. And yet, the Germans also seemed overextended. In fall 1942, the Germans were knocked out of their positions in North Africa during Operation Torch—led by the United States. The following summer, the Allies would claim Sicily and make their way into Europe through Italy. By winter of 1943, the Soviet Red Army forced the German army to retreat, slowly but surely, toward Berlin. And then in the summer of 1944, the Allies would make good on a promise to Stalin to open up a second front in Europe. When the invasion of Normandy occurred in June 1944, the German army was stretched as it fought a multifront war to the west, east, and south. By the summer of 1944, the war had turned in favor of the Allies, as Germany crumbled from within and without. Despite the advances made by the Allies, the last years of the war would prove hard fought for them as the fighting devolved into total war across the European continent.
Learning Objectives
- Examine why the Allies chose to invade North Africa and Sicily.
Key Terms / Key Concepts
Operation Husky: the Allied invasion of the island of Sicily in the Mediterranean Sea in the summer of 1943
Operation Torch: Allied invasion of North Africa in the fall of 1942
Tunisia: country in North Africa occupied by the Germans during World War II; location of much of the combat in North Africa
Operation Torch
Operation Torch was the British-American invasion of French North Africa during the North African Campaign of the Second World War.
The Soviet Union had pressed the United States and United Kingdom to start operations in Europe and open a second front to reduce the pressure of German forces on the Soviet troops. The goal was to eliminate the Axis Powers in North Africa, improve naval control of the Mediterranean Sea, and prepare for an invasion of Southern Europe in 1943. U.S. President, Franklin D. Roosevelt suspected the African operation would rule out an invasion of Europe in 1943; however, he agreed to support British Prime Minister Winston Churchill.
Operation Torch launched on November 8, 1942 and was completed on November 11. To reduce German and Italian forces, Allied forces landed in North Africa, under the assumption that there would be little to no resistance. In fact, Vichy French forces, collaborators with the Germans, put up a strong and bloody resistance to the Allies. Soon though, the Allies had overwhelmed the Vichy French forces. The Allied landings prompted the Nazi occupation of Vichy France. Sensing that an Allied victory was imminent, the Vichy army in North Africa switched sides and joined the Allies in fighting against the Germans and Italians.
Tunisian Campaign
Following the Operation Torch landings, the Germans and Italians initiated a buildup of troops in Tunisia to fill the vacuum left by Vichy troops who had withdrawn. During this period of weakness, the Allies decided against a rapid advance into Tunisia while they wrestled with the Vichy authorities.
By the beginning of March, the British army reached the Tunisian border. The Germans discovered they were outflanked, outmanned, and outgunned. The British Eighth Army bypassed the Axis defense in late March. The British First Army in central Tunisia launched their main offensive in mid-April to squeeze the Axis forces until their resistance in Africa collapsed. The Axis forces surrendered on May 13, 1943, yielding over 275,000 prisoners of war. The last Axis force to surrender in North Africa was the 1st Italian Army. This huge loss of experienced troops greatly reduced the military capacity of the Axis powers, although the largest percentage of Axis troops escaped Tunisia. They would fight the Allies in Sicily and Italy the next year. This defeat in Africa led to all Italian colonies in Africa being captured.
Operation Husky
The Allied invasion of Sicily, code named Operation Husky, was a major campaign of World War II, during which the Allies took the island of Sicily from the Axis powers (Italy and Nazi Germany). It was a large amphibious and airborne operation followed by a six-week land operation and began the Italian Campaign.
Background
After the defeat of the Axis Powers in North Africa in May 1943, there was disagreement between the Allies as to what the next step should be. British Prime Minister Winston Churchill wanted to invade Italy, which in November 1942 he called “the soft underbelly of the Axis.” Popular support in Italy for the war was declining, and Churchill believed an invasion would remove Italy as an opponent, as well as the influence of Axis forces in the Mediterranean Sea, which would open the area to Allied traffic. This would reduce the shipping capacity needed to supply Allied forces in the Middle East and Far East at a time when the disposal of Allied shipping capacity was in crisis, as well as increase British and American supplies to the Soviet Union. In addition, it would tie down German forces. Joseph Stalin, the Soviet leader, had been pressing Churchill and Roosevelt to open a “second front” in Europe, which would lessen the German Army’s focus on the Eastern Front, where the bulk of Soviet forces were fighting in the largest armed conflict in history.
Operation Husky - An Allied Victory
A combined British-Canadian-Indian-American invasion of Sicily began on July 10, 1943, with both amphibious and airborne landings at the Gulf of Gela, under the command of American General Patton, as well as north of Syracuse under British General Montgomery. The original plan contemplated a strong advance by the British northwards along the east coast to Messina, with the Americans in a supporting role along Britain’s left flank. However, when the British Eighth Army was held up by stubborn defenses in the rugged hills south of Mount Etna, Patton amplified the American role by a wide advance northwest. This was followed by an eastward advance north of Etna towards Messina, supported by a series of amphibious landings on the north coast, which propelled Patton’s troops into Messina shortly before the first elements of Eighth Army. The defending German and Italian forces were unable to prevent the Allied capture of the island, but they had succeeded in evacuating most of their troops to the mainland by August 17, 1943. Through this offensive, Allied forces gained experience in opposed amphibious operations, coalition warfare, and mass airborne drops.
Stalingrad
The Battle of Stalingrad was a major battle on the Eastern Front of World War II in which Nazi Germany and its allies fought the Soviet Union for control of Stalingrad in Southern Russia, located on the eastern boundary of Europe. It has been described as the biggest defeat in the history of the German Army and a decisive turning point in the downfall of Hitler in World War II. It was fought from August 1942 until February 1943.
Learning Objectives
Evaluate why the Battle of Stalingrad was a major turning point of World War II in favor of the Allies.
Key Terms / Key Concepts
The Battle of Stalingrad: a battle between the Russian Red Army and the Germans, as well as their allies, that occurred in the industrial city of Stalingrad, Ukraine from August 1942 until February 1943
Overview
For the first three years of World War II, Nazi Germany dominated Europe. An Axis victory seemed likely. By tooth and claw, the British and Soviets had held on, bolstered significantly by supplies delivered by the United States. Weather had slowed the German advance into the Soviet Union. Their men were unprepared for the severe cold of the Russian winters, as well as the horrible mud and biting pests that would occur when the snow melted and the Russian spring came. The pressure put on German supply lines was crippling. To continue their advance, the Germans knew they needed oil and gas resources. Moreover, they needed a crippling victory over the Soviets. With these thoughts in mind, the German army drove toward the industrial center of Stalingrad—“Stalin’s city,” which is present-day Volgograd, Russia.
From its outset, the Battle of Stalingrad was marked by constant close-quarters combat and direct assaults on civilians by air raids. The Red Army mounted a far fiercer defense of the city than the Germans and their Hungarian and Romanian allies accounted for. The attack was supported by intensive Luftwaffe bombing that reduced much of the city to rubble. The fighting degenerated into house-to-house fighting, as both sides poured reinforcements into the city. By mid-November 1942, the Germans pushed the Soviet defenders back at great cost into narrow zones along the west bank of the Volga River.
The Battle of Stalingrad is often regarded as one of the single largest and bloodiest battles in the history of warfare; nearly 2.2 million troops fought in the battle and 1.7 – 2 million were wounded, killed, or captured. The heavy losses inflicted on the German Wehrmacht make it arguably the most strategically decisive battle of the whole war and a turning point in the European theater of World War II. For this battle, German forces had withdrawn a vast military force from the West to replace their losses in the East, weakening their position on the Western Front, while never regaining the initiative on the Eastern Front.
Significance
The German public was not officially told of the impending disaster until the end of January 1943; positive media reports had ended in the weeks before the announcement of failure. And Stalingrad marked the first time that the Nazi government publicly acknowledged a failure in its war effort. The battle proved not only the first major setback for the German military but also a crushing, unprecedented defeat where German losses were almost equal to those of the Soviets. Prior losses of the Soviet Union were generally three times as high as the German ones. On January 31, regular programming on German state radio was replaced by a broadcast of the somber Adagio movement from Anton Bruckner’s Seventh Symphony, followed by the announcement of the defeat at Stalingrad. But this did not lead the Germans to believe that they could not win the war, as on 18 February, Minister of Propaganda Joseph Goebbels gave the famous Sportpalast speech in Berlin, encouraging the Germans to accept a total war that would claim all resources and efforts from the entire population.
Stalingrad has been described as not only the biggest defeat in the history of the German Army but also as the turning point on the Eastern Front, in the war against Germany overall, and the entire Second World War. Before Stalingrad, the German forces went from victory to victory on the Eastern Front, with only a limited setback in the winter of 1941 – 42. After Stalingrad, they won no decisive battles, even in summer. The Red Army had the initiative and the Wehrmacht was in retreat. A year of German gains had been wiped out. Germany’s Sixth Army had ceased to exist, and the forces of Germany’s European allies, except Finland, had been shattered. In a speech on November 9, 1944, Hitler himself blamed Stalingrad for Germany’s impending doom.
Impact
Today there are some historians who downplay the significance of the Battle of Stalingrad, those who claim either the Battle of Moscow or the Battle of Kursk was more strategically decisive. But there is no denying that the destruction of an entire army—1 million Axis soldiers—and the frustration of Germany’s grand strategy made Stalingrad a watershed moment, especially for German demoralization, and Allied hope.
Germany’s defeat shattered its reputation for invincibility and dealt a devastating blow to morale. On January 30, 1943, his 10th anniversary of coming to power, Hitler chose not to speak. Joseph Goebbels read the text of his speech for him on the radio. The speech contained an oblique reference to the battle which suggested that Germany was now in a defensive war. The public mood was sullen, depressed, fearful, and war-weary. Germany was looking in the face of defeat. However, on the Soviet side there was an overwhelming surge in confidence and belief in victory. A common saying was: “You cannot stop an army which has done Stalingrad.” Stalin was feted as the hero of the hour and made a Marshal of the Soviet Union.
D-Day
The Allies, primarily the British and Americans, launched the largest amphibious invasion in history when they assaulted the German forces at Normandy the northern coast of France—on June 6, 1944. They were able to establish a beachhead after a successful “D-Day,” which is what they called the first day of the invasion. The human cost for obtaining this critical part of the French coast was exorbitantly high. More than 200,000 British, American, French, and Canadian troops were casualties of the invasion. Over 300,000 Germans became casualties. Despite the brutality of the invasion, the success of the Allies led to the liberation of France and, ultimately, allowed the Allies to attack the Germans on both the Eastern and Western Fronts.
Learning Objectives
- Evaluate the immediate success of the Normandy invasions.
- Analyze how the Normandy invasion helped turn the tide of war in favor of the Allies.
Key Terms / Key Concepts
D-Day: June 6, 1944, the first day of the Normandy invasion
Liberation of France: defeat of German occupiers in France by the Allies in 1944
Normandy: coastal area of Northern France
Omaha Beach: one of the five beaches Allied troops landed on that was infamous for the high casualties of American soldiers
Operation Overlord: the codename for the invasion of Normandy
Operation Bodyguard: codename for the Allies’ ruse to trick the Germans before the Allied invasion of Normandy
D-Day: The Normandy Landings
Planning for Operation Overlord began in 1943. From the onset of planning, the Allies realized there was a significant challenge—concealing the fact that they were planning the largest invasion in history from the Germans. Afterall, the Germans still occupied France, including the coast. The Germans had excellent intelligence, and they expected an invasion. Only the English Channel separated England, where Allied forces were massing, from Nazi-occupied France. The challenge for the Allies was to successfully conceal their massive invasion. As luck would have it, the Germans remained over-extended on all fronts and the Allies had a plan.
In the months leading up to the invasion, the Allies conducted a substantial military deception, code named Operation Bodyguard, to mislead the Germans as to the date and location of the main Allied landings. They leaked enormous amounts of false information to the Germans of the impending invasion. The Allies then took the deception one step further. They created a fake invasion force north of their actual location. Dummy aircraft and landing craft, as well as inflatable tanks were put on display so that the Allied ruse would be believed.
As luck would have it, the Germans did fall for the Allied ploy. They sent the bulk of their defensive forces to the area around Calais. Nevertheless, the entire French coast was still heavily defended. Rows of steel hedgehogs lined the edge of the beach, half-concealed by the tide. Behind this defensive measure were rows of barbed wire and mines, and, above the beach, there were rows of machine gunners and flamethrowers.
The amphibious landings at Normandy were preceded by extensive aerial and naval bombardment and an airborne assault with the landing of 24,000 American, British, and Canadian airborne troops shortly after midnight.
The amphibious invasion of D-Day was to begin on June 6, 1944. The night before, Franklin Roosevelt bolstered the support of troops by declaring, “The Eyes of the World are upon you.” For Roosevelt, as well as the rest of the military commanders, knew that the invasion would be brutal and the human cost almost unfathomable.
On the morning of June 6, the young men (mostly under the age of 25) were given a hearty, full breakfast at five in the morning. Although well-intentioned, the troops did not understand that their breakfast would soon work against them. They shipped out not long after and discovered the English Channel was excessively choppy. Soon, the men who had enjoyed breakfast were seasick. Shouldering as much as eighty pounds of gear on their backs, the Allied troops were to charge the descent from their landing craft, charge through the water, and attack the German positions on five beaches: Utah, Gold, Sword, Juno, and Omaha.
Allied infantry and armored divisions landed on the coast of France at 6:30 am. Strong winds blew the landing craft east of their intended positions. Casualties were heaviest at Omaha Beach, with its high cliffs. At Gold, Juno, and Sword, several fortified towns were cleared in house-to-house fighting, and two major gun emplacements at Gold were disabled using specialized tanks.
The Allies failed to achieve any of their goals on the first day. Only two of the beaches (Juno and Gold) were linked on the first day, and all five beachheads were not connected until June 12; however, the operation gained a foothold that the Allies gradually expanded over the coming months.
The Normandy invasion was extremely hard-fought but ultimately successful. Strategically, the campaign led to the loss of the German position in most of France and the secure establishment of a new major front. In the larger context, the Normandy invasion helped the Soviets on the Eastern Front, who were facing the bulk of the German forces, and to a certain extent contributed to the shortening of the conflict there.
Despite initial heavy losses in the assault phase, Allied morale remained high. Casualty rates among all the armies were tremendous. However, the success of the invasion led to several key events: Allied territory in continental France that allowed for easier shipment of troops and goods; the liberation of France, and later Belgium, Holland, and other countries; and the weakening of the German army. All of these developments would contribute to an Allied victory in World War II.
Battle of the Atlantic
The Battle of the Atlantic was the longest continuous military campaign in World War II, running from 1939 to the defeat of Germany in 1945. It focused on naval blockades and counter-blockades to prevent wartime supplies from reaching Britain or Germany.
Learning Objectives
- Evaluate how the Battle of the Atlantic affected the overall course of World War II.
Key Terms / Key Concepts
Battle of the Atlantic: the Allied naval blockade of Germany, and Germany’s subsequent counter-blockade
Overview
The Battle of the Atlantic was the longest continuous military campaign in World War II, running from 1939 to the defeat of Germany in 1945. At its core was the Allied naval blockade of Germany, announced the day after the declaration of war, and Germany’s subsequent counter-blockade.
As an island nation, the United Kingdom was dependent on imported goods. Britain required more than a million tons of imported material per week to be able to survive and fight. From 1942 on, the Germans sought to prevent the build-up of Allied supplies and equipment in the British Isles in preparation for the invasion of occupied Europe. Therefore, the defeat of the U-boat threat was a prerequisite for pushing back the Germans. Winston Churchill later remarked on the event,
The Battle of the Atlantic was the dominating factor all through the war. Never for one moment could we forget that everything happening elsewhere, on land, at sea or in the air depended ultimately on its outcome.
The name “Battle of the Atlantic” was coined by Winston Churchill in February 1941. It has been called the “longest, largest, and most complex” naval battle in history. It involved thousands of ships in more than 100 convoy battles and perhaps 1,000 single-ship encounters, in a theater covering thousands of square miles of ocean. The situation changed constantly, with one side or the other gaining advantage as participating countries surrendered, joined, and even changed sides, and as new weapons, tactics, countermeasures, and equipment were developed by both sides. The Allies gradually gained the upper hand, overcoming German surface raiders by the end of 1942 and defeating the U-boats by mid-1943, though losses due to U-boats continued until war’s end.
U-Boat Strategy
Early in the war, the Germans believed they could bring Britain to her knees because of her dependence on overseas commerce. They began practicing a naval technique known as the Rudeltaktik (the so-called “wolf pack”), in which U-boats would spread out in a long line across the projected course of a convoy. Upon sighting a target, they would come together to attack en masse and overwhelm any escorting warships. While escorts chased individual submarines, the rest of the “pack” would be able to attack the merchant ships.
Significance in the War
The Germans failed to stop the flow of strategic supplies to Britain, resulting in the build-up of troops and supplies needed for the D-Day landings. Victory at sea was achieved at a huge cost: between 1939 and 1945, 3,500 Allied merchant ships (totaling 14.5 million gross tons) and 175 Allied warships were sunk; additionally, some 72,200 Allied naval and merchant seamen lost their lives. The Germans lost 783 U-boats and approximately 30,000 sailors, which was three-quarters of Germany’s 40,000-man U-boat fleet. With the German fleet effectively weakened, the Allies could transfer goods and troops to France, across the Atlantic and the North Sea.
Attributions
All Images Courtesy of Wikimedia Commons
History of Western Civilization, II
“The North African Front”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-north-african-front/
https://creativecommons.org/licenses/by-sa/3.0/
“The Sicilian Campaign”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-sicilian-campaign/
https://creativecommons.org/licenses/by-sa/3.0
“Conflict in the Atlantic”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/conflict-in-the-atlantic/
https://creativecommons.org/licenses/by-sa/4.0/
“The Allies Gain Ground”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-allies-gain-ground/
https://creativecommons.org/licenses/by-sa/3.0/
“The End of the War”
https://courses.lumenlearning.com/suny-hccc-worldhistory2/chapter/the-end-of-the-war/
|
oercommons
|
2025-03-18T00:36:54.909367
|
Neil Greenwood
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/88060/overview",
"title": "Statewide Dual Credit World History, The Catastrophe of the Modern Era: 1919-Present CE, Chapter 14: The World Afire: World War II, Turning the Tide in Europe",
"author": "Anna McCollum"
}
|
https://oercommons.org/courseware/lesson/67315/overview
|
ePortfolio Manual
Overview
An ePortfolio project to allow students an opportunity to present their best work and demonstrate essential skills. This ePortfolio can be used when applying for internships, jobs, scholarships, or college admissions.
This manual will assist in the development of your ePortfolio.
|
oercommons
|
2025-03-18T00:36:54.927822
|
05/25/2020
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/67315/overview",
"title": "ePortfolio Manual",
"author": "Pam Goodman"
}
|
https://oercommons.org/courseware/lesson/86010/overview
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Principle of Cation Exchange
Overview
This topic is based on Principle of Cation Exchange Chromatography.In this I have done animation through powerpoint and i have explain it in detail the Principle of Cation Exchange Chromatography . I have mention the references and source at the last part of video.
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oercommons
|
2025-03-18T00:36:54.940277
|
09/20/2021
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/86010/overview",
"title": "Principle of Cation Exchange",
"author": "Sema Tuscano"
}
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https://oercommons.org/courseware/lesson/118966/overview
|
Complete Blackboard Shell for Introduction to Python Programming
Overview
Blackboard Shell from UAPTC for Programming 1 (Introduction to Python)
Includes discussion topics, quizes, assignments, and links to my videos --that you might want to remove, but feel free to include.
This passed a Quality Matters review at my community college by peers.
This is an export of my Blackboard Ultra shell. It includes personal video lectures, so you may want to remove those. You certainly don't have to. This passed a Quality Matters review at my community college.
Raymond Williams
Assistant Professor
Computer Science
University of Arkansas at Pulaski Technical College
rwilliams@uaptc.edu
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oercommons
|
2025-03-18T00:36:54.957310
|
08/14/2024
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/118966/overview",
"title": "Complete Blackboard Shell for Introduction to Python Programming",
"author": "Raymond Williams"
}
|
https://oercommons.org/courseware/lesson/76766/overview
|
1st Swim practice of the Community College season
Overview
This is complete workout for the first day of practice at Modesto Junior College.
It gives the sets and the total yards for the workout.
First day Swimming 2021 (practice #1)
Warm up: do the swim/pull/pull twice
300 swim
200 pull with buoy
100 kick with board 1200 Yards Building endurance
12x 25 SSP :40 SSP= Standard Sprint Pattern: By 25’s- 1) build the length, 2) Blast (half hard-half easy, 3) Sprint, 4) Easy
300/1500 Yards Building Heart Rate
10x 100 choice 1:30
1000/2500 Yards Highlighting endurance
12x 50 #1-4 swim, #5-8 pull, #9-12 kick 1:00
600/3100 Yards
4x 200 IM, Free, Choice, Free 3:15
800/3900 Yards Building Endurance
6x 50 1:20 321 320 breathes (these numbers are the breathers you are allowed by 50)
300/4200 Yards Highlighting Lung capacity
12x 25 drill 300/4500 Yards Highlighting Muscle memory
Warm down:
200 cool down (8 easy lengths)
200/4700 Yards Highlighting Recovery
- Each length of the pool is 25 yards. All sets are based on numbers that are devisable by 25. Exp- 50 equals 2 lengths of pool, 100=4 lengths, 200=8 lengths.
- All sets are based on time intervals: :40=40 seconds, 1:20=1minute and 20 seconds. This is considered interval training- is a type of training that involves a series of high intensity workouts interspersed with rest or relief periods. The high-intensity periods are typically at or close to anaerobic exercise, while the recovery periods involve activity of lower intensity.
- 4700 yards = 188 lengths of the pool
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oercommons
|
2025-03-18T00:36:54.977210
|
01/28/2021
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/76766/overview",
"title": "1st Swim practice of the Community College season",
"author": "Eric Fischer"
}
|
https://oercommons.org/courseware/lesson/84531/overview
|
Education Standards
Uses Tools and Processes of Precision Agriculture for OER
Uses Tools and Processes Worksheet
Introduction to Precision Agriculture - Lesson 2
Overview
Lesson Two: Uses, Tools and Processes of Precision Agriculture
Overview:
Students will be introduced to spatial data that is used in making management decisions in agriculture.
Introduction to Precision Agriculture - Lesson 2
Teacher Resources:
- Powerpoint has notes
- PDF of Powerpoint, with notes
- Student Worksheet
- Example of typical Guidance System
- http://www.rlhtechs.com/Trimble%20Ag/EZ%20500.htm
- “Climate/Fieldview Drive”
- Software Company Websites
- Intelligent Devices
- https://agriculture.trimble.com/product/greenseeker-system/
- https://agriculture.trimble.com/product/weedseeker-spot-spray-system/
- https://www.precisionplanting.com/products/product/smartfirmer
- https://www.digitalmatter.com/Solutions/IoT-Agriculture-Sensors
- https://www.scrdairy.com/herd-intelligence/hc24-solution.html
- https://all3dp.com/beaniot-internet-of-things-agriculture/
Precision Agriculture
Lesson Two: Uses, Tools and Processes of Precision Agriculture
Overview:
Students will be introduced to spatial data that is used in making management decisions in agriculture.
Objectives:
The student will be able to:
-Explain the Uses of Precision Agriculture
-Describe the Tools used in Precision Agriculture
-List the Processes used in Precision Agriculture
Materials Needed:
Access to the internet
Activity:
- Teacher will go through the powerpoint presentation
- While reviewing the powerpoint, students will complete the worksheet.
Optional Activities:
- Worksheet includes optional activities.
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oercommons
|
2025-03-18T00:36:55.009881
|
Carmel Miller
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/84531/overview",
"title": "Introduction to Precision Agriculture - Lesson 2",
"author": "Lecture Notes"
}
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https://oercommons.org/courseware/lesson/78830/overview
|
Okanagan College OER Adoptions
Overview
Open textbooks and OER adoptions for Okanagan College from 2013-2021 (spreadsheet).
Open Textbooks and OER Adoptions
Open textbooks and OER adoptions for Okanagan College from 2013-2021 (spreadsheet).
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oercommons
|
2025-03-18T00:36:55.025787
|
03/31/2021
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/78830/overview",
"title": "Okanagan College OER Adoptions",
"author": "Darcye Lovsin"
}
|
https://oercommons.org/courseware/lesson/88315/overview
|
Future Tense in Hindi (word file)
Making Future Tense in Hindi
Overview
Grammar notes on making Future Tense in Hindi
You will learn how to make future tense in Hindi.
If you have any questions, please feel free to reach out to me at mansi.bajaj@austin.utexas.edu
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oercommons
|
2025-03-18T00:36:55.043157
|
Mansi Bajaj
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/88315/overview",
"title": "Making Future Tense in Hindi",
"author": "Lecture Notes"
}
|
https://oercommons.org/courseware/lesson/77186/overview
|
Blood Smear Video v000001
Overview
This video shows scanning a Wright's stained blood smear slide with pauses to view leukocytes. The video was taken at 630X under a brightfield microscope. This video is compatible with a laboratory lesson in which students observe, categorize, and count leukocytes. More than 100 leukocytes are viewed in this video. Note, this video does not have narration.
Video credit: Emily Fox
Blood Smear Video hosted on OER commons
This video is hosted on OER commons.
Blood Smear Video YouTube Link
This video is hosted on YouTube.
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oercommons
|
2025-03-18T00:36:55.061475
|
Diagram/Illustration
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/77186/overview",
"title": "Blood Smear Video v000001",
"author": "Health, Medicine and Nursing"
}
|
https://oercommons.org/courseware/lesson/96851/overview
|
Know Variables Part 1 Variable Types
Know Variables Part 2 Print variables
Know Variables Part 3 Read Variables
Know Variables Part 4 Test Reading Variables
Know Variables Part 5 String Variable
2- Know Variables in Java
Overview
Our second set of videos explains how variable are defined and used in Java
Variables in Java (Lecture Videos)
In this set of videos we learn about various variable types and how to define and use them.
Java Source File
The source code to learn various types in Java
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oercommons
|
2025-03-18T00:36:55.082190
|
08/29/2022
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/96851/overview",
"title": "2- Know Variables in Java",
"author": "Saeid Samadidana"
}
|
https://oercommons.org/courseware/lesson/102865/overview
|
Your Course Name - Open For Antiracism (OFAR)
Overview
The Open for Antiracism (OFAR) Program – co-led by CCCOER and College of the Canyons – emerged as a response to the growing awareness of structural racism in our educational systems and the realization that adoption of open educational resources (OER) and open pedagogy could be transformative at institutions seeking to improve. The program is designed to give participants a workshop experience where they can better understand anti-racist teaching and how the use of OER and open pedagogy can empower them to involve students in the co-creation of an anti-racist classroom. The capstone project involves developing an action plan for incorporating OER and open pedagogy into a course being taught in the spring semester. OFAR participants are invited to remix this template to design and share their projects and plans for moving this work forward.
Action Plan
Describe how OER and open pedagogy help your class to be antiracist here.
Course Description
Add your course description here including the course name and number, and learning outcomes.
Attach your syllabus here clicking the Attach Section paperclip image below, then choose the correct file from your computer, name your syllabus, and save.
Antiracist Assignment / Module
Describe your antiracist assignment or module.
Attach your assignment or module here clicking the Attach Section paperclip image below, then choose the correct file from your computer, name your assignment or module, and save.
Paste any relevant links that others would find helpful.
Asdfasdf
asdfasdfasdf
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oercommons
|
2025-03-18T00:36:55.097199
|
04/12/2023
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/102865/overview",
"title": "Your Course Name - Open For Antiracism (OFAR)",
"author": "Connor Van Leeuwen"
}
|
https://oercommons.org/courseware/lesson/124431/overview
|
Resilient HC Employee Micro-credential Course Files
Resilient Healthcare Employee Micro-credential 2024 - Common Cartridge v1.2
Resilient Healthcare Employee Micro-credential
Overview
This resource contains the full course content for the Resilient Healthcare Employee Micro-credential for students or employees in the healthcare field. This professional enhancement level micro-credential takes 2-3 hours to complete and includes content formats such as powerpoint lectures, videos, articles, links, images, assessments, as well as some interactive content. All content was created in collaboration with healthcare employers and SMEs in the healthcare field. Within this resource you will find: all course files, IMSCC file for embedding into Blackboard LMS, and resources and guidance documents for implementation.
Skills: Stress Management | Adaptability | Empathy | Self-awareness | Emotional Intelligence | Self-care Practices | Resilient Thinking
Resilient Healthcare Employee Micro-credential Course Content and Resources
Course Description
Participants will explore healthcare stressors, learning to identify both internal and external factors impacting healthcare workers and environments. Learners will develop strategies for managing stress, fostering adaptability, empathy, self-awareness, and emotional intelligence. They will delve into the concept of vicarious trauma and learn about effective coping mechanisms to provide support when needed. Participants will learn to develop self-care habits and the importance of establishing clear boundaries between work and personal life for a sustainable work-life balance. Emphasizing the expectation for resilience in healthcare, participants will cultivate resilient thinking patterns and hone emergency response skills, emerging as exemplary leaders in healthcare, equipped to navigate challenges with calmness, focus, and unwavering dedication to both patient care and personal safety.
Skills: Stress Management | Adaptability | Empathy | Self-awareness | Emotional Intelligence | Self-care Practices | Resilient Thinking
About:
The micro-credential is intended to be taken online independently. It should take between 2-3 hours to complete. It is a Professional Enhancement level micro-credential, and has been developed with healthcare industry professionals from large healthcare employers in the state of CT.
Course Files (ZIP Folder):
This folder contains all course files, including PowerPoint presentations, images, and external documents. It also includes a course roadmap, which outlines the intended sequence for building the course from scratch. The embedded links document provides all resource links used within the micro-credential.
SCORM File:
This Common Cartridge file is designed to directly embed the entire course and its content into a compatible Learning Management System (LMS). It was used in Blackboard Ultra and is formatted to SCORM 1.2.
Resources and Guidance Documents (ZIP Folder):
This folder contains instructional resources and guidance for instructors on how to effectively use the provided materials.
Grant Disclaimer
This content was created as part of the CT SHIP grant, lead by CT State Community College - Norwalk.
The total cost of CT Statewide Healthcare Industry Pathway project (CT SHIP) was $6.9M. $3.4M (49%) was funded through a U.S. Department of Labor – Employment and Training Administration grant and another $3.5M (51%) was committed through non-federal state and local resources.
The Workforce product was funded by the grant awarded by the U.S Department of Labor's Employment and Training Administration. The product was created by the grantee and does not necessarily reflect the official position of the U.S Department of Labor. The U.S Department of Labor makes no guarantees, warranties, or assurances of any kind, express or implied, with respect to such information, including any information on any linked sites and include, but not limited to, the accuracy of the information or its completeness, timeliness, usefulness, adequacy, continued availability, or ownership.
|
oercommons
|
2025-03-18T00:36:55.120970
|
02/06/2025
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/124431/overview",
"title": "Resilient Healthcare Employee Micro-credential",
"author": "Renee Dunbar"
}
|
https://oercommons.org/courseware/lesson/124436/overview
|
Apollo 11 Command Module 3-D Model and Mini Lesson
Overview
This is a short article and link to a 3-D model of the apollo 11 command module.
Apollo 11 Landing Module
This is a small lesson about the Apollo 11 landing module. This would go well with a space unit in science, or a history unit about the space race.
History & Background
The Apollo 11 mission was part of NASA’s Apollo program, which aimed to land humans on the Moon and return them safely to Earth. The program was initiated in response to President John F. Kennedy’s 1961 challenge to land a man on the Moon before the end of the decade.
The mission was launched at the height of the Cold War Space Race between the United States and the Soviet Union. The Soviet Union had achieved several space milestones first (such as launching the first satellite, Sputnik 1, in 1957 and sending the first human, Yuri Gagarin, to space in 1961), but Apollo 11 was America’s historic moment in space exploration.
Summary of the Apollo 11 Mission
🚀 Launch Date: July 16, 1969
📍 Landing Site: Sea of Tranquility, the Moon
🌎 Return Date: July 24, 1969
Crew Members
- Neil Armstrong (Commander) – First person to walk on the Moon
- Buzz Aldrin (Lunar Module Pilot) – Second person to walk on the Moon
- Michael Collins (Command Module Pilot) – Stayed in orbit around the Moon
Key Events
Launch (July 16, 1969)
- Apollo 11 was launched from Kennedy Space Center in Florida aboard the Saturn V rocket.
Moon Landing (July 20, 1969)
- The Lunar Module (Eagle) separated from the Command Module (Columbia) and descended to the Moon’s surface.
- Neil Armstrong took the first step on the Moon and said the famous words:
"That's one small step for man, one giant leap for mankind." - Buzz Aldrin joined Armstrong on the Moon, and they conducted experiments, took pictures, and planted the American flag.
Return to Earth (July 24, 1969)
- After spending about 21 hours on the Moon, the crew lifted off and rejoined Michael Collins in the Command Module.
- They returned to Earth, splashing down in the Pacific Ocean, where they were recovered by the USS Hornet.
Impact & Legacy
🌕 Apollo 11 was a huge milestone in space exploration, proving that humans could travel to the Moon and return safely.
🏆 The mission fulfilled Kennedy’s goal and gave the U.S. a major victory in the Space Race.
🔬 The astronauts brought back lunar rocks and soil samples, which helped scientists learn more about the Moon.
🚀 The Apollo program continued, leading to five more Moon landings before it ended in 1972.
|
oercommons
|
2025-03-18T00:36:55.142633
|
Lesson Plan
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/124436/overview",
"title": "Apollo 11 Command Module 3-D Model and Mini Lesson",
"author": "Lesson"
}
|
https://oercommons.org/courseware/lesson/100538/overview
|
Educator PD: Safety Cues & Brain States
Overview
Psychological safety in education encourages student collaboration, creativity, critical thinking, and discourse. Learn about how building in safety cues to the classroom can support learning in classrooms. This presentation can be 1 or 3 hour learning experience. Shift and change the content as needed to fit your needs. Read the speaker notes for information regarding the challenge model structure and the content. Prior knowledg in this area is not necessary. Learn with your staff while you facilitate the PD in your school.
PD: Safety Cues & Brain States
Explore safety cues and brain states with other educators as we work to co-create our classrooms with psychological safety.
Challenge: How can we use structures & supports co-create safety cues in our classrooms?
Initial thoughts
Multiple Perspectives
Reflection
Flipped Resources
Revised Thinking
Report Out
LTP
|
oercommons
|
2025-03-18T00:36:55.160585
|
Missy Widmann
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/100538/overview",
"title": "Educator PD: Safety Cues & Brain States",
"author": "Teaching/Learning Strategy"
}
|
https://oercommons.org/courseware/lesson/122940/overview
|
SEARCH TECHNIQUES
Overview
Search techniques are strategies, methodologies, or tools used in locating and retrieving information, especially in large volumes of data. These techniques are used in many contexts, from search engines to academic research, data retrieval, and even physical archives. They aim at maximizing efficiency, relevance, and accuracy in finding the information you are looking for.
The search technique is largely depends on the understanding of users to execute these techniques and the sophistication of the search engine or tool in interpreting queries and giving relevant results.
INTRODUCTION
Searching is the activity of looking carefully in order to find something. In library and information science, searching refers to looking through records carefully in order to find desired information. You have already studied retrieval tools like catalogues, indexes, etc., for retrieving information. In this lesson, you will learn need and ways of searching organized information for retrieval purposes. You will also be exposed to basic concepts of search techniques for information retrieval from electronic sources.
OBJECTIVES
Upon successful completion of this lesson, you should be able to:
- Define search techniques;
- Explain organization of words in a dictionary;
- Use dictionary, numeric and numeric/classified techniques for arranging and retrieving library material;
- Define search engines;
- Identify search process and design a search query;
- Know the role of search operators;
- Define Boolean logic; • understand types of searches;
- Define, explain and differentiate the field based and full text search with examples.
Search Techniques
The search technique acts as a mechanism through which relevant information can be recovered from information systems. One will find that the information system may either be inhouse or online. In house, information system is such whereby information is stored with scope to an organization as used for retrieval purposes. Then one finds the online information system whereby electronic information sources happen to be stored centrally yet accessed through a given mechanism of communication. Most of the online information systems are compatible with World Wide Web (WWW) and are accessible through internet. The in-house information system may have information sources in both printed and electronic form. Thus, storing mechanism and search techniques are two different aspects. We will discuss these two aspects of storage and retrieval of information.
Storage Mechanism
In-house information systems and online information systems are developed to store specific information or information on a specific theme or subject. Such systems have their search mechanisms and a set of instructions to locate particular information. In library and information centres, information is available both in print and electronic format. Some of the storage mechanisms and their role in information retrieval are as follows:
- Dictionary Arrangement
- Numeric Arrangement
- Classified Arrangement
Dictionary Arrangement
Dictionary arrangement means an arrangement where words are organized in alphabetical order of the language. The alphabetical order is the sequence based on the position of a particular alphabet in the script of the language. For example, the English language uses roman alphabets and the order is A, B, C, D,……….Z. Here, the alphabet "A" is in first position, "B" at second and similarly "Z" at twenty sixth position in the sequence. Hence the words in dictionary arrangement are arranged according to the sequential position of alphabets. For instance, Action Ante Apple Art Catalogue Classification Search…. Here, the first four words are starting with "A" but their positions are fixed according to the position of second, third or fourth letter.
This is followed by another set of two words starting with "C". Thus, the words starting with "C" have been given position after the words starting with "A". Following this process, the words are organized in this arrangement. This mechanism of arrangement is followed for arranging entries in catalogues, which have words as access point. For example, author, title, subject, etc.
Numeric Arrangement
The numeric arrangement is the order where numbers are arranged in ascending or descending order. For instance,
123.45
234.15
234.51
435.21
541.23
……………………………
Here, you find that all the numbers have the same set of five digits, i.e., 1 to 5, but according to their numeric value, these are organized in ascending order and sequence has been made. In libraries, that follow Dewey Decimal Classification system, you will find that the books are kept on the shelves in numerical order.
Classified Arrangement
Most of the libraries organize their books on the shelves according to the call number of books. The call numbers are the combination of class number, book number and collection number. These three numbers may be numeric or alphanumeric as per the scheme, followed by the library. Hence, retrieving books from the shelves becomes easy when we understand the numeric, alphanumeric or classified arrangement. For example, a few call numbers based on DDC scheme have been arranged below as they are arranged on shelves.
321.4 RAM
370.1150954 DEM
370.1523 DES
371 ILLS
371.3078 KEM
371.32 NIS
371.397 GRE
371.926 BRA
Another example of information retrieval following these arrangements is taken from a book index. You might have noticed that almost all books have an index at the end. The book index is a list of words/terms along with page numbers on which those appear in the text. Depending upon the size and nature of the book, the terms in the book index are organized either in dictionary or classified order. After understanding these arrangements, you can find information on a topic from the book easily.
Search Engine
Searching information from the electronic or digital media is different from the print media. When information is stored in electronic or digital form, user interface is provided to find relevant information from the system. This user interface is a software, which has provisions to accept keywords or terms, representing required information to conduct the search. It brings the result of the search in the format defined in the software. The software meant for searching information from the information system is referred as search engine. Therefore, we can define a search engine as 'a software, meant for searching information from electronic or digital information domain, on the basis of input given by a searcher that displays the result in user friendly format'.
The input to the search engine is known as search string or query. The query may be a single term or a set of terms representing the information one is looking for. The search engine searches information based on the query and provides a list of sources which match the query. The list is displayed in a format, designed by the search engines. Depending upon the nature of the search engine, the list may contain brief description of information sources, on the basis of which, the searcher may decide to acquire or refer to full record or not. You might have searched Online Public Access Catalogue (OPAC) of your library or Library of Congress Online Catalog (LCOC) or PubMed as well as Google or Yahoo on internet. All are the search engines.
Search Process
The search process is a set of functions which are performed for searching the relevant information effectively. The process follows some basic steps to conduct search and get desired results. These steps are as follows:
(i) Recognise and State the Need
(ii) Development of Search Strategy
(iii) Execution of the Search Strategy
(iv) Review Search Results
(v) Edit Search Results
(vi) Evaluation and Feedback
Recognise and State the Need
It is important for an information professional or searcher to know why the search is being done and what purpose the search will serve.
A topic may be searched on a need for general knowledge, research and development, and so forth. With knowledge of the need and purpose of the search, a query statement should then be formulated. There needs to be an agreement between the seeker of information and the searcher of information as to the search requirements. This agreement leads to formulation of effective search strategy for relevant and effective result.
Development of Search Strategy
The development of the search strategy includes conceptual formulation of query, translation of conceptual formulation into the language of keywords, descriptors or facets, identification of synonym and associated terms, etc.
The concept of facet analysis (PMEST), given by Ranganathan as well as the concept of specific subject can be used as an effective tool for designing a query.
