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CONTENTS vii
CHAPTER 7
Optimization 198
7.1 Introduction and Background 199
7.2 One-Dimensional Optimization 202
7.3 Multidimensional Optimization 211
7.4 Case Study: Equilibrium and Minimum Potential Energy 213
Problems 215
CHAPTER 8
Linear Algebraic Equations and Matrices 227
8.1 Matrix Algebra Overview 229
8.2 Solving Linear Algebraic Equations with MATLAB 238
8.3 Case Study: Currents and Voltages in Circuits 240
Problems 244
CHAPTER 9
Gauss Elimination 248
9.1 Solving Small Numbers of Equations 249
9.2 Naive Gauss Elimination 254
9.3 Pivoting 261
9.4 Tridiagonal Systems 264
9.5 Case Study: Model of a Heated Rod 266
Problems 270
CHAPTER 10
LU Factorization 274
10.1 Overview of LU Factorization 275
10.2 Gauss Elimination as LU Factorization 276
10.3 Cholesky Factorization 283
10.4 MATLAB Left Division 286
Problems 287
viii CONTENTS
CHAPTER 11
Matrix Inverse and Condition 288
11.1 The Matrix Inverse 288
11.2 Error Analysis and System Condition 292
11.3 Case Study: Indoor Air Pollution 297
Problems 300
CHAPTER 12
Iterative Methods 305
12.1 Linear Systems: Gauss-Seidel 305
12.2 Nonlinear Systems 312
12.3 Case Study: Chemical Reactions 320
Problems 323
CHAPTER 13
Eigenvalues 326
13.1 Mathematical Background 328
13.2 Physical Background 331
13.3 The Power Method 333
13.4 MATLAB Function: eig 336
13.5 Case Study: Eigenvalues and Earthquakes 337
Problems 340
CHAPTER 14
Linear Regression 346
14.1 Statistics Review 348
14.2 Random Numbers and Simulation 353
14.3 Linear Least-Squares Regression 358
14.4 Linearization of Nonlinear Relationships 366
14.5 Computer Applications 370
14.6 Case Study: Enzyme Kinetics 373
Problems 378
CONTENTS ix
CHAPTER 15
General Linear Least-Squares and Nonlinear Regression 385
15.1 Polynomial Regression 385
15.2 Multiple Linear Regression 389
15.3 General Linear Least Squares 391
15.4 QR Factorization and the Backslash Operator 394
15.5 Nonlinear Regression 395
15.6 Case Study: Fitting Experimental Data 397
Problems 399
CHAPTER 16
Fourier Analysis 404
16.1 Curve Fitting with Sinusoidal Functions 405
16.2 Continuous Fourier Series 411
16.3 Frequency and Time Domains 414
16.4 Fourier Integral and Transform 415
16.5 Discrete Fourier Transform (DFT) 418
16.6 The Power Spectrum 423
16.7 Case Study: Sunspots 425
Problems 426
CHAPTER 17
Polynomial Interpolation 429
17.1 Introduction to Interpolation 430
17.2 Newton Interpolating Polynomial 433
17.3 Lagrange Interpolating Polynomial 441
17.4 Inverse Interpolation 444
17.5 Extrapolation and Oscillations 445
Problems 449
CHAPTER 18
Splines and Piecewise Interpolation 453
18.1 Introduction to Splines 453
18.2 Linear Splines 455
18.3 Quadratic Splines 459
18.4 Cubic Splines 462
18.5 Piecewise Interpolation in MATLAB 468
18.6 Multidimensional Interpolation 473
18.7 Case Study: Heat Transfer 476
Problems 480
x CONTENTS
CHAPTER 19
Numerical Integration Formulas 488
19.1 Introduction and Background 489
19.2 Newton-Cotes Formulas 492
19.3 The Trapezoidal Rule 494
19.4 Simpson’s Rules 501
19.5 Higher-Order Newton-Cotes Formulas 507
19.6 Integration with Unequal Segments 508
19.7 Open Methods 512
19.8 Multiple Integrals 512
19.9 Case Study: Computing Work with Numerical Integration 515
Problems 518
CHAPTER 20
Numerical Integration of Functions 524
20.1 Introduction 524
20.2 Romberg Integration 525
20.3 Gauss Quadrature 530
20.4 Adaptive Quadrature 537
20.5 Case Study: Root-Mean-Square Current 540
Problems 544
CHAPTER 21
Numerical Differentiation 548
21.1 Introduction and Background 549
21.2 High-Accuracy Differentiation Formulas 552
21.3 Richardson Extrapolation 555
21.4 Derivatives of Unequally Spaced Data 557
21.5 Derivatives and Integrals for Data with Errors 558
21.6 Partial Derivatives 559
21.7 Numerical Differentiation with MATLAB 560
21.8 Case Study: Visualizing Fields 565
Problems 567
CONTENTS xi
CHAPTER 22
Initial-Value Problems 579
22.1 Overview 581
22.2 Euler’s Method 581
22.3 Improvements of Euler’s Method 587
22.4 Runge-Kutta Methods 593
22.5 Systems of Equations 598
22.6 Case Study: Predator-Prey Models and Chaos 604
Problems 609
CHAPTER 23
Adaptive Methods and Stiff Systems 615
23.1 Adaptive Runge-Kutta Methods 615
23.2 Multistep Methods 624
23.3 Stiffness 628
23.4 MATLAB Application: Bungee Jumper with Cord 634
23.5 Case Study: Pliny’s Intermittent Fountain 635
Problems 640
CHAPTER 24
Boundary-Value Problems 646
24.1 Introduction and Background 647
24.2 The Shooting Method 651
24.3 Finite-Difference Methods 658
24.4 MATLAB Function: bvp4c 665
Problems 668
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PREFACE
This book is designed to support a one-semester course in numerical methods. It has been
written for students who want to learn and apply numerical methods in order to solve prob-
lems in engineering and science. As such, the methods are motivated by problems rather
than by mathematics. That said, sufficient theory is provided so that students come away
with insight into the techniques and their shortcomings.