After this, it is important to select the information domain to be searched like, the OPAC of a library, database or likewise, depending upon requirements. The search string or query, is the combining of terms, keywords or descriptors which represent information. Since search strings contain language, the linguistic features, and their consequences for searching and retrieving have to be examined. In this place, three areas, which are Syntactic Value, Semantic Value and Boolean Operators are to be defined.
- Syntactic Value
The syntactic value of a search string deals with the kind of formula or connecting symbols through which keywords or terms are connected to represent the concept to be searched by the search engines. We will try to understand the syntactic value of a query by this example. There are two terms, say "poetry" and "Indians" connected by two different connectors, "among" and "by'. Each gives a different meaning, as follows:
- 'Poetry among Indians 'means 'What is the status of poetry among Indians?" Or 'What is the approach of Indians towards poetry?"
- 'Poetry by Indians 'means, poetry composed by Indians.
B. Semantic Value
The semantic value of a search string is the meaning of the string in the context of the required information and the interpretation by the search engine. To establish the meaning of the concept to be searched and understood by the search engines, we use operators as connectors of keywords as permitted by the search engines. We can understand the semantic value of a query through two examples given below:
- The question 'contribution of Indian society in mathematics' means the contribution of Indian society in the field of Mathematics.
- The question 'contribution of mathematics in Indian society 'means contribution of Mathematics in shaping Indian society
These two examples give us clear perception of the semantic value of a question. The same set of keywords and connectors give different meaning when written in different order.
C. Boolean Operators
Boolean Operators are simple words, such as AND, OR, and NOT, used like conjunctions to combine keywords or exclude them in searching.
They are used in order to connect and identify the relationship between the searching terms.
Hence resulting in more focused and fruitful results. These three terms have been accepted by the designers of the search engines. Their meaning is well defined while they used as operators in information search. The three operators of Boolean logic are logical sum (+) OR, logical product (x) AND, and logical difference (-) NOT. All information retrieval systems permit the use of these operators by allowing users to express their queries. Let us now examine the meaning of these three operators.
OR Operator:
The OR operator lets the user specify alternatives among the terms in the search. When a string is constructed with the help of OR operator, then search engines obtain all those resources where at least one of the terms or keywords linked with 'OR' exist.
If we construct a search string like, 'student OR education' and search for it, then the output of the search will be a list of references of all those resources, available in the system where either student or education exists.
AND Operator: The AND operator is used to combine two or more terms. When we create a string using AND operator, the search engine retrieves all those resources in which all the terms or keyword connected with 'AND 'exist. For example, if we design a search string like, 'student AND education 'and search, then the output of the search will be a list of references of all those resources where student and education, both the terms exist.
NOT Operator:
The NOT operator is used to eliminate the term from a collection of resources. For instance, if we formulate a search string like 'student NOT education' and search then the result of the search will be a list of references of all those resources, available in the system, where term student exists but not education.
Implementation of the Search Strategy
The searcher should know the data structure adopted by the information system that stores data before executing a search. The system-based search engines are designed to search information in a database according to its architecture. Like in OPAC, if we put a query as 'Tagore, Rabindra Nath' and search in author field, then only those records will be retrieved and displayed from the database which have been authored by him.
But, if we put the same query into the title field, then all those records will appear which have 'Tagore, Rabindra Nath 'in title or a portion of title. So, in result references of all such materials which are written about 'Tagore, Rabindra Nath 'will be included. Depending upon the need and purpose of the search and expertise of the searcher, the search may be conducted using the features of the search engines. Hence a searcher should know the types of search and implications to get effective output. The types of searches are:
a) Field Based Search
b) Full Text Search
c) Truncation Search
d) Proximity Search
e) Limiting Search
f) Range Search
g) Simple Search
h) Advanced Search
(a) Field Based Search
The search conducted on a particular field of the database to get required information is termed as field-based search. As you are aware, the complete information of catalogue is stored in different fields in a bibliographic database. If you wish to search an author, direct the search engine to author field or if you wish to search through title or subject, direct the search engine to title or subject field.
(b) Full Text Search
Full text search is a searching mechanism, which performs the search on each and every field of the database and retrieves all those records which match the query. For instance, the same search (Amartya Sen) when performed on LCOC with keyword option, which acts as full text search, retrieved a list of 193 records.
This indicates that, in full text search the number of hits increased as it extracted all those records which had 'Sen, Amartya 'in any fields.
(c) Truncation Search
Truncation search, is a search technique, in which, the search is conducted for different forms of a word having the same common root. It is one of the most widely adopted methods in information retrieval system. In this method, the root word is taken along with truncation mark and then search is done. Suppose we are searching for 'India*' then all the records will be fetched where term 'India 'is appearing full or partial of any word.
All the records of the domain containing, India, Indian, Indiana, Indianization or similar will be listed.
(d) Proximity Search
The proximity search, is a search technique, which allows the searcher to define the distance of two terms from each other. Whether, the two search terms, should occur adjacent to each other, or, one or more words occur in between the search terms; or the search terms should occur in the same paragraph, irrespective of the intervening words, etc. Different search engines use different set of operators for this purpose.
(e) Limiting Search
In limiting search technique, a searcher limits the string as per the architecture of database and searches different terms of the same string in different fields. For example, if a searcher is searching 'Development as freedom by Amartya Sen' then the string will be broken into two sub-strings, viz. 'Development as freedom 'and 'Amartya Sen'.
The sub-string 'Development as freedom' will be put in title field and sub string 'Amartya Sen' will be put in author filed and then search will be conducted.
Range Search
Range search technique is a technique, which allows searchers to select records within certain data ranges. This technique is more suitable for numeric data search. The operators and their meaning differ from search engine to search engine. A few commonly used operators are:
Greater than (>)
Less than (<>)
Greater than or equal to (>=)
Less than or equal to (<=) For example, if we place publication year 2000 >=, then the result will list all those resources which have been published 2000 AD onwards.
Simple Search
Simple search is such a technique where a searcher puts keywords in a simple format without understanding the behaviour of the search engine or the architecture of the database or the impact of the operators and connectors. Almost all the search engines provide the facility of using simple search technique. The simple search works on the model of Full text search discussed above.
Advanced Search
Advanced search technique is the method through which a searcher looks up information with various tools and mechanisms in order to attain exact and relevant results. In this technique, the search string is constructed using the operators and parameters supplied by the search engine by the searcher. Looking up information, by merging all of the methods mentioned above also falls under this category. Here, the scope of each and every term of the string may be defined according to facility available in the search engine.
Review Search Results
The best reviewer of the search results is the user. But the information professionals should also review the search results on the basis of criteria given for evaluating information retrieval systems.
Edit Search Results
The editing of search results is a transformation of the search results into a user-friendly format. This can involve the arrangement of the results into a well-organised package, highlighting important entities, adding more information to the entities and reformatted of information to suit the user's requirements.
Evaluation and Feedback
The evolution of search results involves participation of both, the users and the searchers. The quality and quantity of the results are assessed and if needed, the process may be redefined and restarted if the final result does not satisfy the users' needs
LEARNT ABOUT SEARCH TECHNIQUES
- The standard mechanism, called information search techniques is used for retrieving information from any information system.
- The search technology is a tool by which, one can retrieve relevant data from information systems. The information system may be inhouse or online.
- Storage technology can be dictionary, numeric and classified arrangement of data.
- Search operation is performed by a set of functions as:
- Determination of user's needs of information search;
- Designing search strategy;
- Selecting the information system to be searched and accordingly the search engine;
- Creation of search query or string using keywords and operators that, expresses the semantic value of the user's requirements and the syntactic format that the engine interprets;
- Performing the search;
- Evaluation of the result. If necessary, again filter or redefine or restart the search process; and
- Presentation of the search results in a user-friendly format.
- For getting relevant and effective search results, a searcher should have knowledge of the types of searches and skills of conducting them.
Conclusion
Search techniques are foundational to various fields, such as computer science, information retrieval, and problem-solving. They play a critical role in efficiently finding solutions, data, or information from large datasets, whether it's for navigating through the internet, exploring databases, or optimizing algorithms in problem-solving.
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oercommons
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2025-03-18T00:36:55.232491
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12/12/2024
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{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/122940/overview",
"title": "SEARCH TECHNIQUES",
"author": "FIROZ ALI LASKAR"
}
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https://oercommons.org/courseware/lesson/103900/overview
|
WHAT EXACTLY DOES THE U.S. CONSTITUTION DO?
Overview
The "Future Ready" content focuses on civics and the United States Constitution. It explains the Constitution's purpose and how it was ratified. The objectives are to teach about power distribution between national and state governments, principles of the American constitutional federal republic, the role of law in the political system, government institutions created during the Revolution, and different levels of government in the US.
Key terms related to the Constitution are highlighted, such as amendments, bicameral legislature, Bill of Rights, checks and balances, Declaration of Independence, federalism, Preamble, separation of powers, and unalienable rights.
The content emphasizes the Constitution as the highest law and the relationship between the federal government and states. The Bill of Rights, the first ten amendments, is explained along with specific rights and protections. Important amendments like the Fourth, Fifth, Sixth, Ninth, and Tenth are described.
The passage also covers the separation of powers and checks and balances in the American government to prevent any one branch from becoming too powerful. It concludes with questions to test understanding, including the purpose of the Preamble, the meaning of domestic tranquility, the provision for common defense, and the importance of the separation of powers.
Future Ready
CIVICS
The Constitution
What exactly does the Constitution do?
Photo by Dave Sherrill on Unsplash
OBJECTIVES
Explain how the United States Constitution grants and distributes power to national and state governments and how it seeks to prevent the abuse of power.
Explain the central ideas and principles of the American constitutional federal republic.
Evaluate, take, and defend positions on the role and importance of law in the American political system; on issues regarding the distribution of powers and responsibilities within the federal system.
Evaluate the institutions and practices of government created during the Revolution and how they were revised between 1787 to create the foundation of the American political system based on the U.S. Constitution and the Bill of Rights.
Recognize the structure and functions of different levels of government in the United States, including concepts of power and authority
RATIFYING THE CONSTITUTION
What is the greatest and longest-living of all the constitutions in history? The Constitution of the United States of America! It is the document that embodies the fundamental laws and principles by which the U.S. is governed. The Constitution was written just after the Revolutionary War, the war for American independence from Britain. In 1787, the Founders - most notably, Ben Franklin, James Madison, Alexander Hamilton, and George Washington - gathered in Philadelphia and framed the Constitution. Their purpose was to create a document that provided a stronger central government than that was provided by the Articles of Confederation. All states were invited to send delegates to the Constitutional Convention that designed a government with separate legislative, executive, and judicial branches. Most of the debates at the Constitutional Convention centered on ideas about where power should lie. It established Congress as a lawmaking body with two houses: each state is given two representatives in the Senate, whereas representation in the House of Representatives is based on population. Only nine of the 13 states needed to ratify the Constitution for it to take effect in 1789.
Photo by Anthony Garand on Unsplash
KEY TERMS
Amendment a change to the Constitution or an addition to the Constitution
bicameral legislature a legislature with two houses or chambers. The British parliament is a bicameral legislature, made up of the House of Commons and the House of Lords. Likewise, the United States Congress is made up of the House of Representatives and the Senate.
Bill of Rights the first ten amendments to the Constitution
checks and balances a fundamental principle of American government, guaranteed by the Constitution, whereby each branch of government was given specific and unique powers that could not be exercised by the other branches, and no one branch of government would overpower another
Photo by Joshua Sukoff on Unsplash
Declaration of Independence the document that announced our independence from England
federalism the relationship between the state and national government
Preamble the introduction to the Constitution, declaring the purpose of the document
separation of powers between branches of government. writers of the Constitution built this principle into one of the key features of the American government.
unalienable an inalienable right is impossible to take away or give up
THE SUPREME LAW OF THE LAND
The founders of the United States defeated the world’s strongest military and financial power and won their independence. They then faced the task of forming a country that would honor and implement the principles upon which they had declared their independence.
The bedrock upon which the American political system is built is the rule of law. The vast difference between tyranny and the rule of law is a central theme of political thinkers back to classical antiquity. The idea that the law is superior to rulers is the cornerstone of English constitutional thought as it developed over the centuries. The concept was transferred to the American colonies and can be seen expressed throughout colonial pamphlets and political writings.
To assure such a government, Americans demanded a written legal document that would create both a structure and a process for securing their rights and liberties and spell out the divisions and limits of the powers of government. That legal document must be above ordinary legislation and day-to-day politics. That is what the founders meant by “constitution,” and why our Constitution is “the supreme Law of the Land.”
Article VI of the Constitution explicitly states that the Constitution is the “supreme Law of the Land.” The Constitution and the laws created by Congress take priority over state and local laws. This is called the “supremacy clause.” However, the Tenth Amendment, which was added to the Constitution as part of the Bill of Rights, protects the states and citizens from a too-powerful federal government. This amendment establishes that powers not given to the federal government and not denied to the states in the Constitution belong to the states or to the people.
Which of the following would be considered a “check,” or limit, on the federal government’s power?
The "supremacy clause"
The amendment process
The Tenth Amendment
The limiting of state powers
WHAT IS THE BILL OF RIGHTS?
Walk through the thinking process for understanding the Constitution.
When the Constitution was ratified it did not contain a Bill of Rights. In order to gain Anti-Federalist support, Federalists—including James Madison—promised that a Bill of Rights would be proposed to the states for their ratification by the first Congress under the new Constitution. The Bill of Rights is the first 10 of 27 Amendments to the Constitution. It spells out Americans’ rights in relation to their government. It guarantees civil rights and liberties to the individual—like freedom of speech, press, and religion. It sets rules for due process of law and reserves all powers not delegated to the federal government to the people or the States. And it specifies that “the enumeration in the Constitution, of certain rights, shall not be construed to deny or disparage others retained by the people.”
The First Amendment guarantees several rights to U.S. citizens: the right to express ideas through speech and the press, to assemble or gather with a group to protest or for other reasons, and to ask the government to fix problems. It also protects the right to religious beliefs and practices. It prevents the government from creating or favoring a religion.
The Second Amendment protects the right to keep and bear arms.
The Third Amendment prevents the government from forcing homeowners to allow soldiers to use their homes. Before the Revolutionary War, laws gave British soldiers the right to take over private homes.
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The Fourth Amendment bars the government from unreasonable search and seizure of an individual or their private property.
The Fifth Amendment provides several protections for people accused of crimes. It states that serious criminal charges must be started by a grand jury. A person cannot be tried twice for the same offense (double jeopardy) or have property taken away without just compensation. People have the right against self-incrimination and cannot be imprisoned without due process of law (fair procedures and trials.)
The Sixth Amendment provides additional protections to people accused of crimes, such as the right to a speedy and public trial, trial by an impartial jury in criminal cases, and to be informed of criminal charges. Witnesses must face the accused, and the accused is allowed his or her own witnesses and to be represented by a lawyer.
The Seventh Amendment extends the right to a jury trial in federal civil cases.
The Eighth Amendment bans excessive bail and fines and cruel and unusual punishment.
The Ninth Amendment states that listing specific rights in the Constitution does not mean that people do not have other rights that have not been spelled out.
The Tenth Amendment says that the federal government only has those powers delegated in the Constitution. If it isn’t listed, it belongs to the states or to the people.
REMEMBER: Just because a right is not in the Bill of Rights does not mean that it is not a citizen’s right!
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NOW IT’S YOUR TURN.
Use what you have learned to answer the question.
Almost before the ink was dry on the original document, several of the Founders set about drafting amendments to the Constitution. The first ten of these, collectively known as the Bill of Rights, were ratified on December 15, 1791. There have been an additional 17 amendments ratified since then. Go deeper here for great resources on the Amendments to the Constitution.
Based on the description in the passage “What is the Bill of Rights?”, which amendment contains the following text?
“...no Warrants shall issue, but upon probable cause, supported by Oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized…” - The Constitution
Fourth
Fifth
Sixth
Ninth
In 1962, in Gideon v. Wainwright, the U.S. Supreme Court ruled that the constitutional right to be represented by a lawyer extended to trials in state court. On which amendment would the Court base that right?
First
Fourth
Fifth
Sixth
The Fifteenth, Nineteenth, Twenty-third, Twenty-fourth, and Twenty-sixth Amendments are voting rights amendments. The Fifteenth Amendment made it clear that former slaves would be allowed to vote. The Nineteenth Amendment secured the right for women to vote. The Twenty-third Amendment grants citizens of Washington D.C. the right to vote for president. The Twenty-fourth Amendment says that a person cannot be prevented from voting in any election just because he or she has not paid a poll tax or a fee that a person had to pay before 1964 in order to vote. According to the Twenty-sixth Amendment, any citizen of the United States who is eighteen years of age or older has the right to vote.
Which of these voting amendments affected the largest share of Americans?
Fifteenth
Nineteenth - The Nineteenth Amendment, allowing women to vote, impacted roughly half of the population.
Twenty-fourth
Twenty-sixth
CHOOSE THE RIGHT ANSWER.
Use the following to answer the question below. Then read why each answer is correct or incorrect.
This excerpt is from the Constitution.
The President shall be Commander in Chief of the Army and Navy of the United States, and of the Militia of the several States, when called into the actual Service of the United States…. He shall have Power, by and with the Advice and Consent of the Senate, to make Treaties, provided two thirds of the Senators present concur.
In this portion of the Constitution, which branch of the government checks the power of another branch of government by a two-thirds agreement?
The executive checks the power of the legislative.
The judicial system checks the power of the executive.
The legislative checks the power of the executive.
The legislative checks the power of the judicial.
Check to see if you chose the right answer.
The legislative branch involves the Senate and the House of Representatives, and the executive branch consists of the president and the president's administration. The fact that the Senate must have a two-thirds agreement to allow the president to make a treaty means that the legislative branch is checking the power of the executive branch so that the president does not have full and unopposed power to make treaties.
So, Choice C is the correct answer!
Why are the other answer choices incorrect?!
Choice A is incorrect.
The president is part of the executive branch, and that branch is not checking the powers of any other branches but actually having its own powers checked.
Choice B is incorrect.
The judicial branch involves the courts, and this branch is not even mentioned in this section of the Constitution.
Choice D is incorrect.
The judicial branch does not factor into this section of the constitution.
NOW IT’S YOUR TURN.
Answer the questions below. Use the following hints to avoid mistakes.
Read all passages carefully and think about what the author is saying, the conclusions he or she is drawing, the arguments that are being presented, and the details used to support these arguments.
Go back and find specific examples in the passage that are related to the question.
The intent of the Founders of the Constitution was to construct a government that would be sufficiently strong to perform those essential tasks that only a government can perform (such as establishing justice, ensuring domestic tranquility, providing for the common defense, and promoting the general welfare—the main tasks named in the document’s Preamble), but not so strong as to jeopardize the people’s liberties. In other words, the new government needed to be strong enough to have the power to secure rights without having so much power as to enable or encourage it to infringe rights.
They also believed that the role of the federal government should be limited to performing those tasks that only a national government can do, such as providing for the nation’s security or regulating commerce between the states, and that most tasks were properly the responsibility of the states. And they believed that strong states, as competing power centers, would act as counterweights against a potentially overweening central government, in the same way, that the separation of powers checks and balances the branches of the federal government. For example, Congress can impeach and remove officers of the executive and judicial branches, the executive branch has law enforcement power and commands the military, and the judicial branch has the power to interpret the law and the Constitution.
One important feature of our Constitution is the careful way it limits the powers of each branch of government— that is, states what those branches may do, and by implication what they may not do. This is the real meaning of “limited government”: not that the government’s size or funding levels remain small, but that government’s powers and activities must remain limited to certain carefully defined areas and responsibilities as guarded by bicameralism, federalism, and the separation of powers. The idea behind the separation of powers is to use the structure of government to control the government and the officials within the government.
Why is the word more included in the phrase "a more perfect union"?
The Founders thought it sounded better.
The Preamble was too short without it.
There was already a union in place that was to be made better by the Constitution.
It was Benjamin Franklin’s favorite word.
Domestic tranquility most closely means
peace at home
peace abroad
war at home
war abroad
One of the reasons the Constitution was created was to provide for the common defense.
true
False
Why did the Founders think it was important to have a separation of powers in the government?
so that they would win the Revolutionary War
so that George Washington would be the first president
so no single branch of government becomes too powerful
so they could punish the British
Photo by Joshua Hoehne on Unsplash
WRITING THE BEST ANSWER POSSIBLE
Study the model below. It’s a good example of a written answer.
The Constitution serves as the framework of the national, or federal, government. The Founders created a strong federal government, but they did not deprive states of all authority. In ratifying the Constitution, the states granted powers to the federal government but retained others. This sharing of powers and responsibilities is called federalism. States have some authority to handle their specific needs but also must work with the federal government and the other states in matters of national importance.
American conceptions of a republic as the proper form of government can be traced back to classical antiquity, but the American Founders put forth a somewhat new understanding of republican government both at the Constitutional Convention debates and in the ratification debates. In their definition, a republic is a nation in which the people hold supreme power, and designate representatives to carry out their will. After a decade of being taxed without being represented in Parliament, Americans officially declared their independence in 1776, proclaiming that governments “deriv[e] their just powers from the consent of the governed.” The Framers decided that members of the House of Representatives would be elected directly by the people and that Senators would be elected by state legislatures. The new federal republic created a bicameral Congress in which the interests of the people and the states were balanced.
What principles of government are reflected in the debates at the Constitutional Convention? In the ratification debates?
Principles of government reflected in the debates at the Constitutional Convention and in the ratification debates include limited government, federalism, republicanism, consent, bicameral legislature, and representation.
Photo by Joey Csunyo on Unsplash
NOW IT’S YOUR TURN.
Answer the question. Use what you have learned from the model.
During the Constitutional Convention and while states were ratifying the Constitution, Federalists, like Alexander Hamilton and James Madison, believed that a large government protects liberties. They believed that the sheer size of the government protected the rights of the people. Madison made the argument that the large diversity of opinions protects any one group from becoming too powerful. The Federalists also argued that the division of powers between the federal government and the states, the supreme nature of the federal government, the voting rights nature of the government, and the checks and balances within the federal government were enough to protect people’s liberties.
An Anti-Federalist was a person who felt the federal government had been given too much power. They were concerned that the Constitution as it was did not protect the basic rights of the citizens and needed to include a Bill of Rights. Anti-Federalists charged that it was impossible to provide fair and true representation in such a large republic. They believed that a large government would gain too much power over the people, and therefore, a smaller government was better.
Summarize the main arguments that the Anti-Federalists made against the method of representation provided under the Constitution. How did the Federalists answer those concerns? Which side do you favor, and why? Give evidence supporting your argument, while anticipating and responding to the views of the opposing side as well.
GET READY FOR YOUR FUTURE!
As you answer the questions below, remember to:
Read each question carefully and consider your answer options.
Check your instincts: In most cases when taking any type of test, your first instinct is correct. But before you submit it, check your answer by looking back at the text to find details that support it.
Answer each question.
Which of the following best explains the insertion of the Supremacy Clause in Article VI of the Constitution?
To prevent the states and citizens from challenging federal laws
To prevent conflicts between federal, state, and local laws
To prevent states from becoming too powerful
To prevent states from writing laws similar to federal laws
Based on information in the passage, which of the following conclusions is most plausible concerning the Tenth Amendment?
Proponents of a strong federal government wanted the Tenth Amendment included in the Bill of Rights.
The Tenth Amendment was included to negate the powers granted to Congress in Article VI.
The Framers added the Tenth Amendment to limit the voices of common citizens.
The Framers added the Tenth Amendment to appease those who supported states' rights and individual liberties.
Photo by Samuel Ferrara on Unsplash
Use the following to answer the question below.
The Constitution of the United States of America, 1789
Amendment XIX
The right of citizens of the United States to vote shall not be denied or abridged by the United States or by any State on account of sex.
Congress shall have power to enforce this article by appropriate legislation.
The Nineteenth Amendment de facto gives the right to vote, or suffrage, to
African Americans.
immigrants.
all citizens 16 years of age and older.
Women.
The Founders were only creating the Constitution for themselves, leaving future generations in charge of securing their own liberty.
true
false
Photo by Sebastian Pichler on Unsplash
The Preamble explains how the President will be elected.
true
false
The Preamble has nothing to do with the rest of the Constitution.
true
false
Under our Constitution, some powers belong to the federal government. What is one power of the federal government?
Under our Constitution, some powers belong to the states. What is one power of the states?
Use this excerpt from James Madison’s Federalist #10 to answer the questions that follow.
Complaints are everywhere heard from our most considerate and virtuous citizens, equally the friends of public and private faith, and of public and personal liberty, that our governments are too unstable, that the public good is disregarded in the conflicts of rival parties, and that measures are too often decided, not according to the rules of justice and the rights of the minor
party, but by the superior force of an interested and overbearing majority. However anxiously we may wish that these complaints had no foundation, the evidence, of known facts will not permit us to deny that they are in some degree true.
According to Madison’s argument in Federalist No. 10, how would the new Constitution protect against the fears that political factions would corrupt the new republic?
THE CONSTITUTION ALLOWS YOU TO SAY WHATEVER YOU WANT. TRUE OR FALSE?
How often do you think about the Constitution in your daily life? Probably not very much. Even though, for instance, the First Amendment guarantees freedom of speech, there are still exceptions, like saying something with the knowledge that it could cause physical harm to people. But just because many of us are not thinking about the Constitution when we raise our hand in class, watch election results come in, or gather together with friends, the fact is that the Constitution affects almost every part of our lives. Our entire government, the laws it makes, the judges who interpret them, and the rights and liberties we have are all determined by the Constitution.
Photo by Swapnil Bhagwat on Unsplash
REFERENCES, ATTRIBUTION, AND LICENSE
References
“The Bill of Rights: What Does It Say?” by National Archives and Records Administration
“1776 Unites: Uplifting Everyday Americans.” by 1776 Unites
“Constitutional Amendments Playlist.” by Bill of Rights Institute
Attribution
Lesson by
Benjamin Troutman and Jennifer O’Neil, Griffin Bay School, San Juan Island School District
Portions of content adapted from
American Government by OpenStax, Rice University | CC BY
American Government (2E-Second Edition) by University of Central Florida
The Constitution by Library of Congress
Structure of the United States Constitution by Michelle Huebel | CC BY
The Preamble to The United States Constitution by Michelle Huebel | CC BY
Introduction to the U.S. Constitution by Ronald Stump | CC BY
License
Except where otherwise noted, Future Ready Civics The Constitution by San Juan Island School District is available under a Creative Commons Attribution 4.0 International License. All logos and trademarks are the property of their respective owners. Sections used under the fair use doctrine (17 U.S.C. § 107) are marked.
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oercommons
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Political Science
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"url": "https://oercommons.org/courseware/lesson/103900/overview",
"title": "WHAT EXACTLY DOES THE U.S. CONSTITUTION DO?",
"author": "History, Law, Politics"
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https://oercommons.org/courseware/lesson/80402/overview
|
Mechanical Test gr11
Mechanical test Memo
ENGINEERING GRAPHIS AND DESIGN
Overview
According to (Douglas SotsakaI; Asheena Singh-PillayII, n.d.) students need to develop a skill which allows them to apply visual reasoning and interpret graphical text. The aim of this Lesson on Mechanical assembly is to broaden students graphical and visual reasoning skills.
individual should be in a postion to interpret every mechanical assembly drawing and all sectioning that is involved in this chapter.
INTRODUCTION
TABLE OF CONTENT
1. INTRODUCTION: https://www.oercommons.org/courseware/lesson/80402/student/315219
2. LESSON 1: https://www.oercommons.org/courseware/lesson/80402/student/315219
3. POWERPOINT PRESENTATION: https://www.oercommons.org/courseware/lesson/80402/student/315219?task=3
4. INFORMAL TASK: https://www.oercommons.org/courseware/lesson/80402/student/315219?task=4
5. IFORMAL TASK MEMORANDUM: https://www.oercommons.org/courseware/lesson/80402/student/315219?task=5
Engineering graphics and design is offered from grade 10-12, its aim is to develop student's cognitive skill and enable them to communicate graphically, apply spatial visual reasoming through reading and interpreting graphical text (Douglas Sotsakal; Asheena Signh-Pillayll, n.d). Element of this subjecr are introdeced in grade 8 through an elementary subject known as technology and the focus then is to teach students basic inductory skills to drawing.
The link below gives an overwiew and a brief introduction of what Engineering graphics and design is.
https://www.youtube.com/watch?v=NJmEGLcUiWk
MECHANICAL ASSEMBLY DRAWING
Lesson Objective:
by they end of this lesson student need to know and understand different sectional views of mechanical assembly and understand how each component is hatched.
CONTENT.
The image below demonstrates a half sectoned mechanical assembly
Figure two demonstrate important mechanical parts. i will label each part and its function.
- KEY is used to prevent a shaft slipping inside a pulley
- KEYWAY is a groove for a key
- SHAFT is a long cylindrical component used to transmit turning force
- TAPER is a reducing diameter, from thin to thicker or thicker to thinner
- EXTERNAL TREAD has helical grooves cut around a shaft to attach a nut or other internal thread
- SHAFT
- THROUGH HOLE passes from one side of the component through to the other
- FLANGE is a disk at the end of a pipes or shafts to join them together
- KEYWAY is a groove that is used with a key to prevent rotation of components
- FIXED COLLAR is a raised part of a shaft used to position components
- SQUARE on shaft can be used to rotate another component instead of a key
- SQUARE SLOT is a shape to fit another feature
- RIB (also called a web) strengthens or supports another feature
- RECESS is a shallow hole
- SLOT is an elongated hole usually with round ends 16. TEE SLOT or TEE GROOVE allows another shaped component to slide along it
- CHAMFER is when a corner is removed, usually at 45 degrees
- GROOVE is a long narrow channel
- ROUND is when an outside corner is rounded
- BLIND HOLE is a hole that does not go all the way through a part
- MOVABLE COLLAR is a ring used to locate components on a shaft
- LUG is part of a casting that sticks out used for securing or adjusting the position
- THROUGH HOLE passes from one side to the other 24. INTERNAL THREAD has helical grooves cut inside a hole to attach a bolt or other external thread
- WEB (rib) is a thinner, strengthening piece on a casting
- FILLET is a rounded corner to prevent casting cracking
- SQUARE HOLE saves material
- BRACKET is a supporting device
- BORE is a cylindrical hole inside a casting
- BUSH is a sleeve placed inside a casting that will wear our and can be replaced easier and cheaper than the casting
the video below is an example of how to use calculations when drawing nuts and bolts.
https://www.youtube.com/watch?v=JEIy30EQVEQ
Grade 11 JPEGD solution for the Activiy.
POWERPOINT PRESENTATION
Powerpoint slide presentation explain in detail, the importance of hatching and calculations of nuts and bolts
ASSESSMENT TASK
Below there is an attached informal assessment you need to complete to evaluate your understanding regarding Mechanical assessmbly drawing.
After completing the task you can use the memo to evaluate your work.
MEMO FOR ASSESSMENT 1
Students below is an attchement for the previous informal you complete. and the video will enhance you spatial visual reasoning skills;
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2025-03-18T00:36:55.310398
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Homework/Assignment
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"url": "https://oercommons.org/courseware/lesson/80402/overview",
"title": "ENGINEERING GRAPHIS AND DESIGN",
"author": "Assessment"
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https://oercommons.org/courseware/lesson/80441/overview
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Worksheet 1
Worksheet 1 MEMO
Worksheet 2
Worksheet 2 MEMO
NATURAL SCIENCES AND TECHNOLOGY GRADE 5
Overview
This resource shares information about some Natural Sciences and Technology Grade 5, term 1 topics.
INTRODUCTION TO NATURAL SCIENCES AND TECHNOLOGY
Science is a systematic way of looking for explanations and connecting the ideas we have. In Science certain methods of inquiry and investigation are generally used. These methods lend themselves to replication and a systematic approach to scientific inquiry that attempts at objectivity. The methods include formulating hypotheses, designing and carrying out experiments to test the hypotheses. Repeated investigations are undertaken, and the resulting methods and results are carefully examined and debated before they are accepted as valid.
Technology has also existed throughout history. People use the combination of knowledge, skills and available
resources to develop solutions that meet their daily needs and wants. Economic and environmental factors and a wide range of attitudes and values need to be taken into account when developing technological solutions. Technology also advances as our knowledge and needs expand.
Science and Technology have made a major impact, both positive and negative, on our world. Knowledge grows out
of a view of how the world works. Watch the first two minutes of this video to give you an idea of how Science and Technology are related: https://study.com/academy/lesson/how-science-technology-are-related.html
Some of the term 1 topics that we will cover include:
- Animal skeletons (Section 2) - Skeletons of vertebrates, functions of the skeleton, and joints in the human body https://www.oercommons.org/courseware/lesson/80441/student/315299?task=2
- Skeletons as structures (Section 3) - Frame and shell structures https://www.oercommons.org/courseware/lesson/80441/student/315299?task=3
- Food chains (Section 4) - https://www.oercommons.org/courseware/lesson/80441/student/315299?task=4
In section 5 you will find all the answers to the activities from the previous sections. https://www.oercommons.org/courseware/lesson/80441/student/315299?task=5
TOPIC 2 - ANIMAL SKELETONS
In this topic we will look at the skeletons of vertebrates.
A skeleton is a hard framework inside or outside an animal's body. A vertebrate skeleton consists of bones and joints, and is inside the body.
Biologists divide all the animals in the world into two main groups according to the type of skeleton that they have.
- Animals with ENDOSKELETONS: Some animals have a skeleton inside their bodies, which is called an endoskeleton.
- Animals with EXOSKELETONS: Some animals have a skeleton on the outside of their bodies, which is called an exoskeleton.
Now that you have knowledge about endoskeletons and exoskeletons, complete "Worksheet 1" which can be found under the attachments. The memo to the worksheet can be found under section 5 https://www.oercommons.org/courseware/lesson/80441/student/315299?task=5
FUNCTIONS OF THE SKELETON
The skeleton is made up of many different bones. Each bone supports the animal's body and protects its organs.
Click on the link below to watch a fun video about the skeletal system and while you watch the video think about the function of the skull, rib cage and backbone.
The skull protects the brain.
The backbone protects the spinal cord.
The rib cage protects internal organs like the heart and the lungs.
Shoulder blades, arms, legs and hip bones are for movement.
A skeleton also gives an animal shape and support.
Now complete "Worksheet 2" under attachments. The memo to the worksheet can be found under section 5 https://www.oercommons.org/courseware/lesson/80441/student/315299?task=5
JOINTS IN THE HUMAN BODY
Your bones can move because they are connected by joints. A joint is the place where two or more bones are attached to each other.
Examples of hinge joints: elbow and knee joint.
Examples of ball and socket joints: hip and shoulder joint.
Example of a chain joint: backbone.
TOPIC 3 - SKELETONS AS STRUCTURES
In this section we will look at frame and shell structures.
Before we look at frame and shell structures, let's watch a video to remind us about the function of structures, natural structures, and man-made structures.
FRAME STRUCTURES
Frame structures are structures that are made up of different parts. These parts are put together to form a frame.
Look at some examples of frame structures and answer Activity 1.
Activity 1
1. Why do we classify these structures under frame structures?
2. Which of these structures are made by humans and which of these are natural?
SHELL STRUCTURES
Shell structures are made from one solid part.
Look at some examples of shell structures and answer Activity 2.
Activity 2
1. Why do we classify these structures under shell structures?
2. Which of these structures are made by humans and which of these are natural?
(ANSWERS TO ACTIVITY 1 AND 2 CAN BE FOUND UNDER SECTION 5 -https://www.oercommons.org/courseware/lesson/80441/student/315299?task=5 )
TOPIC 4 - FOOD CHAINS
In this section we will look at food chains.
All food chains in nature start with green plants . Green plants use the energy from the sun to make their own food. This process is called photosynthesis. Plants are therefore called PRODUCERS. Watch the video below which explains more about photosynthesis.
Living things that get energy by eating either a plant or animals are called CONSUMERS.
Many animals eat plants to get energy. We call these animals herbivores. Examples: Giraffe, sheep, cow, springbuck.
Some animals eat other animals to get energy. We call these animals carnivores. Examples: Lion, frog, snake, vulture.
Other animals can eat plants and animals. We call these animals omnivores. Examples: pig, baboon, chicken.
We get special animals called scavengers (hyenas, vultures) and decomposers (fungi, bacteria). They eat dead animals and break their bodies into tiny pieces that can go into the soil as compost.
Listen to the narrated PowerPoint on FOOD CHAINS attached below and try to answer the activity on slide 3 (Answers to the activity can be found under section 5 https://www.oercommons.org/courseware/lesson/80441/student/315299?task=5 ).
ANSWERS TO ACTIVITIES
In this section you will find all the answers to the activities from the previous sections.
SECTION 2 https://www.oercommons.org/courseware/lesson/80441/student/315299?task=2
Worksheet memo 1 - find attachment below
Worksheet memo 2 - find attachment below
SECTION 3 https://www.oercommons.org/courseware/lesson/80441/student/315299?task=3
Activity 1
1. Why do we classify these structures under frame structures?
Because they are made from different parts that are put together to form a frame.
2. Which of these structures are made by humans and which of these are natural?
Made by humans: bird cage and ladder
Natural: human skeleton and spider's web
Activity 2
1. Why do we classify these structures under shell structures?
Because they are made from one solid part.
2. Which of these structures are made by humans and which of these are natural?
Made by humans: bird bath
Natural: crab shell and snail shell
SECTION 4 https://www.oercommons.org/courseware/lesson/80441/student/315299?task=4
PowerPoint slide 3 activity
GRASS -----------> MOUSE ------------> SNAKE ----------> EAGLE
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05/16/2021
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"url": "https://oercommons.org/courseware/lesson/80441/overview",
"title": "NATURAL SCIENCES AND TECHNOLOGY GRADE 5",
"author": "Yvette Uzziel Pillay"
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https://oercommons.org/courseware/lesson/83509/overview
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Addressing Suicidal Thoughts and Behaviors in SUD
Body Language Shape Personality
Brene Brown Empathy
Bridging Cultural Differences Playlist
Carl Rodgers Group Therapy
Child Abuse and Neglect
Creating Emotional Safety in Support Groups
Cultural Detective
Developing Group Facilitation Skills
Ethical Decision Making Worksheet
Getting Help
Good Relationships are Key to Healing Trauma
Ground Rules for Effective Groups
Group Activities
Group Dynamics
Group Facilitation
Group Facilitation 201 SAMSHA Presentation
Group Formation Task
Group Norms Activity
History of Psychotherapy
How Group Dynamics Effect Decisions
Intercultural Competence and Knowledge VALE Rubric
Lifetime affects of Trauma
Make Body Language your Super Power
Mental Health Treatment
Mindful Breathing
NIH Suicide Prevention
Paradox of TIC
SAFE-T
SAMHSA Trauma Informed Approach
Self-care Assessment
Status Quo in Decision Making
Strengths-based Interventions
Stress, Lifestyle, Health
Trauma Informed Care
Treatment Modalities
Unconscious Bias
Understanding Bias
What Every Counseling Psychologist Should Know
What is a Strengths-based Approach
What it takes to be racially literate
Work Group Basic Considerations
Dynamics of Interpersonal Relations I
Overview
Dynamics of Interpersonal Relations I, is an exploration of the small-group process through participation, interpretation, and study. A major focus is on the class itself as an interacting group providing for personal, interpersonal, and intellectual challenges. The modules are designed for undergraduate students to become familiar with group dynamics. This resource has a syllabus, OpenStax text chapters, TedTalks, and group activities. Thank you to Jennifer Burns for sharing this resource.
Course Description
Exploration of the small-group process through participation, interpretation and study. Major focus is on the class itself as an interacting group providing for personal, interpersonal, and intellectual challenge.
Establishing Group Norms
Overview:
This section will cover establishing group norms, working agreements for the class (group). The various behaviors that are expected, should be outlined by the students. In doing so, this creates "buy-in" and It is important that students (group members) contribute their thoughts and expectations during the group development process. The ground rules suggested below should only be regarded as starting points for each group to adopt or adapt and prioritize. Allow the students to create their ground rules and or working agreements for the semester.
Learning Objectives:
1. Define group norms
2. Outline working agreements
3. Assess group processes
Ground rules and or working agreements are important for the success of group work. The following suggestions include some of the issues and starting points from which group members can be encouraged:
- Foster a culture of honesty. Successful group work relies on truthfulness. It is as dishonest for group members to 'put up with' something they don't agree about, or can't live with, as it is to speak untruthfully. However, remember it is important to temper honesty with tact.
- Remember you don't have to like the people in your group to work with them. In group work, as in professional life, people work with the team they are in, and matters of personal conflict need to be managed so they don't get in the way of the progress of the group as a whole.
- Affirm collective responsibility. Once issues have been aired, and group decisions have been made as fully as possible, they convention of collective responsibility needs to be applied for successful group processes. This leads towards everyone living with group decisions and refraining from articulating their own personal reservations outside the group.
- Develop and practice good listening skills. Every voice deserves to be heard, even if people don't initially agree with the point of view being expressed.
- Successful groups need full participation by group members. Group work relies on multiple perspectives. Do not hold back from putting forward your view. Work to value the opinion of others as well as your own.
- Everyone needs to take a fair share of the group work. This does not mean that everyone has to do the same thing. It is best when the members of the group have agreed how the tasks will be allocated among themselves. Be prepared to contribute by building on the ideas of others and validating the experiences of others.
- Working to strengths of individual members can benefit your group. The work of a group can be achieved efficiently when tasks are allocated according to the experience and expertise of each member of the group.
- However, groups offer a chance to develop strengths outside your comfort zone. Activities in groups can be developmental in purpose, so task allocation may be an ideal opportunity to allow you to build on areas of weakness or inexperience.
- Keep good records. There needs to be an output to look back upon. This can take the form of planning notes, minutes or other kinds of evidence of the progress of the work of the group. Rotate the responsibility for summing up the position of the group regarding the tasks in hand and recording this.
- Group deadlines are sacrosanct. The principle, 'You can let yourself down, but it's not OK to let the group down' underpins successful group work.
- Cultivate philanthropy. Group work sometimes requires you to make personal needs and wishes subordinate to the goal of the group. This is all the more valuable when other group members recognize that this is happening.
- Help people to value creativity and off-the-wall ideas. Don't allow these to be quelled out of a desire to keep the group on task, and strike a fair balance between progress and creativity.
- Enable systematic working patterns. Establishing a regular program of meetings, task report backs and task allocation is likely to lead to effective and productive group performance.
- Group ground rules can be modified. It can be productive to review and renegotiate the ground rules from time to time, creating new ones as solutions to unanticipated problems that might have arisen. It is important, however, not to forget or abandon those ground rules that proved useful in practice, but which were not consciously applied.
- Consequences for violating group ground rules are important. A group needs to recognize when it is not functioning and be able to take corrective action. Therefore, it is important that consequences for violating group ground rules be established from the start and that all group members agree and sign off on them.
"This work" is licensed under CC BY-SA 4.0
Group Dynamics
Types of Groups:
Task Groups: Are formed for members to complete a project, for example a planning committee, community advocacy group, a study group, etc. Click here to learn more about task groups.
Psychoeducational Groups: Cognitive affective and behavioral skills, structured around a specific specialization (addressing triggers, self-harming behaviors, etc.). Click here to learn more about psychoeducational groups.
Counseling Groups: Are formed to provide clinical theories, to assist the group members with their healing process. Group members engage in an interpersonal process that promotes problem-solving strategies, in order to obtain coping skills to live with and manage their trauma and or maladaptive behavior. For example, HIV/AIDS group, domestic violence and or sexual trauma, etc. Click for group activities.
Psychotherapy Groups: Psychological problems, mental health diagnosis, deviant behaviors (domestic violence offenders, sex offenders, etc.) Click here to understand more about psychotherapy.
Self-help Groups: Non-clinical (Grief support groups, 12-step groups, cancer survivor, etc.) More information on self-help groups.
Brief Groups: Limited time, process orientated (this class) Limited time groups.
Culture: Values, beliefs and behaviors shared by a group of people. World view influences beliefs. More on Group dynamics.
Stages in Group Development
Exhibit 1:
Throughout her extensive work with teams and groups Burns (2019) has proposed one model of group development that consists of four stages. These four stages are building trust, managing conflict, shared purpose, and collaboration. (See Exhibit 1).
- Building Trust: During this stage, when group members first come together, emphases is usually placed on making acquaintances, sharing information, testing one another, and so forth. This stage is referred to as building trust. Group members attempt to discover which interpersonal behaviors are acceptable or unacceptable in the group. In this process of sensing out the environment, a new member is heavily dependent upon others for providing cues to acceptable behavior.
- Managing Conflict: In the second stage of group development, a high degree of intergroup conflict (defense mechanisms) can usually be expected as group members attempt to understand their role in the group and establish how they will or will not influence the development of group norms and roles.
- Shared Purpose: Over time, the group begins to develop a sense of oneness. Here, group norms emerge to guide individual behavior. Group members come to accept fellow members and develop a unity of purpose that binds them. Issues are discussed more openly, and efforts are made to clarify group goals.
- Collaboration: Once group members agree on basic purposes, they set about developing separate roles for the various members. In this stage, role differentiation emerges to take advantage of task specialization in order to facilitate goal attainment. The group focuses its attention on the task (collaborating). As we consider this simple model, it should be emphasized that Burns (2019), does not claim that all groups proceed through this sequence of stages. Rather, this model provides a generalized conceptual scheme to help us understand the processes by which groups form and develop over time.
Adapted from "Work Group: Basic Conderations" by OpenStax College is licensed under CC BY 4.0
Treatment Modalities
Overview:
In this section students are introduced to some of the major theories of counseling. Group therapy is an integrative approach and students will learn to that there are multiple pathways and approaches to be an effective facilitator of group work.
Learning Outcomes:
1. Identify group therapy models
2. Understand the multicultural variables that arise in group work
3. Assess techniques that are grounded in theoretical framework
Psychodynamic Approach: is grounded in the understanding that our unconscious motivates our behavior and influences our personality. Sigmund Freud believed that our unconscious was a repository for socially unacceptable desires and our unconscious repressed traumatic and painful events. Group therapy that utilizes the psychodynamic concepts, focuses on "how the past, can influence the present" and the primary goal is to make the unconscious conscious.
Experimental Approach: is a person-centered approach that provides and understanding of the lens that the client experiences their world.
Cognitive Behavioral Approach: focuses on the role that one's thinking has on their behavior. CBT is an evidence-based practice that is a short term and a goal orientated approach.
As group counselors’, it is important to be flexible and adapt your modalities to meet the needs of the group. Being familiar with the diverse modalities will provide your clients with a healing group experience. Click here for more information on treatment modalities.
"This work" is licensed under CC BY-SA 4.0
Exploring Bias
Overview: In this section, students will learn that unconscious bias is an automatic response that occurs without intention, or awareness. By exploring bias, students will become familiar with the hidden bias effect and develop a framework for self-reflective practice.
Learning Outcomes:
- Recognize when bias is present
- Examine bias and understand how it shows up in group dynamics
Bias is the impulse to judge without question.
Explore your biases here Project Implicit
"This work" is licensed under CC BY-SA 4.0
Cultural Sensitivity
Overview:
In this section, it is important to provide a safe container for students to explore, understand and accept that cultural differences exist. Milton Bennett developed a framework that defines stages an individual may go through as they become culturally sensitive.
Learning Outcomes:
- Recognize cultural differences
- Practice an open-mind
- Demonstrate a willingness to understand culture
- Value cultural differences "This work" is licensed under CC BY-SA 4.0
Trauma Informed Care
Trauma Informed Care, by design, helps treatment providers with the provision of services to individuals who have experienced trauma and trauma-related stressors. Considering that there is a high co-occurrence between substance use and trauma, it is recommended that substance abuse counselors understand the implications of Trauma Informed Care in order to provide the highest level of care to their patients.
The Prevalence of Trauma Experiences in Substance Use Populations
Trauma and symptoms of trauma are found frequently to be one of the co-occurring disorders with the highest prevalence rates for patients of substance use treatment.1, 2, 3 More specifically, it is estimated that individuals with a diagnosis of Post-Traumatic Stress Disorder (PTSD) engage in treatment for Substance Use Disorders (SUD) at a rate five times higher than the general population.1 In terms of practical considerations, this suggests that treatment teams providing SUD treatment are at greater likelihood of having patients with co-occurring trauma than many other mental health-related symptoms and diagnoses.
In treatment settings, there is a helpful distinction between: 1) treating the trauma experience and 2) treating the symptoms of trauma.1, 4, 5 This distinction is best understood as the difference between doing trauma processing therapy, which is implied when discussing treatment of the trauma experience, and helping to stabilize and treat the symptoms that occur as a response to the trauma experience. Although there are numerous evidence-based treatment approaches for treating the experience of trauma, not all providers (whether mental health or substance abuse counselors) have been both trained and deemed qualified to treat the trauma experience due to the specialized training and supervised experience the provision of such services would require.2, 6 As noted, this would have the potential to create a treatment gap between the number of trained providers in trauma care and the treatment needs of patients with trauma histories. Even though not every provider is trained to engage in trauma processing therapies, it is recommended that institutions train their professional staff in the ability to provide care that is sensitive to the unique symptoms of trauma.7 A structured approach that institutions can use for providing such care is known as Trauma Informed Care.2, 8
Trauma Informed Care Defined
Trauma Informed Care is a collection of approaches that translate the science of the neurological and cognitive understanding of how trauma is processed in the brain into informed clinical practice for providing services that address the symptoms of trauma.2, 8 These approaches are not designed for the treatment of the trauma experience (e.g., processing the trauma narrative), but rather for assistance in managing symptoms and reducing the likelihood of re-traumatization of the patient in the care experience.7, 9 As such, interventions of Trauma Informed Care are appropriate for a range of practitioners to utilize in a variety of clinical settings.
Trauma Informed Care is guided by the neurological understanding of how the threat-appraisal system of the brain, which includes the Hypothalamic-Pituitary Adrenal (HPA) axis, responds to trauma.10, 11 In addition to the HPA axis, Trauma Informed Care also pays close attention to the autonomic nervous system, which is the part of the central nervous system used to mediate arousal.10, 12 The autonomic nervous system is comprised of both the sympathetic and parasympathetic nervous system. While the sympathetic nervous system increases activation (e.g., increased heart rate, higher respiration rate, etc.), the parasympathetic nervous system relaxes the system (e.g., lowered heart rate, decreased respiration rate, etc.).12
Many of the interventions implemented by the use of Trauma Informed Care act upon the autonomic nervous system to help reduce the otherwise often overstimulated sympathetic nervous system by increasing activation of the parasympathetic nervous system.2, 8, 10, 11
Three Main Ideas Highlighted with Trauma Informed Care
Although there are many important ideas presented as part of Trauma Informed Care, three common themes can be used to summarize many, but not all, of the main ideas. These three ideas, which are further expanded upon by SAMSHA,7 are: 1) Promote understanding of symptoms from a strengths-based approach, 2) minimize the risk of re-traumatizing the patient and 3) both offer and identify supports that are trauma informed. Additionally, SAMSHA7 underscores the importance of instilling hope for recovery as a thread running through all three of these approaches.
When working with patients, it is recommended to utilize a strengths-based approach that both empowers and provides hope to the patient that recovery from symptoms is possible.2, 9, 10 Often, this is recommended to start by providing psycho-education to the patient so they can understand how most symptoms associated with trauma and trauma responses are attempts made on a biological and cognitive level (including processes happening below the conscious level-of-awareness) to protect the individual from the risk of further harm.4, 10 For example, the increased activation and startle response experienced by individuals who have experienced trauma can be interpreted as an adaptation by the brain after trauma whereby the likelihood of being caught off guard is theoretically reduced, even at the cost of having a great number of 'false alarms.' 4, 5, 10, 11 Transforming the association that patients have with symptoms from being one of further hurt to potentially one of attempting protection can evoke a shift in how individuals relate to symptoms and can thereby increase a sense of hope for recovery.4, 10 If the individual can see how they are already trying to keep themselves safe, then it may be easier to help them transition to finding other, more effective means for coping.
Substance abuse counselors and mental health clinicians working with patients who have trauma histories are encouraged strongly to minimize the risk of re-traumatizing the patient.4, 9 As noted throughout the work by Friedman and colleagues, processing the trauma narrative before patients have sufficient coping skills and stabilization can cause further risk of harm and decompensation.4 As such, it is often not advised for clinicians to have patients feel forced to disclose trauma narratives (e.g., dispelling the myth that clinicians need to know all the details about a trauma before any work can be done), and it is additionally not often advised for patients to begin processing the trauma narrative while in short-term settings, as this is not necessarily treatment stability since the patient will need to transfer to another provider. Instead, patients are often best served by first establishing a sense of stability and safety.9 Once safety is established (as defined by stability, adequate supports and coping skills), then the patient is often in a better place to begin processing the trauma in appropriate settings that have the potential for long-term care, if needed.4, 9
Interventions aimed at connecting patients with supports and resources that are designed to be sensitive to the presence of symptoms of trauma is another major focus area in Trauma Informed Care.2 From an institutional point of view, this might include the regular use of a screener at intake to help identify the presence of symptoms associated with trauma, as well as providing referrals to providers who are best able to help patients at every stage of their treatment for symptoms of trauma.7, 9 This might also include providing patients with referrals to additional services beyond therapy, such as medication management, social support services or other supportive activities that the provider believes would be appropriate for the patient's specific symptoms and experiences.8
Implementing Trauma Informed Care with Seeking Safety
Practitioners in settings that provide substance use treatment that want to implement Trauma Informed Care principles may want to consider providing Seeking Safety groups.9 Developed by Najavits, Seeking Safety is an evidence-based practice approach to treating symptoms of trauma in a group setting.6, 9 Najavits designed Seeking Safety with the emphasis on fostering resilience and teaching coping skills for managing symptoms of trauma rather than processing trauma.9 In fact, Najavits understood that processing trauma with a patient before the patient has the skills to manage the symptoms of trauma successfully could be harmful. As such, the guidelines for implementing Seeking Safety groups includes establishing an understanding with participants that the purpose of the group is to learn skills and bolster resilience, not to process trauma narratives.
The Hazelden Betty Ford Experience
There is a strong correlation between trauma and addiction; research has shown that there is significant comorbidity of post-traumatic stress disorder (PTSD) and substance use disorders prevalent in adults13 and adolescents,14 and studies have suggested that up to 95 percent of substance use disorder patients also report a history of trauma.15 As a result, Hazelden Betty Ford Foundation places a high value on the use of Trauma Informed Care for patient interventions. Our clinics use the Seeking Safety group model,9 as well as intensive, gender-specific, Trauma Informed Care groups based on Stephanie Covington's work with gender and trauma.16 The popularity of these groups among patients has encouraged Hazelden Betty Ford Foundation leaders to continue to develop and implement core programming that incorporates Trauma Informed Care into all of our clinical practices. Hazelden Betty Ford Foundation also emphasizes the use of Trauma Informed Care through education and training events, including staff in-service trainings and patient education sessions.
Questions & Controversies
Question: Instead of focusing on the symptoms of trauma, shouldn't patients just process the traumatic experience directly?
Response: In most instances, it is the preference of the provider to treat the source of a patient's concern, rather than treating the symptoms. However, there are few mental health providers who have completed the training and have required qualifications for processing traumatic events with patients, and the risks of attempting to process trauma too quickly or improperly can be lasting and severe. Since there is an imbalance in the number of clinicians with this training and the need for such services, and also since symptoms of trauma can be very pervasive and debilitating, Trauma Informed Care presents an alternative wherein a larger number of providers can work with patients to reduce trauma symptoms without needing to face the risks of incorrectly processing traumatic experiences.
How to Use This Information
Clinicians: Substance use counselors and mental health practitioners who are interested in learning more about the use of Trauma Informed Care are encouraged to explore further training opportunities on the topic, as well as exploring the resources made available that provide further detail on the topic, including an excellent Treatment Improvement Protocol (TIP) that does a wonderful job explaining this approach further.2
Patients: Trauma Informed Care is an opportunity to find healthy ways to reduce the severity of symptoms related to a trauma you may have experienced, but does not require you to process the details of your traumatic experience until you are ready. Talking to your counselor or therapist about exploring Trauma Informed Care can be a wonderful tool to reduce your symptoms in a safe, structured environment without having to commit to the direct processing of your traumatic event. You should never attempt to process a traumatizing event if you are not comfortable doing so, and any clinical professional who is working with you to process a traumatic experience should have specific training and experience in doing so; otherwise you could be put at risk of re-traumatization.
Conclusion
Due to the prevalence of co-occurring symptoms of trauma and substance use disorders, substance use counselors and mental health practitioners are encouraged to be familiar with the practices of Trauma Informed Care.7, 9 Trauma Informed Care promotes the use of strength-based approaches in a purposeful way to minimize the risk of re-traumatization of the patient.2, 5 By utilizing an understanding of trauma that is informed scientifically, Trauma Informed Care interventions are designed to be sensitive to the physiological, psychological and social modes through which the symptoms of trauma present.2, 8, 10
References
1. Atkins, C. (2014). Co-occurring disorders: Integrated assessment and treatment of substance use and mental disorders. Eau Claire, WI: PESI Publishing and Media.
2. Substance Abuse and Mental Health Service Administration (2014). Trauma-informed care in behavioral health services. Treatment Improvement Protocol (TIP) Series 57. HHS Publication No. (SMA) 13-4801. Rockville, MD: Substance Abuse and Mental Health Services
Administration.
3. Development Service Group, Inc. (2015). Learning center literature review: Posttraumatic stress disorder. SAMHSA's National Registry of Evidence-based Programs and Practices.
4. Friedman, M. J., Keane, T. M., & Resick, P. A. (2014). Handbook of PTSD: Science and practice (2nd ed.). The Guilford Press.
5. Dass-Brailsford, P. (2007). A practical approach to trauma: Empowering interventions. Thousand Oaks, CA: Sage Publications.
6. Dartmouth (2015). IDDT Integrated dual disorders treatment revised: Best practices, skills, and resources for successful client care. Center City, MN: Hazelden
7. Substance Abuse and Mental Health Service Administration (2014). SAMHSA's concept of trauma and guidance for a trauma-informed approach. HHS Publication No. (SMA) 14-4884. Rockville, MD: Substance Abuse and Mental Health Services Administration.
8. Curran, L. A. (2013). 101 trauma-informed interventions: Activities, exercises and assignments to move the client and therapy forward. Eau Claire, WI: PESI Publishing and Media.
9. Najavits, L. M. (2002). Seeking safety: A treatment manual for PTSD and substance abuse. New York, NY: The Guilford Press.
10. van der Kolk, B. (2015). The body keeps the score: Brain, mind, and body in the healing of trauma. New York, NY: Penguin Group.
11. LeDoux, J. (2003). Synaptic self: How our brains become who we are. New York, NY: Penguin Books.
12. Anderson, J. R. (2014). Cognitive psychology and its implications (8th ed.). New York, NY: Worth Publishing.
13. Tull, M. T., Berghoff, C. R., Wheeless, L., Cohen, R. T., & Gratz, K. L. (2017). PTSD symptom severity and emotion regulation strategy use during trauma cue exposure among patients with substance use disorders: Associations with negative affect, craving, and cortisol reactivity.
Behavior Therapy. Advance online publication. doi: 10.1016/j.beth.2017.05.005
14. Simmons, S., & Suárez, L. (2016). Substance abuse and trauma. Child and Adolescent Psychiatric Clinics of North America, 25, 723-734.
15. Brown, P. J., Stout, R. L., & Mueller, T. (1999). Substance use disorder and posttraumatic stress disorder comorbidity: Addiction and psychiatric treatment rates. Psychology of Addictive Behaviors, 13, 115-122.
16. Covington, S. S. (2007). Women and addiction: A gender responsive approach. Center City, MN: Hazelden.
Adapted from: The Hazelden Betty Ford Foundation
Facilitator Competencies
Introduction to Facilitation
Facilitation is a technique used by trainers to help learners acquire, retain, and apply knowledge and skills. Participants are introduced to content and then ask questions while the trainer fosters the discussion, takes steps to enhance the experience for the learners, and gives suggestions. They do not, however, do the work for the group; instead, they guide learners toward a specific learning outcome.
Presentation vs. Facilitation
Presentation | Facilitation |
The presenter delivers information, usually through a lecture. | The facilitator enhances learning for everyone, usually through discussion or activities such as role plays. |
The presenter is the expert sharing their knowledge of the subject matter. | The facilitator provides opportunities for members of the group to share knowledge and learn from one another. |
The presenter spends most of the time talking. | The facilitator spends most of the time asking questions, encouraging others to speak, and answering learners’ questions during activities |
The presenter is usually on a stage or at the front of the room. | The facilitator is usually moving around the classroom to help address learners’ questions or monitor how activities are progressing |
Facilitator Skills
Facilitators can come from any background and a variety of experience levels. The best facilitators, however, demonstrate the following skills:
Listening. A facilitator needs to listen actively and hear what every learner or team member is saying.
Questioning. A facilitator should be skilled in asking questions that are open ended and stimulate discussion.
Problem solving. A facilitator should be skilled at applying group problem-solving techniques, including:
• defining the problem
• determining the cause
• considering a range of solutions
• weighing the advantages and disadvantages of solutions
• selecting the best solution
• implementing the solution
• evaluating the results.
Resolving conflict. A facilitator should recognize that conflict among group members is natural and, as long as it’s expressed politely, does not need to be suppressed. Conflict should be expected and dealt with constructively.
Using a participative style. A facilitator should encourage all learners or team members to actively engage and contribute in meetings, depending on their individual comfort levels. This includes creating a safe and comfortable atmosphere in which group members are willing to share their feelings and opinions.
Accepting others. A facilitator should maintain an open mind and not criticize ideas and suggestions offered by learners or group members.
Empathizing. A facilitator should be able to “walk a mile in another’s shoes” to understand the learners’ or team members’ feelings.
Leading. A facilitator must be able to keep the training or meeting focused toward achieving the outcome identified beforehand.
Non-Verbal Communication
Overview:
Do you know how to read people’s body language? When a group member rolls their eyes when you are talking, what are they “really” saying? What about a client that will not make eye contact, what does this say about the person? Being able to understand what participants are tying to convey with their body language is an important skill to have when facilitating a group. In this section we will explore non-verbal communication.
Learning Objectives:
1. Define non-verbal communication
2. Explain different types of non-verbal communication
It is safe to say that body language represents a very significant proportion of meaning that is conveyed and interpreted between people. Many body language experts and sources seem to agree that that between 50-80% of all human communications are non-verbal. So, while body language statistics vary according to situation, it is generally accepted that non-verbal communications are very important in how we understand each other (or fail to), especially in face-to-face and one-to-one communications, and most definitely when the communications involve an emotional or attitudinal element.
Body language is especially crucial when we meet someone for the first time.
We form our opinions of someone we meet for the first time in just a few seconds, and this initial instinctual assessment is based far more on what we see and feel about the other person than on the words they speak. On many occasions we form a strong view about a new person before they speak a single word. Body language is influential in forming impressions on first meeting someone.
The effect happens both ways - to and from:
When we meet someone for the first time, their body language, on conscious and unconscious levels, largely determines our initial impression of them. In turn when someone meets us for the first time, they form their initial impression of us largely from our body language and non-verbal signals.
And this two-way effect of body language continues throughout communications and relationships between people.
Body language is constantly being exchanged and interpreted between people, even though much of the time this is happening on an unconscious level.
Remember - while you are interpreting (consciously or unconsciously) the body language of other people, so other people are constantly interpreting yours.
The people with the most conscious awareness of, and capabilities to read, body language tend to have an advantage over those whose appreciation is limited largely to the unconscious.
You will shift your own awareness of body language from the unconscious into the conscious by learning about the subject, and then by practicing your reading of non-verbal communications in your dealings with others.
Adapted from: Very Well Mind
Self-care Practice
Overview: In this section, student will focus on creating a self-care plan.
Learning Outcomes:
- Understand the health benefits to a balanced life
- Practice self-reflection techniques to optimize health and wellness
Useful Links:
"This work" is licensed under CC BY-SA 4.0
Ethical and Legal Considerations
Ethical Issues: Standards that govern conduct of professionals.
Legal Issues: Minimum standards society will tolerate, governed by local state and federal government. ex. Mandated reporters
American Counseling Association: Code of Ethics
Cultural Issues: A client’s ethnic background, race, gender, sexual orientation, religious affiliation, values and traditions. Ex. Food, gifts A Call to Profession
Informed Consent: Is a document that provides information about the group and process, every client has the right to freedom, automony and human dignity. Informed consent is a legal and ethical term defined in which a form is signed by the client, giving their permission to participate in group counseling.
Involuntary Membership: Clients are different and clients are usually mandated by an authoritive human service agency such as Department of Youth Services (DYS), Department of Childern and Famlies (DCF), Court, Probation, Parole, Registry of Motor Vechiles, ect.
Managing Psychological Risk: Click here
Confidentiality: APA Group guidelines
Questions to consider:
What measures do you take to ensure confidentiality?
Under what circumstances would you feel compelled to breach confidentiality?
A group member brings you a gift on a holiday?
What ethical issues may arise when working with a group of involuntary members?
In what ways would your personal values influence your work with group members?
"This work" is licensed under CC BY-SA 4.0
|
oercommons
|
2025-03-18T00:36:55.468701
|
Patricia Lauziere
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/83509/overview",
"title": "Dynamics of Interpersonal Relations I",
"author": "Full Course"
}
|
https://oercommons.org/courseware/lesson/108015/overview
|
Education Standards
Circle Format Self-assessment Community _ Cognition - Advanced Low
Circle Format Self-assessment Culture _ Connection - Advanced Low
WL Self Assessment Circles - Advanced Low
Overview
Research shows that engaging students in self-assessment positively impacts language learning, motivation, and learner autonomy. To help World Language Educators accomplish this, the Nebraska Department of Education invited experienced world language teachers across the state to create student-friendly assessments in the form of can-do statements in the summer of 2024. This document is a student-friendly self-assessment activity for Advanced Low world language learners created based on the 2019 Nebraska World Language Standards. The language use described in all can-do statements is meant for the target language, except for the second for standard 3.1 and the first for standard 4.2. It is recommended that world language teachers engage students with this document three times in an academic year: pre-course, mid-course, and post-course. Engaging students with this self-assessment activity will help students see growth over time and hopefully attribute growth to effective learning practices. Please feel free to contact chrystal.liu@nebraska.gov for any questions or concerns.
Description
Research shows that engaging students in self-assessment positively impacts language learning, motivation, and learner autonomy. To help World Language Educators accomplish this, the Nebraska Department of Education invited experienced world language teachers across the state to create student-friendly assessments in the form of can-do statements in the summer of 2023.
This document is a student-friendly self-assessment activity for Advanced Low world language learners created based on the 2019 Nebraska World Language Standards. The language use described in all can-do statements is meant for the target language, except for the second for standard 3.1 and the first for standard 4.2.
It is recommended that word language teachers engage students with this document three times in an academic year: pre-course, mid-course, and post-course. Engaging students with this self-assessment activity will help students see growth over time and hopefully attribute growth to effective learning practices. Please feel free to contact chrystal.liu@nebraska.gov for any questions or concerns.
|
oercommons
|
2025-03-18T00:36:55.502619
|
Dorann Avey
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/108015/overview",
"title": "WL Self Assessment Circles - Advanced Low",
"author": "Chrystal Liu"
}
|
https://oercommons.org/courseware/lesson/84383/overview
|
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Anatomy & Physiology 1 Course Modules to Accompany OpenStax Text
Overview
These course modules are meant to accompany the OpenStax Anatomy & Physiology textbook. Included within each subunit are both Articulate Rise 360 exported raw Web and SCORM 1.2 ZIP files. These files are to be Imported into a Learning Management System. Each module contains text and images from the OpenStax book, original text, openly licensed images from various sources, formative activities, and links to videos on public websites. The modules are free to use as needed. If modification is desired, please contact the author, and I will send you the Rise 360 source file.
Unit 1: Fundamentals of Anatomy & Physiology; Subunit 1: What is Life?
The lessons within this subunit cover the following learning objectives:
- Distinguish between anatomy and physiology, and identify several branches of each.
- Describe the characteristics of life and their importance.
- Define metabolism, including anabolism and catabolism.
- Define metabolism.
- Define homeostasis.
- List the components of a feedback loop and explain the function of each.
- Define negative feedback, give an example of it, and explain its importance to homeostasis.
- Define positive feedback and give examples of its beneficial and harmful effects.
Unit 1: Fundamentals of Anatomy & Physiology; Subunit 2: Science, and the Chemistry and Organization of the Body
The lessons within this subunit cover the following learning objectives:
- Define evolution, natural selection, mutation, and these terms’ relevance to human anatomy and physiology.
- Define the terms hypothesis, theory, and law in the context of the scientific method.
- Describe the process of the scientific method.
- Contrast inductive and deductive reasoning.
- Describe the importance of the peer-review process.
- List the levels of human structure from the most complex to the simplest.
- Give an example of each level of organization.
- Describe the fundamental composition of matter.
- Identify the four most abundant elements in the body.
- Identify the three subatomic particles.
- Explain the relationship between an atom’s number of electrons and its relative stability.
- Distinguish between ionic bonds, covalent bonds, and hydrogen bonds.
- Explain the importance of the inorganic compounds that contribute to life, such as water, salts, acids, and bases.
- Describe a person in anatomical position and how to use the terms right and left in anatomical reference.
- List and define major (select) directional terms.
- Describe the location of (select) body structures, using appropriate directional terminology.
- Identify the various planes in which a body might be dissected.
- Describe the appearance of a body presented along the various planes.
- Describe the location of the body cavities and identify major organs found in each cavity.
- Describe the location of the four abdominopelvic quadrants and the nine abdominopelvic regions and list the major organs located in each.
- Describe the location of (select) structures of the body, using basic regional and systemic terminology.
- Describe the structure and function of the serous membranes.
Unit 1: Fundamentals of Anatomy & Physiology; Subunit 3: Cell and Tissue Biology
The lessons within this subunit cover the following learning objectives:
- Describe the structure and function of the cell membrane, including its regulation of materials into and out of the cell.
- Compare and contrast three of the four important classes of organic (carbon-based) compounds—proteins, carbohydrates, and lipids.
- Describe specific transport processes including passive vs active (diffusion and osmosis).
- Define extracellular and intracellular fluids.
- Describe the functions of the various cytoplasmic organelles.
- Describe how proteins are transported from the rough ER to the Golgi apparatus, and from the Golgi apparatus to the cell membrane.
- Describe the three types of cytoskeletal filaments.
- Identify the functions and locations of cilia and flagella within the human body.
- Explain the structure and contents of the nucleus.
- Explain the process of DNA replication.
- Describe nucleic acids according to their composition and functional importance to human life.
- Describe the process by which a cell builds proteins using the DNA code.
- Explain the steps of DNA replication.
- Describe some differences between DNA and RNA.
- Explain the steps of transcription.
- Explain the process of translation.
- List the stages of the cell cycle in order, including the steps of cell division in somatic cells.
- Describe the structure of a chromosome.
- Describe the implications of losing control over the cell cycle.
- Define the term histology.
- Name the four primary classes into which all adult tissues are classified.
- Compare and contrast the general features of the four major tissue types.
- Describe the properties that distinguish epithelium from other tissue classes.
- Describe the properties that most connective tissues have in common.
- Discuss the types of cells found in connective tissue.
- Explain what the matrix of a connective tissue is and describe its components.
- Explain what distinguishes excitable tissues from other tissues.
- Identify the main types of tissue membranes.
- Describe the structure and function of endocrine and exocrine glands and their respective secretions.
- Describe the different types of exocrine glands.
Unit 2: Nervous System; Subunit 1: Nervous System Functions and Nervous Tissue
The lessons within this subunit cover the following learning objectives:
- List the parts of the nervous system that constitute the central nervous system (CNS) and those that constitute the peripheral nervous system (PNS).
- Differentiate between the somatic and autonomic divisions of the nervous system.
- Describe the major functions of the nervous system.
- Describe the basic structure of a neuron.
- Identify the different types of neurons on the basis of polarity.
- Describe the functional and structural differences between gray matter and white matter structures.
- List the types of glial cells, and assign each to the proper division of the nervous system.
- Explain how neurons transport materials between the cell body and tips of the axon.
- Explain how damaged nerve fibers regenerate.
Unit 2: Nervous System; Subunit 2: Nerve Impulses
The lessons within this subunit cover the following learning objectives:
- Describe the concept of an excitable membrane.
- Explain the difference between ligand-gated, mechanically gated, voltage-gated, and leakage ion channel proteins.
- Define conceptually and numerically the resting membrane potential of excitable cells.
- Describe the events that lead to and propogate an action potential.
- Define depolarization, repolarization, and hyperpolarization.
- Compare propogation of an action potential along unmyelinated and myelinated axons.
- Define graded potential and describe the two types of postsynaptic potentials.
- Describe the two types of summation they apply to graded potentials.
- Define the elements of a synapse in the context of neuron-neuron communication.
- Describe the process of neurotransmission.
- Describe and give examples of representative neurotransmitters.
- Compare and contrast ionotropic and metabotropic neurotransmitter receptors.
Unit 2: Nervous System; Subunit 3: Sensation and the Somatic Nervous System
The lessons within this subunit cover the following learning objectives:
- Describe the pathways that sensory systems follow into the central nervous system.
- Differentiate between the two major ascending pathways in the spinal cord.
- Describe the pathway of descending motor commands from the cortex to the skeletal muscles.
- Differentiate between the two parts of the corticospinal tract.
- Distinguish between general and special sense.
- Describe different types of sensory receptors.
- Describe the structures responsible for the special senses of taste, smell, hearing, balance, and vision.
- Describe the process of transduction for the gustatory and olfactory senses.
- Describe the means of mechanoreception for hearing and balance.
- List the supporting structures around the eye and describe the structure of the eyeball.
- Describe the processes of phototransduction.
Unit 2: Nervous System; Subunit 4: Autonomic Nervous System
The lessons within this subunit cover the following learning objectives:
- Name the components that generate the sympathetic and parasympathetic responses of the autonomic nervous system
- Explain the differences in output connections within the two divisions of the autonomic nervous system.
- Describe the signaling molecules and receptor proteins involved in communication within the two divisions of the autonomic nervous system.
- Compare the structure of somatic and autonomic reflex arcs.
- Differentiate between short and long reflexes.
- Determine the effect of the autonomic nervous system on the regulation of the various organ systems on the basis of the signaling molecules involved.
- Describe the effects of drugs that affect autonomic function.
- Describe the role of higher centers of the brain in autonomic regulation.
- Explain the connection of the hypothalamus to homeostasis.
- Describe the regions of the CNS that link the autonomic system with emotion.
- Describe the pathways important to descending control of the autonomic system.
Unit 2: Nervous System; Subunit 5: Gross Anatomy of the Nervous System
The lessons within this subunit cover the following learning objectives:
- Describe the basic physical events in the evolution of the human nervous system.
- Describe the structure of a nerve.
- Identify the layers of connective tissue within a nerve.
- Describe the gross anatomy of the spinal cord and spinal nerves and specify their location relative to the anatomy of the skeletal system.
- Identify the anatomical features seen in a cross sectional view of the spinal cord.
- Contrast the relative position of gray matter and white matter in the spinal cord with the corresponding arrangement of gray and white matter in the brain.
- Identify the meninges and describe their functional relationship to the brain and cranial bones.
- Describe the fluid-filled chambers within the brain.
- Describe the functions of cerebrospinal fluid, as well as the details of its production, its circulation within the central nervous system, and its ultimate reabsorption into the bloodstream.
- Describe the blood-brain barrier and blood-cerebrospinal fluid barrier.
- Describe the major subdivisions and anatomical landmarks of the brain.
- Describe the locations of its gray and white matter.
- List the components of the hindbrain and midbrain and their functions.
- Name the three major components of the diencephalon and describe their locations and functions.
- Identify the five lobes of the cerebrum and their functions and describe how the motor and sensory functions of the cerebrum are distributed among the lobes.
- Describe the location and functions of the basal nuclei and limbic system.
- Identify the brain regions concerned with consciousness and thought, memory, emotion, sensation, motor control, and language.
- List the 12 cranial nerves by name and number.
- Describe the specific functions of each of the cranial nerves and classify each as sensory, motor or mixed.
- Describe the attachments of a spinal nerve to the spinal cord.
- Trace the branches of a spinal nerve distal to its attachment.
- Name the five plexuses of spinal nerves and describe their general anatomy.
- Name some major nerves that arise from each plexus.
Unit 3: Skeletal System; Subunit 1: Skeletal System Function and Osseous Tissue
The lessons within this subunit cover the following learning objectives:
- Name the tissues and organs that compose the skeletal system.
- Distinguish between bones as a tissue and as an organ.
- Describe the major functions of the skeletal system.
- Distinguish between the two types of bone marrow.
- Distinguish between the diaphysis and epiphyses of a long bone.
- Describe the functions of various structures of a long bone.
- List and describe the cells, fibers, and ground substance of bone tissue.
- State the importance of each constituent of bone tissue.
- Describe the functions of osteoblasts, osteocytes, and osteoclasts.
- Compare and contrast compact and spongy bone.
- Identify the structures that compose compact and spongy bone.
- List and describe the cells, fibers, and ground substance of cartilage tissue.
- Describe the functions of chondrocytes.
- Distinguish between the three types of cartilage.
- Describe how bones are nourished and innervated.
Unit 3: Skeletal System; Subunit 2: Ossification and Bone Repair
The lessons within this subunit cover the following learning objectives:
- Define ossification.
- List the steps of intramembranous ossification.
- List the steps of endochondral ossification.
- Explain the growth activity at the epiphyseal plate.
- Compare and contrast the processes of modeling and remodeling.
- Differentiate among the different types of fractures.
- Describe the steps involved in bone repair.
- Describe the effect exercise has on bone tissue.
- List the nutrients that affect bone health.
- Discuss the role those nutrients play in bone health.
- Describe the effects of hormones on bone tissue.
- Describe the effect of too much or too little calcium on the body.
- Explain the process of calcium homeostasis.
Unit 3: Skeletal System; Subunit 3: Joint Anatomy
The lessons within this subunit cover the following learning objectives:
- Distinguish between the functional and structural classifications for joints.
- Describe the three functional types of joints and give an example of each.
- List the three types of diarthrodial joints.
- Describe the structural features of fibrous joints.
- Distinguish between a suture, syndesmosis, and gomphosis.
- Give an example of each type of fibrous joint.
- Describe the structural features of cartilaginous joints.
- Distinguish between a synchondrosis and symphysis.
- Give an example of each type of cartilaginous joint.
- Describe the structural features of a synovial joint.
- Discuss the function of additional structures associated with synovial joints.
- List the six types of synovial joints and give an example of each.
- Describe the bones that articulate together to form selected synovial joints.
- Discuss the movements available at each joint.
- Describe the structures that support and prevent excess movements at each joint.
Unit 3: Skeletal System; Subunit 4: Gross Anatomy of the Skeletal System
The lessons within this subunit cover the following learning objectives:
- Classify bones according to their shapes.
- Describe the function of each category of bones.
- Define and list examples of bone markings.
- Discuss the functions of the skeletal system.
- Distinguish between the axial skeleton and appendicular skeleton.
- Define the axial skeleton and its components.
- Define the appendicular skeleton and its components.
- List and identify the bones of the brain case and face.
- Locate the major suture lines of the skull and name the bones associated with each.
- Locate and define the boundaries of the anterior, middle, and posterior cranial fossae, the temporal fossa, and infratemporal fossa.
- Define the paranasal sinuses and identify the location of each.
- Name the bones that make up the walls of the orbit and identify the openings associated with the orbit.
- Identify the bones and structures that form the nasal septum and nasal conchae, and locate the hyoid bone.
- Identify the bony openings of the skull.
- Describe each region of the vertebral column and the number of bones in each region.
- Discuss the curves of the vertebral column and how these change after birth.
- Describe a typical vertebra and determine the distinguishing characteristics for vertebrae in each vertebral region and features of the sacrum and the coccyx.
- Define the structure of an intervertebral disc.
- Determine the location of the ligaments that provide support for the vertebral column.
- Discuss the components that make up the thoracic cage.
- Identify the parts of the sternum and define the sternal angle.
- Discuss the parts of a rib and rib classifications.
- Describe the bones that form the pectoral girdle.
- List the functions of the pectoral girdle.
- Identify the divisions of the upper limb and describe the bones in each region.
- List the bones and bony landmarks that articulate at each joint of the upper limb.
- Define the pelvic girdle and describe the bones and ligaments of the pelvis.
- Explain the three regions of the hip bone and identify their bony landmarks.
- Describe the openings of the pelvis and the boundaries of the greater and lesser pelvis.
- Identify the divisions of the lower limb and describe the bones of each region.
- Describe the bones and bony landmarks that articulate at each joint of the lower limb.
Unit 4: Muscular System; Subunit 1: Muscular System Function and Muscle Tension
The lessons within this subunit cover the following learning objectives:
- Describe the functions of muscles.
- List the characteristics of muscle tissue.
- Review the different types of muscle tissue.
- Describe the layers of connective tissues packaging skeletal muscle.
- Describe the connective tissue components of a muscle and their relationship to the bundling of muscle fibers.
- Explain how muscles work with tendons to move the body.
- Explain concentric, isotonic, and eccentric contractions.
- Describe the length-tension relationship.
- Explain what a motor unit is and how it relates to muscle contraction.
Unit 4: Muscular System; Subunit 2: Muscle Tissue Anatomy and Physiology
The lessons within this subunit cover the following learning objectives:
- Identify areas of the skeletal muscle fibers.
- Identify the components of a sarcomere.
- Differentiate between the proteins that comprise thick and thin filaments.
- Describe the structure of the junction where a nerve fiber meets a muscle fiber.
- Explain how a nerve fiber stimulates a skeletal muscle fiber.