MATLAB® provides a great environment for such a course. Although other en-
vironments (e.g., Excel/VBA, Mathcad) or languages (e.g., Fortran 90, C++) could
have been chosen, MATLAB presently offers a nice combination of handy program-
ming features with powerful built-in numerical capabilities. On the one hand, its
M-file programming environment allows students to implement moderately compli-
cated algorithms in a structured and coherent fashion. On the other hand, its built-in,
numerical capabilities empower students to solve more difficult problems without try-
ing to “reinvent the wheel.”
The basic content, organization, and pedagogy of the third edition are essentially pre-
served in the fourth edition. In particular, the conversational writing style is intentionally
maintained in order to make the book easier to read. This book tries to speak directly to the
reader and is designed in part to be a tool for self-teaching.
That said, this edition differs from the past edition in three major ways: (1) new
material, (2) new and revised homework problems, and (3) an appendix introducing
Simulink.
1. New Content. I have included new and enhanced sections on a number of topics. The
primary additions include material on some MATLAB functions not included in previ-
ous editions (e.g., fsolve, integrate, bvp4c), some new applications of Monte Carlo
for problems such as integration and optimization, and MATLAB’s new way to pass
parameters to function functions.
2. New Homework Problems. Most of the end-of-chapter problems have been modified,
and a variety of new problems have been added. In particular, an effort has been made
to include several new problems for each chapter that are more challenging and dif-
ficult than the problems in the previous edition.
3. I have developed a short primer on Simulink which I have my students read prior to
covering that topic. Although I recognize that some professors may not choose to
cover Simulink, I included it as a teaching aid for those that do.
xiv
PREFACE xv
Aside from the new material and problems, the fourth edition is very similar to the
third. In particular, I have endeavored to maintain most of the features contributing to its
pedagogical effectiveness including extensive use of worked examples and engineering and
scientific applications. As with the previous edition, I have made a concerted effort to make
this book as “student-friendly” as possible. Thus, I’ve tried to keep my explanations straight-
forward and practical.
Although my primary intent is to empower students by providing them with a sound
introduction to numerical problem solving, I have the ancillary objective of making this
introduction exciting and pleasurable. I believe that motivated students who enjoy engi-
neering and science, problem solving, mathematics—and yes—programming, will ulti-
mately make better professionals. If my book fosters enthusiasm and appreciation for these
subjects, I will consider the effort a success.
Finally, I want to thank my family, and in particular my wife, Cynthia, for the love,
patience, and support they have provided through the time I’ve spent on this project.
Steven C. Chapra
Tufts University
Medford, Massachusetts
steven.chapra@tufts.edu
PEDAGOGICAL TOOLS
Theory Presented as It Informs Key Concepts. The text is intended for Numerical
Methods users, not developers. Therefore, theory is not included for “theory’s sake,” for ex-
ample no proofs. Theory is included as it informs key concepts such as the Taylor series, con-
vergence, condition, etc. Hence, the student is shown how the theory connects with practical
issues in problem solving.
Introductory MATLAB Material. The text includes two introductory chapters on how to
use MATLAB. Chapter 2 shows students how to perform computations and create graphs
in MATLAB’s standard command mode. Chapter 3 provides a primer on developing
numerical programs via M ATLAB M-file functions. Thus, the text provides students with
the means to develop their own numerical algorithms as well as to tap into MATLAB’s
powerful built-in routines.
Algorithms Presented Using MATLAB M-files. Instead of using pseudocode, this book
presents algorithms as well-structured MATLAB M-files. Aside from being useful com-
puter programs, these provide students with models for their own M-files that they will
develop as homework exercises.
Worked Examples and Case Studies. Extensive worked examples are laid out in detail
so that students can clearly follow the steps in each numerical computation. The case stud-
ies consist of engineering and science applications which are more complex and richer than
the worked examples. They are placed at the ends of selected chapters with the intention
of (1) illustrating the nuances of the methods and (2) showing more realistically how the
methods along with MATLAB are applied for problem solving.
Problem Sets. The text includes a wide variety of problems. Many are drawn from en-
gineering and scientific disciplines. Others are used to illustrate numerical techniques and
theoretical concepts. Problems include those that can be solved with a pocket calculator as
well as others that require computer solution with MATLAB.
1.1 MOTIVATION
What are numerical methods and why should you study them?
Numerical methods are techniques by which mathematical problems are formulated
so that they can be solved with arithmetic and logical operations. Because digital comput-
ers excel at performing such operations, numerical methods are sometimes referred to as
computer mathematics.
In the pre–computer era, the time and drudgery of implementing such calculations
seriously limited their practical use. However, with the advent of fast, inexpensive digital
computers, the role of numerical methods in engineering and scientific problem solving
has exploded. Because they figure so prominently in much of our work, I believe that
numerical methods should be a part of every engineer’s and scientist’s basic education.
Just as we all must have solid foundations in the other areas of mathematics and science,
we should also have a fundamental understanding of numerical methods. In particular, we
should have a solid appreciation of both
their capabilities and their limitations.
Beyond contributing to your overall
education, there are several additional
reasons why you should study numerical
methods:
1. N umerical methods greatly expand the
types of problems you can address.
They are capable of handling large sys-
tems of equations, nonlinearities, and
complicated geometries that are not
uncommon in engineering and science
and that are often impossible to solve
analytically with standard calculus. As
such, they greatly enhance your prob-
lem-solving skills.
2. Numerical methods allow you to use
“canned” software with insight. During
1
2 PART 1 Modeling, Computers, and Error Analysis
your career, you will invariably have occasion to use commercially available prepack-
aged computer programs that involve numerical methods. The intelligent use of these
programs is greatly enhanced by an understanding of the basic theory underlying the
methods. In the absence of such understanding, you will be left to treat such packages
as “black boxes” with little critical insight into their inner workings or the validity of
the results they produce.
3. Many problems cannot be approached using canned programs. If you are conversant
with numerical methods, and are adept at computer programming, you can design
your own programs to solve problems without having to buy or commission expensive
software.
4. Numerical methods are an efficient vehicle for learning to use computers. Because nu-
merical methods are expressly designed for computer implementation, they are ideal for
illustrating the computer’s powers and limitations. When you successfully implement
numerical methods on a computer, and then apply them to solve otherwise intractable
problems, you will be provided with a dramatic demonstration of how computers can
serve your professional development. At the same time, you will also learn to acknowl-
edge and control the errors of approximation that are part and parcel of large-scale
numerical calculations.
5. Numerical methods provide a vehicle for you to reinforce your understanding of math-
ematics. Because one function of numerical methods is to reduce higher mathematics
to basic arithmetic operations, they get at the “nuts and bolts” of some otherwise
obscure topics. Enhanced understanding and insight can result from this alternative
perspective.
With these reasons as motivation, we can now set out to understand how numerical
methods and digital computers work in tandem to generate reliable solutions to mathemati-
cal problems. The remainder of this book is devoted to this task.
This book is divided into six parts. The latter five parts focus on the major areas of nu-
merical methods. Although it might be tempting to jump right into this material, Part One
consists of four chapters dealing with essential background material.
Chapter 1 provides a concrete example of how a numerical method can be employed
to solve a real problem. To do this, we develop a mathematical model of a free-falling
bungee jumper. The model, which is based on Newton’s second law, results in an ordinary
differential equation. After first using calculus to develop a closed-form solution, we then
show how a comparable solution can be generated with a simple numerical method. We
end the chapter with an overview of the major areas of numerical methods that we cover in
Parts Two through Six.
Chapters 2 and 3 provide an introduction to the MATLAB® software environment.
Chapter 2 deals with the standard way of operating MATLAB by entering commands one
at a time in the so-called calculator, or command, mode. This interactive mode provides
a straightforward means to orient you to the environment and illustrates how it is used for
common operations such as performing calculations and creating plots.
1.2 PART ORGANIZATION 3
Chapter 3 shows how MATLAB’s programming mode provides a vehicle for assem-
bling individual commands into algorithms. Thus, our intent is to illustrate how MATLAB
serves as a convenient programming environment to develop your own software.
Chapter 4 deals with the important topic of error analysis, which must be understood
for the effective use of numerical methods. The first part of the chapter focuses on the
roundoff errors that result because digital computers cannot represent some quantities
exactly. The latter part addresses truncation errors that arise from using an approximation
in place of an exact mathematical procedure.
1
Mathematical Modeling,
Numerical Methods,
and Problem Solving
CHAPTER OBJECTIVES
The primary objective of this chapter is to provide you with a concrete idea of what
numerical methods are and how they relate to engineering and scientific problem
solving. Specific objectives and topics covered are
• Learning how mathematical models can be formulated on the basis of scientific
principles to simulate the behavior of a simple physical system.
• Understanding how numerical methods afford a means to generate solutions in a
manner that can be implemented on a digital computer.
• Understanding the different types of conservation laws that lie beneath the models
used in the various engineering disciplines and appreciating the difference
between steady-state and dynamic solutions of these models.
• Learning about the different types of numerical methods we will cover in this
book.
S
uppose that a bungee-jumping company hires you. You’re given the task of
predicting the velocity of a jumper (Fig. 1.1) as a function of time during the
free-fall part of the jump. This information will be used as part of a larger
analysis to determine the length and required strength of the bungee cord for jumpers
of different mass.