- Explain how stimulation of a muscle fiber activates its contractile mechanism.
- Describe the components involved in a muscle contraction.
- Explain how muscles contract and relax.
- Describe the sliding filament model of muscle contraction.
- Describe intercalated discs and gap junctions.
- Describe a desmosome.
- Describe a dense body.
- Explain how smooth muscle works with internal organs and passageways through the body.
- Explain how smooth muscles differ from skeletal and cardiac muscles.
Unit 4: Muscular System; Subunit 3: Muscle Metabolism, Fibers, and Repairs
The lessons within this subunit cover the following learning objectives:
- Identify the different sources of ATP that muscle cells rely upon.
- Explain how skeletal muscle meets its energy demands during rest and exercise.
- Explain the basis of muscle fatigue and soreness.
- Discuss why extra oxygen is needed even after an exercise has ended.
- Describe the types of skeletal muscle fibers.
- Explain fast and slow muscle fibers.
- Describe hypertrophy and atrophy.
- Explain how resistance exercise builds muscle.
- Describe the function of satellite cells.
- Define fibrosis.
- Explain which muscle has the greatest regeneration ability.
Unit 4: Muscular System; Subunit 4: Joint Movements
The lessons within this subunit cover the following learning objectives:
- Define the different types of body movements
- Identify the joints that allow for these motions
- Describe the bones that articulate together to form selected synovial joints.
- Discuss the movements available at each joint.
- Describe the structures that support and prevent excess movements at each joint.
Unit 5: Integumentary System; Subunit 1: Anatomy and Physiology of the Integumentary System
The lessons within this subunit cover the following learning objectives:
- Describe the different functions of the skin and the structures that enable them.
- Explain how the skin helps maintain body temperature.
- Describe the normal and pathological colors that the skin can have, and explain their causes.
- Identify the components of the integumentary system.
- Describe the layers of the skin and the functions of each layer.
- Identify and describe the hypodermis and deep fascia.
- Describe the role of keratinocytes and their life cycle.
- Identify the accessory structures of the skin.
- Describe the structure and function of hair and nails.
- Describe the structure and function of sweat glands and sebaceous glands.
Unit 5: Integumentary System; Subunit 2: Diseases, Disorders, and Injuries of the Skin
The lessons within this subunit cover the following learning objectives:
- Describe the three most common forms of skin cancer.
- Describe several different diseases and disorders of the skin.
- Describe the effect of injury to the skin and the process of healing.
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oercommons
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2025-03-18T00:36:55.581903
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07/30/2021
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"url": "https://oercommons.org/courseware/lesson/84383/overview",
"title": "Anatomy & Physiology 1 Course Modules to Accompany OpenStax Text",
"author": "Michael Anderson"
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https://oercommons.org/courseware/lesson/15090/overview
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Introduction
Plants are as essential to human existence as land, water, and air. Without plants, our day-to-day lives would be impossible because without oxygen from photosynthesis, aerobic life cannot be sustained. From providing food and shelter to serving as a source of medicines, oils, perfumes, and industrial products, plants provide humans with numerous valuable resources.
When you think of plants, most of the organisms that come to mind are vascular plants. These plants have tissues that conduct food and water, and they have seeds. Seed plants are divided into gymnosperms and angiosperms. Gymnosperms include the needle-leaved conifers—spruce, fir, and pine—as well as less familiar plants, such as ginkgos and cycads. Their seeds are not enclosed by a fleshy fruit. Angiosperms, also called flowering plants, constitute the majority of seed plants. They include broadleaved trees (such as maple, oak, and elm), vegetables (such as potatoes, lettuce, and carrots), grasses, and plants known for the beauty of their flowers (roses, irises, and daffodils, for example).
While individual plant species are unique, all share a common structure: a plant body consisting of stems, roots, and leaves. They all transport water, minerals, and sugars produced through photosynthesis through the plant body in a similar manner. All plant species also respond to environmental factors, such as light, gravity, competition, temperature, and predation.
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oercommons
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2025-03-18T00:36:55.602401
| null |
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/15090/overview",
"title": "Biology, Plant Structure and Function",
"author": null
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https://oercommons.org/courseware/lesson/15091/overview
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The Plant Body
Overview
By the end of this section, you will be able to:
- Describe the shoot organ system and the root organ system
- Distinguish between meristematic tissue and permanent tissue
- Identify and describe the three regions where plant growth occurs
- Summarize the roles of dermal tissue, vascular tissue, and ground tissue
- Compare simple plant tissue with complex plant tissue
Like animals, plants contain cells with organelles in which specific metabolic activities take place. Unlike animals, however, plants use energy from sunlight to form sugars during photosynthesis. In addition, plant cells have cell walls, plastids, and a large central vacuole: structures that are not found in animal cells. Each of these cellular structures plays a specific role in plant structure and function.
Link to Learning
Watch Botany Without Borders, a video produced by the Botanical Society of America about the importance of plants.
Plant Organ Systems
In plants, just as in animals, similar cells working together form a tissue. When different types of tissues work together to perform a unique function, they form an organ; organs working together form organ systems. Vascular plants have two distinct organ systems: a shoot system, and a root system. The shoot system consists of two portions: the vegetative (non-reproductive) parts of the plant, such as the leaves and the stems, and the reproductive parts of the plant, which include flowers and fruits. The shoot system generally grows above ground, where it absorbs the light needed for photosynthesis. The root system, which supports the plants and absorbs water and minerals, is usually underground. Figure shows the organ systems of a typical plant.
Plant Tissues
Plants are multicellular eukaryotes with tissue systems made of various cell types that carry out specific functions. Plant tissue systems fall into one of two general types: meristematic tissue, and permanent (or non-meristematic) tissue. Cells of the meristematic tissue are found in meristems, which are plant regions of continuous cell division and growth. Meristematic tissue cells are either undifferentiated or incompletely differentiated, and they continue to divide and contribute to the growth of the plant. In contrast, permanent tissue consists of plant cells that are no longer actively dividing.
Meristematic tissues consist of three types, based on their location in the plant. Apical meristems contain meristematic tissue located at the tips of stems and roots, which enable a plant to extend in length. Lateral meristems facilitate growth in thickness or girth in a maturing plant. Intercalary meristems occur only in monocots, at the bases of leaf blades and at nodes (the areas where leaves attach to a stem). This tissue enables the monocot leaf blade to increase in length from the leaf base; for example, it allows lawn grass leaves to elongate even after repeated mowing.
Meristems produce cells that quickly differentiate, or specialize, and become permanent tissue. Such cells take on specific roles and lose their ability to divide further. They differentiate into three main types: dermal, vascular, and ground tissue. Dermal tissue covers and protects the plant, and vascular tissue transports water, minerals, and sugars to different parts of the plant. Ground tissue serves as a site for photosynthesis, provides a supporting matrix for the vascular tissue, and helps to store water and sugars.
Secondary tissues are either simple (composed of similar cell types) or complex (composed of different cell types). Dermal tissue, for example, is a simple tissue that covers the outer surface of the plant and controls gas exchange. Vascular tissue is an example of a complex tissue, and is made of two specialized conducting tissues: xylem and phloem. Xylem tissue transports water and nutrients from the roots to different parts of the plant, and includes three different cell types: vessel elements and tracheids (both of which conduct water), and xylem parenchyma. Phloem tissue, which transports organic compounds from the site of photosynthesis to other parts of the plant, consists of four different cell types: sieve cells (which conduct photosynthates), companion cells, phloem parenchyma, and phloem fibers. Unlike xylem conducting cells, phloem conducting cells are alive at maturity. The xylem and phloem always lie adjacent to each other (Figure). In stems, the xylem and the phloem form a structure called a vascular bundle; in roots, this is termed the vascular stele or vascular cylinder.
Section Summary
A vascular plant consists of two organ systems: the shoot system and the root system. The shoot system includes the aboveground vegetative portions (stems and leaves) and reproductive parts (flowers and fruits). The root system supports the plant and is usually underground. A plant is composed of two main types of tissue: meristematic tissue and permanent tissue. Meristematic tissue consists of actively dividing cells found in root and shoot tips. As growth occurs, meristematic tissue differentiates into permanent tissue, which is categorized as either simple or complex. Simple tissues are made up of similar cell types; examples include dermal tissue and ground tissue. Dermal tissue provides the outer covering of the plant. Ground tissue is responsible for photosynthesis; it also supports vascular tissue and may store water and sugars. Complex tissues are made up of different cell types. Vascular tissue, for example, is made up of xylem and phloem cells.
Review Questions
Plant regions of continuous growth are made up of ________.
- dermal tissue
- vascular tissue
- meristematic tissue
- permanent tissue
Hint:
C
Which of the following is the major site of photosynthesis?
- apical meristem
- ground tissue
- xylem cells
- phloem cells
Hint:
B
Free Response
What type of meristem is found only in monocots, such as lawn grasses? Explain how this type of meristematic tissue is beneficial in lawn grasses that are mowed each week.
Hint:
Lawn grasses and other monocots have an intercalary meristem, which is a region of meristematic tissue at the base of the leaf blade. This is beneficial to the plant because it can continue to grow even when the tip of the plant is removed by grazing or mowing.
Which plant part is responsible for transporting water, minerals, and sugars to different parts of the plant? Name the two types of tissue that make up this overall tissue, and explain the role of each.
Hint:
Vascular tissue transports water, minerals, and sugars throughout the plant. Vascular tissue is made up of xylem tissue and phloem tissue. Xylem tissue transports water and nutrients from the roots upward. Phloem tissue carries sugars from the sites of photosynthesis to the rest of the plant.
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oercommons
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2025-03-18T00:36:55.626243
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https://oercommons.org/courseware/lesson/15092/overview
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Stems
Overview
By the end of this section, you will be able to:
- Describe the main function and basic structure of stems
- Compare and contrast the roles of dermal tissue, vascular tissue, and ground tissue
- Distinguish between primary growth and secondary growth in stems
- Summarize the origin of annual rings
- List and describe examples of modified stems
Stems are a part of the shoot system of a plant. They may range in length from a few millimeters to hundreds of meters, and also vary in diameter, depending on the plant type. Stems are usually above ground, although the stems of some plants, such as the potato, also grow underground. Stems may be herbaceous (soft) or woody in nature. Their main function is to provide support to the plant, holding leaves, flowers and buds; in some cases, stems also store food for the plant. A stem may be unbranched, like that of a palm tree, or it may be highly branched, like that of a magnolia tree. The stem of the plant connects the roots to the leaves, helping to transport absorbed water and minerals to different parts of the plant. It also helps to transport the products of photosynthesis, namely sugars, from the leaves to the rest of the plant.
Plant stems, whether above or below ground, are characterized by the presence of nodes and internodes (Figure). Nodes are points of attachment for leaves, aerial roots, and flowers. The stem region between two nodes is called an internode. The stalk that extends from the stem to the base of the leaf is the petiole. An axillary bud is usually found in the axil—the area between the base of a leaf and the stem—where it can give rise to a branch or a flower. The apex (tip) of the shoot contains the apical meristem within the apical bud.
Stem Anatomy
The stem and other plant organs arise from the ground tissue, and are primarily made up of simple tissues formed from three types of cells: parenchyma, collenchyma, and sclerenchyma cells.
Parenchyma cells are the most common plant cells (Figure). They are found in the stem, the root, the inside of the leaf, and the pulp of the fruit. Parenchyma cells are responsible for metabolic functions, such as photosynthesis, and they help repair and heal wounds. Some parenchyma cells also store starch.
Collenchyma cells are elongated cells with unevenly thickened walls (Figure). They provide structural support, mainly to the stem and leaves. These cells are alive at maturity and are usually found below the epidermis. The “strings” of a celery stalk are an example of collenchyma cells.
Sclerenchyma cells also provide support to the plant, but unlike collenchyma cells, many of them are dead at maturity. There are two types of sclerenchyma cells: fibers and sclereids. Both types have secondary cell walls that are thickened with deposits of lignin, an organic compound that is a key component of wood. Fibers are long, slender cells; sclereids are smaller-sized. Sclereids give pears their gritty texture. Humans use sclerenchyma fibers to make linen and rope (Figure).
Art Connection
Which layers of the stem are made of parenchyma cells?
- cortex and pith
- phloem
- sclerenchyma
- xylem
Like the rest of the plant, the stem has three tissue systems: dermal, vascular, and ground tissue. Each is distinguished by characteristic cell types that perform specific tasks necessary for the plant’s growth and survival.
Dermal Tissue
The dermal tissue of the stem consists primarily of epidermis, a single layer of cells covering and protecting the underlying tissue. Woody plants have a tough, waterproof outer layer of cork cells commonly known as bark, which further protects the plant from damage. Epidermal cells are the most numerous and least differentiated of the cells in the epidermis. The epidermis of a leaf also contains openings known as stomata, through which the exchange of gases takes place (Figure). Two cells, known as guard cells, surround each leaf stoma, controlling its opening and closing and thus regulating the uptake of carbon dioxide and the release of oxygen and water vapor. Trichomes are hair-like structures on the epidermal surface. They help to reduce transpiration (the loss of water by aboveground plant parts), increase solar reflectance, and store compounds that defend the leaves against predation by herbivores.
Vascular Tissue
The xylem and phloem that make up the vascular tissue of the stem are arranged in distinct strands called vascular bundles, which run up and down the length of the stem. When the stem is viewed in cross section, the vascular bundles of dicot stems are arranged in a ring. In plants with stems that live for more than one year, the individual bundles grow together and produce the characteristic growth rings. In monocot stems, the vascular bundles are randomly scattered throughout the ground tissue (Figure).
Xylem tissue has three types of cells: xylem parenchyma, tracheids, and vessel elements. The latter two types conduct water and are dead at maturity. Tracheids are xylem cells with thick secondary cell walls that are lignified. Water moves from one tracheid to another through regions on the side walls known as pits, where secondary walls are absent. Vessel elements are xylem cells with thinner walls; they are shorter than tracheids. Each vessel element is connected to the next by means of a perforation plate at the end walls of the element. Water moves through the perforation plates to travel up the plant.
Phloem tissue is composed of sieve-tube cells, companion cells, phloem parenchyma, and phloem fibers. A series of sieve-tube cells (also called sieve-tube elements) are arranged end to end to make up a long sieve tube, which transports organic substances such as sugars and amino acids. The sugars flow from one sieve-tube cell to the next through perforated sieve plates, which are found at the end junctions between two cells. Although still alive at maturity, the nucleus and other cell components of the sieve-tube cells have disintegrated. Companion cells are found alongside the sieve-tube cells, providing them with metabolic support. The companion cells contain more ribosomes and mitochondria than the sieve-tube cells, which lack some cellular organelles.
Ground Tissue
Ground tissue is mostly made up of parenchyma cells, but may also contain collenchyma and sclerenchyma cells that help support the stem. The ground tissue towards the interior of the vascular tissue in a stem or root is known as pith, while the layer of tissue between the vascular tissue and the epidermis is known as the cortex.
Growth in Stems
Growth in plants occurs as the stems and roots lengthen. Some plants, especially those that are woody, also increase in thickness during their life span. The increase in length of the shoot and the root is referred to as primary growth, and is the result of cell division in the shoot apical meristem. Secondary growth is characterized by an increase in thickness or girth of the plant, and is caused by cell division in the lateral meristem. Figure shows the areas of primary and secondary growth in a plant. Herbaceous plants mostly undergo primary growth, with hardly any secondary growth or increase in thickness. Secondary growth or “wood” is noticeable in woody plants; it occurs in some dicots, but occurs very rarely in monocots.
Some plant parts, such as stems and roots, continue to grow throughout a plant’s life: a phenomenon called indeterminate growth. Other plant parts, such as leaves and flowers, exhibit determinate growth, which ceases when a plant part reaches a particular size.
Primary Growth
Most primary growth occurs at the apices, or tips, of stems and roots. Primary growth is a result of rapidly dividing cells in the apical meristems at the shoot tip and root tip. Subsequent cell elongation also contributes to primary growth. The growth of shoots and roots during primary growth enables plants to continuously seek water (roots) or sunlight (shoots).
The influence of the apical bud on overall plant growth is known as apical dominance, which diminishes the growth of axillary buds that form along the sides of branches and stems. Most coniferous trees exhibit strong apical dominance, thus producing the typical conical Christmas tree shape. If the apical bud is removed, then the axillary buds will start forming lateral branches. Gardeners make use of this fact when they prune plants by cutting off the tops of branches, thus encouraging the axillary buds to grow out, giving the plant a bushy shape.
Link to Learning
Watch this BBC Nature video showing how time-lapse photography captures plant growth at high speed.
Secondary Growth
The increase in stem thickness that results from secondary growth is due to the activity of the lateral meristems, which are lacking in herbaceous plants. Lateral meristems include the vascular cambium and, in woody plants, the cork cambium (see Figure). The vascular cambium is located just outside the primary xylem and to the interior of the primary phloem. The cells of the vascular cambium divide and form secondary xylem (tracheids and vessel elements) to the inside, and secondary phloem (sieve elements and companion cells) to the outside. The thickening of the stem that occurs in secondary growth is due to the formation of secondary phloem and secondary xylem by the vascular cambium, plus the action of cork cambium, which forms the tough outermost layer of the stem. The cells of the secondary xylem contain lignin, which provides hardiness and strength.
In woody plants, cork cambium is the outermost lateral meristem. It produces cork cells (bark) containing a waxy substance known as suberin that can repel water. The bark protects the plant against physical damage and helps reduce water loss. The cork cambium also produces a layer of cells known as phelloderm, which grows inward from the cambium. The cork cambium, cork cells, and phelloderm are collectively termed the periderm. The periderm substitutes for the epidermis in mature plants. In some plants, the periderm has many openings, known as lenticels, which allow the interior cells to exchange gases with the outside atmosphere (Figure). This supplies oxygen to the living and metabolically active cells of the cortex, xylem and phloem.
Annual Rings
The activity of the vascular cambium gives rise to annual growth rings. During the spring growing season, cells of the secondary xylem have a large internal diameter and their primary cell walls are not extensively thickened. This is known as early wood, or spring wood. During the fall season, the secondary xylem develops thickened cell walls, forming late wood, or autumn wood, which is denser than early wood. This alternation of early and late wood is due largely to a seasonal decrease in the number of vessel elements and a seasonal increase in the number of tracheids. It results in the formation of an annual ring, which can be seen as a circular ring in the cross section of the stem (Figure). An examination of the number of annual rings and their nature (such as their size and cell wall thickness) can reveal the age of the tree and the prevailing climatic conditions during each season.
Stem Modifications
Some plant species have modified stems that are especially suited to a particular habitat and environment (Figure). A rhizome is a modified stem that grows horizontally underground and has nodes and internodes. Vertical shoots may arise from the buds on the rhizome of some plants, such as ginger and ferns. Corms are similar to rhizomes, except they are more rounded and fleshy (such as in gladiolus). Corms contain stored food that enables some plants to survive the winter. Stolons are stems that run almost parallel to the ground, or just below the surface, and can give rise to new plants at the nodes. Runners are a type of stolon that runs above the ground and produces new clone plants at nodes at varying intervals: strawberries are an example. Tubers are modified stems that may store starch, as seen in the potato (Solanum sp.). Tubers arise as swollen ends of stolons, and contain many adventitious or unusual buds (familiar to us as the “eyes” on potatoes). A bulb, which functions as an underground storage unit, is a modification of a stem that has the appearance of enlarged fleshy leaves emerging from the stem or surrounding the base of the stem, as seen in the iris.
Link to Learning
Watch botanist Wendy Hodgson, of Desert Botanical Garden in Phoenix, Arizona, explain how agave plants were cultivated for food hundreds of years ago in the Arizona desert in this video: Finding the Roots of an Ancient Crop.
Some aerial modifications of stems are tendrils and thorns (Figure). Tendrils are slender, twining strands that enable a plant (like a vine or pumpkin) to seek support by climbing on other surfaces. Thorns are modified branches appearing as sharp outgrowths that protect the plant; common examples include roses, Osage orange and devil’s walking stick.
Section Summary
The stem of a plant bears the leaves, flowers, and fruits. Stems are characterized by the presence of nodes (the points of attachment for leaves or branches) and internodes (regions between nodes).
Plant organs are made up of simple and complex tissues. The stem has three tissue systems: dermal, vascular, and ground tissue. Dermal tissue is the outer covering of the plant. It contains epidermal cells, stomata, guard cells, and trichomes. Vascular tissue is made up of xylem and phloem tissues and conducts water, minerals, and photosynthetic products. Ground tissue is responsible for photosynthesis and support and is composed of parenchyma, collenchyma, and sclerenchyma cells.
Primary growth occurs at the tips of roots and shoots, causing an increase in length. Woody plants may also exhibit secondary growth, or increase in thickness. In woody plants, especially trees, annual rings may form as growth slows at the end of each season. Some plant species have modified stems that help to store food, propagate new plants, or discourage predators. Rhizomes, corms, stolons, runners, tubers, bulbs, tendrils, and thorns are examples of modified stems.
Art Connections
Review Questions
Stem regions at which leaves are attached are called ________.
- trichomes
- lenticels
- nodes
- internodes
Hint:
C
Which of the following cell types forms most of the inside of a plant?
- meristem cells
- collenchyma cells
- sclerenchyma cells
- parenchyma cells
Hint:
D
Tracheids, vessel elements, sieve-tube cells, and companion cells are components of ________.
- vascular tissue
- meristematic tissue
- ground tissue
- dermal tissue
Hint:
A
The primary growth of a plant is due to the action of the ________.
- lateral meristem
- vascular cambium
- apical meristem
- cork cambium
Hint:
C
Which of the following is an example of secondary growth?
- increase in length
- increase in thickness or girth
- increase in root hairs
- increase in leaf number
Hint:
B
Secondary growth in stems is usually seen in ________.
- monocots
- dicots
- both monocots and dicots
- neither monocots nor dicots
Hint:
B
Free Response
Describe the roles played by stomata and guard cells. What would happen to a plant if these cells did not function correctly?
Hint:
Stomata allow gases to enter and exit the plant. Guard cells regulate the opening and closing of stomata. If these cells did not function correctly, a plant could not get the carbon dioxide needed for photosynthesis, nor could it release the oxygen produced by photosynthesis.
Compare the structure and function of xylem to that of phloem.
Hint:
Xylem is made up tracheids and vessel elements, which are cells that transport water and dissolved minerals and that are dead at maturity. Phloem is made up of sieve-tube cells and companion cells, which transport carbohydrates and are alive at maturity.
Explain the role of the cork cambium in woody plants.
Hint:
In woody plants, the cork cambium is the outermost lateral meristem; it produces new cells towards the interior, which enables the plant to increase in girth. The cork cambium also produces cork cells towards the exterior, which protect the plant from physical damage while reducing water loss.
What is the function of lenticels?
Hint:
In woody stems, lenticels allow internal cells to exchange gases with the outside atmosphere.
Besides the age of a tree, what additional information can annual rings reveal?
Hint:
Annual rings can also indicate the climate conditions that prevailed during each growing season.
Give two examples of modified stems and explain how each example benefits the plant.
Hint:
Answers will vary. Rhizomes, stolons, and runners can give rise to new plants. Corms, tubers, and bulbs can also produce new plants and can store food. Tendrils help a plant to climb, while thorns discourage herbivores.
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https://oercommons.org/courseware/lesson/15093/overview
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Roots
Overview
By the end of this section, you will be able to:
- Identify the two types of root systems
- Describe the three zones of the root tip and summarize the role of each zone in root growth
- Describe the structure of the root
- List and describe examples of modified roots
The roots of seed plants have three major functions: anchoring the plant to the soil, absorbing water and minerals and transporting them upwards, and storing the products of photosynthesis. Some roots are modified to absorb moisture and exchange gases. Most roots are underground. Some plants, however, also have adventitious roots, which emerge above the ground from the shoot.
Types of Root Systems
Root systems are mainly of two types (Figure). Dicots have a tap root system, while monocots have a fibrous root system. A tap root system has a main root that grows down vertically, and from which many smaller lateral roots arise. Dandelions are a good example; their tap roots usually break off when trying to pull these weeds, and they can regrow another shoot from the remaining root). A tap root system penetrates deep into the soil. In contrast, a fibrous root system is located closer to the soil surface, and forms a dense network of roots that also helps prevent soil erosion (lawn grasses are a good example, as are wheat, rice, and corn). Some plants have a combination of tap roots and fibrous roots. Plants that grow in dry areas often have deep root systems, whereas plants growing in areas with abundant water are likely to have shallower root systems.
Root Growth and Anatomy
Root growth begins with seed germination. When the plant embryo emerges from the seed, the radicle of the embryo forms the root system. The tip of the root is protected by the root cap, a structure exclusive to roots and unlike any other plant structure. The root cap is continuously replaced because it gets damaged easily as the root pushes through soil. The root tip can be divided into three zones: a zone of cell division, a zone of elongation, and a zone of maturation and differentiation (Figure). The zone of cell division is closest to the root tip; it is made up of the actively dividing cells of the root meristem. The zone of elongation is where the newly formed cells increase in length, thereby lengthening the root. Beginning at the first root hair is the zone of cell maturation where the root cells begin to differentiate into special cell types. All three zones are in the first centimeter or so of the root tip.
The root has an outer layer of cells called the epidermis, which surrounds areas of ground tissue and vascular tissue. The epidermis provides protection and helps in absorption. Root hairs, which are extensions of root epidermal cells, increase the surface area of the root, greatly contributing to the absorption of water and minerals.
Inside the root, the ground tissue forms two regions: the cortex and the pith (Figure). Compared to stems, roots have lots of cortex and little pith. Both regions include cells that store photosynthetic products. The cortex is between the epidermis and the vascular tissue, whereas the pith lies between the vascular tissue and the center of the root.
The vascular tissue in the root is arranged in the inner portion of the root, which is called the stele (Figure). A layer of cells known as the endodermis separates the stele from the ground tissue in the outer portion of the root. The endodermis is exclusive to roots, and serves as a checkpoint for materials entering the root’s vascular system. A waxy substance called suberin is present on the walls of the endodermal cells. This waxy region, known as the Casparian strip, forces water and solutes to cross the plasma membranes of endodermal cells instead of slipping between the cells. This ensures that only materials required by the root pass through the endodermis, while toxic substances and pathogens are generally excluded. The outermost cell layer of the root’s vascular tissue is the pericycle, an area that can give rise to lateral roots. In dicot roots, the xylem and phloem of the stele are arranged alternately in an X shape, whereas in monocot roots, the vascular tissue is arranged in a ring around the pith.
Root Modifications
Root structures may be modified for specific purposes. For example, some roots are bulbous and store starch. Aerial roots and prop roots are two forms of aboveground roots that provide additional support to anchor the plant. Tap roots, such as carrots, turnips, and beets, are examples of roots that are modified for food storage (Figure).
Epiphytic roots enable a plant to grow on another plant. For example, the epiphytic roots of orchids develop a spongy tissue to absorb moisture. The banyan tree (Ficus sp.) begins as an epiphyte, germinating in the branches of a host tree; aerial roots develop from the branches and eventually reach the ground, providing additional support (Figure). In screwpine (Pandanus sp.), a palm-like tree that grows in sandy tropical soils, aboveground prop roots develop from the nodes to provide additional support.
Section Summary
Roots help to anchor a plant, absorb water and minerals, and serve as storage sites for food. Taproots and fibrous roots are the two main types of root systems. In a taproot system, a main root grows vertically downward with a few lateral roots. Fibrous root systems arise at the base of the stem, where a cluster of roots forms a dense network that is shallower than a taproot. The growing root tip is protected by a root cap. The root tip has three main zones: a zone of cell division (cells are actively dividing), a zone of elongation (cells increase in length), and a zone of maturation (cells differentiate to form different kinds of cells). Root vascular tissue conducts water, minerals, and sugars. In some habitats, the roots of certain plants may be modified to form aerial roots or epiphytic roots.
Review Questions
Roots that enable a plant to grow on another plant are called ________.
- epiphytic roots
- prop roots
- adventitious roots
- aerial roots
Hint:
A
The ________ forces selective uptake of minerals in the root.
- pericycle
- epidermis
- endodermis
- root cap
Hint:
C
Newly-formed root cells begin to form different cell types in the ________.
- zone of elongation
- zone of maturation
- root meristem
- zone of cell division
Hint:
B
Free Response
Compare a tap root system with a fibrous root system. For each type, name a plant that provides a food in the human diet. Which type of root system is found in monocots? Which type of root system is found in dicots?
Hint:
A tap root system has a single main root that grows down. A fibrous root system forms a dense network of roots that is closer to the soil surface. An example of a tap root system is a carrot. Grasses such as wheat, rice, and corn are examples of fibrous root systems. Fibrous root systems are found in monocots; tap root systems are found in dicots.
What might happen to a root if the pericycle disappeared?
Hint:
The root would not be able to produce lateral roots.
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2025-03-18T00:36:55.740242
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https://oercommons.org/courseware/lesson/15094/overview
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Leaves
Overview
By the end of this section, you will be able to:
- Identify the parts of a typical leaf
- Describe the internal structure and function of a leaf
- Compare and contrast simple leaves and compound leaves
- List and describe examples of modified leaves
Leaves are the main sites for photosynthesis: the process by which plants synthesize food. Most leaves are usually green, due to the presence of chlorophyll in the leaf cells. However, some leaves may have different colors, caused by other plant pigments that mask the green chlorophyll.
The thickness, shape, and size of leaves are adapted to the environment. Each variation helps a plant species maximize its chances of survival in a particular habitat. Usually, the leaves of plants growing in tropical rainforests have larger surface areas than those of plants growing in deserts or very cold conditions, which are likely to have a smaller surface area to minimize water loss.
Structure of a Typical Leaf
Each leaf typically has a leaf blade called the lamina, which is also the widest part of the leaf. Some leaves are attached to the plant stem by a petiole. Leaves that do not have a petiole and are directly attached to the plant stem are called sessile leaves. Small green appendages usually found at the base of the petiole are known as stipules. Most leaves have a midrib, which travels the length of the leaf and branches to each side to produce veins of vascular tissue. The edge of the leaf is called the margin. Figure shows the structure of a typical eudicot leaf.
Within each leaf, the vascular tissue forms veins. The arrangement of veins in a leaf is called the venation pattern. Monocots and dicots differ in their patterns of venation (Figure). Monocots have parallel venation; the veins run in straight lines across the length of the leaf without converging at a point. In dicots, however, the veins of the leaf have a net-like appearance, forming a pattern known as reticulate venation. One extant plant, the Ginkgo biloba, has dichotomous venation where the veins fork.
Leaf Arrangement
The arrangement of leaves on a stem is known as phyllotaxy. The number and placement of a plant’s leaves will vary depending on the species, with each species exhibiting a characteristic leaf arrangement. Leaves are classified as either alternate, spiral, or opposite. Plants that have only one leaf per node have leaves that are said to be either alternate—meaning the leaves alternate on each side of the stem in a flat plane—or spiral, meaning the leaves are arrayed in a spiral along the stem. In an opposite leaf arrangement, two leaves arise at the same point, with the leaves connecting opposite each other along the branch. If there are three or more leaves connected at a node, the leaf arrangement is classified as whorled.
Leaf Form
Leaves may be simple or compound (Figure). In a simple leaf, the blade is either completely undivided—as in the banana leaf—or it has lobes, but the separation does not reach the midrib, as in the maple leaf. In a compound leaf, the leaf blade is completely divided, forming leaflets, as in the locust tree. Each leaflet may have its own stalk, but is attached to the rachis. A palmately compound leaf resembles the palm of a hand, with leaflets radiating outwards from one point Examples include the leaves of poison ivy, the buckeye tree, or the familiar houseplant Schefflera sp. (common name “umbrella plant”). Pinnately compound leaves take their name from their feather-like appearance; the leaflets are arranged along the midrib, as in rose leaves (Rosa sp.), or the leaves of hickory, pecan, ash, or walnut trees.
Leaf Structure and Function
The outermost layer of the leaf is the epidermis; it is present on both sides of the leaf and is called the upper and lower epidermis, respectively. Botanists call the upper side the adaxial surface (or adaxis) and the lower side the abaxial surface (or abaxis). The epidermis helps in the regulation of gas exchange. It contains stomata (Figure): openings through which the exchange of gases takes place. Two guard cells surround each stoma, regulating its opening and closing.
The epidermis is usually one cell layer thick; however, in plants that grow in very hot or very cold conditions, the epidermis may be several layers thick to protect against excessive water loss from transpiration. A waxy layer known as the cuticle covers the leaves of all plant species. The cuticle reduces the rate of water loss from the leaf surface. Other leaves may have small hairs (trichomes) on the leaf surface. Trichomes help to deter herbivory by restricting insect movements, or by storing toxic or bad-tasting compounds; they can also reduce the rate of transpiration by blocking air flow across the leaf surface (Figure).
Below the epidermis of dicot leaves are layers of cells known as the mesophyll, or “middle leaf.” The mesophyll of most leaves typically contains two arrangements of parenchyma cells: the palisade parenchyma and spongy parenchyma (Figure). The palisade parenchyma (also called the palisade mesophyll) has column-shaped, tightly packed cells, and may be present in one, two, or three layers. Below the palisade parenchyma are loosely arranged cells of an irregular shape. These are the cells of the spongy parenchyma (or spongy mesophyll). The air space found between the spongy parenchyma cells allows gaseous exchange between the leaf and the outside atmosphere through the stomata. In aquatic plants, the intercellular spaces in the spongy parenchyma help the leaf float. Both layers of the mesophyll contain many chloroplasts. Guard cells are the only epidermal cells to contain chloroplasts.
Like the stem, the leaf contains vascular bundles composed of xylem and phloem (Figure). The xylem consists of tracheids and vessels, which transport water and minerals to the leaves. The phloem transports the photosynthetic products from the leaf to the other parts of the plant. A single vascular bundle, no matter how large or small, always contains both xylem and phloem tissues.
Leaf Adaptations
Coniferous plant species that thrive in cold environments, like spruce, fir, and pine, have leaves that are reduced in size and needle-like in appearance. These needle-like leaves have sunken stomata and a smaller surface area: two attributes that aid in reducing water loss. In hot climates, plants such as cacti have leaves that are reduced to spines, which in combination with their succulent stems, help to conserve water. Many aquatic plants have leaves with wide lamina that can float on the surface of the water, and a thick waxy cuticle on the leaf surface that repels water.
Link to Learning
Watch “The Pale Pitcher Plant” episode of the video series Plants Are Cool, Too, a Botanical Society of America video about a carnivorous plant species found in Louisiana.
Evolution Connection
Plant Adaptations in Resource-Deficient EnvironmentsRoots, stems, and leaves are structured to ensure that a plant can obtain the required sunlight, water, soil nutrients, and oxygen resources. Some remarkable adaptations have evolved to enable plant species to thrive in less than ideal habitats, where one or more of these resources is in short supply.
In tropical rainforests, light is often scarce, since many trees and plants grow close together and block much of the sunlight from reaching the forest floor. Many tropical plant species have exceptionally broad leaves to maximize the capture of sunlight. Other species are epiphytes: plants that grow on other plants that serve as a physical support. Such plants are able to grow high up in the canopy atop the branches of other trees, where sunlight is more plentiful. Epiphytes live on rain and minerals collected in the branches and leaves of the supporting plant. Bromeliads (members of the pineapple family), ferns, and orchids are examples of tropical epiphytes (Figure). Many epiphytes have specialized tissues that enable them to efficiently capture and store water.
Some plants have special adaptations that help them to survive in nutrient-poor environments. Carnivorous plants, such as the Venus flytrap and the pitcher plant (Figure), grow in bogs where the soil is low in nitrogen. In these plants, leaves are modified to capture insects. The insect-capturing leaves may have evolved to provide these plants with a supplementary source of much-needed nitrogen.
Many swamp plants have adaptations that enable them to thrive in wet areas, where their roots grow submerged underwater. In these aquatic areas, the soil is unstable and little oxygen is available to reach the roots. Trees such as mangroves (Rhizophora sp.) growing in coastal waters produce aboveground roots that help support the tree (Figure). Some species of mangroves, as well as cypress trees, have pneumatophores: upward-growing roots containing pores and pockets of tissue specialized for gas exchange. Wild rice is an aquatic plant with large air spaces in the root cortex. The air-filled tissue—called aerenchyma—provides a path for oxygen to diffuse down to the root tips, which are embedded in oxygen-poor bottom sediments.
Link to Learning
Watch Venus Flytraps: Jaws of Death, an extraordinary BBC close-up of the Venus flytrap in action.
Section Summary
Leaves are the main site of photosynthesis. A typical leaf consists of a lamina (the broad part of the leaf, also called the blade) and a petiole (the stalk that attaches the leaf to a stem). The arrangement of leaves on a stem, known as phyllotaxy, enables maximum exposure to sunlight. Each plant species has a characteristic leaf arrangement and form. The pattern of leaf arrangement may be alternate, opposite, or spiral, while leaf form may be simple or compound. Leaf tissue consists of the epidermis, which forms the outermost cell layer, and mesophyll and vascular tissue, which make up the inner portion of the leaf. In some plant species, leaf form is modified to form structures such as tendrils, spines, bud scales, and needles.
Review Questions
The stalk of a leaf is known as the ________.
- petiole
- lamina
- stipule
- rachis
Hint:
A
Leaflets are a characteristic of ________ leaves.
- alternate
- whorled
- compound
- opposite
Hint:
C
Cells of the ________ contain chloroplasts.
- epidermis
- vascular tissue
- stomata
- mesophyll
Hint:
D
Which of the following is most likely to be found in a desert environment?
- broad leaves to capture sunlight
- spines instead of leaves
- needle-like leaves
- wide, flat leaves that can float
Hint:
B
Free Response
How do dicots differ from monocots in terms of leaf structure?
Hint:
Monocots have leaves with parallel venation, and dicots have leaves with reticulate, net-like venation.
Describe an example of a plant with leaves that are adapted to cold temperatures.
Hint:
Conifers such as spruce, fir, and pine have needle-shaped leaves with sunken stomata, helping to reduce water loss.
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https://oercommons.org/courseware/lesson/15095/overview
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Transport of Water and Solutes in Plants
Overview
By the end of this section, you will be able to:
- Define water potential and explain how it is influenced by solutes, pressure, gravity, and the matric potential
- Describe how water potential, evapotranspiration, and stomatal regulation influence how water is transported in plants
- Explain how photosynthates are transported in plants
The structure of plant roots, stems, and leaves facilitates the transport of water, nutrients, and photosynthates throughout the plant. The phloem and xylem are the main tissues responsible for this movement. Water potential, evapotranspiration, and stomatal regulation influence how water and nutrients are transported in plants. To understand how these processes work, we must first understand the energetics of water potential.
Water Potential
Plants are phenomenal hydraulic engineers. Using only the basic laws of physics and the simple manipulation of potential energy, plants can move water to the top of a 116-meter-tall tree (Figurea). Plants can also use hydraulics to generate enough force to split rocks and buckle sidewalks (Figureb). Plants achieve this because of water potential.
Water potential is a measure of the potential energy in water. Plant physiologists are not interested in the energy in any one particular aqueous system, but are very interested in water movement between two systems. In practical terms, therefore, water potential is the difference in potential energy between a given water sample and pure water (at atmospheric pressure and ambient temperature). Water potential is denoted by the Greek letter ψ (psi) and is expressed in units of pressure (pressure is a form of energy) called megapascals (MPa). The potential of pure water (Ψwpure H2O) is, by convenience of definition, designated a value of zero (even though pure water contains plenty of potential energy, that energy is ignored). Water potential values for the water in a plant root, stem, or leaf are therefore expressed relative to Ψwpure H2O.
The water potential in plant solutions is influenced by solute concentration, pressure, gravity, and factors called matrix effects. Water potential can be broken down into its individual components using the following equation:
where Ψs, Ψp, Ψg, and Ψm refer to the solute, pressure, gravity, and matric potentials, respectively. “System” can refer to the water potential of the soil water (Ψsoil), root water (Ψroot), stem water (Ψstem), leaf water (Ψleaf) or the water in the atmosphere (Ψatmosphere): whichever aqueous system is under consideration. As the individual components change, they raise or lower the total water potential of a system. When this happens, water moves to equilibrate, moving from the system or compartment with a higher water potential to the system or compartment with a lower water potential. This brings the difference in water potential between the two systems (ΔΨ) back to zero (ΔΨ = 0). Therefore, for water to move through the plant from the soil to the air (a process called transpiration), Ψsoil must be > Ψroot > Ψstem > Ψleaf > Ψatmosphere.
Water only moves in response to ΔΨ, not in response to the individual components. However, because the individual components influence the total Ψsystem, by manipulating the individual components (especially Ψs), a plant can control water movement.