You know from your studies of physics that the acceleration should be equal to the ratio
of the force to the mass (Newton’s second law). Based on this insight and your knowledge
4
1.1 A Simple Mathematical Model 5
Upward force of physics and fluid mechanics, you develop the following mathematical model for the rate
due to air of change of velocity with respect to time,
resistance
c
dυ = g − ___
___ md υ2
dt
where υ = downward vertical velocity (m/s), t = time (s), g = the acceleration due to
gravity (≅ 9.81 m/s2), cd = a lumped drag coefficient (kg/m), and m = the jumper’s
mass (kg). The drag coefficient is called “lumped” because its magnitude depends on fac-
tors such as the jumper’s area and the fluid density (see Sec. 1.4).
Because this is a differential equation, you know that calculus might be used to obtain
an analytical or exact solution for υ as a function of t. However, in the following pages, we
will illustrate an alternative solution approach. This will involve developing a computer-
oriented numerical or approximate solution.
Aside from showing you how the computer can be used to solve this particular prob-
Downward lem, our more general objective will be to illustrate (a) what numerical methods are and
force due (b) how they figure in engineering and scientific problem solving. In so doing, we will also
to gravity show how mathematical models figure prominently in the way engineers and scientists use
numerical methods in their work.
FIGURE 1.1
Forces acting
on a free-falling
bungee jumper.
Dependent
variable
= f (
independent
variables
, parameters,
forcing
functions )
(1.1)
where the dependent variable is a characteristic that typically reflects the behavior or state
of the system; the independent variables are usually dimensions, such as time and space,
along which the system’s behavior is being determined; the parameters are reflective of
the system’s properties or composition; and the forcing functions are external influences
acting upon it.
The actual mathematical expression of Eq. (1.1) can range from a simple algebraic
relationship to large complicated sets of differential equations. For example, on the basis
of his observations, Newton formulated his second law of motion, which states that the
time rate of change of momentum of a body is equal to the resultant force acting on it. The
mathematical expression, or model, of the second law is the well-known equation
F = ma (1.2)
where F is the net force acting on the body (N, or kg m/s2), m is the mass of the object (kg),
and a is its acceleration (m/s2).
6 Mathematical Modeling, Numerical Methods, and Problem Solving
The second law can be recast in the format of Eq. (1.1) by merely dividing both sides
by m to give
a = __ F
m (1.3)
where a is the dependent variable reflecting the system’s behavior, F is the forcing func-
tion, and m is a parameter. Note that for this simple case there is no independent variable
because we are not yet predicting how acceleration varies in time or space.
Equation (1.3) has a number of characteristics that are typical of mathematical models
of the physical world.
• It describes a natural process or system in mathematical terms.
• It represents an idealization and simplification of reality. That is, the model ignores
negligible details of the natural process and focuses on its essential manifestations.
Thus, the second law does not include the effects of relativity that are of minimal
importance when applied to objects and forces that interact on or about the earth’s
surface at velocities and on scales visible to humans.
• Finally, it yields reproducible results and, consequently, can be used for predictive
purposes. For example, if the force on an object and its mass are known, Eq. (1.3) can
be used to compute acceleration.
Because of its simple algebraic form, the solution of Eq. (1.2) was obtained easily.
However, other mathematical models of physical phenomena may be much more complex,
and either cannot be solved exactly or require more sophisticated mathematical techniques
than simple algebra for their solution. To illustrate a more complex model of this kind,
Newton’s second law can be used to determine the terminal velocity of a free-falling body
near the earth’s surface. Our falling body will be a bungee jumper (Fig. 1.1). For this case,
a model can be derived by expressing the acceleration as the time rate of change of the
velocity (dυ/dt) and substituting it into Eq. (1.3) to yield
dυ = __
___ F (1.4)
dt m
where υ is velocity (in meters per second). Thus, the rate of change of the velocity is equal
to the net force acting on the body normalized to its mass. If the net force is positive, the
object will accelerate. If it is negative, the object will decelerate. If the net force is zero, the
object’s velocity will remain at a constant level.
Next, we will express the net force in terms of measurable variables and parameters.
For a body falling within the vicinity of the earth, the net force is composed of two
opposing forces: the downward pull of gravity FD and the upward force of air resistance FU
(Fig. 1.1):
F = FD + FU (1.5)
If force in the downward direction is assigned a positive sign, the second law can be
used to formulate the force due to gravity as
FD = mg (1.6)
2
where g is the acceleration due to gravity (9.81 m/s ).
1.1 A Simple Mathematical Model 7
Air resistance can be formulated in a variety of ways. Knowledge from the science
of fluid mechanics suggests that a good first approximation would be to assume that it is
proportional to the square of the velocity,
where cd is a proportionality constant called the lumped drag coefficient (kg/m). Thus, the
greater the fall velocity, the greater the upward force due to air resistance. The parameter
cd accounts for properties of the falling object, such as shape or surface roughness, that af-
fect air resistance. For the present case, cd might be a function of the type of clothing or the
orientation used by the jumper during free fall.
The net force is the difference between the downward and upward force. Therefore,
Eqs. (1.4) through (1.7) can be combined to yield
c
dυ = g − ___
___ md υ2 (1.8)
dt
Equation (1.8) is a model that relates the acceleration of a falling object to the forces
acting on it. It is a differential equation because it is written in terms of the differential rate
of change (dυ/dt) of the variable that we are interested in predicting. However, in contrast
to the solution of Newton’s second law in Eq. (1.3), the exact solution of Eq. (1.8) for the
velocity of the jumper cannot be obtained using simple algebraic manipulation. Rather,
more advanced techniques such as those of calculus must be applied to obtain an exact or
analytical solution. For example, if the jumper is initially at rest (υ = 0 at t = 0), calculus
can be used to solve Eq. (1.8) for
( )
___ ___
gm gc
υ(t) = ___
c tanh √___
√ md t (1.9)
d
where tanh is the hyperbolic tangent that can be either computed directly1 or via the more
elementary exponential function as in
x −x
ex − e−x
tanh x = _______ (1.10)
e +e
Note that Eq. (1.9) is cast in the general form of Eq. (1.1) where υ(t) is the dependent
variable, t is the independent variable, cd and m are parameters, and g is the forcing function.
1
MATLAB allows direct calculation of the hyperbolic tangent via the built-in function tanh(x).
8 Mathematical Modeling, Numerical Methods, and Problem Solving
(√ )
_________
9.81(68.1) 9.81(0.25)
√
υ(t) = _________
0.25
tanh _________
68.1
t = 51.6938 tanh(0.18977t)
t, s υ, m/s
0 0
2 18.7292
4 33.1118
6 42.0762
8 46.9575
10 49.4214
12 50.6175
∞ 51.6938
According to the model, the jumper accelerates rapidly (Fig. 1.2). A velocity of
49.4214 m/s (about 110 mi/hr) is attained after 10 s. Note also that after a sufficiently
FIGURE 1.2
The analytical solution for the bungee jumper problem as computed in Example 1.1. Velocity
increases with time and asymptotically approaches a terminal velocity.
60
Terminal velocity
40
υ, m/s
20
0
0 4 8 12
t, s
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development. The prisoner, however well disposed, cannot choose
but listen to the debasing talk of those with whom he is compelled
to associate. Should he resist the wicked influence for a while, he
can hardly do so long. The poison will work. By little and little it
insinuates itself into the mind, and vitiates all the springs of good. In
the end, he yields to the irresistible force of continued bad example,
and becomes as bad as the worst.
But let us believe, for an instant, that one prisoner has resisted
the ill effects of wicked association—let us suppose him to have
escaped the contamination of a jail, to have received no moral hurt
from bad example, to be untainted by the corrupting atmosphere of
congregated vice—in short, to return into the world at the end of his
imprisonment a better man than he was at its commencement. Let
us suppose all this, although the supposition, it must be confessed,
is unsupported by experience, and directly in the teeth of probability.
He sallies forth from his prison, full of good resolutions, and
determined to win the character of an honest man. Perhaps he has a
small sum of money, which helps him to reach a part of the country
most distant from the scene of his disgrace. He seeks for work, and
is fortunate enough to obtain it. For a short time, all goes well with
him. He is industrious and sober, and gains the good-will of his
employer. He is confirmed in his good intentions, and fancies that his
hopes of regaining his position in society are about to be realised.
Vain hopes! Rumour is busy with his name. His fellow-labourers
begin to look coldly on him. The master does not long remain in
ignorance. The discharged convict is taxed with his former
degradation, and made to suffer again the consequences of a crime
he has well and fully expiated. His brief hour of prosperity is over. He
is cast forth again upon the world, denied the means of gaining an
honest livelihood, with nothing before him but starvation or a jail.
What wonder should he choose the latter! Goaded by despair, or
stimulated by hunger, he yields to the first temptation, and commits
a crime which places him again within prison walls. It is his second
conviction. He is a marked man. He were more than mortal if he
escaped the deteriorating effects of repeated association with the
hardened and the vicious. His future career is certain. He falls from
bad to worse, and ends his life upon the scaffold.
We have imagined, for the sake of argument, a case which, in one
of its features, is unfortunately of very rare occurrence. Criminals
seldom, perhaps never, leave a jail with the slightest inclination to a
course of honesty. Their downward progress, when they have once
been exposed to the contamination of a prison life, may be
calculated almost with certainty. No sooner is the term of their
imprisonment expired, than they step forth into the world, eager to
recommence the old career of systematic villany. Good intentions,
and the desire of doing well, are almost always strangers to their
breasts. But should they, perchance, be alive to better things, and be
moved by wholesome impulses, what an awful responsibility rests
upon those who, by individual acts, or by a pernicious system, check
and render abortive the efforts of a dawning virtue! In the case we
have supposed, there is doubtless much that must be laid to the
score of human nature. Men will not easily be persuaded, that he
who has once made a grievous lapse from the path of honesty, will
not be ever prone to repeat the offence. None but the truly
charitable (an infinitesimal portion of every community) will expose
themselves to the risk of employing a discharged convict. But whilst
this much evil is justly attributed to the selfish cruelty of society, a
much larger share of blame attaches to the system which affords too
plausible a pretext for such uncharitable conduct. It is not merely
because a man has offended against the laws, and been guilty of
what, in legal parlance, may be a simple misdemeanour, that he is
regarded with suspicion and treated with ignominy; but much more,
because he has been confined in a jail, and exposed to all the
pernicious influences which are known to be rife within its walls. It is
deemed a thing incredible, that a man can issue from a hot-bed of
corruption, and not be himself corrupt. To have undergone a term of
imprisonment, is very generally thought to be equivalent to taking a
degree in infamy. On the system, therefore, rests much of the blame
which would otherwise attach to the world's cold charity; to its
account must be charged every subject who might have been saved,
and who, through despair, is lost to the service of the state.