Solute Potential
Solute potential (Ψs), also called osmotic potential, is negative in a plant cell and zero in distilled water. Typical values for cell cytoplasm are –0.5 to –1.0 MPa. Solutes reduce water potential (resulting in a negative Ψw) by consuming some of the potential energy available in the water. Solute molecules can dissolve in water because water molecules can bind to them via hydrogen bonds; a hydrophobic molecule like oil, which cannot bind to water, cannot go into solution. The energy in the hydrogen bonds between solute molecules and water is no longer available to do work in the system because it is tied up in the bond. In other words, the amount of available potential energy is reduced when solutes are added to an aqueous system. Thus, Ψs decreases with increasing solute concentration. Because Ψs is one of the four components of Ψsystem or Ψtotal, a decrease in Ψs will cause a decrease in Ψtotal. The internal water potential of a plant cell is more negative than pure water because of the cytoplasm’s high solute content (Figure). Because of this difference in water potential water will move from the soil into a plant’s root cells via the process of osmosis. This is why solute potential is sometimes called osmotic potential.
Plant cells can metabolically manipulate Ψs (and by extension, Ψtotal) by adding or removing solute molecules. Therefore, plants have control over Ψtotal via their ability to exert metabolic control over Ψs.
Positive water potential is placed on the left side of the tube by increasing Ψp such that the water level rises on the right side. Could you equalize the water level on each side of the tube by adding solute, and if so, how?
Pressure Potential
Pressure potential (Ψp), also called turgor potential, may be positive or negative (Figure). Because pressure is an expression of energy, the higher the pressure, the more potential energy in a system, and vice versa. Therefore, a positive Ψp (compression) increases Ψtotal, and a negative Ψp (tension) decreases Ψtotal. Positive pressure inside cells is contained by the cell wall, producing turgor pressure. Pressure potentials are typically around 0.6–0.8 MPa, but can reach as high as 1.5 MPa in a well-watered plant. A Ψp of 1.5 MPa equates to 210 pounds per square inch (1.5 MPa x 140 lb in-2 MPa-1 = 210 lb/in-2). As a comparison, most automobile tires are kept at a pressure of 30–34 psi. An example of the effect of turgor pressure is the wilting of leaves and their restoration after the plant has been watered (Figure). Water is lost from the leaves via transpiration (approaching Ψp = 0 MPa at the wilting point) and restored by uptake via the roots.
A plant can manipulate Ψp via its ability to manipulate Ψs and by the process of osmosis. If a plant cell increases the cytoplasmic solute concentration, Ψs will decline, Ψtotal will decline, the ΔΨ between the cell and the surrounding tissue will decline, water will move into the cell by osmosis, and Ψp will increase. Ψp is also under indirect plant control via the opening and closing of stomata. Stomatal openings allow water to evaporate from the leaf, reducing Ψp and Ψtotal of the leaf and increasing ii between the water in the leaf and the petiole, thereby allowing water to flow from the petiole into the leaf.
Gravity Potential
Gravity potential (Ψg) is always negative to zero in a plant with no height. It always removes or consumes potential energy from the system. The force of gravity pulls water downwards to the soil, reducing the total amount of potential energy in the water in the plant (Ψtotal). The taller the plant, the taller the water column, and the more influential Ψg becomes. On a cellular scale and in short plants, this effect is negligible and easily ignored. However, over the height of a tall tree like a giant coastal redwood, the gravitational pull of –0.1 MPa m-1 is equivalent to an extra 1 MPa of resistance that must be overcome for water to reach the leaves of the tallest trees. Plants are unable to manipulate Ψg.
Matric Potential
Matric potential (Ψm) is always negative to zero. In a dry system, it can be as low as –2 MPa in a dry seed, and it is zero in a water-saturated system. The binding of water to a matrix always removes or consumes potential energy from the system. Ψm is similar to solute potential because it involves tying up the energy in an aqueous system by forming hydrogen bonds between the water and some other component. However, in solute potential, the other components are soluble, hydrophilic solute molecules, whereas in Ψm, the other components are insoluble, hydrophilic molecules of the plant cell wall. Every plant cell has a cellulosic cell wall and the cellulose in the cell walls is hydrophilic, producing a matrix for adhesion of water: hence the name matric potential. Ψm is very large (negative) in dry tissues such as seeds or drought-affected soils. However, it quickly goes to zero as the seed takes up water or the soil hydrates. Ψm cannot be manipulated by the plant and is typically ignored in well-watered roots, stems, and leaves.
Movement of Water and Minerals in the Xylem
Solutes, pressure, gravity, and matric potential are all important for the transport of water in plants. Water moves from an area of higher total water potential (higher Gibbs free energy) to an area of lower total water potential. Gibbs free energy is the energy associated with a chemical reaction that can be used to do work. This is expressed as ΔΨ.
Transpiration is the loss of water from the plant through evaporation at the leaf surface. It is the main driver of water movement in the xylem. Transpiration is caused by the evaporation of water at the leaf–atmosphere interface; it creates negative pressure (tension) equivalent to –2 MPa at the leaf surface. This value varies greatly depending on the vapor pressure deficit, which can be negligible at high relative humidity (RH) and substantial at low RH. Water from the roots is pulled up by this tension. At night, when stomata shut and transpiration stops, the water is held in the stem and leaf by the adhesion of water to the cell walls of the xylem vessels and tracheids, and the cohesion of water molecules to each other. This is called the cohesion–tension theory of sap ascent.
Inside the leaf at the cellular level, water on the surface of mesophyll cells saturates the cellulose microfibrils of the primary cell wall. The leaf contains many large intercellular air spaces for the exchange of oxygen for carbon dioxide, which is required for photosynthesis. The wet cell wall is exposed to this leaf internal air space, and the water on the surface of the cells evaporates into the air spaces, decreasing the thin film on the surface of the mesophyll cells. This decrease creates a greater tension on the water in the mesophyll cells (Figure), thereby increasing the pull on the water in the xylem vessels. The xylem vessels and tracheids are structurally adapted to cope with large changes in pressure. Rings in the vessels maintain their tubular shape, much like the rings on a vacuum cleaner hose keep the hose open while it is under pressure. Small perforations between vessel elements reduce the number and size of gas bubbles that can form via a process called cavitation. The formation of gas bubbles in xylem interrupts the continuous stream of water from the base to the top of the plant, causing a break termed an embolism in the flow of xylem sap. The taller the tree, the greater the tension forces needed to pull water, and the more cavitation events. In larger trees, the resulting embolisms can plug xylem vessels, making them non-functional.
Art Connection
Which of the following statements is false?
- Negative water potential draws water into the root hairs. Cohesion and adhesion draw water up the xylem. Transpiration draws water from the leaf.
- Negative water potential draws water into the root hairs. Cohesion and adhesion draw water up the phloem. Transpiration draws water from the leaf.
- Water potential decreases from the roots to the top of the plant.
- Water enters the plants through root hairs and exits through stoma.
Transpiration—the loss of water vapor to the atmosphere through stomata—is a passive process, meaning that metabolic energy in the form of ATP is not required for water movement. The energy driving transpiration is the difference in energy between the water in the soil and the water in the atmosphere. However, transpiration is tightly controlled.
Control of Transpiration
The atmosphere to which the leaf is exposed drives transpiration, but also causes massive water loss from the plant. Up to 90 percent of the water taken up by roots may be lost through transpiration.
Leaves are covered by a waxy cuticle on the outer surface that prevents the loss of water. Regulation of transpiration, therefore, is achieved primarily through the opening and closing of stomata on the leaf surface. Stomata are surrounded by two specialized cells called guard cells, which open and close in response to environmental cues such as light intensity and quality, leaf water status, and carbon dioxide concentrations. Stomata must open to allow air containing carbon dioxide and oxygen to diffuse into the leaf for photosynthesis and respiration. When stomata are open, however, water vapor is lost to the external environment, increasing the rate of transpiration. Therefore, plants must maintain a balance between efficient photosynthesis and water loss.
Plants have evolved over time to adapt to their local environment and reduce transpiration(Figure). Desert plant (xerophytes) and plants that grow on other plants (epiphytes) have limited access to water. Such plants usually have a much thicker waxy cuticle than those growing in more moderate, well-watered environments (mesophytes). Aquatic plants (hydrophytes) also have their own set of anatomical and morphological leaf adaptations.
Xerophytes and epiphytes often have a thick covering of trichomes or of stomata that are sunken below the leaf’s surface. Trichomes are specialized hair-like epidermal cells that secrete oils and substances. These adaptations impede air flow across the stomatal pore and reduce transpiration. Multiple epidermal layers are also commonly found in these types of plants.
Transportation of Photosynthates in the Phloem
Plants need an energy source to grow. In seeds and bulbs, food is stored in polymers (such as starch) that are converted by metabolic processes into sucrose for newly developing plants. Once green shoots and leaves are growing, plants are able to produce their own food by photosynthesizing. The products of photosynthesis are called photosynthates, which are usually in the form of simple sugars such as sucrose.
Structures that produce photosynthates for the growing plant are referred to as sources. Sugars produced in sources, such as leaves, need to be delivered to growing parts of the plant via the phloem in a process called translocation. The points of sugar delivery, such as roots, young shoots, and developing seeds, are called sinks. Seeds, tubers, and bulbs can be either a source or a sink, depending on the plant’s stage of development and the season.
The products from the source are usually translocated to the nearest sink through the phloem. For example, the highest leaves will send photosynthates upward to the growing shoot tip, whereas lower leaves will direct photosynthates downward to the roots. Intermediate leaves will send products in both directions, unlike the flow in the xylem, which is always unidirectional (soil to leaf to atmosphere). The pattern of photosynthate flow changes as the plant grows and develops. Photosynthates are directed primarily to the roots early on, to shoots and leaves during vegetative growth, and to seeds and fruits during reproductive development. They are also directed to tubers for storage.
Translocation: Transport from Source to Sink
Photosynthates, such as sucrose, are produced in the mesophyll cells of photosynthesizing leaves. From there they are translocated through the phloem to where they are used or stored. Mesophyll cells are connected by cytoplasmic channels called plasmodesmata. Photosynthates move through these channels to reach phloem sieve-tube elements (STEs) in the vascular bundles. From the mesophyll cells, the photosynthates are loaded into the phloem STEs. The sucrose is actively transported against its concentration gradient (a process requiring ATP) into the phloem cells using the electrochemical potential of the proton gradient. This is coupled to the uptake of sucrose with a carrier protein called the sucrose-H+ symporter.
Phloem STEs have reduced cytoplasmic contents, and are connected by a sieve plate with pores that allow for pressure-driven bulk flow, or translocation, of phloem sap. Companion cells are associated with STEs. They assist with metabolic activities and produce energy for the STEs (Figure).
Once in the phloem, the photosynthates are translocated to the closest sink. Phloem sap is an aqueous solution that contains up to 30 percent sugar, minerals, amino acids, and plant growth regulators. The high percentage of sugar decreases Ψs, which decreases the total water potential and causes water to move by osmosis from the adjacent xylem into the phloem tubes, thereby increasing pressure. This increase in total water potential causes the bulk flow of phloem from source to sink (Figure). Sucrose concentration in the sink cells is lower than in the phloem STEs because the sink sucrose has been metabolized for growth, or converted to starch for storage or other polymers, such as cellulose, for structural integrity. Unloading at the sink end of the phloem tube occurs by either diffusion or active transport of sucrose molecules from an area of high concentration to one of low concentration. Water diffuses from the phloem by osmosis and is then transpired or recycled via the xylem back into the phloem sap.
Section Summary
Water potential (Ψ) is a measure of the difference in potential energy between a water sample and pure water. The water potential in plant solutions is influenced by solute concentration, pressure, gravity, and matric potential. Water potential and transpiration influence how water is transported through the xylem in plants. These processes are regulated by stomatal opening and closing. Photosynthates (mainly sucrose) move from sources to sinks through the plant’s phloem. Sucrose is actively loaded into the sieve-tube elements of the phloem. The increased solute concentration causes water to move by osmosis from the xylem into the phloem. The positive pressure that is produced pushes water and solutes down the pressure gradient. The sucrose is unloaded into the sink, and the water returns to the xylem vessels.
Art Connections
Figure Positive water potential is placed on the left side of the tube by increasing Ψp such that the water level rises on the right side. Could you equalize the water level on each side of the tube by adding solute, and if so, how?
Hint:
Figure Yes, you can equalize the water level by adding the solute to the left side of the tube such that water moves toward the left until the water levels are equal.
Figure Which of the following statements is false?
- Negative water potential draws water into the root hairs. Cohesion and adhesion draw water up the xylem. Transpiration draws water from the leaf.
- Negative water potential draws water into the root hairs. Cohesion and adhesion draw water up the phloem. Transpiration draws water from the leaf.
- Water potential decreases from the roots to the top of the plant.
- Water enters the plants through root hairs and exits through stoma.
Hint:
Figure B.
Review Questions
When stomata open, what occurs?
- Water vapor is lost to the external environment, increasing the rate of transpiration.
- Water vapor is lost to the external environment, decreasing the rate of transpiration.
- Water vapor enters the spaces in the mesophyll, increasing the rate of transpiration.
- Water vapor enters the spaces in the mesophyll, increasing the rate of transpiration.
Hint:
A
Which cells are responsible for the movement of photosynthates through a plant?
- tracheids, vessel elements
- tracheids, companion cells
- vessel elements, companion cells
- sieve-tube elements, companion cells
Hint:
D
Free Response
The process of bulk flow transports fluids in a plant. Describe the two main bulk flow processes.
Hint:
The process of bulk flow moves water up the xylem and moves photosynthates (solutes) up and down the phloem.
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2025-03-18T00:36:55.806825
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/15095/overview",
"title": "Biology, Plant Structure and Function",
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https://oercommons.org/courseware/lesson/15096/overview
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Plant Sensory Systems and Responses
Overview
By the end of this section, you will be able to:
- Describe how red and blue light affect plant growth and metabolic activities
- Discuss gravitropism
- Understand how hormones affect plant growth and development
- Describe thigmotropism, thigmonastism, and thigmogenesis
- Explain how plants defend themselves from predators and respond to wounds
Animals can respond to environmental factors by moving to a new location. Plants, however, are rooted in place and must respond to the surrounding environmental factors. Plants have sophisticated systems to detect and respond to light, gravity, temperature, and physical touch. Receptors sense environmental factors and relay the information to effector systems—often through intermediate chemical messengers—to bring about plant responses.
Plant Responses to Light
Plants have a number of sophisticated uses for light that go far beyond their ability to photosynthesize low-molecular-weight sugars using only carbon dioxide, light, and water. Photomorphogenesis is the growth and development of plants in response to light. It allows plants to optimize their use of light and space. Photoperiodism is the ability to use light to track time. Plants can tell the time of day and time of year by sensing and using various wavelengths of sunlight. Phototropism is a directional response that allows plants to grow towards, or even away from, light.
The sensing of light in the environment is important to plants; it can be crucial for competition and survival. The response of plants to light is mediated by different photoreceptors, which are comprised of a protein covalently bonded to a light-absorbing pigment called a chromophore. Together, the two are called a chromoprotein.
The red/far-red and violet-blue regions of the visible light spectrum trigger structural development in plants. Sensory photoreceptors absorb light in these particular regions of the visible light spectrum because of the quality of light available in the daylight spectrum. In terrestrial habitats, light absorption by chlorophylls peaks in the blue and red regions of the spectrum. As light filters through the canopy and the blue and red wavelengths are absorbed, the spectrum shifts to the far-red end, shifting the plant community to those plants better adapted to respond to far-red light. Blue-light receptors allow plants to gauge the direction and abundance of sunlight, which is rich in blue–green emissions. Water absorbs red light, which makes the detection of blue light essential for algae and aquatic plants.
The Phytochrome System and the Red/Far-Red Response
The phytochromes are a family of chromoproteins with a linear tetrapyrrole chromophore, similar to the ringed tetrapyrrole light-absorbing head group of chlorophyll. Phytochromes have two photo-interconvertible forms: Pr and Pfr. Pr absorbs red light (~667 nm) and is immediately converted to Pfr. Pfr absorbs far-red light (~730 nm) and is quickly converted back to Pr. Absorption of red or far-red light causes a massive change to the shape of the chromophore, altering the conformation and activity of the phytochrome protein to which it is bound. Pfr is the physiologically active form of the protein; therefore, exposure to red light yields physiological activity. Exposure to far-red light inhibits phytochrome activity. Together, the two forms represent the phytochrome system (Figure).
The phytochrome system acts as a biological light switch. It monitors the level, intensity, duration, and color of environmental light. The effect of red light is reversible by immediately shining far-red light on the sample, which converts the chromoprotein to the inactive Pr form. Additionally, Pfr can slowly revert to Pr in the dark, or break down over time. In all instances, the physiological response induced by red light is reversed. The active form of phytochrome (Pfr) can directly activate other molecules in the cytoplasm, or it can be trafficked to the nucleus, where it directly activates or represses specific gene expression.
Once the phytochrome system evolved, plants adapted it to serve a variety of needs. Unfiltered, full sunlight contains much more red light than far-red light. Because chlorophyll absorbs strongly in the red region of the visible spectrum, but not in the far-red region, any plant in the shade of another plant on the forest floor will be exposed to red-depleted, far-red-enriched light. The preponderance of far-red light converts phytochrome in the shaded leaves to the Pr (inactive) form, slowing growth. The nearest non-shaded (or even less-shaded) areas on the forest floor have more red light; leaves exposed to these areas sense the red light, which activates the Pfr form and induces growth. In short, plant shoots use the phytochrome system to grow away from shade and towards light. Because competition for light is so fierce in a dense plant community, the evolutionary advantages of the phytochrome system are obvious.
In seeds, the phytochrome system is not used to determine direction and quality of light (shaded versus unshaded). Instead, is it used merely to determine if there is any light at all. This is especially important in species with very small seeds, such as lettuce. Because of their size, lettuce seeds have few food reserves. Their seedlings cannot grow for long before they run out of fuel. If they germinated even a centimeter under the soil surface, the seedling would never make it into the sunlight and would die. In the dark, phytochrome is in the Pr (inactive form) and the seed will not germinate; it will only germinate if exposed to light at the surface of the soil. Upon exposure to light, Pr is converted to Pfr and germination proceeds.
Plants also use the phytochrome system to sense the change of season. Photoperiodism is a biological response to the timing and duration of day and night. It controls flowering, setting of winter buds, and vegetative growth. Detection of seasonal changes is crucial to plant survival. Although temperature and light intensity influence plant growth, they are not reliable indicators of season because they may vary from one year to the next. Day length is a better indicator of the time of year.
As stated above, unfiltered sunlight is rich in red light but deficient in far-red light. Therefore, at dawn, all the phytochrome molecules in a leaf quickly convert to the active Pfr form, and remain in that form until sunset. In the dark, the Pfr form takes hours to slowly revert back to the Pr form. If the night is long (as in winter), all of the Pfr form reverts. If the night is short (as in summer), a considerable amount of Pfr may remain at sunrise. By sensing the Pr/Pfr ratio at dawn, a plant can determine the length of the day/night cycle. In addition, leaves retain that information for several days, allowing a comparison between the length of the previous night and the preceding several nights. Shorter nights indicate springtime to the plant; when the nights become longer, autumn is approaching. This information, along with sensing temperature and water availability, allows plants to determine the time of the year and adjust their physiology accordingly. Short-day (long-night) plants use this information to flower in the late summer and early fall, when nights exceed a critical length (often eight or fewer hours). Long-day (short-night) plants flower during the spring, when darkness is less than a critical length (often eight to 15 hours). Not all plants use the phytochrome system in this way. Flowering in day-neutral plants is not regulated by daylength.
Career Connection
HorticulturalistThe word “horticulturist” comes from the Latin words for garden (hortus) and culture (cultura). This career has been revolutionized by progress made in the understanding of plant responses to environmental stimuli. Growers of crops, fruit, vegetables, and flowers were previously constrained by having to time their sowing and harvesting according to the season. Now, horticulturists can manipulate plants to increase leaf, flower, or fruit production by understanding how environmental factors affect plant growth and development.
Greenhouse management is an essential component of a horticulturist’s education. To lengthen the night, plants are covered with a blackout shade cloth. Long-day plants are irradiated with red light in winter to promote early flowering. For example, fluorescent (cool white) light high in blue wavelengths encourages leafy growth and is excellent for starting seedlings. Incandescent lamps (standard light bulbs) are rich in red light, and promote flowering in some plants. The timing of fruit ripening can be increased or delayed by applying plant hormones. Recently, considerable progress has been made in the development of plant breeds that are suited to different climates and resistant to pests and transportation damage. Both crop yield and quality have increased as a result of practical applications of the knowledge of plant responses to external stimuli and hormones.
Horticulturists find employment in private and governmental laboratories, greenhouses, botanical gardens, and in the production or research fields. They improve crops by applying their knowledge of genetics and plant physiology. To prepare for a horticulture career, students take classes in botany, plant physiology, plant pathology, landscape design, and plant breeding. To complement these traditional courses, horticulture majors add studies in economics, business, computer science, and communications.
The Blue Light Responses
Phototropism—the directional bending of a plant toward or away from a light source—is a response to blue wavelengths of light. Positive phototropism is growth towards a light source (Figure), while negative phototropism (also called skototropism) is growth away from light.
The aptly-named phototropins are protein-based receptors responsible for mediating the phototropic response. Like all plant photoreceptors, phototropins consist of a protein portion and a light-absorbing portion, called the chromophore. In phototropins, the chromophore is a covalently-bound molecule of flavin; hence, phototropins belong to a class of proteins called flavoproteins.
Other responses under the control of phototropins are leaf opening and closing, chloroplast movement, and the opening of stomata. However, of all responses controlled by phototropins, phototropism has been studied the longest and is the best understood.
In their 1880 treatise The Power of Movements in Plants, Charles Darwin and his son Francis first described phototropism as the bending of seedlings toward light. Darwin observed that light was perceived by the tip of the plant (the apical meristem), but that the response (bending) took place in a different part of the plant. They concluded that the signal had to travel from the apical meristem to the base of the plant.
In 1913, Peter Boysen-Jensen demonstrated that a chemical signal produced in the plant tip was responsible for the bending at the base. He cut off the tip of a seedling, covered the cut section with a layer of gelatin, and then replaced the tip. The seedling bent toward the light when illuminated. However, when impermeable mica flakes were inserted between the tip and the cut base, the seedling did not bend. A refinement of the experiment showed that the signal traveled on the shaded side of the seedling. When the mica plate was inserted on the illuminated side, the plant did bend towards the light. Therefore, the chemical signal was a growth stimulant because the phototropic response involved faster cell elongation on the shaded side than on the illuminated side. We now know that as light passes through a plant stem, it is diffracted and generates phototropin activation across the stem. Most activation occurs on the lit side, causing the plant hormone indole acetic acid (IAA) to accumulate on the shaded side. Stem cells elongate under influence of IAA.
Cryptochromes are another class of blue-light absorbing photoreceptors that also contain a flavin-based chromophore. Cryptochromes set the plants 24-hour activity cycle, also know as its circadian rhythem, using blue light cues. There is some evidence that cryptochromes work together with phototropins to mediate the phototropic response.
Link to Learning
Use the navigation menu in the left panel of this website to view images of plants in motion.
Plant Responses to Gravity
Whether or not they germinate in the light or in total darkness, shoots usually sprout up from the ground, and roots grow downward into the ground. A plant laid on its side in the dark will send shoots upward when given enough time. Gravitropism ensures that roots grow into the soil and that shoots grow toward sunlight. Growth of the shoot apical tip upward is called negative gravitropism, whereas growth of the roots downward is called positive gravitropism.
Amyloplasts (also known as statoliths) are specialized plastids that contain starch granules and settle downward in response to gravity. Amyloplasts are found in shoots and in specialized cells of the root cap. When a plant is tilted, the statoliths drop to the new bottom cell wall. A few hours later, the shoot or root will show growth in the new vertical direction.
The mechanism that mediates gravitropism is reasonably well understood. When amyloplasts settle to the bottom of the gravity-sensing cells in the root or shoot, they physically contact the endoplasmic reticulum (ER), causing the release of calcium ions from inside the ER. This calcium signaling in the cells causes polar transport of the plant hormone IAA to the bottom of the cell. In roots, a high concentration of IAA inhibits cell elongation. The effect slows growth on the lower side of the root, while cells develop normally on the upper side. IAA has the opposite effect in shoots, where a higher concentration at the lower side of the shoot stimulates cell expansion, causing the shoot to grow up. After the shoot or root begin to grow vertically, the amyloplasts return to their normal position. Other hypotheses—involving the entire cell in the gravitropism effect—have been proposed to explain why some mutants that lack amyloplasts may still exhibit a weak gravitropic response.
Growth Responses
A plant’s sensory response to external stimuli relies on chemical messengers (hormones). Plant hormones affect all aspects of plant life, from flowering to fruit setting and maturation, and from phototropism to leaf fall. Potentially every cell in a plant can produce plant hormones. They can act in their cell of origin or be transported to other portions of the plant body, with many plant responses involving the synergistic or antagonistic interaction of two or more hormones. In contrast, animal hormones are produced in specific glands and transported to a distant site for action, and they act alone.
Plant hormones are a group of unrelated chemical substances that affect plant morphogenesis. Five major plant hormones are traditionally described: auxins (particularly IAA), cytokinins, gibberellins, ethylene, and abscisic acid. In addition, other nutrients and environmental conditions can be characterized as growth factors.
Auxins
The term auxin is derived from the Greek word auxein, which means "to grow." Auxins are the main hormones responsible for cell elongation in phototropism and gravitropism. They also control the differentiation of meristem into vascular tissue, and promote leaf development and arrangement. While many synthetic auxins are used as herbicides, IAA is the only naturally occurring auxin that shows physiological activity. Apical dominance—the inhibition of lateral bud formation—is triggered by auxins produced in the apical meristem. Flowering, fruit setting and ripening, and inhibition of abscission (leaf falling) are other plant responses under the direct or indirect control of auxins. Auxins also act as a relay for the effects of the blue light and red/far-red responses.
Commercial use of auxins is widespread in plant nurseries and for crop production. IAA is used as a rooting hormone to promote growth of adventitious roots on cuttings and detached leaves. Applying synthetic auxins to tomato plants in greenhouses promotes normal fruit development. Outdoor application of auxin promotes synchronization of fruit setting and dropping to coordinate the harvesting season. Fruits such as seedless cucumbers can be induced to set fruit by treating unfertilized plant flowers with auxins.
Cytokinins
The effect of cytokinins was first reported when it was found that adding the liquid endosperm of coconuts to developing plant embryos in culture stimulated their growth. The stimulating growth factor was found to be cytokinin, a hormone that promotes cytokinesis (cell division). Almost 200 naturally occurring or synthetic cytokinins are known to date. Cytokinins are most abundant in growing tissues, such as roots, embryos, and fruits, where cell division is occurring. Cytokinins are known to delay senescence in leaf tissues, promote mitosis, and stimulate differentiation of the meristem in shoots and roots. Many effects on plant development are under the influence of cytokinins, either in conjunction with auxin or another hormone. For example, apical dominance seems to result from a balance between auxins that inhibit lateral buds, and cytokinins that promote bushier growth.
Gibberellins
Gibberellins (GAs) are a group of about 125 closely related plant hormones that stimulate shoot elongation, seed germination, and fruit and flower maturation. GAs are synthesized in the root and stem apical meristems, young leaves, and seed embryos. In urban areas, GA antagonists are sometimes applied to trees under power lines to control growth and reduce the frequency of pruning.
GAs break dormancy (a state of inhibited growth and development) in the seeds of plants that require exposure to cold or light to germinate. Abscisic acid is a strong antagonist of GA action. Other effects of GAs include gender expression, seedless fruit development, and the delay of senescence in leaves and fruit. Seedless grapes are obtained through standard breeding methods and contain inconspicuous seeds that fail to develop. Because GAs are produced by the seeds, and because fruit development and stem elongation are under GA control, these varieties of grapes would normally produce small fruit in compact clusters. Maturing grapes are routinely treated with GA to promote larger fruit size, as well as looser bunches (longer stems), which reduces the instance of mildew infection (Figure).
Abscisic Acid
The plant hormone abscisic acid (ABA) was first discovered as the agent that causes the abscission or dropping of cotton bolls. However, more recent studies indicate that ABA plays only a minor role in the abscission process. ABA accumulates as a response to stressful environmental conditions, such as dehydration, cold temperatures, or shortened day lengths. Its activity counters many of the growth-promoting effects of GAs and auxins. ABA inhibits stem elongation and induces dormancy in lateral buds.
ABA induces dormancy in seeds by blocking germination and promoting the synthesis of storage proteins. Plants adapted to temperate climates require a long period of cold temperature before seeds germinate. This mechanism protects young plants from sprouting too early during unseasonably warm weather in winter. As the hormone gradually breaks down over winter, the seed is released from dormancy and germinates when conditions are favorable in spring. Another effect of ABA is to promote the development of winter buds; it mediates the conversion of the apical meristem into a dormant bud. Low soil moisture causes an increase in ABA, which causes stomata to close, reducing water loss in winter buds.
Ethylene
Ethylene is associated with fruit ripening, flower wilting, and leaf fall. Ethylene is unusual because it is a volatile gas (C2H4). Hundreds of years ago, when gas street lamps were installed in city streets, trees that grew close to lamp posts developed twisted, thickened trunks and shed their leaves earlier than expected. These effects were caused by ethylene volatilizing from the lamps.
Aging tissues (especially senescing leaves) and nodes of stems produce ethylene. The best-known effect of the hormone, however, is the promotion of fruit ripening. Ethylene stimulates the conversion of starch and acids to sugars. Some people store unripe fruit, such as avocadoes, in a sealed paper bag to accelerate ripening; the gas released by the first fruit to mature will speed up the maturation of the remaining fruit. Ethylene also triggers leaf and fruit abscission, flower fading and dropping, and promotes germination in some cereals and sprouting of bulbs and potatoes.
Ethylene is widely used in agriculture. Commercial fruit growers control the timing of fruit ripening with application of the gas. Horticulturalists inhibit leaf dropping in ornamental plants by removing ethylene from greenhouses using fans and ventilation.
Nontraditional Hormones
Recent research has discovered a number of compounds that also influence plant development. Their roles are less understood than the effects of the major hormones described so far.
Jasmonates play a major role in defense responses to herbivory. Their levels increase when a plant is wounded by a predator, resulting in an increase in toxic secondary metabolites. They contribute to the production of volatile compounds that attract natural enemies of predators. For example, chewing of tomato plants by caterpillars leads to an increase in jasmonic acid levels, which in turn triggers the release of volatile compounds that attract predators of the pest.
Oligosaccharins also play a role in plant defense against bacterial and fungal infections. They act locally at the site of injury, and can also be transported to other tissues. Strigolactones promote seed germination in some species and inhibit lateral apical development in the absence of auxins. Strigolactones also play a role in the establishment of mycorrhizae, a mutualistic association of plant roots and fungi. Brassinosteroids are important to many developmental and physiological processes. Signals between these compounds and other hormones, notably auxin and GAs, amplifies their physiological effect. Apical dominance, seed germination, gravitropism, and resistance to freezing are all positively influenced by hormones. Root growth and fruit dropping are inhibited by steroids.
Plant Responses to Wind and Touch
The shoot of a pea plant winds around a trellis, while a tree grows on an angle in response to strong prevailing winds. These are examples of how plants respond to touch or wind.
The movement of a plant subjected to constant directional pressure is called thigmotropism, from the Greek words thigma meaning “touch,” and tropism implying “direction.” Tendrils are one example of this. The meristematic region of tendrils is very touch sensitive; light touch will evoke a quick coiling response. Cells in contact with a support surface contract, whereas cells on the opposite side of the support expand (). Application of jasmonic acid is sufficient to trigger tendril coiling without a mechanical stimulus.
A thigmonastic response is a touch response independent of the direction of stimulus . In the Venus flytrap, two modified leaves are joined at a hinge and lined with thin fork-like tines along the outer edges. Tiny hairs are located inside the trap. When an insect brushes against these trigger hairs, touching two or more of them in succession, the leaves close quickly, trapping the prey. Glands on the leaf surface secrete enzymes that slowly digest the insect. The released nutrients are absorbed by the leaves, which reopen for the next meal.
Thigmomorphogenesis is a slow developmental change in the shape of a plant subjected to continuous mechanical stress. When trees bend in the wind, for example, growth is usually stunted and the trunk thickens. Strengthening tissue, especially xylem, is produced to add stiffness to resist the wind’s force. Researchers hypothesize that mechanical strain induces growth and differentiation to strengthen the tissues. Ethylene and jasmonate are likely involved in thigmomorphogenesis.
Link to Learning
Use the menu at the left to navigate to three short movies: a Venus fly trap capturing prey, the progressive closing of sensitive plant leaflets, and the twining of tendrils.
Defense Responses against Herbivores and Pathogens
Plants face two types of enemies: herbivores and pathogens. Herbivores both large and small use plants as food, and actively chew them. Pathogens are agents of disease. These infectious microorganisms, such as fungi, bacteria, and nematodes, live off of the plant and damage its tissues. Plants have developed a variety of strategies to discourage or kill attackers.
The first line of defense in plants is an intact and impenetrable barrier. Bark and the waxy cuticle can protect against predators. Other adaptations against herbivory include thorns, which are modified branches, and spines, which are modified leaves. They discourage animals by causing physical damage and inducing rashes and allergic reactions. A plant’s exterior protection can be compromised by mechanical damage, which may provide an entry point for pathogens. If the first line of defense is breached, the plant must resort to a different set of defense mechanisms, such as toxins and enzymes.
Secondary metabolites are compounds that are not directly derived from photosynthesis and are not necessary for respiration or plant growth and development. Many metabolites are toxic, and can even be lethal to animals that ingest them. Some metabolites are alkaloids, which discourage predators with noxious odors (such as the volatile oils of mint and sage) or repellent tastes (like the bitterness of quinine). Other alkaloids affect herbivores by causing either excessive stimulation (caffeine is one example) or the lethargy associated with opioids. Some compounds become toxic after ingestion; for instance, glycol cyanide in the cassava root releases cyanide only upon ingestion by the herbivore.
Mechanical wounding and predator attacks activate defense and protection mechanisms both in the damaged tissue and at sites farther from the injury location. Some defense reactions occur within minutes: others over several hours. The infected and surrounding cells may die, thereby stopping the spread of infection.
Long-distance signaling elicits a systemic response aimed at deterring the predator. As tissue is damaged, jasmonates may promote the synthesis of compounds that are toxic to predators. Jasmonates also elicit the synthesis of volatile compounds that attract parasitoids, which are insects that spend their developing stages in or on another insect, and eventually kill their host. The plant may activate abscission of injured tissue if it is damaged beyond repair.
Section Summary
Plants respond to light by changes in morphology and activity. Irradiation by red light converts the photoreceptor phytochrome to its far-red light-absorbing form—Pfr. This form controls germination and flowering in response to length of day, as well as triggers photosynthesis in dormant plants or those that just emerged from the soil. Blue-light receptors, cryptochromes, and phototropins are responsible for phototropism. Amyloplasts, which contain heavy starch granules, sense gravity. Shoots exhibit negative gravitropism, whereas roots exhibit positive gravitropism. Plant hormones—naturally occurring compounds synthesized in small amounts—can act both in the cells that produce them and in distant tissues and organs. Auxins are responsible for apical dominance, root growth, directional growth toward light, and many other growth responses. Cytokinins stimulate cell division and counter apical dominance in shoots. Gibberellins inhibit dormancy of seeds and promote stem growth. Abscisic acid induces dormancy in seeds and buds, and protects plants from excessive water loss by promoting stomatal closure. Ethylene gas speeds up fruit ripening and dropping of leaves. Plants respond to touch by rapid movements (thigmotropy and thigmonasty) and slow differential growth (thigmomorphogenesis). Plants have evolved defense mechanisms against predators and pathogens. Physical barriers like bark and spines protect tender tissues. Plants also have chemical defenses, including toxic secondary metabolites and hormones, which elicit additional defense mechanisms.
Review Questions
The main photoreceptor that triggers phototropism is a ________.
- phytochrome
- cryptochrome
- phototropin
- carotenoid
Hint:
C
Phytochrome is a plant pigment protein that:
- mediates plant infection
- promotes plant growth
- mediates morphological changes in response to red and far-red light
- inhibits plant growth
Hint:
C
A mutant plant has roots that grow in all directions. Which of the following organelles would you expect to be missing in the cell?
- mitochondria
- amyloplast
- chloroplast
- nucleus
Hint:
B
After buying green bananas or unripe avocadoes, they can be kept in a brown bag to ripen. The hormone released by the fruit and trapped in the bag is probably:
- abscisic acid
- cytokinin
- ethylene
- gibberellic acid
Hint:
C
A decrease in the level of which hormone releases seeds from dormancy?
- abscisic acid
- cytokinin
- ethylene
- gibberellic acid
Hint:
A
A seedling germinating under a stone grows at an angle away from the stone and upward. This response to touch is called ________.
- gravitropism
- thigmonasty
- thigmotropism
- skototropism
Hint:
C
Free Response
Owners and managers of plant nurseries have to plan lighting schedules for a long-day plant that will flower in February. What lighting periods will be most effective? What color of light should be chosen?
Hint:
A long-day plant needs a higher proportion of the Pfr form to Pr form of phytochrome. The plant requires long periods of illumination with light enriched in the red range of the spectrum.
What are the major benefits of gravitropism for a germinating seedling?
Hint:
Gravitropism will allow roots to dig deep into the soil to find water and minerals, whereas the seedling will grow towards light to enable photosynthesis.
Fruit and vegetable storage facilities are usually refrigerated and well ventilated. Why are these conditions advantageous?
Hint:
Refrigeration slows chemical reactions, including fruit maturation. Ventilation removes the ethylene gas that speeds up fruit ripening.
Stomata close in response to bacterial infection. Why is this response a mechanism of defense for the plant? Which hormone is most likely to mediate this response?
Hint:
To prevent further entry of pathogens, stomata close, even if they restrict entry of CO2. Some pathogens secrete virulence factors that inhibit the closing of stomata. Abscisic acid is the stress hormone responsible for inducing closing of stomata.
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Introduction
Cucurbitaceae is a family of plants first cultivated in Mesoamerica, although several species are native to North America. The family includes many edible species, such as squash and pumpkin, as well as inedible gourds. In order to grow and develop into mature, fruit-bearing plants, many requirements must be met and events must be coordinated. Seeds must germinate under the right conditions in the soil; therefore, temperature, moisture, and soil quality are important factors that play a role in germination and seedling development. Soil quality and climate are significant to plant distribution and growth. The young seedling will eventually grow into a mature plant, and the roots will absorb nutrients and water from the soil. At the same time, the aboveground parts of the plant will absorb carbon dioxide from the atmosphere and use energy from sunlight to produce organic compounds through photosynthesis. This chapter will explore the complex dynamics between plants and soils, and the adaptations that plants have evolved to make better use of nutritional resources.
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https://oercommons.org/courseware/lesson/15098/overview
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Nutritional Requirements of Plants
Overview
By the end of this section, you will be able to:
- Describe how plants obtain nutrients
- List the elements and compounds required for proper plant nutrition
- Describe an essential nutrient
Plants are unique organisms that can absorb nutrients and water through their root system, as well as carbon dioxide from the atmosphere. Soil quality and climate are the major determinants of plant distribution and growth. The combination of soil nutrients, water, and carbon dioxide, along with sunlight, allows plants to grow.
The Chemical Composition of Plants
Since plants require nutrients in the form of elements such as carbon and potassium, it is important to understand the chemical composition of plants. The majority of volume in a plant cell is water; it typically comprises 80 to 90 percent of the plant’s total weight. Soil is the water source for land plants, and can be an abundant source of water, even if it appears dry. Plant roots absorb water from the soil through root hairs and transport it up to the leaves through the xylem. As water vapor is lost from the leaves, the process of transpiration and the polarity of water molecules (which enables them to form hydrogen bonds) draws more water from the roots up through the plant to the leaves (Figure). Plants need water to support cell structure, for metabolic functions, to carry nutrients, and for photosynthesis.
Plant cells need essential substances, collectively called nutrients, to sustain life. Plant nutrients may be composed of either organic or inorganic compounds. An organic compound is a chemical compound that contains carbon, such as carbon dioxide obtained from the atmosphere. Carbon that was obtained from atmospheric CO2 composes the majority of the dry mass within most plants. An inorganic compound does not contain carbon and is not part of, or produced by, a living organism. Inorganic substances, which form the majority of the soil solution, are commonly called minerals: those required by plants include nitrogen (N) and potassium (K) for structure and regulation.
Essential Nutrients
Plants require only light, water and about 20 elements to support all their biochemical needs: these 20 elements are called essential nutrients (Table). For an element to be regarded as essential, three criteria are required: 1) a plant cannot complete its life cycle without the element; 2) no other element can perform the function of the element; and 3) the element is directly involved in plant nutrition.
| Essential Elements for Plant Growth | |
|---|---|
| Macronutrients | Micronutrients |
| Carbon (C) | Iron (Fe) |
| Hydrogen (H) | Manganese (Mn) |
| Oxygen (O) | Boron (B) |
| Nitrogen (N) | Molybdenum (Mo) |
| Phosphorus (P) | Copper (Cu) |
| Potassium (K) | Zinc (Zn) |
| Calcium (Ca) | Chlorine (Cl) |
| Magnesium (Mg) | Nickel (Ni) |
| Sulfur (S) | Cobalt (Co) |
| Sodium (Na) | |
| Silicon (Si) |
Macronutrients and Micronutrients
The essential elements can be divided into two groups: macronutrients and micronutrients. Nutrients that plants require in larger amounts are called macronutrients. About half of the essential elements are considered macronutrients: carbon, hydrogen, oxygen, nitrogen, phosphorus, potassium, calcium, magnesium and sulfur. The first of these macronutrients, carbon (C), is required to form carbohydrates, proteins, nucleic acids, and many other compounds; it is therefore present in all macromolecules. On average, the dry weight (excluding water) of a cell is 50 percent carbon. As shown in Figure, carbon is a key part of plant biomolecules.
The next most abundant element in plant cells is nitrogen (N); it is part of proteins and nucleic acids. Nitrogen is also used in the synthesis of some vitamins. Hydrogen and oxygen are macronutrients that are part of many organic compounds, and also form water. Oxygen is necessary for cellular respiration; plants use oxygen to store energy in the form of ATP. Phosphorus (P), another macromolecule, is necessary to synthesize nucleic acids and phospholipids. As part of ATP, phosphorus enables food energy to be converted into chemical energy through oxidative phosphorylation. Likewise, light energy is converted into chemical energy during photophosphorylation in photosynthesis, and into chemical energy to be extracted during respiration. Sulfur is part of certain amino acids, such as cysteine and methionine, and is present in several coenzymes. Sulfur also plays a role in photosynthesis as part of the electron transport chain, where hydrogen gradients play a key role in the conversion of light energy into ATP. Potassium (K) is important because of its role in regulating stomatal opening and closing. As the openings for gas exchange, stomata help maintain a healthy water balance; a potassium ion pump supports this process.
Magnesium (Mg) and calcium (Ca) are also important macronutrients. The role of calcium is twofold: to regulate nutrient transport, and to support many enzyme functions. Magnesium is important to the photosynthetic process. These minerals, along with the micronutrients, which are described below, also contribute to the plant’s ionic balance.
In addition to macronutrients, organisms require various elements in small amounts. These micronutrients, or trace elements, are present in very small quantities. They include boron (B), chlorine (Cl), manganese (Mn), iron (Fe), zinc (Zn), copper (Cu), molybdenum (Mo), nickel (Ni), silicon (Si), and sodium (Na).
Deficiencies in any of these nutrients—particularly the macronutrients—can adversely affect plant growth (Figure. Depending on the specific nutrient, a lack can cause stunted growth, slow growth, or chlorosis (yellowing of the leaves). Extreme deficiencies may result in leaves showing signs of cell death.
Link to Learning
Visit this website to participate in an interactive experiment on plant nutrient deficiencies. You can adjust the amounts of N, P, K, Ca, Mg, and Fe that plants receive . . . and see what happens.
Everyday Connection
HydroponicsHydroponics is a method of growing plants in a water-nutrient solution instead of soil. Since its advent, hydroponics has developed into a growing process that researchers often use. Scientists who are interested in studying plant nutrient deficiencies can use hydroponics to study the effects of different nutrient combinations under strictly controlled conditions. Hydroponics has also developed as a way to grow flowers, vegetables, and other crops in greenhouse environments. You might find hydroponically grown produce at your local grocery store. Today, many lettuces and tomatoes in your market have been hydroponically grown.
Section Summary
Plants can absorb inorganic nutrients and water through their root system, and carbon dioxide from the environment. The combination of organic compounds, along with water, carbon dioxide, and sunlight, produce the energy that allows plants to grow. Inorganic compounds form the majority of the soil solution. Plants access water though the soil. Water is absorbed by the plant root, transports nutrients throughout the plant, and maintains the structure of the plant. Essential elements are indispensable elements for plant growth. They are divided into macronutrients and micronutrients. The macronutrients plants require are carbon, nitrogen, hydrogen, oxygen, phosphorus, potassium, calcium, magnesium, and sulfur. Important micronutrients include iron, manganese, boron, molybdenum, copper, zinc, chlorine, nickel, cobalt, silicon and sodium.
Review Questions
For an element to be regarded as essential, all of the following criteria must be met, except:
- No other element can perform the function.
- The element is directly involved in plant nutrition.
- The element is inorganic.
- The plant cannot complete its lifecycle without the element.
Hint:
C
The nutrient that is part of carbohydrates, proteins, and nucleic acids, and that forms biomolecules, is ________.
- nitrogen
- carbon
- magnesium
- iron
Hint:
B
Most ________ are necessary for enzyme function.
- micronutrients
- macronutrients
- biomolecules
- essential nutrients
Hint:
A
What is the main water source for land plants?
- rain
- soil
- biomolecules
- essential nutrients
Hint:
B
Free Response
What type of plant problems result from nitrogen and calcium deficiencies?
Hint:
Deficiencies in these nutrients could result in stunted growth, slow growth, and chlorosis.
What did the van Helmont experiment show?
Hint:
van Helmont showed that plants do not consume soil, which is correct. He also thought that plant growth and increased weight resulted from the intake of water, a conclusion that has since been disproven.
List two essential macronutrients and two essential nutrients.
Hint:
Answers may vary. Essential macronutrients include carbon, hydrogen, oxygen, nitrogen, phosphorus, potassium, calcium, magnesium, and sulfur. Essential micronutrients include iron, manganese, boron, molybdenum, copper, zinc, chlorine, nickel, cobalt, sodium, and silicon.
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The Soil
Overview
By the end of this section, you will be able to:
- Describe how soils are formed
- Explain soil composition
- Describe a soil profile
Plants obtain inorganic elements from the soil, which serves as a natural medium for land plants. Soil is the outer loose layer that covers the surface of Earth. Soil quality is a major determinant, along with climate, of plant distribution and growth. Soil quality depends not only on the chemical composition of the soil, but also the topography (regional surface features) and the presence of living organisms. In agriculture, the history of the soil, such as the cultivating practices and previous crops, modify the characteristics and fertility of that soil.
Soil develops very slowly over long periods of time, and its formation results from natural and environmental forces acting on mineral, rock, and organic compounds. Soils can be divided into two groups: organic soils are those that are formed from sedimentation and primarily composed of organic matter, while those that are formed from the weathering of rocks and are primarily composed of inorganic material are called mineral soils. Mineral soils are predominant in terrestrial ecosystems, where soils may be covered by water for part of the year or exposed to the atmosphere.
Soil Composition
Soil consists of these major components (Figure):
- inorganic mineral matter, about 40 to 45 percent of the soil volume
- organic matter, about 5 percent of the soil volume
- water and air, about 50 percent of the soil volume
The amount of each of the four major components of soil depends on the amount of vegetation, soil compaction, and water present in the soil. A good healthy soil has sufficient air, water, minerals, and organic material to promote and sustain plant life.
Art Connection
Soil compaction can result when soil is compressed by heavy machinery or even foot traffic. How might this compaction change the soil composition?
The organic material of soil, called humus, is made up of microorganisms (dead and alive), and dead animals and plants in varying stages of decay. Humus improves soil structure and provides plants with water and minerals. The inorganic material of soil consists of rock, slowly broken down into smaller particles that vary in size. Soil particles that are 0.1 to 2 mm in diameter are sand. Soil particles between 0.002 and 0.1 mm are called silt, and even smaller particles, less than 0.002 mm in diameter, are called clay. Some soils have no dominant particle size and contain a mixture of sand, silt, and humus; these soils are called loams.
Link to Learning
Explore this interactive map from the USDA’s National Cooperative Soil Survey to access soil data for almost any region in the United States.
Soil Formation
Soil formation is the consequence of a combination of biological, physical, and chemical processes. Soil should ideally contain 50 percent solid material and 50 percent pore space. About one-half of the pore space should contain water, and the other half should contain air. The organic component of soil serves as a cementing agent, returns nutrients to the plant, allows soil to store moisture, makes soil tillable for farming, and provides energy for soil microorganisms. Most soil microorganisms—bacteria, algae, or fungi—are dormant in dry soil, but become active once moisture is available.
Soil distribution is not homogenous because its formation results in the production of layers; together, the vertical section of a soil is called the soil profile. Within the soil profile, soil scientists define zones called horizons. A horizon is a soil layer with distinct physical and chemical properties that differ from those of other layers. Five factors account for soil formation: parent material, climate, topography, biological factors, and time.
Parent Material
The organic and inorganic material in which soils form is the parent material. Mineral soils form directly from the weathering of bedrock, the solid rock that lies beneath the soil, and therefore, they have a similar composition to the original rock. Other soils form in materials that came from elsewhere, such as sand and glacial drift. Materials located in the depth of the soil are relatively unchanged compared with the deposited material. Sediments in rivers may have different characteristics, depending on whether the stream moves quickly or slowly. A fast-moving river could have sediments of rocks and sand, whereas a slow-moving river could have fine-textured material, such as clay.
Climate
Temperature, moisture, and wind cause different patterns of weathering and therefore affect soil characteristics. The presence of moisture and nutrients from weathering will also promote biological activity: a key component of a quality soil.
Topography
Regional surface features (familiarly called “the lay of the land”) can have a major influence on the characteristics and fertility of a soil. Topography affects water runoff, which strips away parent material and affects plant growth. Steeps soils are more prone to erosion and may be thinner than soils that are relatively flat or level.
Biological factors
The presence of living organisms greatly affects soil formation and structure. Animals and microorganisms can produce pores and crevices, and plant roots can penetrate into crevices to produce more fragmentation. Plant secretions promote the development of microorganisms around the root, in an area known as the rhizosphere. Additionally, leaves and other material that fall from plants decompose and contribute to soil composition.
Time
Time is an important factor in soil formation because soils develop over long periods. Soil formation is a dynamic process. Materials are deposited over time, decompose, and transform into other materials that can be used by living organisms or deposited onto the surface of the soil.
Physical Properties of the Soil
Soils are named and classified based on their horizons. The soil profile has four distinct layers: 1) O horizon; 2) A horizon; 3) B horizon, or subsoil; and 4) C horizon, or soil base (Figure). The O horizon has freshly decomposing organic matter—humus—at its surface, with decomposed vegetation at its base. Humus enriches the soil with nutrients and enhances soil moisture retention. Topsoil—the top layer of soil—is usually two to three inches deep, but this depth can vary considerably. For instance, river deltas like the Mississippi River delta have deep layers of topsoil. Topsoil is rich in organic material; microbial processes occur there, and it is the “workhorse” of plant production. The A horizon consists of a mixture of organic material with inorganic products of weathering, and it is therefore the beginning of true mineral soil. This horizon is typically darkly colored because of the presence of organic matter. In this area, rainwater percolates through the soil and carries materials from the surface. The B horizon is an accumulation of mostly fine material that has moved downward, resulting in a dense layer in the soil. In some soils, the B horizon contains nodules or a layer of calcium carbonate. The C horizon, or soil base, includes the parent material, plus the organic and inorganic material that is broken down to form soil. The parent material may be either created in its natural place, or transported from elsewhere to its present location. Beneath the C horizon lies bedrock.
Art Connection
Which horizon is considered the topsoil, and which is considered the subsoil?
Some soils may have additional layers, or lack one of these layers. The thickness of the layers is also variable, and depends on the factors that influence soil formation. In general, immature soils may have O, A, and C horizons, whereas mature soils may display all of these, plus additional layers (Figure).
Career Connections
Soil ScientistA soil scientist studies the biological components, physical and chemical properties, distribution, formation, and morphology of soils. Soil scientists need to have a strong background in physical and life sciences, plus a foundation in mathematics. They may work for federal or state agencies, academia, or the private sector. Their work may involve collecting data, carrying out research, interpreting results, inspecting soils, conducting soil surveys, and recommending soil management programs.
Many soil scientists work both in an office and in the field. According to the United States Department of Agriculture (USDA): “a soil scientist needs good observation skills to analyze and determine the characteristics of different types of soils. Soil types are complex and the geographical areas a soil scientist may survey are varied. Aerial photos or various satellite images are often used to research the areas. Computer skills and geographic information systems (GIS) help the scientist to analyze the multiple facets of geomorphology, topography, vegetation, and climate to discover the patterns left on the landscape.”National Resources Conservation Service / United States Department of Agriculture. “Careers in Soil Science.” http://soils.usda.gov/education/facts/careers.html Soil scientists play a key role in understanding the soil’s past, analyzing present conditions, and making recommendations for future soil-related practices.
Section Summary
Plants obtain mineral nutrients from the soil. Soil is the outer loose layer that covers the surface of Earth. Soil quality depends on the chemical composition of the soil, the topography, the presence of living organisms, the climate, and time. Agricultural practice and history may also modify the characteristics and fertility of soil. Soil consists of four major components: 1) inorganic mineral matter, 2) organic matter, 3) water and air, and 4) living matter. The organic material of soil is made of humus, which improves soil structure and provides water and minerals. Soil inorganic material consists of rock slowly broken down into smaller particles that vary in size, such as sand, silt, and loam.
Soil formation results from a combination of biological, physical, and chemical processes. Soil is not homogenous because its formation results in the production of layers called a soil profile. Factors that affect soil formation include: parent material, climate, topography, biological factors, and time. Soils are classified based on their horizons, soil particle size, and proportions. Most soils have four distinct horizons: O, A, B, and C.
Art Connections
Review Questions
Which factors affect soil quality?
- chemical composition
- history of the soil
- presence of living organisms and topography
- all of the above
Hint:
D
Soil particles that are 0.1 to 2 mm in diameter are called ________.
- sand
- silt
- clay
- loam
Hint:
A
A soil consists of layers called ________ that taken together are called a ________.
- soil profiles : horizon
- horizons : soil profile
- horizons : humus
- humus : soil profile
Hint:
B
What is the term used to describe the solid rock that lies beneath the soil?
- sand
- bedrock
- clay
- loam
Hint:
B
Describe the main differences between a mineral soil and an organic soil.
Hint:
A mineral soil forms from the weathering of rocks; it is inorganic material. An organic soil is formed from sedimentation; it mostly consists of humus.
Name and briefly explain the factors that affect soil formation.
Hint:
Parent material, climate, topography, biological factors, and time affect soil formation. Parent material is the material in which soils form. Climate describes how temperature, moisture, and wind cause different patterns of weathering, influencing the characteristics of the soil. Topography affects the characteristics and fertility of a soil. Biological factors include the presence of living organisms that greatly affect soil formation. Processes such as freezing and thawing may produce cracks in rocks; plant roots can penetrate these crevices and produce more fragmentation. Time affects soil because soil develops over long periods.
Describe how topography influences the characteristics and fertility of a soil.
Hint:
Topography affects water runoff, which strips away parent material and affects plant growth. Steeps soils are more prone to erosion and may be thinner than soils that are on level surfaces.
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Nutritional Adaptations of Plants
Overview
By the end of this section, you will be able to:
- Understand the nutritional adaptations of plants
- Describe mycorrhizae
- Explain nitrogen fixation
Plants obtain food in two different ways. Autotrophic plants can make their own food from inorganic raw materials, such as carbon dioxide and water, through photosynthesis in the presence of sunlight. Green plants are included in this group. Some plants, however, are heterotrophic: they are totally parasitic and lacking in chlorophyll. These plants, referred to as holo-parasitic plants, are unable to synthesize organic carbon and draw all of their nutrients from the host plant.
Plants may also enlist the help of microbial partners in nutrient acquisition. Particular species of bacteria and fungi have evolved along with certain plants to create a mutualistic symbiotic relationship with roots. This improves the nutrition of both the plant and the microbe. The formation of nodules in legume plants and mycorrhization can be considered among the nutritional adaptations of plants. However, these are not the only type of adaptations that we may find; many plants have other adaptations that allow them to thrive under specific conditions.
Link to Learning
This video reviews basic concepts about photosynthesis. In the left panel, click each tab to select a topic for review.
Nitrogen Fixation: Root and Bacteria Interactions
Nitrogen is an important macronutrient because it is part of nucleic acids and proteins. Atmospheric nitrogen, which is the diatomic molecule N2, or dinitrogen, is the largest pool of nitrogen in terrestrial ecosystems. However, plants cannot take advantage of this nitrogen because they do not have the necessary enzymes to convert it into biologically useful forms. However, nitrogen can be “fixed,” which means that it can be converted to ammonia (NH3) through biological, physical, or chemical processes. As you have learned, biological nitrogen fixation (BNF) is the conversion of atmospheric nitrogen (N2) into ammonia (NH3), exclusively carried out by prokaryotes such as soil bacteria or cyanobacteria. Biological processes contribute 65 percent of the nitrogen used in agriculture. The following equation represents the process:
The most important source of BNF is the symbiotic interaction between soil bacteria and legume plants, including many crops important to humans (Figure). The NH3 resulting from fixation can be transported into plant tissue and incorporated into amino acids, which are then made into plant proteins. Some legume seeds, such as soybeans and peanuts, contain high levels of protein, and serve among the most important agricultural sources of protein in the world.
Art Connection
Farmers often rotate corn (a cereal crop) and soy beans (a legume), planting a field with each crop in alternate seasons. What advantage might this crop rotation confer?
Soil bacteria, collectively called rhizobia, symbiotically interact with legume roots to form specialized structures called nodules, in which nitrogen fixation takes place. This process entails the reduction of atmospheric nitrogen to ammonia, by means of the enzyme nitrogenase. Therefore, using rhizobia is a natural and environmentally friendly way to fertilize plants, as opposed to chemical fertilization that uses a nonrenewable resource, such as natural gas. Through symbiotic nitrogen fixation, the plant benefits from using an endless source of nitrogen from the atmosphere. The process simultaneously contributes to soil fertility because the plant root system leaves behind some of the biologically available nitrogen. As in any symbiosis, both organisms benefit from the interaction: the plant obtains ammonia, and bacteria obtain carbon compounds generated through photosynthesis, as well as a protected niche in which to grow (Figure).
Mycorrhizae: The Symbiotic Relationship between Fungi and Roots
A nutrient depletion zone can develop when there is rapid soil solution uptake, low nutrient concentration, low diffusion rate, or low soil moisture. These conditions are very common; therefore, most plants rely on fungi to facilitate the uptake of minerals from the soil. Fungi form symbiotic associations called mycorrhizae with plant roots, in which the fungi actually are integrated into the physical structure of the root. The fungi colonize the living root tissue during active plant growth.
Through mycorrhization, the plant obtains mainly phosphate and other minerals, such as zinc and copper, from the soil. The fungus obtains nutrients, such as sugars, from the plant root (Figure). Mycorrhizae help increase the surface area of the plant root system because hyphae, which are narrow, can spread beyond the nutrient depletion zone. Hyphae can grow into small soil pores that allow access to phosphorus that would otherwise be unavailable to the plant. The beneficial effect on the plant is best observed in poor soils. The benefit to fungi is that they can obtain up to 20 percent of the total carbon accessed by plants. Mycorrhizae functions as a physical barrier to pathogens. It also provides an induction of generalized host defense mechanisms, and sometimes involves production of antibiotic compounds by the fungi.
There are two types of mycorrhizae: ectomycorrhizae and endomycorrhizae. Ectomycorrhizae form an extensive dense sheath around the roots, called a mantle. Hyphae from the fungi extend from the mantle into the soil, which increases the surface area for water and mineral absorption. This type of mycorrhizae is found in forest trees, especially conifers, birches, and oaks. Endomycorrhizae, also called arbuscular mycorrhizae, do not form a dense sheath over the root. Instead, the fungal mycelium is embedded within the root tissue. Endomycorrhizae are found in the roots of more than 80 percent of terrestrial plants.
Nutrients from Other Sources
Some plants cannot produce their own food and must obtain their nutrition from outside sources. This may occur with plants that are parasitic or saprophytic. Some plants are mutualistic symbionts, epiphytes, or insectivorous.
Plant Parasites
A parasitic plant depends on its host for survival. Some parasitic plants have no leaves. An example of this is the dodder (Figure), which has a weak, cylindrical stem that coils around the host and forms suckers. From these suckers, cells invade the host stem and grow to connect with the vascular bundles of the host. The parasitic plant obtains water and nutrients through these connections. The plant is a total parasite (a holoparasite) because it is completely dependent on its host. Other parasitic plants (hemiparasites) are fully photosynthetic and only use the host for water and minerals. There are about 4,100 species of parasitic plants.
Saprophytes
A saprophyte is a plant that does not have chlorophyll and gets its food from dead matter, similar to bacteria and fungi (note that fungi are often called saprophytes, which is incorrect, because fungi are not plants). Plants like these use enzymes to convert organic food materials into simpler forms from which they can absorb nutrients (Figure). Most saprophytes do not directly digest dead matter: instead, they parasitize fungi that digest dead matter, or are mycorrhizal, ultimately obtaining photosynthate from a fungus that derived photosynthate from its host. Saprophytic plants are uncommon; only a few species are described.
Symbionts
A symbiont is a plant in a symbiotic relationship, with special adaptations such as mycorrhizae or nodule formation. Fungi also form symbiotic associations with cyanobacteria and green algae (called lichens). Lichens can sometimes be seen as colorful growths on the surface of rocks and trees (Figure). The algal partner (phycobiont) makes food autotrophically, some of which it shares with the fungus; the fungal partner (mycobiont) absorbs water and minerals from the environment, which are made available to the green alga. If one partner was separated from the other, they would both die.
Epiphytes
An epiphyte is a plant that grows on other plants, but is not dependent upon the other plant for nutrition (Figure). Epiphytes have two types of roots: clinging aerial roots, which absorb nutrients from humus that accumulates in the crevices of trees; and aerial roots, which absorb moisture from the atmosphere.
Insectivorous Plants
An insectivorous plant has specialized leaves to attract and digest insects. The Venus flytrap is popularly known for its insectivorous mode of nutrition, and has leaves that work as traps (Figure). The minerals it obtains from prey compensate for those lacking in the boggy (low pH) soil of its native North Carolina coastal plains. There are three sensitive hairs in the center of each half of each leaf. The edges of each leaf are covered with long spines. Nectar secreted by the plant attracts flies to the leaf. When a fly touches the sensory hairs, the leaf immediately closes. Next, fluids and enzymes break down the prey and minerals are absorbed by the leaf. Since this plant is popular in the horticultural trade, it is threatened in its original habitat.
Section Summary
Atmospheric nitrogen is the largest pool of available nitrogen in terrestrial ecosystems. However, plants cannot use this nitrogen because they do not have the necessary enzymes. Biological nitrogen fixation (BNF) is the conversion of atmospheric nitrogen to ammonia. The most important source of BNF is the symbiotic interaction between soil bacteria and legumes. The bacteria form nodules on the legume’s roots in which nitrogen fixation takes place. Fungi form symbiotic associations (mycorrhizae) with plants, becoming integrated into the physical structure of the root. Through mycorrhization, the plant obtains minerals from the soil and the fungus obtains photosynthate from the plant root. Ectomycorrhizae form an extensive dense sheath around the root, while endomycorrhizae are embedded within the root tissue. Some plants—parasites, saprophytes, symbionts, epiphytes, and insectivores—have evolved adaptations to obtain their organic or mineral nutrition from various sources.
Art Connections
Figure Farmers often rotate corn (a cereal crop) and soy beans (a legume) planting a field with each crop in alternate seasons. What advantage might this crop rotation confer?
Hint:
Figure Soybeans are able to fix nitrogen in their roots, which are not harvested at the end of the growing season. The belowground nitrogen can be used in the next season by the corn.
Review Questions
Which process produces an inorganic compound that plants can easily use?
- photosynthesis
- nitrogen fixation
- mycorrhization
- Calvin cycle
Hint:
B
Through mycorrhization, a plant obtains important nutrients such as ________.
- phosphorus, zinc, and copper
- phosphorus, zinc, and calcium
- nickel, calcium, and zinc
- all of the above
Hint:
A
What term describes a plant that requires nutrition from a living host plant?
- parasite
- saprophyte
- epiphyte
- insectivorous
Hint:
A
What is the term for the symbiotic association between fungi and cyanobacteria?
- lichen
- mycorrhizae
- epiphyte
- nitrogen-fixing nodule
Hint:
A
Free Response
Why is biological nitrogen fixation an environmentally friendly way of fertilizing plants?
Hint:
Because it is natural and does not require use of a nonrenewable resource, such as natural gas.
What is the main difference, from an energy point of view, between photosynthesis and biological nitrogen fixation?
Hint:
Photosynthesis harvests and stores energy, whereas biological nitrogen fixation requires energy.
Why is a root nodule a nutritional adaptation of a plant?
Hint:
A nodule results from the symbiosis between a plant and bacterium. Within nodules, the process of nitrogen fixation allows the plant to obtain nitrogen from the air.
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https://oercommons.org/courseware/lesson/15101/overview
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Introduction
Plants have evolved different reproductive strategies for the continuation of their species. Some plants reproduce sexually, and others asexually, in contrast to animal species, which rely almost exclusively on sexual reproduction. Plant sexual reproduction usually depends on pollinating agents, while asexual reproduction is independent of these agents. Flowers are often the showiest or most strongly scented part of plants. With their bright colors, fragrances, and interesting shapes and sizes, flowers attract insects, birds, and animals to serve their pollination needs. Other plants pollinate via wind or water; still others self-pollinate.
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https://oercommons.org/courseware/lesson/15102/overview
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Reproductive Development and Structure
Overview
By the end of this section, you will be able to:
- Describe the two stages of a plant’s lifecycle
- Compare and contrast male and female gametophytes and explain how they form in angiosperms
- Describe the reproductive structures of a plant
- Describe the components of a complete flower
- Describe the development of microsporangium and megasporangium in gymnosperms
Sexual reproduction takes place with slight variations in different groups of plants. Plants have two distinct stages in their lifecycle: the gametophyte stage and the sporophyte stage. The haploid gametophyte produces the male and female gametes by mitosis in distinct multicellular structures. Fusion of the male and females gametes forms the diploid zygote, which develops into the sporophyte. After reaching maturity, the diploid sporophyte produces spores by meiosis, which in turn divide by mitosis to produce the haploid gametophyte. The new gametophyte produces gametes, and the cycle continues. This is the alternation of generations, and is typical of plant reproduction (Figure).
The life cycle of higher plants is dominated by the sporophyte stage, with the gametophyte borne on the sporophyte. In ferns, the gametophyte is free-living and very distinct in structure from the diploid sporophyte. In bryophytes, such as mosses, the haploid gametophyte is more developed than the sporophyte.
During the vegetative phase of growth, plants increase in size and produce a shoot system and a root system. As they enter the reproductive phase, some of the branches start to bear flowers. Many flowers are borne singly, whereas some are borne in clusters. The flower is borne on a stalk known as a receptacle. Flower shape, color, and size are unique to each species, and are often used by taxonomists to classify plants.
Sexual Reproduction in Angiosperms
The lifecycle of angiosperms follows the alternation of generations explained previously. The haploid gametophyte alternates with the diploid sporophyte during the sexual reproduction process of angiosperms. Flowers contain the plant’s reproductive structures.
Flower Structure
A typical flower has four main parts—or whorls—known as the calyx, corolla, androecium, and gynoecium (Figure). The outermost whorl of the flower has green, leafy structures known as sepals. The sepals, collectively called the calyx, help to protect the unopened bud. The second whorl is comprised of petals—usually, brightly colored—collectively called the corolla. The number of sepals and petals varies depending on whether the plant is a monocot or dicot. In monocots, petals usually number three or multiples of three; in dicots, the number of petals is four or five, or multiples of four and five. Together, the calyx and corolla are known as the perianth. The third whorl contains the male reproductive structures and is known as the androecium. The androecium has stamens with anthers that contain the microsporangia. The innermost group of structures in the flower is the gynoecium, or the female reproductive component(s). The carpel is the individual unit of the gynoecium and has a stigma, style, and ovary. A flower may have one or multiple carpels.
Art Connection
If the anther is missing, what type of reproductive structure will the flower be unable to produce? What term is used to describe an incomplete flower lacking the androecium? What term describes an incomplete flower lacking a gynoecium?
If all four whorls (the calyx, corolla, androecium, and gynoecium) are present, the flower is described as complete. If any of the four parts is missing, the flower is known as incomplete. Flowers that contain both an androecium and a gynoecium are called perfect, androgynous or hermaphrodites. There are two types of incomplete flowers: staminate flowers contain only an androecium, and carpellate flowers have only a gynoecium (Figure).
If both male and female flowers are borne on the same plant, the species is called monoecious (meaning “one home”): examples are corn and pea. Species with male and female flowers borne on separate plants are termed dioecious, or “two homes,” examples of which are C. papaya and Cannabis. The ovary, which may contain one or multiple ovules, may be placed above other flower parts, which is referred to as superior; or, it may be placed below the other flower parts, referred to as inferior (Figure).
Male Gametophyte (The Pollen Grain)
The male gametophyte develops and reaches maturity in an immature anther. In a plant’s male reproductive organs, development of pollen takes place in a structure known as the microsporangium (Figure). The microsporangia, which are usually bi-lobed, are pollen sacs in which the microspores develop into pollen grains. These are found in the anther, which is at the end of the stamen—the long filament that supports the anther.
Within the microsporangium, the microspore mother cell divides by meiosis to give rise to four microspores, each of which will ultimately form a pollen grain (Figure). An inner layer of cells, known as the tapetum, provides nutrition to the developing microspores and contributes key components to the pollen wall. Mature pollen grains contain two cells: a generative cell and a pollen tube cell. The generative cell is contained within the larger pollen tube cell. Upon germination, the tube cell forms the pollen tube through which the generative cell migrates to enter the ovary. During its transit inside the pollen tube, the generative cell divides to form two male gametes (sperm cells). Upon maturity, the microsporangia burst, releasing the pollen grains from the anther.
Each pollen grain has two coverings: the exine (thicker, outer layer) and the intine (Figure). The exine contains sporopollenin, a complex waterproofing substance supplied by the tapetal cells. Sporopollenin allows the pollen to survive under unfavorable conditions and to be carried by wind, water, or biological agents without undergoing damage.
Female Gametophyte (The Embryo Sac)
While the details may vary between species, the overall development of the female gametophyte has two distinct phases. First, in the process of megasporogenesis, a single cell in the diploid megasporangium—an area of tissue in the ovules—undergoes meiosis to produce four megaspores, only one of which survives. During the second phase, megagametogenesis, the surviving haploid megaspore undergoes mitosis to produce an eight-nucleate, seven-cell female gametophyte, also known as the megagametophyte or embryo sac. Two of the nuclei—the polar nuclei—move to the equator and fuse, forming a single, diploid central cell. This central cell later fuses with a sperm to form the triploid endosperm. Three nuclei position themselves on the end of the embryo sac opposite the micropyle and develop into the antipodal cells, which later degenerate. The nucleus closest to the micropyle becomes the female gamete, or egg cell, and the two adjacent nuclei develop into synergid cells (Figure). The synergids help guide the pollen tube for successful fertilization, after which they disintegrate. Once fertilization is complete, the resulting diploid zygote develops into the embryo, and the fertilized ovule forms the other tissues of the seed.
A double-layered integument protects the megasporangium and, later, the embryo sac. The integument will develop into the seed coat after fertilization and protect the entire seed. The ovule wall will become part of the fruit. The integuments, while protecting the megasporangium, do not enclose it completely, but leave an opening called the micropyle. The micropyle allows the pollen tube to enter the female gametophyte for fertilization.
Art Connection
An embryo sac is missing the synergids. What specific impact would you expect this to have on fertilization?
- The pollen tube will be unable to form.
- The pollen tube will form but will not be guided toward the egg.
- Fertilization will not occur because the synergid is the egg.
- Fertilization will occur but the embryo will not be able to grow.
Sexual Reproduction in Gymnosperms
As with angiosperms, the lifecycle of a gymnosperm is also characterized by alternation of generations. In conifers such as pines, the green leafy part of the plant is the sporophyte, and the cones contain the male and female gametophytes (Figure). The female cones are larger than the male cones and are positioned towards the top of the tree; the small, male cones are located in the lower region of the tree. Because the pollen is shed and blown by the wind, this arrangement makes it difficult for a gymnosperm to self-pollinate.
Male Gametophyte
A male cone has a central axis on which bracts, a type of modified leaf, are attached. The bracts are known as microsporophylls (Figure) and are the sites where microspores will develop. The microspores develop inside the microsporangium. Within the microsporangium, cells known as microsporocytes divide by meiosis to produce four haploid microspores. Further mitosis of the microspore produces two nuclei: the generative nucleus, and the tube nucleus. Upon maturity, the male gametophyte (pollen) is released from the male cones and is carried by the wind to land on the female cone.
Link to Learning
Watch this video to see a cedar releasing its pollen in the wind.
Female Gametophyte
The female cone also has a central axis on which bracts known as megasporophylls (Figure) are present. In the female cone, megaspore mother cells are present in the megasporangium. The megaspore mother cell divides by meiosis to produce four haploid megaspores. One of the megaspores divides to form the multicellular female gametophyte, while the others divide to form the rest of the structure. The female gametophyte is contained within a structure called the archegonium.
Reproductive Process
Upon landing on the female cone, the tube cell of the pollen forms the pollen tube, through which the generative cell migrates towards the female gametophyte through the micropyle. It takes approximately one year for the pollen tube to grow and migrate towards the female gametophyte. The male gametophyte containing the generative cell splits into two sperm nuclei, one of which fuses with the egg, while the other degenerates. After fertilization of the egg, the diploid zygote is formed, which divides by mitosis to form the embryo. The scales of the cones are closed during development of the seed. The seed is covered by a seed coat, which is derived from the female sporophyte. Seed development takes another one to two years. Once the seed is ready to be dispersed, the bracts of the female cones open to allow the dispersal of seed; no fruit formation takes place because gymnosperm seeds have no covering.
Angiosperms versus Gymnosperms
Gymnosperm reproduction differs from that of angiosperms in several ways (Figure). In angiosperms, the female gametophyte exists in an enclosed structure—the ovule—which is within the ovary; in gymnosperms, the female gametophyte is present on exposed bracts of the female cone. Double fertilization is a key event in the lifecycle of angiosperms, but is completely absent in gymnosperms. The male and female gametophyte structures are present on separate male and female cones in gymnosperms, whereas in angiosperms, they are a part of the flower. Lastly, wind plays an important role in pollination in gymnosperms because pollen is blown by the wind to land on the female cones. Although many angiosperms are also wind-pollinated, animal pollination is more common.
Link to Learning
View an animation of the double fertilization process of angiosperms.
Section Summary
The flower contains the reproductive structures of a plant. All complete flowers contain four whorls: the calyx, corolla, androecium, and gynoecium. The stamens are made up of anthers, in which pollen grains are produced, and a supportive strand called the filament. The pollen contains two cells— a generative cell and a tube cell—and is covered by two layers called the intine and the exine. The carpels, which are the female reproductive structures, consist of the stigma, style, and ovary. The female gametophyte is formed from mitotic divisions of the megaspore, forming an eight-nuclei ovule sac. This is covered by a layer known as the integument. The integument contains an opening called the micropyle, through which the pollen tube enters the embryo sac.
The diploid sporophyte of angiosperms and gymnosperms is the conspicuous and long-lived stage of the life cycle. The sporophytes differentiate specialized reproductive structures called sporangia, which are dedicated to the production of spores. The microsporangium contains microspore mother cells, which divide by meiosis to produce haploid microspores. The microspores develop into male gametophytes that are released as pollen. The megasporangium contains megaspore mother cells, which divide by meiosis to produce haploid megaspores. A megaspore develops into a female gametophyte containing a haploid egg. A new diploid sporophyte is formed when a male gamete from a pollen grain enters the ovule sac and fertilizes this egg.
Art Connections
Figure An embryo sac is missing the synergids. What specific impact would you expect this to have on fertilization?
- The pollen tube will be unable to form.
- The pollen tube will form but will not be guided toward the egg.
- Fertilization will not occur because the synergid is the egg.
- Fertilization will occur but the embryo will not be able to grow.
Hint:
Figure B: The pollen tube will form but will not be guided toward the egg.
Review Questions
In a plant’s male reproductive organs, development of pollen takes place in a structure known as the ________.
- stamen
- microsporangium
- anther
- tapetum
Hint:
B
The stamen consists of a long stalk called the filament that supports the ________.
- stigma
- sepal
- style
- anther
Hint:
D
The ________ are collectively called the calyx.
- sepals
- petals
- tepals
- stamens
Hint:
A
The pollen lands on which part of the flower?
- stigma
- style
- ovule
- integument
Hint:
A
Free Response
Describe the reproductive organs inside a flower.
Hint:
Inside the flower are the reproductive organs of the plant. The stamen is the male reproductive organ. Pollen is produced in the stamen. The carpel is the female reproductive organ. The ovary is the swollen base of the carpel where ovules are found. Not all flowers have every one of the four parts.
Describe the two-stage lifecycle of plants: the gametophyte stage and the sporophyte stage.
Hint:
Plants have two distinct phases in their lifecycle: the gametophyte stage and the sporophyte stage. In the gametophyte stage, when reproductive cells undergo meiosis and produce haploid cells called spores, the gametophyte stage begins. Spores divide by cell division to form plant structures of an entirely new plant. The cells in these structures or plants are haploid. Some of these cells undergo cell division and form sex cells. Fertilization, the joining of haploid sex cells, begins the sporophyte stage. Cells formed in this stage have the diploid number of chromosomes. Meiosis in some of these cells forms spores, and the cycle begins again: a process known as alternation of generations.
Describe the four main parts, or whorls, of a flower.
Hint:
A typical flower has four main parts, or whorls: the calyx, corolla, androecium, and gynoecium. The outermost whorl of the flower has green, leafy structures known as sepals, which are collectively called the calyx. It helps to protect the unopened bud. The second whorl is made up of brightly colored petals that are known collectively as the corolla. The third whorl is the male reproductive structure known as the androecium. The androecium has stamens, which have anthers on a stalk or filament. Pollen grains are borne on the anthers. The gynoecium is the female reproductive structure. The carpel is the individual structure of the gynoecium and has a stigma, the stalk or style, and the ovary.
Discuss the differences between a complete flower and an incomplete flower.
Hint:
If all four whorls of a flower are present, it is a complete flower. If any of the four parts is missing, it is known as incomplete. Flowers that contain both an androecium and gynoecium are called androgynous or hermaphrodites. Those that contain only an androecium are known as staminate flowers, and those that have only carpels are known as carpellate. If both male and female flowers are borne on the same plant, it is called monoecious, while plants with male and female flowers on separate plants are termed dioecious.
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2025-03-18T00:36:56.017999
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https://oercommons.org/courseware/lesson/15103/overview
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Pollination and Fertilization
Overview
By the end of this section, you will be able to:
- Describe what must occur for plant fertilization
- Explain cross-pollination and the ways in which it takes place
- Describe the process that leads to the development of a seed
- Define double fertilization
In angiosperms, pollination is defined as the placement or transfer of pollen from the anther to the stigma of the same flower or another flower. In gymnosperms, pollination involves pollen transfer from the male cone to the female cone. Upon transfer, the pollen germinates to form the pollen tube and the sperm for fertilizing the egg. Pollination has been well studied since the time of Gregor Mendel. Mendel successfully carried out self- as well as cross-pollination in garden peas while studying how characteristics were passed on from one generation to the next. Today’s crops are a result of plant breeding, which employs artificial selection to produce the present-day cultivars. A case in point is today's corn, which is a result of years of breeding that started with its ancestor, teosinte. The teosinte that the ancient Mayans originally began cultivating had tiny seeds—vastly different from today’s relatively giant ears of corn. Interestingly, though these two plants appear to be entirely different, the genetic difference between them is miniscule.
Pollination takes two forms: self-pollination and cross-pollination. Self-pollination occurs when the pollen from the anther is deposited on the stigma of the same flower, or another flower on the same plant. Cross-pollination is the transfer of pollen from the anther of one flower to the stigma of another flower on a different individual of the same species. Self-pollination occurs in flowers where the stamen and carpel mature at the same time, and are positioned so that the pollen can land on the flower’s stigma. This method of pollination does not require an investment from the plant to provide nectar and pollen as food for pollinators.
Link to Learning
Explore this interactive website to review self-pollination and cross-pollination.
Living species are designed to ensure survival of their progeny; those that fail become extinct. Genetic diversity is therefore required so that in changing environmental or stress conditions, some of the progeny can survive. Self-pollination leads to the production of plants with less genetic diversity, since genetic material from the same plant is used to form gametes, and eventually, the zygote. In contrast, cross-pollination—or out-crossing—leads to greater genetic diversity because the microgametophyte and megagametophyte are derived from different plants.