The evils we have described are patent and notorious; the only
question, therefore, that arises is, whether they are inevitable and
inherent in the nature of things, or whether they may be avoided by
greater care and an improved system. Before entering upon this
question, it may be well to notice briefly the various opinions that
are entertained concerning the proper end and aim of criminal
punishment. We take for granted, that in every community, under
whatever political constitution it may exist and be associated, the
sole object of criminal law is the peace and security of society. With
regard to the means by which this object may be best attained, or, in
other words, with regard to the whole system of jurisprudence, from
a preventive police down to the discipline of jails and the machinery
of the scaffold, a great diversity of sentiment must naturally be
expected. The pure theorist and the subtle disciple of Paley, maintain
that the proper, nay, the sole object of punishment should be the
prevention of crime. The philanthropic enthusiast, and the man of
strict religious feeling, reject all other motives save only that of
reforming the criminal. The dispassionate inquirer, the practical man,
and he who has learned his lessons in the school of experience, take
a middle course, though inclining a little to the theory of Paley. They
hold that, whilst the amount, and to some extent the quality, of
punishment should be settled and defined chiefly with a view to
prevent the increase of crime by the deterring effect of fear, yet the
details ought, if possible, to be so managed as in the end to bring
about the reformation of the prisoner. We have no hesitation in
avowing, that this last opinion is our own. There is an argument in
its favour, which the most rigid disciple of the pure "prevention"
theory must recognise immediately as one of his own most valued
weapons. The "peace and security of society" are his watchwords.
They are ours also. But whilst, in his opinion, the only way to
produce the desired result is by a system of terrorism, such as will
deter from the perpetration of crime, we believe that a careful
solicitude concerning the moral conduct of the criminal during his
imprisonment, and an anxious endeavour to instruct and improve his
mind, by enforcing good habits, and taking away bad example,
would be found equally powerful in their operation upon the well-
being of society. For although it is a lamentable fact, that the
number of our criminals is always being kept up to its full
complement, by the addition of juvenile offenders, so that it would
be vain to indulge a hope, without cutting off the feeding-springs, of
materially diminishing our criminal population; yet it is equally true
that the most desperate and dangerous offenders are they who have
served their apprenticeship in jails, and there accomplished
themselves in all the various devices of ingenious wickedness. It is
these who give the deepest shade to the calendar of crime, and
work incalculable mischief both in and out of prison, by instructing
the tyros in all the most subtle varieties of villany. To reform such
men may seem an arduous, perhaps an impossible task; but it is far
less arduous, and certainly not impossible, to prevent their becoming
the hardened ruffians which we have, without exaggeration,
described them.
The truth must be told. The system of secondary punishments (as
they are called, though why we know not) is radically wrong. There
is something radically wrong in the discipline and regulations of our
jails. The details of imprisonment are faulty and imperfect. Surely
this is proved, when it is shown that men are invariably rendered
worse, instead of better, by confinement in a jail. Even though it be
admitted, for the sake of argument, that the state lies under no
obligation to attempt the reformation of its criminals, the admission
serves no whit to support a system under which criminals are
confirmed and hardened in their vicious courses. The state may
refuse to succour, but it has no right to injure. This, as it seems to
us, is the strong point against our present system. It does not so
much punish the body as injure the mind of the criminal; and, in so
doing, it eventually endangers rather than secures the peace of
society.
Many remedies have been proposed, but all, with an exception
that will presently be mentioned, are rather palliative than
corrective. Solitary confinement, for instance, is an undoubted cure
for the diseases engendered by bad example and evil
communications; but it breeds a host of other diseases, peculiar to
itself, and in many cases worse than those it cures. Not to speak of
the indulgence which so much idleness allows for vicious thoughts
and recollections, the chief objection to solitary confinement is, that,
if continued for any length of time, it unfits a man wholly for
subsequent intercourse with the world. He leaves his prison with a
mind prostrated to imbecility, and a body reduced to utter
helplessness; yet he retains, perhaps, the cunning of the idiot, and
just sufficient use of his limbs to serve him for a bad purpose. On
these painful considerations, however, it is unnecessary to dwell at
length. Solitary confinement, without occupation and without
intervals of society, was an experiment upon the human animal. It
has been tried in this country and elsewhere, and has signally failed.
At this moment, we believe, it has few or no supporters.