Because cross-pollination allows for more genetic diversity, plants have developed many ways to avoid self-pollination. In some species, the pollen and the ovary mature at different times. These flowers make self-pollination nearly impossible. By the time pollen matures and has been shed, the stigma of this flower is mature and can only be pollinated by pollen from another flower. Some flowers have developed physical features that prevent self-pollination. The primrose is one such flower. Primroses have evolved two flower types with differences in anther and stigma length: the pin-eyed flower has anthers positioned at the pollen tube’s halfway point, and the thrum-eyed flower’s stigma is likewise located at the halfway point. Insects easily cross-pollinate while seeking the nectar at the bottom of the pollen tube. This phenomenon is also known as heterostyly. Many plants, such as cucumber, have male and female flowers located on different parts of the plant, thus making self-pollination difficult. In yet other species, the male and female flowers are borne on different plants (dioecious). All of these are barriers to self-pollination; therefore, the plants depend on pollinators to transfer pollen. The majority of pollinators are biotic agents such as insects (like bees, flies, and butterflies), bats, birds, and other animals. Other plant species are pollinated by abiotic agents, such as wind and water.
Everyday Connection
Incompatibility Genes in FlowersIn recent decades, incompatibility genes—which prevent pollen from germinating or growing into the stigma of a flower—have been discovered in many angiosperm species. If plants do not have compatible genes, the pollen tube stops growing. Self-incompatibility is controlled by the S (sterility) locus. Pollen tubes have to grow through the tissue of the stigma and style before they can enter the ovule. The carpel is selective in the type of pollen it allows to grow inside. The interaction is primarily between the pollen and the stigma epidermal cells. In some plants, like cabbage, the pollen is rejected at the surface of the stigma, and the unwanted pollen does not germinate. In other plants, pollen tube germination is arrested after growing one-third the length of the style, leading to pollen tube death. Pollen tube death is due either to apoptosis (programmed cell death) or to degradation of pollen tube RNA. The degradation results from the activity of a ribonuclease encoded by the S locus. The ribonuclease is secreted from the cells of the style in the extracellular matrix, which lies alongside the growing pollen tube.
In summary, self-incompatibility is a mechanism that prevents self-fertilization in many flowering plant species. The working of this self-incompatibility mechanism has important consequences for plant breeders because it inhibits the production of inbred and hybrid plants.
Pollination by Insects
Bees are perhaps the most important pollinator of many garden plants and most commercial fruit trees (Figure). The most common species of bees are bumblebees and honeybees. Since bees cannot see the color red, bee-pollinated flowers usually have shades of blue, yellow, or other colors. Bees collect energy-rich pollen or nectar for their survival and energy needs. They visit flowers that are open during the day, are brightly colored, have a strong aroma or scent, and have a tubular shape, typically with the presence of a nectar guide. A nectar guide includes regions on the flower petals that are visible only to bees, and not to humans; it helps to guide bees to the center of the flower, thus making the pollination process more efficient. The pollen sticks to the bees’ fuzzy hair, and when the bee visits another flower, some of the pollen is transferred to the second flower. Recently, there have been many reports about the declining population of honeybees. Many flowers will remain unpollinated and not bear seed if honeybees disappear. The impact on commercial fruit growers could be devastating.
Many flies are attracted to flowers that have a decaying smell or an odor of rotting flesh. These flowers, which produce nectar, usually have dull colors, such as brown or purple. They are found on the corpse flower or voodoo lily (Amorphophallus), dragon arum (Dracunculus), and carrion flower (Stapleia, Rafflesia). The nectar provides energy, whereas the pollen provides protein. Wasps are also important insect pollinators, and pollinate many species of figs.
Butterflies, such as the monarch, pollinate many garden flowers and wildflowers, which usually occur in clusters. These flowers are brightly colored, have a strong fragrance, are open during the day, and have nectar guides to make access to nectar easier. The pollen is picked up and carried on the butterfly’s limbs. Moths, on the other hand, pollinate flowers during the late afternoon and night. The flowers pollinated by moths are pale or white and are flat, enabling the moths to land. One well-studied example of a moth-pollinated plant is the yucca plant, which is pollinated by the yucca moth. The shape of the flower and moth have adapted in such a way as to allow successful pollination. The moth deposits pollen on the sticky stigma for fertilization to occur later. The female moth also deposits eggs into the ovary. As the eggs develop into larvae, they obtain food from the flower and developing seeds. Thus, both the insect and flower benefit from each other in this symbiotic relationship. The corn earworm moth and Gaura plant have a similar relationship (Figure).
Pollination by Bats
In the tropics and deserts, bats are often the pollinators of nocturnal flowers such as agave, guava, and morning glory. The flowers are usually large and white or pale-colored; thus, they can be distinguished from the dark surroundings at night. The flowers have a strong, fruity, or musky fragrance and produce large amounts of nectar. They are naturally large and wide-mouthed to accommodate the head of the bat. As the bats seek the nectar, their faces and heads become covered with pollen, which is then transferred to the next flower.
Pollination by Birds
Many species of small birds, such as the hummingbird (Figure) and sun birds, are pollinators for plants such as orchids and other wildflowers. Flowers visited by birds are usually sturdy and are oriented in such a way as to allow the birds to stay near the flower without getting their wings entangled in the nearby flowers. The flower typically has a curved, tubular shape, which allows access for the bird’s beak. Brightly colored, odorless flowers that are open during the day are pollinated by birds. As a bird seeks energy-rich nectar, pollen is deposited on the bird’s head and neck and is then transferred to the next flower it visits. Botanists have been known to determine the range of extinct plants by collecting and identifying pollen from 200-year-old bird specimens from the same site.
Pollination by Wind
Most species of conifers, and many angiosperms, such as grasses, maples and oaks, are pollinated by wind. Pine cones are brown and unscented, while the flowers of wind-pollinated angiosperm species are usually green, small, may have small or no petals, and produce large amounts of pollen. Unlike the typical insect-pollinated flowers, flowers adapted to pollination by wind do not produce nectar or scent. In wind-pollinated species, the microsporangia hang out of the flower, and, as the wind blows, the lightweight pollen is carried with it (Figure). The flowers usually emerge early in the spring, before the leaves, so that the leaves do not block the movement of the wind. The pollen is deposited on the exposed feathery stigma of the flower (Figure).
Pollination by Water
Some weeds, such as Australian sea grass and pond weeds, are pollinated by water. The pollen floats on water, and when it comes into contact with the flower, it is deposited inside the flower.
Evolution Connection
Pollination by DeceptionOrchids are highly valued flowers, with many rare varieties (Figure). They grow in a range of specific habitats, mainly in the tropics of Asia, South America, and Central America. At least 25,000 species of orchids have been identified.
Flowers often attract pollinators with food rewards, in the form of nectar. However, some species of orchid are an exception to this standard: they have evolved different ways to attract the desired pollinators. They use a method known as food deception, in which bright colors and perfumes are offered, but no food. Anacamptis morio, commonly known as the green-winged orchid, bears bright purple flowers and emits a strong scent. The bumblebee, its main pollinator, is attracted to the flower because of the strong scent—which usually indicates food for a bee—and in the process, picks up the pollen to be transported to another flower.
Other orchids use sexual deception. Chiloglottis trapeziformis emits a compound that smells the same as the pheromone emitted by a female wasp to attract male wasps. The male wasp is attracted to the scent, lands on the orchid flower, and in the process, transfers pollen. Some orchids, like the Australian hammer orchid, use scent as well as visual trickery in yet another sexual deception strategy to attract wasps. The flower of this orchid mimics the appearance of a female wasp and emits a pheromone. The male wasp tries to mate with what appears to be a female wasp, and in the process, picks up pollen, which it then transfers to the next counterfeit mate.
Double Fertilization
After pollen is deposited on the stigma, it must germinate and grow through the style to reach the ovule. The microspores, or the pollen, contain two cells: the pollen tube cell and the generative cell. The pollen tube cell grows into a pollen tube through which the generative cell travels. The germination of the pollen tube requires water, oxygen, and certain chemical signals. As it travels through the style to reach the embryo sac, the pollen tube’s growth is supported by the tissues of the style. In the meantime, if the generative cell has not already split into two cells, it now divides to form two sperm cells. The pollen tube is guided by the chemicals secreted by the synergids present in the embryo sac, and it enters the ovule sac through the micropyle. Of the two sperm cells, one sperm fertilizes the egg cell, forming a diploid zygote; the other sperm fuses with the two polar nuclei, forming a triploid cell that develops into the endosperm. Together, these two fertilization events in angiosperms are known as double fertilization (Figure). After fertilization is complete, no other sperm can enter. The fertilized ovule forms the seed, whereas the tissues of the ovary become the fruit, usually enveloping the seed.
After fertilization, the zygote divides to form two cells: the upper cell, or terminal cell, and the lower, or basal, cell. The division of the basal cell gives rise to the suspensor, which eventually makes connection with the maternal tissue. The suspensor provides a route for nutrition to be transported from the mother plant to the growing embryo. The terminal cell also divides, giving rise to a globular-shaped proembryo (Figurea). In dicots (eudicots), the developing embryo has a heart shape, due to the presence of the two rudimentary cotyledons (Figureb). In non-endospermic dicots, such as Capsella bursa, the endosperm develops initially, but is then digested, and the food reserves are moved into the two cotyledons. As the embryo and cotyledons enlarge, they run out of room inside the developing seed, and are forced to bend (Figurec). Ultimately, the embryo and cotyledons fill the seed (Figured), and the seed is ready for dispersal. Embryonic development is suspended after some time, and growth is resumed only when the seed germinates. The developing seedling will rely on the food reserves stored in the cotyledons until the first set of leaves begin photosynthesis.
Development of the Seed
The mature ovule develops into the seed. A typical seed contains a seed coat, cotyledons, endosperm, and a single embryo (Figure).
Art Connection
What is of the following statements is true?
- Both monocots and dicots have an endosperm.
- The radicle develops into the root.
- The plumule is part of the epicotyl
- The endosperm is part of the embryo.
The storage of food reserves in angiosperm seeds differs between monocots and dicots. In monocots, such as corn and wheat, the single cotyledon is called a scutellum; the scutellum is connected directly to the embryo via vascular tissue (xylem and phloem). Food reserves are stored in the large endosperm. Upon germination, enzymes are secreted by the aleurone, a single layer of cells just inside the seed coat that surrounds the endosperm and embryo. The enzymes degrade the stored carbohydrates, proteins and lipids, the products of which are absorbed by the scutellum and transported via a vasculature strand to the developing embryo. Therefore, the scutellum can be seen to be an absorptive organ, not a storage organ.
The two cotyledons in the dicot seed also have vascular connections to the embryo. In endospermic dicots, the food reserves are stored in the endosperm. During germination, the two cotyledons therefore act as absorptive organs to take up the enzymatically released food reserves, much like in monocots (monocots, by definition, also have endospermic seeds). Tobacco (Nicotiana tabaccum), tomato (Solanum lycopersicum), and pepper (Capsicum annuum) are examples of endospermic dicots. In non-endospermic dicots, the triploid endosperm develops normally following double fertilization, but the endosperm food reserves are quickly remobilized and moved into the developing cotyledon for storage. The two halves of a peanut seed (Arachis hypogaea) and the split peas (Pisum sativum) of split pea soup are individual cotyledons loaded with food reserves.
The seed, along with the ovule, is protected by a seed coat that is formed from the integuments of the ovule sac. In dicots, the seed coat is further divided into an outer coat known as the testa and inner coat known as the tegmen.
The embryonic axis consists of three parts: the plumule, the radicle, and the hypocotyl. The portion of the embryo between the cotyledon attachment point and the radicle is known as the hypocotyl (hypocotyl means “below the cotyledons”). The embryonic axis terminates in a radicle (the embryonic root), which is the region from which the root will develop. In dicots, the hypocotyls extend above ground, giving rise to the stem of the plant. In monocots, the hypocotyl does not show above ground because monocots do not exhibit stem elongation. The part of the embryonic axis that projects above the cotyledons is known as the epicotyl. The plumule is composed of the epicotyl, young leaves, and the shoot apical meristem.
Upon germination in dicot seeds, the epicotyl is shaped like a hook with the plumule pointing downwards. This shape is called the plumule hook, and it persists as long as germination proceeds in the dark. Therefore, as the epicotyl pushes through the tough and abrasive soil, the plumule is protected from damage. Upon exposure to light, the hypocotyl hook straightens out, the young foliage leaves face the sun and expand, and the epicotyl continues to elongate. During this time, the radicle is also growing and producing the primary root. As it grows downward to form the tap root, lateral roots branch off to all sides, producing the typical dicot tap root system.
In monocot seeds (Figure), the testa and tegmen of the seed coat are fused. As the seed germinates, the primary root emerges, protected by the root-tip covering: the coleorhiza. Next, the primary shoot emerges, protected by the coleoptile: the covering of the shoot tip. Upon exposure to light (i.e. when the plumule has exited the soil and the protective coleoptile is no longer needed), elongation of the coleoptile ceases and the leaves expand and unfold. At the other end of the embryonic axis, the primary root soon dies, while other, adventitious roots (roots that do not arise from the usual place – i.e. the root) emerge from the base of the stem. This gives the monocot a fibrous root system.
Seed Germination
Many mature seeds enter a period of inactivity, or extremely low metabolic activity: a process known as dormancy, which may last for months, years or even centuries. Dormancy helps keep seeds viable during unfavorable conditions. Upon a return to favorable conditions, seed germination takes place. Favorable conditions could be as diverse as moisture, light, cold, fire, or chemical treatments. After heavy rains, many new seedlings emerge. Forest fires also lead to the emergence of new seedlings. Some seeds require vernalization (cold treatment) before they can germinate. This guarantees that seeds produced by plants in temperate climates will not germinate until the spring. Plants growing in hot climates may have seeds that need a heat treatment in order to germinate, to avoid germination in the hot, dry summers. In many seeds, the presence of a thick seed coat retards the ability to germinate. Scarification, which includes mechanical or chemical processes to soften the seed coat, is often employed before germination. Presoaking in hot water, or passing through an acid environment, such as an animal’s digestive tract, may also be employed.
Depending on seed size, the time taken for a seedling to emerge may vary. Species with large seeds have enough food reserves to germinate deep below ground, and still extend their epicotyl all the way to the soil surface. Seeds of small-seeded species usually require light as a germination cue. This ensures the seeds only germinate at or near the soil surface (where the light is greatest). If they were to germinate too far underneath the surface, the developing seedling would not have enough food reserves to reach the sunlight.
Development of Fruit and Fruit Types
After fertilization, the ovary of the flower usually develops into the fruit. Fruits are usually associated with having a sweet taste; however, not all fruits are sweet. Botanically, the term “fruit” is used for a ripened ovary. In most cases, flowers in which fertilization has taken place will develop into fruits, and flowers in which fertilization has not taken place will not. Some fruits develop from the ovary and are known as true fruits, whereas others develop from other parts of the female gametophyte and are known as accessory fruits. The fruit encloses the seeds and the developing embryo, thereby providing it with protection. Fruits are of many types, depending on their origin and texture. The sweet tissue of the blackberry, the red flesh of the tomato, the shell of the peanut, and the hull of corn (the tough, thin part that gets stuck in your teeth when you eat popcorn) are all fruits. As the fruit matures, the seeds also mature.
Fruits may be classified as simple, aggregate, multiple, or accessory, depending on their origin (Figure). If the fruit develops from a single carpel or fused carpels of a single ovary, it is known as a simple fruit, as seen in nuts and beans. An aggregate fruit is one that develops from more than one carpel, but all are in the same flower: the mature carpels fuse together to form the entire fruit, as seen in the raspberry. Multiple fruit develops from an inflorescence or a cluster of flowers. An example is the pineapple, where the flowers fuse together to form the fruit. Accessory fruits (sometimes called false fruits) are not derived from the ovary, but from another part of the flower, such as the receptacle (strawberry) or the hypanthium (apples and pears).
Fruits generally have three parts: the exocarp (the outermost skin or covering), the mesocarp (middle part of the fruit), and the endocarp (the inner part of the fruit). Together, all three are known as the pericarp. The mesocarp is usually the fleshy, edible part of the fruit; however, in some fruits, such as the almond, the endocarp is the edible part. In many fruits, two or all three of the layers are fused, and are indistinguishable at maturity. Fruits can be dry or fleshy. Furthermore, fruits can be divided into dehiscent or indehiscent types. Dehiscent fruits, such as peas, readily release their seeds, while indehiscent fruits, like peaches, rely on decay to release their seeds.
Fruit and Seed Dispersal
The fruit has a single purpose: seed dispersal. Seeds contained within fruits need to be dispersed far from the mother plant, so they may find favorable and less competitive conditions in which to germinate and grow.
Some fruit have built-in mechanisms so they can disperse by themselves, whereas others require the help of agents like wind, water, and animals (Figure). Modifications in seed structure, composition, and size help in dispersal. Wind-dispersed fruit are lightweight and may have wing-like appendages that allow them to be carried by the wind. Some have a parachute-like structure to keep them afloat. Some fruits—for example, the dandelion—have hairy, weightless structures that are suited to dispersal by wind.
Seeds dispersed by water are contained in light and buoyant fruit, giving them the ability to float. Coconuts are well known for their ability to float on water to reach land where they can germinate. Similarly, willow and silver birches produce lightweight fruit that can float on water.
Animals and birds eat fruits, and the seeds that are not digested are excreted in their droppings some distance away. Some animals, like squirrels, bury seed-containing fruits for later use; if the squirrel does not find its stash of fruit, and if conditions are favorable, the seeds germinate. Some fruits, like the cocklebur, have hooks or sticky structures that stick to an animal's coat and are then transported to another place. Humans also play a big role in dispersing seeds when they carry fruits to new places and throw away the inedible part that contains the seeds.
All of the above mechanisms allow for seeds to be dispersed through space, much like an animal’s offspring can move to a new location. Seed dormancy, which was described earlier, allows plants to disperse their progeny through time: something animals cannot do. Dormant seeds can wait months, years, or even decades for the proper conditions for germination and propagation of the species.
Section Summary
For fertilization to occur in angiosperms, pollen has to be transferred to the stigma of a flower: a process known as pollination. Gymnosperm pollination involves the transfer of pollen from a male cone to a female cone. When the pollen of the flower is transferred to the stigma of the same flower, it is called self-pollination. Cross-pollination occurs when pollen is transferred from one flower to another flower on the same plant, or another plant. Cross-pollination requires pollinating agents such as water, wind, or animals, and increases genetic diversity. After the pollen lands on the stigma, the tube cell gives rise to the pollen tube, through which the generative nucleus migrates. The pollen tube gains entry through the micropyle on the ovule sac. The generative cell divides to form two sperm cells: one fuses with the egg to form the diploid zygote, and the other fuses with the polar nuclei to form the endosperm, which is triploid in nature. This is known as double fertilization. After fertilization, the zygote divides to form the embryo and the fertilized ovule forms the seed. The walls of the ovary form the fruit in which the seeds develop. The seed, when mature, will germinate under favorable conditions and give rise to the diploid sporophyte.
Art Connections
Review Questions
After double fertilization, a zygote and ________ form.
- an ovule
- endosperm
- a cotyledon
- a suspensor
Hint:
B
The fertilized ovule gives rise to the ________.
- fruit
- seed
- endosperm
- embryo
Hint:
B
What is the term for a fruit that develops from tissues other than the ovary?
- simple fruit
- aggregate fruit
- multiple fruit
- accessory fruit
Hint:
D
The ________ is the outermost covering of a fruit.
- endocarp
- pericarp
- exocarp
- mesocarp
Hint:
C
Free Response
Why do some seeds undergo a period of dormancy, and how do they break dormancy?
Hint:
Many seeds enter a period of inactivity or extremely low metabolic activity, a process known as dormancy. Dormancy allows seeds to tide over unfavorable conditions and germinate on return to favorable conditions. Favorable conditions could be as diverse as moisture, light, cold, fire, or chemical treatments. After heavy rains, many new seedlings emerge. Forest fires also lead to the emergence of new seedlings.
Discuss some ways in which fruit seeds are dispersed.
Hint:
Some fruits have built-in mechanisms that allow them to disperse seeds by themselves, but others require the assistance of agents like wind, water, and animals. Fruit that are dispersed by the wind are light in weight and often have wing-like appendages that allow them to be carried by the wind; other have structures resembling a parachute that keep them afloat in the wind. Some fruits, such as those of dandelions, have hairy, weightless structures that allow them to float in the wind. Fruits dispersed by water are light and buoyant, giving them the ability to float; coconuts are one example. Animals and birds eat fruits and disperse their seeds by leaving droppings at distant locations. Other animals bury fruit that may later germinate. Some fruits stick to animals’ bodies and are carried to new locations. People also contribute to seed dispersal when they carry fruits to new places.
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oercommons
|
2025-03-18T00:36:56.061338
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"url": "https://oercommons.org/courseware/lesson/15103/overview",
"title": "Biology, Plant Structure and Function",
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https://oercommons.org/courseware/lesson/15104/overview
|
Asexual Reproduction
Overview
By the end of this section, you will be able to:
- Compare the mechanisms and methods of natural and artificial asexual reproduction
- Describe the advantages and disadvantages of natural and artificial asexual reproduction
- Discuss plant life spans
Many plants are able to propagate themselves using asexual reproduction. This method does not require the investment required to produce a flower, attract pollinators, or find a means of seed dispersal. Asexual reproduction produces plants that are genetically identical to the parent plant because no mixing of male and female gametes takes place. Traditionally, these plants survive well under stable environmental conditions when compared with plants produced from sexual reproduction because they carry genes identical to those of their parents.
Many different types of roots exhibit asexual reproduction Figure. The corm is used by gladiolus and garlic. Bulbs, such as a scaly bulb in lilies and a tunicate bulb in daffodils, are other common examples. A potato is a stem tuber, while parsnip propagates from a taproot. Ginger and iris produce rhizomes, while ivy uses an adventitious root (a root arising from a plant part other than the main or primary root), and the strawberry plant has a stolon, which is also called a runner.
Some plants can produce seeds without fertilization. Either the ovule or part of the ovary, which is diploid in nature, gives rise to a new seed. This method of reproduction is known as apomixis.
An advantage of asexual reproduction is that the resulting plant will reach maturity faster. Since the new plant is arising from an adult plant or plant parts, it will also be sturdier than a seedling. Asexual reproduction can take place by natural or artificial (assisted by humans) means.
Natural Methods of Asexual Reproduction
Natural methods of asexual reproduction include strategies that plants have developed to self-propagate. Many plants—like ginger, onion, gladioli, and dahlia—continue to grow from buds that are present on the surface of the stem. In some plants, such as the sweet potato, adventitious roots or runners can give rise to new plants Figure. In Bryophyllum and kalanchoe, the leaves have small buds on their margins. When these are detached from the plant, they grow into independent plants; or, they may start growing into independent plants if the leaf touches the soil. Some plants can be propagated through cuttings alone.
Artificial Methods of Asexual Reproduction
These methods are frequently employed to give rise to new, and sometimes novel, plants. They include grafting, cutting, layering, and micropropagation.
Grafting
Grafting has long been used to produce novel varieties of roses, citrus species, and other plants. In grafting, two plant species are used; part of the stem of the desirable plant is grafted onto a rooted plant called the stock. The part that is grafted or attached is called the scion. Both are cut at an oblique angle (any angle other than a right angle), placed in close contact with each other, and are then held together Figure. Matching up these two surfaces as closely as possible is extremely important because these will be holding the plant together. The vascular systems of the two plants grow and fuse, forming a graft. After a period of time, the scion starts producing shoots, and eventually starts bearing flowers and fruits. Grafting is widely used in viticulture (grape growing) and the citrus industry. Scions capable of producing a particular fruit variety are grated onto root stock with specific resistance to disease.
Cutting
Plants such as coleus and money plant are propagated through stem cuttings, where a portion of the stem containing nodes and internodes is placed in moist soil and allowed to root. In some species, stems can start producing a root even when placed only in water. For example, leaves of the African violet will root if kept in water undisturbed for several weeks.
Layering
Layering is a method in which a stem attached to the plant is bent and covered with soil. Young stems that can be bent easily without any injury are preferred. Jasmine and bougainvillea (paper flower) can be propagated this way Figure. In some plants, a modified form of layering known as air layering is employed. A portion of the bark or outermost covering of the stem is removed and covered with moss, which is then taped. Some gardeners also apply rooting hormone. After some time, roots will appear, and this portion of the plant can be removed and transplanted into a separate pot.
Micropropagation
Micropropagation (also called plant tissue culture) is a method of propagating a large number of plants from a single plant in a short time under laboratory conditions Figure. This method allows propagation of rare, endangered species that may be difficult to grow under natural conditions, are economically important, or are in demand as disease-free plants.
To start plant tissue culture, a part of the plant such as a stem, leaf, embryo, anther, or seed can be used. The plant material is thoroughly sterilized using a combination of chemical treatments standardized for that species. Under sterile conditions, the plant material is placed on a plant tissue culture medium that contains all the minerals, vitamins, and hormones required by the plant. The plant part often gives rise to an undifferentiated mass known as callus, from which individual plantlets begin to grow after a period of time. These can be separated and are first grown under greenhouse conditions before they are moved to field conditions.
Plant Life Spans
The length of time from the beginning of development to the death of a plant is called its life span. The life cycle, on the other hand, is the sequence of stages a plant goes through from seed germination to seed production of the mature plant. Some plants, such as annuals, only need a few weeks to grow, produce seeds and die. Other plants, such as the bristlecone pine, live for thousands of years. Some bristlecone pines have a documented age of 4,500 years Figure. Even as some parts of a plant, such as regions containing meristematic tissue—the area of active plant growth consisting of undifferentiated cells capable of cell division—continue to grow, some parts undergo programmed cell death (apoptosis). The cork found on stems, and the water-conducting tissue of the xylem, for example, are composed of dead cells.
Plant species that complete their lifecycle in one season are known as annuals, an example of which is Arabidopsis, or mouse-ear cress. Biennials such as carrots complete their lifecycle in two seasons. In a biennial’s first season, the plant has a vegetative phase, whereas in the next season, it completes its reproductive phase. Commercial growers harvest the carrot roots after the first year of growth, and do not allow the plants to flower. Perennials, such as the magnolia, complete their lifecycle in two years or more.
In another classification based on flowering frequency, monocarpic plants flower only once in their lifetime; examples include bamboo and yucca. During the vegetative period of their life cycle (which may be as long as 120 years in some bamboo species), these plants may reproduce asexually and accumulate a great deal of food material that will be required during their once-in-a-lifetime flowering and setting of seed after fertilization. Soon after flowering, these plants die. Polycarpic plants form flowers many times during their lifetime. Fruit trees, such as apple and orange trees, are polycarpic; they flower every year. Other polycarpic species, such as perennials, flower several times during their life span, but not each year. By this means, the plant does not require all its nutrients to be channelled towards flowering each year.
As is the case with all living organisms, genetics and environmental conditions have a role to play in determining how long a plant will live. Susceptibility to disease, changing environmental conditions, drought, cold, and competition for nutrients are some of the factors that determine the survival of a plant. Plants continue to grow, despite the presence of dead tissue such as cork. Individual parts of plants, such as flowers and leaves, have different rates of survival. In many trees, the older leaves turn yellow and eventually fall from the tree. Leaf fall is triggered by factors such as a decrease in photosynthetic efficiency, due to shading by upper leaves, or oxidative damage incurred as a result of photosynthetic reactions. The components of the part to be shed are recycled by the plant for use in other processes, such as development of seed and storage. This process is known as nutrient recycling.
The aging of a plant and all the associated processes is known as senescence, which is marked by several complex biochemical changes. One of the characteristics of senescence is the breakdown of chloroplasts, which is characterized by the yellowing of leaves. The chloroplasts contain components of photosynthetic machinery such as membranes and proteins. Chloroplasts also contain DNA. The proteins, lipids, and nucleic acids are broken down by specific enzymes into smaller molecules and salvaged by the plant to support the growth of other plant tissues.
The complex pathways of nutrient recycling within a plant are not well understood. Hormones are known to play a role in senescence. Applications of cytokinins and ethylene delay or prevent senescence; in contrast, abscissic acid causes premature onset of senescence.
Sections Summary
Many plants reproduce asexually as well as sexually. In asexual reproduction, part of the parent plant is used to generate a new plant. Grafting, layering, and micropropagation are some methods used for artificial asexual reproduction. The new plant is genetically identical to the parent plant from which the stock has been taken. Asexually reproducing plants thrive well in stable environments.
Plants have different life spans, dependent on species, genotype, and environmental conditions. Parts of the plant, such as regions containing meristematic tissue, continue to grow, while other parts experience programmed cell death. Leaves that are no longer photosynthetically active are shed from the plant as part of senescence, and the nutrients from these leaves are recycled by the plant. Other factors, including the presence of hormones, are known to play a role in delaying senescence.
Review Questions
________ is a useful method of asexual reproduction for propagating hard-to-root plants.
- grafting
- layering
- cuttings
- budding
Hint:
A
Which of the following is an advantage of asexual reproduction?
- Cuttings taken from an adult plant show increased resistance to diseases.
- Grafted plants can more successfully endure drought.
- When cuttings or buds are taken from an adult plant or plant parts, the resulting plant will grow into an adult faster than a seedling.
- Asexual reproduction takes advantage of a more diverse gene pool.
Hint:
C
Plants that flower once in their lifetime are known as ________.
- monoecious
- dioecious
- polycarpic
- monocarpic
Hint:
D
Plant species that complete their lifecycle in one season are known as ________.
- biennials
- perennials
- annuals
- polycarpic
Hint:
C
Free Response
What are some advantages of asexual reproduction in plants?
Hint:
Asexual reproduction does not require the expenditure of the plant’s resources and energy that would be involved in producing a flower, attracting pollinators, or dispersing seeds. Asexual reproduction results in plants that are genetically identical to the parent plant, since there is no mixing of male and female gametes, resulting in better survival. The cuttings or buds taken from an adult plant produce progeny that mature faster and are sturdier than a seedling grown from a seed.
Describe natural and artificial methods of asexual reproduction in plants.
Hint:
Asexual reproduction in plants can take place by natural methods or artificial methods. Natural methods include strategies used by the plant to propagate itself. Artificial methods include grafting, cutting, layering, and micropropagation.
Discuss the life cycles of various plants.
Hint:
Plant species that complete their life cycle in one season are known as annuals. Biennials complete their life cycle in two seasons. In the first season, the plant has a vegetative phase, whereas in the next season, it completes its reproductive phase. Perennials, such as the magnolia, complete their life cycle in two years or more.
How are plants classified on the basis of flowering frequency?
Hint:
Monocarpic plants flower only once during their lifetime. During the vegetative period of their lifecycle, these plants accumulate a great deal of food material that will be required during their once-in-a-lifetime flowering and setting of seed after fertilization. Soon after flowering, these plants die. Polycarpic plants flower several times during their life span; therefore, not all nutrients are channelled towards flowering.
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oercommons
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2025-03-18T00:36:56.093996
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https://oercommons.org/courseware/lesson/122563/overview
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Goals for OER Advanced Course Module 2 - Revising and Remixing OER
Overview
This resource describes the goals and outcomes of Module Two of the OERizona Advanced Course, which focuses on Revising and Remixing OER. The following resources within the Module and Course are designed to support OERizona faculty as they advance their OER learning and experiences.
Goals and Outcomes
OERizona Advanced Course Overarching Goal:
Support Arizona faculty in locating and reviewing OER to increase the number of peer-reviewed OER and to build indvidual collections of evaluated resources
Outcomes of Module Two:
Review open licensing and identify different Creative Commons licenses
Review OER Commons and the OERizona collections to identify starting point resources
Remix OER by using the Open Author tool embedded in OER Commons
Connect with local faculty who are remixing OER
Contribute to the OER Community by remixing OER
Reflect on the experience of remixing OER
Notes for exploring this course:
- The course uses a drop down menu to navigate beween the sections. The drop-down menu is displayed at the top of every lesson's content page.
- You can also navigate using the OERizona Advanced OER Skills Course Homepage.
- A certificate of completion of the course that includes contact hours is available upon completion of all coursework. This is determined through the use of Google Forms. For questions, please contact info@oerizona.org.
|
oercommons
|
2025-03-18T00:36:56.110028
|
12/04/2024
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/122563/overview",
"title": "OERizona Advanced OER Skills, Revise and Remix OER, Goals for OER Advanced Course Module 2 - Revising and Remixing OER",
"author": null
}
|
https://oercommons.org/courseware/lesson/100981/overview
|
The 5 Themes of Geography
Overview
This is a simple lesson to introduce the 5 Themes of Geography to your students.
Intro to Geography
This is a simple lesson to introduce the 5 Themes of Geography to your students.
The 5 Themes
Geography-The study of where people, places, and things are located and the ways they relate to each other
- Location: Where a place is located on the globe or in relation to other places
- Place: The physical and human characteristics of a place
- Human/Environment Interaction: How people use their environment
- Movement: How people, goods, and ideas move between places
- Regions: A group of places with at least one common characteristic
Please watch the video at the bottom of the article.
Take this Quiz
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oercommons
|
2025-03-18T00:36:56.123965
|
Ghulam Nabi
|
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"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/100981/overview",
"title": "The 5 Themes of Geography",
"author": "Homework/Assignment"
}
|
https://oercommons.org/courseware/lesson/123839/overview
|
NMR practice quiz
Overview
A practice quiz from 2019
1) alkene addition
2) Friedel-Crafts
3) simple NMR
NMR practice quiz
Alkene + X2
Friedel-Crafts
simple NMR
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oercommons
|
2025-03-18T00:36:56.140183
|
01/16/2025
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/123839/overview",
"title": "NMR practice quiz",
"author": "Shallee Page"
}
|
https://oercommons.org/courseware/lesson/75804/overview
|
French Level 3, Activity 13: Les directions / Directions (Online)
Overview
In this activity, students will practice giving directions and observing public plazas from French speaking countries.
Activity Information
Did you know that you can access the complete collection of Pathways Project French activities in our new Let’s Chat! French pressbook? View the book here: https://boisestate.pressbooks.pub/pathwaysfrench
Please Note: Many of our activities were created by upper-division students at Boise State University and serve as a foundation that our community of practice can build upon and refine. While they are polished, we welcome and encourage collaboration from language instructors to help modify grammar, syntax, and content where needed. Kindly contact pathwaysproject@boisestate.edu with any suggestions and we will update the content in a timely manner.
Directions / Les directions
Description
In this activity, students will practice giving directions and observing public plazas from French speaking countries.
Semantic Topics
Directions, public places, plazas, buildings, villes, carte, bâtiment, place, publique, L'impératif, Imperative Tense, les prépositions, prepositions, donner des indications, give directions
Products
Buildings
Practices
Mapping a city center, visiting public spaces
Perspectives
In many Francophone countries, the buildings are very old! Much of the time, in the city center, there is a distinct mix of old and new buildings. The French especially value architecture, and have a distinct taste for plazas and downtowns that incorporate these ancient structures.
NCSSFL-ACTFL World-Readiness Standards
- Standard 1.1: Students engage in conversations or correspondence in French to provide and obtain information, express feelings and emotions, and exchange opinions.
- Standard 1.2: Students understand and interpret spoken and written French on a variety of topics.
- Standard 1.3: Students present information, concepts, and ideas in French to an audience of listeners or readers.
- Standard 2.1: Students demonstrate an understanding of the relationship between the practices and perspectives of the cultures of the francophone world.
- Standard 2.2: Students demonstrate an understanding of the relationship between the products and perspectives of the cultures of the francophone world.
- Standard 4.2: Students demonstrate understanding of the concept of culture through comparisons of francophone cultures and their own.
Idaho State Content Standards
- COMM 1.1: Interact and negotiate meaning (spoken, signed, written conversation) to share information, reactions, feelings, and opinions.
- COMM 2.1: Understand, interpret, and analyze what is heard, read, or viewed on a variety of topics.
- COMM 3.1: Present information, concepts, and ideas to inform, explain, persuade, and narrate on a variety of topics using appropriate media in the target language.
- CLTR 2.1: Analyze the significance of a product (art, music, literature, etc…) in a target culture.
- COMP 2.3: Compare and contrast authentic materials from the target culture with the learner’s culture.
NCSSFL-ACTFL Can-Do Statements
- I can ask for directions from one place to another.
- I can give directions to someone else.
- I can name one famous plaza in a French speaking country.
Materials Needed
Warm-Up
Warm-Up
1. Begin by introducing the Can-Dos for today's activity.
2. Then, in partners, give students 5 minutes to practice giving directions from one point in Boise to another. Assign each partnership as groupe A, B, C or D. Have them share aloud their directions with the group after.
- Groupe A: De Zoo Boise à Freak Alley
- Groupe B: De Morrison Center à Pioneer Cemetery
- Groupe C: De Flying M Coffeehouse à Julia Davis Park
- Groupe D: De Knitting Factory à Saint Luke’s Boise
Pour cette activité je vais vous mettre en groupe de deux (A, B, C, D). Avec votre partenaire, discutez les directions à suivre pour aller d’un endroit à un autre. Puis, vous allez les partager avec le reste du groupe.
Main Activity
Main Activity
1. Students will look at pictures of the public plazas from the French speaking world on the slideshow.
Je vais vous montre quelques images des places publiques du monde francophone.
2. Students should discuss what they notice about each plaza. Is there a statue? A fountain? Benches? People? Shops? Etc. Encourage them to elaborate on as much as they can.
Discutez avec le groupe ce que vous remarquez sur la place. Développez autant que possible.
3. Then, they should compare the plaza to that of Boise. Is there a plaza like that in Boise? Is the plaza from the French speaking country bigger? Smaller? Busier?
Puis, comparez la place dans la photo à la place de Boise. Est-ce que les deux sont similaires ? Différentes ? Comment ?
4. Repeat these steps for each image.
*Really encourage students to use the vocabulary!*
- une avenue, un bâtiment, un boulevard, une statue, une fontaine, un banc, un chemin, une rue, un coin, au bout de, au coin de, autour de, jusqu'à, près de, tout droit
Wrap-Up
Wrap-Up
Ask the following question(s) to finish the activity:
- Voulez-vous visiter une de ces places ? Laquelle ? (Do you want to visit one of these places? Which one?)
- Quelle est votre place préférée à Boise ? (What is your favorite place in Boise?)
- Quelle est votre place préférée en générale ? (What is your favorite place in general?)
Cultural Resources
Place de Verdun, Aix en Provence
End of Activity
- Can-Do statement check-in... “Where are we?”
- Read can-do statements and have students evaluate their confidence with cards.
- Encourage students to be honest in their self evaluation
- Pay attention and use feedback for future activities!
NCSSFL-ACTFL Can-Do Statements
- I can ask for directions from one place to another.
- I can give directions to someone else.
- I can name one famous plaza in a French speaking country.
|
oercommons
|
2025-03-18T00:36:56.220868
|
Camille Daw
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/75804/overview",
"title": "French Level 3, Activity 13: Les directions / Directions (Online)",
"author": "Mimi Fahnstrom"
}
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https://oercommons.org/courseware/lesson/104615/overview
|
Lesson Plan
Overview
This lesson plan aims to introduce B2 ESL students, aged 19 and above, to the concept of wind energy as a sustainable alternative to fossil fuels. Throughout the lesson, students will engage in various activities to discuss the benefits and challenges of wind energy, analyze vocabulary related to the topic, participate in group research and presentation tasks, engage in a debate or panel discussion, and reflect on the potential of wind energy. The lesson plan promotes critical thinking, vocabulary development, collaborative skills, and awareness of renewable energy sources.
Unleashing the Power of Wind Energy
Title of Lesson Plan: Unleashing the Power of Wind Energy
Audience: B2 ESL students, age: 19+
Overview: By engaging B2 ESL university students in research, critical thinking, group activities, and debates, this lesson plan facilitates a comprehensive exploration of the potential of wind energy and the importance of reducing reliance on fossil fuels. It encourages students to think analytically, propose sustainable solutions, and develop a deeper understanding of renewable energy concepts and their applications.
Objectives: By the end of the lesson, students will be able to:
- Discuss at least three potential benefits of wind energy as a sustainable alternative to fossil fuels.
- Analyze and identify at least two challenges associated with the implementation of wind energy.
- Propose at least three strategies for reducing reliance on fossil fuels through the utilization of wind energy.
Warm-up:
- Display a series of thought-provoking images related to renewable energy, including wind turbines, solar panels, and sustainable cities.
- Students will individually write down their initial thoughts and associations with the images.
- Pair students and have them discuss their responses, sharing their perspectives on the importance of clean energy.
Introduction to Wind Energy:
2. Provide an overview of wind energy, highlighting its role in reducing reliance on fossil fuels and its potential for sustainable energy production. Discuss the basic principles of wind turbines, their function, and the advantages of wind energy. Engage students by asking them to share any prior knowledge or experiences related to wind energy.
TEXT
Wind energy is a form of renewable energy that harnesses the power of wind to generate electricity. It plays a vital role in reducing reliance on fossil fuels and transitioning towards sustainable energy production. By capturing the kinetic energy of moving air, wind turbines convert it into usable electrical power, providing numerous environmental and economic benefits.