The plan which has most largely and most deservedly attracted
public attention, is that of Captain Maconochie, known by the name
of the "Mark System." Captain Maconochie was superintendent of
the penal establishment at Norfolk Island, where he had constantly
about 2000 prisoners under his command. This office he held for
eight years, and had, consequently, the most favourable opportunity
of observing the practical working of the old system. Finding it to be
defective, and injurious in every particular, he tried, with certain
unavoidable modifications, a plan of his own, which, as he asserts,
succeeded beyond his expectation. Having thus proved its
practicability in Norfolk Island, and satisfied himself of its
advantages, he wishes now to introduce it into England; and, with a
view of obtaining a favourable hearing and efficient support, he has
procured it to be referred to a committee of the "Society for
Promoting the Amendment of the Law." The committee have
reported in its favour; and their report, which is said to have been
drawn up by the learned Recorder of Birmingham, contains so
concise and clear a statement of the Captain's plan, that we take
leave to extract a portion of it:—
"Captain Maconochie's plan," says Mr M. D. Hill, "had its origin in
his experience of the evil tendency of sentences for a time certain,
and of fixed gratuitous jail rations of food. These he practically found
opposed to the reformation of the criminal. A man under a time-
sentence looks exclusively to the means of beguiling that time. He is
thereby led to evade labour, and to seek opportunities of personal
gratification, obtained, in extreme cases, even in ways most horrible.
His powers of deception are sharpened for the purpose; and even,
when unable to offend in act, he seeks in fancy a gratification, by
gloating over impure images. At the best, his life stagnates, no
proper object of pursuit being presented to his thoughts. And the
allotment of fixed gratuitous rations, irrespective of conduct or
exertion, further aggravates the evil, by removing even the minor
stimulus to action, furnished by the necessity of procuring food, and
by thus directly fostering those habits of improvidence which,
perhaps even more than determined vice, lead to crime.
"In lieu of sentences to imprisonment or transportation, measured
thus by months or years, Captain Maconochie recommends
sentences to an amount of labour, measured by a given number of
marks, to be placed to the debit of the convict, in books to be kept
for the purpose. This debit to be from time to time increased by
charges made in the same currency, for all supplies of food and
clothing, and by any fines that may be imposed for misconduct. The
duration of his sentence will thus be made to depend on three
circumstances. First, The gravity of the original offence, or the
estimate made by the judge of the amount of discipline which the
criminal ought to undergo before he is restored to liberty. This
regulates the amount of the original debit. Second, The zeal,
industry, and effectiveness of his labour in the works allotted to him,
which furnish him with the means of payment, or of adding from
time to time to the credit side of his account. And, Third, His
conduct in confinement. If well conducted, he will avoid fines; and if
economical in food, and such other gratifications as he is permitted
to purchase with his marks, he will keep down the amount of his
debits.
"By these means, Captain Maconochie contends, that a term of
imprisonment may be brought to bear a close resemblance to
adversity in ordinary life, which, being deeply felt, is carefully
shunned; but which, nevertheless, when encountered in a manful
spirit, improves and elevates the character. All the objects of
punishment will be thus attained. There will be continued
destitution, unless relief is sought by exertion, and hence there will
be labour and suffering; but, with exertion, there will be not only the
hope, but the certainty of recovery—whence there will be
improvement in good habits, and right thinking. And the motives put
into operation to produce effort and economy, being also of the
same character with those in ordinary life, will advantageously
prepare the prisoner for their wholesome action on him after his
discharge.
"The only other very distinctive feature in Captain Maconochie's
system is, his proposal that, after the prisoner has passed through a
term of probation, to be measured not by lapse of time, but by his
conduct as indicated by the state of his account, he shall be
advanced from separate confinement into a social state. For this
purpose, he shall become a member of a small class of six or eight,
these classes being capable of being separated from each other, just
as individuals are separated from individuals during the earlier stage,
the members of each class to have a common interest, the marks
earned or lost by each to count to the gain or loss of his party, not
of himself exclusively. By this means, Captain Maconochie thinks
prisoners will be rescued from the simply gregarious state of
existence, which is, in truth, a selfish one, now incident to
imprisonment in those jails to which the separate system is not
applied, and will be raised into a social existence. Captain
Maconochie is convinced, by experience, that much good feeling will
be elicited among them in consequence of this change. Indolence
and vice, which either prevent the prisoner from earning, or compel
him to forfeit his marks, will become unpopular in the community;
and industry and good conduct, as enabling him to acquire and
preserve them, will, on the contrary, obtain for him its approbation.
On much experience, he asserts that no portion of his modus
operandi is more effective than this, by which, even in the depraved
community of Norfolk Island, he succeeded, in a wonderfully short
time, in giving an upward direction to the public opinion of the class
of prisoners themselves."
This brief outline of the Mark System undoubtedly presents to
view one of the boldest projects of reform that ever proceeded from
a private individual. It seeks to root up and utterly annihilate the
whole system of secondary punishments, and necessarily involves a
radical change in the criminal law. To a plan of so sweeping a
character, a thousand objections will of course be made. Some will
deny the necessity of so fundamental a change. Many will be startled
by the magnitude of the innovation alone, and refuse at the very
outset to accept a proposition which, whatever be its intrinsic merits,
presents itself to their imagination surrounded with incalculable
perils. Others will shake their heads, and doubt the possibility of
working out a problem, which, from the beginning of time, has
baffled the ingenuity of man. A few there may be, who will regard
the new system with a favourable eye, albeit on no other ground
than because it offers a prospect of escape from evils which exist,
and are increasing, and which can hardly be exchanged for worse.