One of the primary advantages of wind energy is its ability to reduce dependence on finite fossil fuel resources such as coal, oil, and natural gas. Unlike fossil fuels, wind is an abundant and inexhaustible resource, making it a sustainable alternative for meeting our energy needs. By utilizing wind energy, we can mitigate the negative environmental impacts associated with fossil fuel extraction, combustion, and greenhouse gas emissions, thereby combating climate change and promoting a cleaner, healthier planet.
Wind energy also offers significant economic advantages. It creates job opportunities throughout the entire value chain, from manufacturing and installation to operation and maintenance. Moreover, wind power can enhance energy security by diversifying the energy mix, reducing vulnerability to price fluctuations and geopolitical tensions associated with fossil fuel imports. In addition, wind energy projects often contribute to local economies by stimulating investments, supporting local businesses, and providing landowners with additional income through lease agreements for wind turbine installations.
Furthermore, wind energy aligns with the principles of sustainable development by minimizing environmental impact. Compared to conventional power plants, wind turbines produce zero greenhouse gas emissions during operation, helping to mitigate climate change. They have a small physical footprint and can be installed on both land and offshore locations, allowing for flexibility and efficient use of available space. Additionally, advancements in turbine technology and grid integration techniques have improved efficiency and reliability, making wind energy an increasingly viable and competitive option for electricity generation.
In summary, wind energy plays a crucial role in reducing reliance on fossil fuels by providing a sustainable and environmentally friendly alternative for electricity production. Its abundant and renewable nature, combined with economic benefits and minimal environmental impact, make it a key component of the global energy transition towards a cleaner and more sustainable future. By harnessing the power of wind, we can unleash the potential of wind energy and contribute to a greener, more resilient energy system.
Wind turbines are innovative machines that harness the power of the wind to generate clean and sustainable electricity. They operate based on a set of fundamental principles that allow them to efficiently convert wind energy into usable electrical power. Understanding the basic principles of wind turbines, their function, and the advantages they offer is essential to appreciating the potential of wind energy as a renewable and environmentally friendly source of power.
At its core, a wind turbine consists of three main components: the rotor, the generator, and the tower. The rotor is the rotating part of the turbine and is equipped with several aerodynamically designed blades. When the wind blows, it exerts force on the rotor blades, causing them to rotate. This rotational motion is then transmitted to the generator, which is connected to the rotor. The generator converts the mechanical energy from the rotating blades into electrical energy through electromagnetic induction.
The function of a wind turbine is to capture the kinetic energy present in the wind and convert it into electricity. As the wind flows over the rotor blades, it creates a pressure difference between the two sides of the blade, generating lift. This lift force causes the blades to rotate, spinning the rotor. The rotational motion is then transferred to the generator, where it is transformed into electrical power.
One of the primary advantages of wind energy is its environmental sustainability. Unlike fossil fuels, wind energy production does not emit harmful greenhouse gases or pollutants that contribute to climate change and air pollution. By harnessing wind power, we can significantly reduce our carbon footprint and mitigate the adverse impacts of traditional energy sources. Wind energy is a clean and renewable resource that helps combat climate change and preserve the environment for future generations.
Another advantage of wind energy is its potential for energy independence and security. Wind is an abundant resource that is available in many regions around the world. By diversifying our energy sources and incorporating wind power into our energy mix, we can decrease our dependence on fossil fuels and enhance energy security. Wind energy projects also have the potential to stimulate local economies, create jobs, and provide opportunities for sustainable economic growth.
In addition to its environmental and economic benefits, wind energy offers scalability and adaptability. Wind turbines can be installed in various settings, including onshore and offshore locations, depending on the specific wind conditions. Advances in technology have made wind turbines more efficient and reliable, allowing for increased power generation and cost-effectiveness. The integration of wind energy into the existing power grid is becoming increasingly seamless, ensuring a stable and continuous supply of electricity.
In conclusion, wind energy and wind turbines play a pivotal role in our quest for sustainable and clean energy sources. By harnessing the power of the wind, we can generate electricity without depleting finite resources or causing harm to the environment. The basic principles of wind turbines, their function, and the advantages they offer make wind energy a compelling solution for reducing our reliance on fossil fuels and building a greener future.
Questions:
- Have you ever seen a wind turbine in person? If so, where was it and what were your impressions?
- What do you know about the concept of wind energy? How would you explain it to someone who has never heard of it before?
- Have you heard of any wind energy projects or initiatives in your country? If yes, please share what you know about them.
- Have you ever used any renewable energy sources in your daily life, such as solar power or wind power? If yes, please share your experience.
- Are there any specific countries or regions known for their extensive use of wind energy? What can you tell us about their approach and achievements in this field?
Vocabulary Building:
3. Introduce and discuss key vocabulary related to wind energy and sustainable practices. Include terms such as renewable energy, wind farm, turbine efficiency, grid integration, and carbon neutrality. Provide clear definitions, discuss their usage, and engage students in exercises to reinforce the vocabulary.
Vocabulary: Renewable Energy
- Renewable energy: Energy obtained from sources that can be naturally replenished, such as wind, solar, hydro, and geothermal power.
- Wind turbine: A device that converts the kinetic energy of wind into mechanical energy, which is then used to generate electricity.
- Wind farm: A collection of multiple wind turbines located in the same area, designed to generate electricity on a larger scale.
- Wind power: The use of wind turbines to harness the energy of wind and convert it into electrical power.
- Turbine blades: Long, aerodynamic blades attached to a wind turbine rotor that capture the wind's energy and drive the rotor's rotation.
- Rotor: The rotating part of a wind turbine that consists of the turbine blades and a hub, responsible for converting the wind's energy into rotational motion.
- Generator: A device within a wind turbine that converts the mechanical energy from the rotor's rotation into electrical energy.
- Wind speed: The measurement of the speed at which the wind is blowing, often expressed in meters per second or miles per hour.
- Wind direction: The direction from which the wind is blowing, typically indicated by the direction the wind is coming from.
- Clean energy: Energy derived from renewable sources that have minimal or no harmful environmental impacts.
- Sustainable practices: Actions and behaviors that aim to meet present energy needs without compromising the ability of future generations to meet their own needs.
- Carbon footprint: The total amount of greenhouse gas emissions, primarily carbon dioxide, produced directly or indirectly by an individual, organization, or product.
- Greenhouse gas emissions: Gases, such as carbon dioxide, methane, and nitrous oxide, released into the atmosphere, contributing to the greenhouse effect and climate change.
- Renewable resources: Natural resources that can be replenished or regenerated over time, such as sunlight, wind, water, and biomass.
- Energy efficiency: The ratio of useful energy output to the total energy input, aiming to minimize energy waste and optimize energy consumption.
- Offshore wind energy: Wind energy generated by wind turbines located in bodies of water, typically in coastal areas or offshore.
- Grid integration: The process of integrating renewable energy sources, like wind power, into the existing electrical grid system to ensure reliable and efficient energy supply.
- Wind resource assessment: The evaluation and measurement of the wind resources available in a particular location to determine the feasibility of wind energy projects.
- Energy transition: The gradual shift from fossil fuel-based energy systems to cleaner and more sustainable sources of energy.
- Decentralized energy: Energy generation and distribution that occurs at a smaller scale and closer to the point of consumption, reducing transmission losses and increasing local resilience.
Incomplete sentences that include the key vocabulary words related to wind energy and sustainable practices:
Instruction: Complete these sentences by filling in the blanks with the appropriate vocabulary words.
- The ________________ industry has experienced significant growth in recent years.
- The __________________ consists of three blades that capture the energy from the wind.
- ________________ is a form of clean energy that helps reduce greenhouse gas emissions.
- The __________________ is responsible for converting wind energy into electricity.
- When assessing wind potential, factors such as ________________ and ________________ are taken into consideration.
- Implementing __________________ can help reduce our dependence on fossil fuels.
- Offshore ________________ projects have the potential to generate large amounts of renewable energy.
- To achieve ________________, we need to promote energy efficiency and conservation practices.
- Wind farms contribute to the __________________ and reduce our environmental impact.
- A comprehensive __________________ aims to transition from fossil fuel-based energy to sustainable alternatives.
Benefits and Challenges of Wind Energy:
4. Divide the class into small groups and assign each group a specific aspect of wind energy to research. Topics can include environmental benefits, economic advantages, technological advancements, community engagement, and policy considerations. Instruct the groups to create presentations summarizing their findings, highlighting both the benefits and challenges associated with wind energy.
Group Activity: Wind Energy Proposal:
5. Form new groups, mixing students from different research groups, and assign them the task of developing a wind energy proposal for a hypothetical location. Instruct them to consider factors such as wind resource assessment, site selection, environmental impact, financial feasibility, and public acceptance. Encourage students to think critically and propose innovative solutions.
Debate and Discussion:
6. Organize a debate or panel discussion on the topic: "Wind Energy: The Future of Sustainable Power." Divide the class into two groups representing different viewpoints (e.g., pro-wind energy and skeptics). Provide time for preparation, allowing students to research, gather evidence, and formulate arguments. Conduct a structured debate or discussion, allowing students to present their perspectives, challenge opposing views, and engage in a respectful exchange of ideas.
Wrap-up and Reflection:
7. Conclude the lesson with a reflection activity where students individually write a short reflection on the potential of wind energy and reducing reliance on fossil fuels. Ask them to consider the most compelling arguments presented during the debate or discussion and share their own insights on the importance of transitioning to renewable energy sources.
Follow-up Activity:
8. Assign a research project for students to investigate real-life wind energy projects and initiatives implemented in different countries. They should explore the challenges faced, innovative solutions adopted, and the overall impact on reducing reliance on fossil fuels. Students present their findings in a subsequent class session.
References:
https://t4.ftcdn.net/jpg/00/39/85/57/360_F_39855763_aotk3VXV8jSXWzLShyHl2u4fyZzIVnLw.jpg
https://www.4coffshore.com/images/news/26780/26780.jpg
https://cdn.hswstatic.com/gif/agrivoltaics.jpg
https://images.theecoexperts.co.uk/wp-content/uploads/2021/09/Solar-panels-in-field-1.jpeg
https://www.tesla.com/sites/default/files/solarpanels/design/solar-panel-closeup.jpg
https://cat.imgix.net/2019/02/pv_solar_panels_CAT.jpg?fm=pjpg&ixlib=php-3.3.1
https://i.pinimg.com/236x/b8/77/28/b877284aa712fa16934a962c5fe10c44.jpg
https://u4d2z7k9.rocketcdn.me/wp-content/uploads/2021/12/Untitled-design-2021-12-09T135040.749.jpg
https://urbanasiadotblog.files.wordpress.com/2020/12/daniel-welsh-thix6rdj1bw-unsplash.jpg?w=1024
Resources:
- American Wind Energy Association (AWEA) - AWEA is a national trade association for the U.S. wind industry. Their website provides information on wind energy development, policy, market trends, and resources for educators: https://www.awea.org/
- Global Wind Energy Council (GWEC) - GWEC is an international trade association representing the wind power sector worldwide. Their website offers reports, statistics, and news on global wind energy developments: https://gwec.net/
- International Renewable Energy Agency (IRENA) - IRENA is an intergovernmental organization that supports the transition to renewable energy. They have publications, reports, and data on wind energy and its global deployment: https://www.irena.org/
- National Renewable Energy Laboratory (NREL) - NREL is a research laboratory in the U.S. that focuses on renewable energy technologies. Their website provides resources, reports, and research papers on wind energy: https://www.nrel.gov/
- European Wind Energy Association (EWEA) - EWEA (now merged with SolarPower Europe to form WindEurope) is an association representing the wind power sector in Europe. Their website offers insights, reports, and policy updates on wind energy in Europe: https://windeurope.org/
- U.S. Department of Energy (DOE) - The DOE's website provides information on wind energy technologies, research, development, and policies related to wind power in the United States: https://www.energy.gov/eere/wind
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oercommons
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2025-03-18T00:36:56.278493
|
06/04/2023
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/104615/overview",
"title": "Lesson Plan",
"author": "Tatiana Teplic"
}
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https://oercommons.org/courseware/lesson/123331/overview
|
PAST, PRESENT AND FUTURE OF INFORMATION RETRIEVAL EXPERIMENTS
Overview
Information retrieval (IR) evaluation trials are essential for determining the accuracy and efficiency of IR models, algorithms, and systems. These tests aim to assess a system's ability to retrieve pertinent data in response to user enquiries. These studies, which frequently involve a test collection that includes documents, queries, and relevance judgements, are intended to determine how well a system works on a specific set of activities.
PAST, PRESENT AND FUTURE OF INFORMATION RETRIEVAL EXPERIMENTS
History of IR Experiments
Since the early days of computerization, when the possibility of automating document indexing and retrieval was first recognized, information retrieval has existed as a field for fifty years. In fact, the field’s first research was conducted without the aid of computers. The discipline has had a strong experimental heritage from its inception. One of the things that sets information retrieval apart from its more theoretically orientated father, information science, is its emphasis on empirical validation and evaluation. As old as information retrieval itself is the history of information retrieval evaluation, which is the focus of this thesis. One of the discipline’s advantages had been its long history of experimentation. But one could argue that an overabundance of empiricism has limited the field’s scope. In the meantime, current experimental approaches face significant problems due to the growth of the web and the significance of web search engines.
Types of IR Experiments
There are five types of IR experiments, these are:
- The Cranfield Tests (Cranfield 1 and 2)
- Smart Retrieval experiments
- MEDLARS Test
- The STAIRS project
- TREC Experiment: The Text Retrieval Conference
The Cranfield Tests:
Cranfield Test 1
The Cranfield 1 study, led by C. W. Cleverdon, was the first comprehensive assessment of information retrieval systems conducted in Cranfield, UK. Cleverdon's 1962 report on the first Cranfield Study, which started in 1957.
Parameters of the System
18,000 indexed items and 1200 search topics were used in the investigation. The documents were selected evenly from the general public, with half being research reports and the other half being magazine pieces. Field of high-speed aerodynamics, which is a subfield of aeronautics.
Three indexes were selected: one with prior indexing experience, one with subject understanding, and one straight out of library school with no prior indexing or subject knowledge.
Each indexer was instructed to spend 2, 4, 8, 12, and 16 minutes indexing each source page five times. Thus, a set of 6000 indexed items was created from 100 source documents (100 documents X 3 indexers X 4 systems X 5 times). The system operated on a total of 18,000 (6000 X 3 phases) indexed items since each of these 6000 items was examined in three different locations. In order to determine whether the level of performance rose as system personnel's expertise increased, the test was divided into three parts.
Significance
In many respects, the Cranfield 1 test results ran counter to popular wisdom about the nature of information retrieval systems. The test demonstrated that an indexer’s experience and subject-matter background have no bearing on a system's performance. It demonstrated that systems that arrange documents according to a faceted classification scheme perform worse than the uniterm and alphabetical index systems. It established for the first time the approaches that could be used effectively in assessing information retrieval systems and identified the key elements that influence their performance. Furthermore, it demonstrated the negative relationship between recall and precision, which are the two most crucial factors in assessing the effectiveness of information retrieval systems.
Significant results from Cranfield’s study include the following:
- Non-technical indexers could produce high-quality indexing;
- Indexing times longer than four minutes did not significantly improve performance.
- The system’s recall and precision rates were 70–90% and 8–20%, respectively.
- A 3% decrease in recall could result from a 1% increase in precision.
- All four indexing techniques provided performance that was largely comparable; recall and precision were inversely correlated.
Methodology
- Several individuals from various organizations were asked to choose documents from the collection and, in each instance, to formulate a question that the document would address.
- The project made use of pre-made enquiries that were created prior to the start of the real search. In all, 400 queries were created, and the system handled each one in its three stages. As a result, the system processed 1200 search requests in total.
- The indexers were given the questions.
Results
- With a recall percentage ranging from 60% to 90% and an overall average of 80%, all four systems were functioning effectively.
- The following were the average recall ratios for the various systems:
- 81.5% of Index alphabetically
- 74% of faceted classification
- 76% of the UDC Scheme
- 82% of Uniterm Indexing
- The faceted classification scheme's recall factor then raised to 83% after the facet sequence was changed. The chance of recall increased as indexing time increased. The following were the recall ratios for various timings:
Times (in minutes) Recall (%)
2 73
4 80
8 74
12 83
16 84
It was challenging to explain the apparent decline in efficiency at the 8 minutes level. Cleverdon himself is unable to provide an explanation.
- The retrieval of documents indexed by the three distinct indexers did not differ significantly. Stated differently, there was no discernible variation in the three indexers' performances.
- It was found that retrieving papers in general aeronautics domains had success rates that were 4-5% higher than those in specialized fields like high-speed aerodynamics.
- The third group’s 6000 item success rate was 3-4% higher than the second group's, indicating that the third group’s papers were better indexed. In other words, despite lacking subject knowledge, skilled indexers without prior indexing experience were able to consistently produce high-quality indexing work.
Cranfield Test 2
The shortcomings of Cranfield 1 made additional research necessary. Cranfield 2 the second phase of the Cranfield studies started in 1963 and ended in 1966.The Cranfield 2 was a controlled experiment designed to look into the elements of index languages and how they affect retrieval system performance. The impact of the different index language devices on a retrieval system's recall and precision was assessed in Cranfield 2. In order to evaluate the impact, this study varied each component while holding the others constant. By introducing real-world scenarios and enabling feedback mechanisms between indexers and users, Cranfield 2 addressed some of the shortcomings of Cranfield I.
Scope
The Cranfield 2 test was created for information retrieval research, specifically to assess how well IR systems can employ user queries to extract pertinent information from a vast collection of documents. Its scope consists of:
- It examines a number of retrieval models, including probabilistic, vector space, and Boolean search models.
- A collection of technical papers, journals, or abstracts that are pertinent to a certain field in Cranfield's instance, the military or aeronautics is known as a document collection.
- A collection of search terms that are used to ask the document collection for information.
Methodology
The following crucial steps are part of the Cranfield 2 test methodology:
- Documents from a predetermined corpus are used. It usually contains 1,400 items (research papers, articles, etc.) for Cranfield 2.
- The retrieval system is tested using a set of 75 queries. These queries are examples of common search terms that a user might use to find specific information in the corpus of documents.
- The relevancy of the documents for each inquiry is assessed by human assessors. A document's relevance to a particular query is indicated by its marking. Though occasionally a graded scale is employed, this assessment is usually binary (relevant or not relevant).
- The responsibility of retrieving materials in answer to each inquiry falls to the information retrieval system (the testing subject).
- Performance metrics are calculated by comparing the recovered documents to the relevance judgements.
- To evaluate the retrieval system's performance, the results are examined. It is possible to compare several models or methods.
Results
The Cranfield 2 results were rather surprising because, in addition to confirming the inverse relationships between recall and precision, they displayed that:
- Using a natural language single term index, like Uniterm, based on words found in document texts, produced the best performance result;
- Efficiency decreased as a result of the natural language construction of term classes or groups that went beyond the stage of actual synonyms or word forms;
- The basic accuracy of coordination was more effective than the use of precision devices like partitioning or intermixing;
- It was proposed that removing synonyms is beneficial and that terms extracted from texts might be used effectively in a post-coordinate index with little control. However, any attempts to regulate the vocabulary are likely to make it less effective;
- When ideas were employed for indexing, the addition of superordinate, subordinate, and collateral classes to the original concepts made the system performance worse.
- The performance declined when both narrower and broader terms were added to the thesaurus’s-controlled languages; and
- Index languages derived from titles outperformed those derived from abstracts.
Present use of Cranfield 2 Test
- Against evaluate the performance of traditional IR models (such as the Boolean or Vector Space Model) against more recent methods, some researchers continue to employ the Cranfield 2 test. It is employed to illustrate how IR approaches have evolved and changed throughout time.
- The Cranfield 2 test is used in introductory IR research, where the objective is to illustrate and clarify fundamental IR ideas. In order to comprehend how relevance and evaluation in information retrieval were handled in the past, more recent academics in the subject could utilize it as a historical case study.
- The Cranfield 2 dataset may be used as part of baseline studies in some research publications that concentrate on the assessment of IR systems or the creation of new metrics in order to demonstrate how their suggested approaches stack up against conventional systems.
- The Cranfield 2 test is no longer the main instrument used to assess contemporary IR systems. Nonetheless, its impact endures in the field’s foundational, historical, and educational facets. More like a legacy benchmark, it aids academics in contrasting early retrieval models with more recent methods. Advanced analytics, real-world dynamic material, and bigger datasets are now all part of modern IR evaluation.
Future of Cranfield tests
The Cranfield test will probably need to be significantly modified in the future to address the difficulties of contemporary information retrieval. More real-world complexity, such as personalized search, multimodal data, and interactive evaluation, will be incorporated into the conventional framework of controlled evaluation based on precision and recall.
Future Cranfield-style experiments will also need to adopt new evaluation measures, concentrate on ethics and justice, and consider the environmental sustainability of retrieval systems as AI and deep learning continue to propel advances in IR. With these modifications, the Cranfield test will continue to be a useful instrument for assessing IR systems in a quickly evolving technical environment.
Smart Retrieval experiment
Gerard Salton evaluated the several searching options provided by the SMART retrieval system under laboratory conditions. The system was introduced in 1964 and is based on the processing of abstracts in natural language forms.
For the development and assessment of automated retrieval methods, the SMART retrieval system provided a special experimental setting. In the SMART system, a set of weighted terms (also known as term vectors) represented documents, and a term assignment array represented a group of documents. Every term had a weight, which was zero if an index term wasn’t actually given to a document and positive if it was. Similar to this, a vector of query phrases was used to represent a single question. The document vector was created via automatic indexing with the term discrimination model.
The capacity of index terms to raise the average dissimilarity of document descriptions in a database was the basis for this model’s evaluation. The average dissimilarity of the documents in the collection rose with a good indexing word and fell with a bad one. Following that, terms were given discrimination values based on how much they increased or decreased the average document dissimilarity. The degree of similarity between the query and document vectors served as the basis for retrieval.
Scope
- Enhances accuracy and relevance by utilising cutting-edge methods such as machine learning, natural language processing (NLP), and semantic comprehension. Smart retrieval interprets the meaning of searches by doing more than just matching keywords.
- Unlike conventional retrieval systems that depend on keyword searches or exact matches, semantic search efforts aim to comprehend the meaning of a query. To do this, relationships between concepts are mapped using knowledge graphs and deep learning.
- Grouping related papers, files, or data points together according to patterns using clever retrieval procedures, which enables the system to provide more grouped and pertinent results.
Methodology
A collection of 1268 abstracts in the field of library science and documentation, largely published in American documentation, 1963-1964, and also in some other. For this experiment, journals were used. Eight distinct individuals with knowledge of the topic, either as librarians or library science students, were requested to create 48 distinct search queries in the documentation area using clear, grammatically accurate English. After each of the eight individuals submitted their inquiry, a total of 48 queries were examined utilizing the several search options provided by the SMART system against a file containing 1268 data.
Next, after receiving the content of the document abstracts, each participant was asked to rate each abstract's applicability to each of his six questions. The relevance feedback was a crucial component of the SMART trial. The system recalculates the weight of the items in the database if the user can specify which items are relevant and which are not in an initial output. This is accomplished by giving the qualities connected to the relevant items more weight and decreasing the weights connected to the non-relevant ones. Four sets of evaluations were contrasted.
Results
Under typical conditions, it was discovered that assessing performance for a range of processing techniques necessitated looking at the order of the associated recall-precision curves rather than a thorough comparison of the actual values for precision and recall. It was observed from a ranking of the recall-precision graphs produced by the various processing techniques, that Changes in the relevance judgements had no effect on the relative performance of the different retrieval methods, despite the fact that the groups’ general consistency of relevance agreements was not very high. The ranking of alternative search methods was the same across four sets of relevance evaluations. More precisely, the thesaurus process outperformed the word stem match by a little margin, while the word form process was shown to be weaker than the other two processes.
Future of SMART Retrieval Experiment
Keyword-based, static models will give way to intelligent, interactive, personalized, and multimodal systems powered by AI, deep learning, and natural language processing in the future of SMART retrieval research. In addition to retrieving pertinent data, these future technologies will enhance user experience, adjust to contextual and individual demands, and guarantee accuracy, fairness, and practical applicability. These advancements will be influenced by the SMART foundation, which will assist contemporary IR systems in tackling information retrieval problems that are becoming more intricate, varied, and dynamic.
MEDLARS Test
Small collections were used for the majority of the evaluation investigations. The National Library’s Medical Literature Analysis and Retrieval System (MEDLARS) performance was founded on the extensive MEDLARS database, which at the time of its creation in August 1966–July 1967 had 7,50,000 records pertaining to medical literature on magnetic tape. It was the first significant assessment of an operating system retrieval system. Monthly editions of Index Medicus were produced from the MEDLARS tape, and terms used to index the articles' subjects were taken from a Medical Subject Headings thesaurus (MeSH), which at the time included roughly 7000 primary subject headings.
Scope
The National Library of Medicine (NLM) created MEDLARS (Medical Literature Analysis and Retrieval System) in the early 1960s. Its goal was to make it easier to find information on medical and health-related publications. In order to facilitate access to vital medical information for researchers, medical professionals, and institutions, the primary objective was to index and catalogue biomedical literature.
In order to give academics and medical professionals access to vital medical information, MEDLARS was created to index and retrieve medical literature. Its goal was to provide access to information and included a broad range of biomedical topics.
Methodology
Initially, a sample work statement was created that included a list of questions to be addressed in the MEDLARS study. It was determined that 300 evaluated queries that is, fully analyzable test search requests were required to offer a sufficient test. As far as feasible, the variety of questions should reflect the typical need for information on various topics covered in medical literature, such as illnesses, medications, public health, and so forth. Stratified sampling of the medical facilities from which demands had originated in 1965 and answering enquiries from the sample facilities allowed for representativeness throughout the course of a year. Additionally, it was agreed to include all types of users (government, academic, research, pharmaceutical, and clinical) in the exam and to require them to provide a specific number of test questions. This is how the twenty-one user groups were chosen. After the user group submitted about 410 queries, 302 of them were thoroughly assessed and utilized in the MEDLARS test.
After receiving the submitted queries, MEDLARS personnel used a suitable combination of MeSH terms to create a search formulation (also known as a query designation) for each query. A computer search was then proceeded with as usual. Each user was then requested to submit a list of recent publications that he believed were pertinent to his question. A computer output of references was the outcome of a search. 25 to 30 things were chosen at random from the list, and photocopies of these were given to the searcher for relevance evaluation because the total number of items retrieved could be high (some searches returned more than 500 references).
Each object that was retrieved was to be marked by the user using the following scales:
H1 – of major value;
H2 – of minor value;
W1 – of no value;
W2 – of undetermined value;
The following formula was used to determine the search precision based on these figures:
Ratio of precision = ((H1 + H2)/L) X 100
(The number of sample items retrieved is indicated by L.)
Results
An average of 175 references were returned for each search, with an overall accuracy ratio of 50.4%. This means that roughly 87 of the 175 references that were typically returned were deemed irrelevant. The recall ratio for overall was 57.7%, according to an indirect calculation. An overall recall ratio of 57.7% suggests that almost 150 references should have been located, but 62 were overlooked, based on an average search and the assumption that roughly 88 of the references found were pertinent. Nevertheless, each of the 302 searches' memory and precision ratios were examined, and the MEDLARS test was used to average the individual ratios. Here the results are:
Overall Major value
Recall ratio 57.7% 65.2%
Precision ratio 50.4% 25.7%
Present application of MEDLARS
Although MEDLARS is no longer in use, the MEDLINE database, which developed from MEDLARS, carries on its heritage. Modern systems like PubMed were developed in part thanks to the fundamental technology and ideas outlined by MEDLARS.
- MEDLINE and PubMed: Millions of citations and abstracts from biomedical literature are available through PubMed, a free online search engine run by the National Library of Medicine, making MEDLINE the principal database for medical literature today. Researchers, physicians, and students can look for excellent, peer-reviewed journal articles in a variety of medical specialties using PubMed. Originally created for MEDLARS, the MeSH system is still in use today to help with efficient information retrieval and searching in PubMed and MEDLINE.
- Connectivity to Other Databases: Contemporary information retrieval systems are a reflection of the concepts and procedures established in MEDLARS. Similar indexing, keyword labelling, and standardized terminologies are already common in many contemporary biomedical databases. For example, PubMed’s connections to other health databases like Cochrane, EMBASE, and CINAHL enhance access to thorough medical data.
Future of MEDLARS
- PubMed, MEDLINE, and other research databases are already using machine learning (ML) and artificial intelligence (AI) technology to enhance recommendation systems, search accuracy, and personalization.
- More advanced methods for locating research papers, clinical trials, and other medical material will be made available by AI-powered search engines, improving the effectiveness and accuracy of search results.
- Making sure that medical literature databases like PubMed are available in numerous languages, interact with international repositories, and promote cooperation across various healthcare systems will become increasingly important as international collaboration in medical research grows.
- More global collaborations and interconnected databases may be a part of new systems, which would make clinical and research data widely available and usable.
- More interactive interfaces with the ability to refine searches with voice commands, visual searching tools, and even virtual assistants are probably in store for medical literature search engines in the future.
- Researchers and physicians will be able to search databases using natural language processing (NLP) technology, which will make it simpler to retrieve pertinent information.
The STAIRS project
Blair and Maron (1985) released a report on a large-scale experiment designed to assess a full-text search and retrieval system’s retrieval efficacy. The Storage and Information Retrieval System (STAIRS) Study is the name given to this.
Methodology
Nearly 40,000 documents, or about 350,000 pages of hard copy text used in the defence of a major corporate lawsuit, made up the database that the STAIRS study looked at. One significant aspect of STAIRS was that attorneys using the system for litigation support required that 75% of all the documents pertinent to a particular request be retrievable. The primary purpose of the STAIRS evaluation was to determine how well the system could retrieve all of the documents and only those that were pertinent to a particular request using precision and recall metrics.
By dividing the total number of “vital”, “satisfactory,” and “marginally relevant” documents by the total number of documents recovered, the precision of the STAIRS Project was determined. The recall was calculated using a sampling technique. Samples were drawn at random and the solicitors assessed these. It was estimated that there was a total of pertinent papers in these subsets.
Results
Of the 51 requests, 40 had their recall and precision values calculated, while the remaining 11 were utilised to test sampling techniques and take potential bias into consideration when evaluating retrieval and sample testing. In percentage terms, accuracy became more significant than 100%. The customer naturally wishes to reformulate the query by adding more and more search phrases to bring the output size down to a tolerable level, as they point out that it is impractical for the user to peruse a retrieved set of several thousand documents. This is their attempt to figure out why, in response to a request, STAIRS could only get one of five relevant objects.
Future of The Stairs Project
Semantic, user-centered, and scalable retrieval systems are the way of the future for the Stairs Project in information retrieval. Future systems will expand on the basic work of the Stairs Project by combining AI, NLP, machine learning, and multimodal data retrieval as more data becomes connected and accessible in various formats. In addition to resolving privacy, bias, and ethical issues, they will be able to deliver more precise, contextually aware, and tailored search results across ever-more complex and linked datasets. To put it briefly, Stairs-like systems will develop to accommodate the expanding volume and complexity of the data-driven world, enhancing our ability to access and utilize information in various fields.
TREC Experiment: The Text Retrieval Conference
It has been noted that practically all of the previous evaluation studies were unconnected to the real-life situation and were based on a small data collection. The main challenge for IR researchers was to base the evaluation tests on a sizable test collection that mirrored real-world scenarios and had the infrastructure to support them. Under these conditions, the TREC (Text Retrieval Conference) series of information retrieval experiment was established in 1991 to allow IR researchers to progress from small data collection to larger experiments. The TREC series is run by the National Institute for Science and Technology (NIST) and funded by the Defence Advanced Research Project Agency (DARPA, USA).
Since its start, the TREC series of experiments has attracted the interest of LIS professionals worldwide and demonstrated that international cooperation and efforts may yield important research findings.
Scope
In several TREC studies, a broad variety of information retrieval techniques were examined (i.e. from TREC 1 in 1992 to TREC 12 in 2003). Boolean search, statistical and probabilistic indexing, and term weighting strategies are a few noteworthy examples. Other examples include: retrieving passages or paragraphs; combining the results of multiple searches; retrieving based on previous relevance assessments; indexing phrases based on natural language and statistics; expanding and reducing queries; searching using strings and concepts; searching using dictionaries; question-answering; content-based multimedia retrieval.
Methodology
To oversee the TREC activities, a program committee of representatives from academia, industry, and government was established. NIST supplied a test set of papers and questions for every TREC. After TREC participants ran their own retrieval system on the data, they sent a list of the top-ranked documents they had recovered to NIST, where the results were reviewed after the retrieved documents were judged to be correct and the individual findings were combined. A workshop serves as a platform for participants to share their experiences when the TREC cycle comes to a finish. The most recent TREC workshop, which is held annually, was the 12th in the series and took place at NIST in 2003.
Results
Results from the TREC series of tests have been quite noteworthy and intriguing. Every experiment’s result, together with particular reports, are routinely posted on the TREC website (http://trec.nist.gov). Several significant conclusions from the TREC experiments:
- ‘pooling’ was determined to be more than sufficient for test collecting in producing the sample results for relevance judgements.
- It appears that automatic query generation from natural language questions performs as well as or better than manual query construction, which is encouraging for organizations who advocate for the use of straightforward NLP interfaces for retrieval systems.
- When the number of documents per subject increased from 200 to 1000 and the database size increased from 1 GB to 3 gigabytes, TREC 2 showed a significant improvement in retrieval performance over TREC 1 in terms of the routing task.
- Despite several experimental designs, the level of performance remained the same. For example, some groups used the topic statements to automatically produce queries, while others did so manually; Many systems lacked relevance feedback; the computer platforms employed ranged from personal computers to supercomputers.
- Variations in the precision-recall curve were negligible.
- Despite the comparable precision-recall results, the actual documents retrieved showed a significant amount of variation.
Present application of TREC
- TREC is still a crucial event for assessing how well information retrieval systems and search engine’s function. To enable comparisons between various methods, researchers and businesses submit their systems to TREC for benchmarking against standardised test datasets. This is particularly important for search engines that are utilised in domains like: Internet search, e.g., Bing, Google; Enterprise search, for business databases; specialised search, in the domains of science, medicine, or law.
- As the use of multimedia (audio, video, and image) becomes more prevalent, TREC’s Multimedia Retrieval tracks aid in evaluating systems that can index and retrieve non-textual data in response to queries.
- To give an example, the Legal Information Retrieval track is frequently used to compare systems made for the legal sector, where it is essential to locate pertinent statutes, case law, and documents. Courts, legal technology firms, and law firms all depend on this application.
- Personalised search systems that consider user preferences and behaviour have become a greater emphasis of TREC. Systems that can adjust and customise outcomes based on user data are becoming increasingly crucial as desire in personalised experiences grows.
Future of TREC
Machine learning, multimodal data, personalization, ethics, and real-time retrieval are all expected to present new opportunities and difficulties for TREC in information retrieval in the future. With a greater emphasis on the systems’ practicality, TREC will remain a vital platform for assessing and comparing the most advanced IR methodologies. This entails broadening the definition of IR to encompass cross-modal, cross-lingual, and customized search experiences in addition to text-based retrieval. TREC will continue to be a major force behind innovation in IR as the discipline develops, assisting practitioners and researchers in testing and improving systems that will influence information retrieval in the future.
Reference
- Chowdhury, G.G. (2010). Introduction to Modern Information Retrieval (3rd ed.). London: Facet publishing.
- https://www.egyankosh.ac.in/bitstream/123456789/76420/1/Unit-5.pdf
- TREC: Experiment and Evaluation in Information Retrieval. Retrieved from https://aclanthology.org/J06-4008.pdf
- Ellen M. Voorhees. (n.d.). TREC: Improving information access through evaluation. Retrieved from https://doi.org/10.1002/bult.2003.1720320105
- The SMART information retrieval project. Retrieved from https://DOI:10.3115/1075671.1075771
- STAIRS Redux: Thoughts on the STAIRS Evaluation, Ten Years after. Retrieved from
https://yunus.hacettepe.edu.tr/~tonta/courses/spring2008/bby703/Blair.pdf
- Retrieved from https://trec.nist.gov/
- The Information Retrieval Experiment Platform. Retrieved from
https://arxiv.org/pdf/2305.18932v1
- Recent Developments in the Evaluation of Information Retrieval Systems: Moving Towards Diversity and Practical Relevance. Retrieved from
https://www.researchgate.net/publication/220166136
- SMART Information Retrieval System. Retrieved from
https://en.wikipedia.org/wiki/SMART_Information_Retrieval_System
- Cranfield experiments. Retrieved from
https://en.wikipedia.org/wiki/Cranfield_experiments
- Retrieved from https://ebooks.inflibnet.ac.in/lisp7/chapter/evaluation-and-measurement-of-information-retrieval-system/
- Retrieved from https://www.semanticscholar.org/paper/The-Cranfield-tests-Jones/5f321ab884bd97d58784dd1f6b08f054ec256d57
- Retrieved from https://trec.nist.gov/data/interactive.html
|
oercommons
|
2025-03-18T00:36:56.380896
|
12/22/2024
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/123331/overview",
"title": "PAST, PRESENT AND FUTURE OF INFORMATION RETRIEVAL EXPERIMENTS",
"author": "SULTANA KHATUN SHEIKH"
}
|
https://oercommons.org/courseware/lesson/79493/overview
|
French Level 4, Activity 12: Pictionary Review (Online)
Overview
In this activity students will review vocabulary related to the performing arts and theater by playing a game of Pictionary.
Activity Information
Did you know that you can access the complete collection of Pathways Project French activities in our new Let’s Chat! French pressbook? View the book here: https://boisestate.pressbooks.pub/pathwaysfrench
Please Note: Many of our activities were created by upper-division students at Boise State University and serve as a foundation that our community of practice can build upon and refine. While they are polished, we welcome and encourage collaboration from language instructors to help modify grammar, syntax, and content where needed. Kindly contact pathwaysproject@boisestate.edu with any suggestions and we will update the content in a timely manner.
Pictionary Review
Description
In this activity students will review vocabulary related to the performing arts and theater by playing a game of Pictionary.
Semantic Topics
Pictionary, review, performing arts, theater, revue, théâtre, arts du spectacle
Products
Theater pieces, performances
Practices
Supporting the performing arts, attending musical theater performances, orchestra concerts, ballets, etc.
Perspectives
How are the performing arts valued in French culture?
Materials Needed
- Word Bank
- White Boards (via Zoom)
- Random Number Generator (search on Google)
Main Activity
Main Activity
Important Notes:
- Make sure that you have screen sharing enabled for all participants. In order to play Pictionary, all students need to be able to share their own Whiteboard through Zoom.
- Try not to repeat vocab words. If the number generator generates a number that’s already been done, try again until you get an unused number.
- It might be helpful to highlight numbers that have already been done on the Word Bank document. Just make sure to undo any modifications once you’ve finished the activity.
Aujourd'hui, nous allons réviser le vocabulaire du théâtre en jouant Pictionary.
1. Pull up a random number generator. This can be found simply by googling “Random Number Generator”
- Set the max. to 40
2. Choose a student to start the game of Pictionary, and use the random number generator to assign them a number between 1 and 40.
- This number corresponds to a vocabulary term from the Word Bank document.
- Send this vocab word to the student directly via the chat. *Make sure that you send it to only them and not everyone*
Quand c'est votre tour, vous allez choisir un nombre entre 1 et 40. Selon ce nombre, je vais vous envoyer un mot dans le chat.
3. Once they have their word, they will then share their screen and select “Whiteboard”
Partagez votre écran et choisissez "Whiteboard."
4. From there, they will choose “Draw” from the taskbar and begin drawing their vocab word.
Puis, vous allez choisir "Draw" de la barre des tâches et commencer à dessiner votre mot.
5. The other students will try and guess the word based on the drawing.
Les autres doivent essayer de diviner le mot selon le dessin.
6. If they’re having a hard time figuring it out, encourage them to ask their classmate questions.
S'il est difficile de diviner le mot, demandez des questions à votre camarade de classe. Voilà quelques exemples :
- Examples of questions:
- Ce mot, est-ce qu'il est masculin ou feminin ? (Is the word masculine or feminine?)
- Ce mot, est-ce qu'il est un nom ou un verbe ? (Is the word a noun or a verb?)
7. Repeat these steps until all the vocab words have been guessed or until time runs out.
Nous allons répéter ces étapes jusqu'à la fin de l'activité.
Wrap-Up
Wrap-Up
Ask the following question(s) to finish the activity:
- Avez-vous des questions ? (Have any questions?)
Cultural Resources
https://www.whatparis.com/theater-history-paris.html
http://www.discoverfrance.net/France/Theatre/DF_theatre.shtml
|
oercommons
|
2025-03-18T00:36:56.411831
|
Camille Daw
|
{
"license": "Creative Commons - Attribution - https://creativecommons.org/licenses/by/4.0/",
"url": "https://oercommons.org/courseware/lesson/79493/overview",
"title": "French Level 4, Activity 12: Pictionary Review (Online)",
"author": "Mimi Fahnstrom"
}
|
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