For want of better companions, we shall take our position in the last-
mentioned class; confessing that there is much in Captain
Maconochie's system which seems at present Utopian, and savours
too strongly of an enthusiasm which can see none but its own
colours, but deeply impressed, at the same time, with the plausibility
of his general theory. It is vain to hope that the unaided efforts of
the chaplain will ever reform the inmates of a jail. No man was ever
yet preached into good habits, except by a miracle. It is vain to hope
that a discipline (if such it can be called) which enforces sometimes
idleness, and sometimes useless labour, providing at the same time
for all the wants of the body, with an abundance never enjoyed
beyond the prison walls, will ever make men industrious, or frugal,
or any thing else than dissolute and idle. In short, it is vain to hope,
in the present state of things, that the criminal population of these
kingdoms will ever be diminished, or even checked in its steady
tendency to increase. If, then, all these hopes, which are exactly
such as a philanthropist may reasonably indulge, be vain and futile,
no man would be open to a charge of folly, should he embrace any,
even the wildest proposition that holds out the prospect of
improvement.
Captain Maconochie's system may be divided into two distinct and
very different parts; namely, the general principles and the details.
Concerning the latter, we are unwilling to hazard an opinion,
deeming them peculiarly a matter of experiment, and incapable of
proof or refutation by any other test than experience. But principles
are universal, and, if true, may always be supported by argument,
and strengthened by discussion; those of the Mark System, we
think, will bear the application of both. No one possessed of the
smallest experience of the human mind, will deny that it is utterly
impossible to inculcate and fix good habits by a process which is
continually distasteful to the patient. With regard to labour, which is
compulsory and unproductive, the labourer, so far from becoming
habituated to it, loathes it the more the longer he is obliged to
continue it. Such labour, moreover, has no good effect upon the
mind; it produces nothing but disgust and discontent. A similar result
is produced upon the body under similar circumstances. Exercise is
only beneficial when taken with a good will, and enjoyed with a zest:
a man who should walk but two or three miles, grumbling all the
way, would be as tired at the end as though he had walked twenty
in a more contented mood. What, then, will some one say, are
prisoners not to be punished at all? Is every thing to be made easy
to them, and ingenuity taxed for devices to render their sentences
agreeable, and to take the sting from imprisonment? The answer is
ready. The law is not vindictive, and does not pretend to inflict
suffering beyond what is necessary for the security of society. The
thief and the homicide cannot be allowed to go at large. They must
either be sent out of the country, or shut up within it. By some
means or other, they must be deprived of the power of inflicting
further injury upon their fellow-creatures. But how long are they to
be cut off from the world? For a time fixed and irrevocable, and
irrespective of subsequent good conduct, or reformation of
character, or any other consideration than only the magnitude of the
original offence? Surely neither reason nor humanity can approve
such a doctrine; for does it not, in fact, involve the very principle
which our law repudiates, namely, the principle that its punishments
are vindictive? If a man who steals a horse, and is condemned to
three years' imprisonment, be compelled to undergo the whole
sentence, without reference to his conduct under confinement, this
surely is vengeance, and not, what it assumes to be, a punishment
proportioned to the necessity of the case. It is, no doubt, proper that
a criminal should be condemned to suffer some loss of liberty, more
or less, according to the nature of his delinquency, and a minimum
should always be fixed; but it seems equally proper, and consistent
with acknowledged principles, that a power should reside
somewhere of diminishing the maximum, and where more
advantageously than in the criminal himself? If the motives which
govern the world at large, and operate upon men in ordinary life, to
make them frugal and industrious, and to keep them honest, can be
brought to bear upon the isolated community of a jail, why should
they not? The object is humane; not injurious, but, on the contrary,
highly beneficial to society; and not opposed to any established rule
of law or general policy. We can conceive no possible argument
against it, save that which we have already noticed, and, we trust,
satisfactorily.
It is worthy of notice, as being calculated to satisfy the scruples of
those who may be alarmed at the introduction of what they imagine
a novel principle into our criminal jurisprudence, that this, the main
feature of the Mark System, is not new. It is sanctioned by long
usage in our penal settlements. In the Australian colonies, a man
under sentence of transportation for years or for life may, by his own
conduct, both shorten the duration and mitigate the severity of his
punishment. By industry, by a peaceable demeanour, by the exercise
of skill and ingenuity acquired in better times, he may obtain
advantages which are not accorded to others. By a steady
continuance in such behaviour, he may acquire the privilege of
working for himself, and enjoying the produce of his labour. In the
end, he may even be rewarded by a free pardon. If all these things
may be done in Australia, why not also in England? Surely there is
more to be said on behalf of convicts sentenced to imprisonment
than for those sentenced to transportation. If our sympathy, or, to
speak more correctly, our mercy, is to be inversely to the enormity of
the offence, then the English prisoner is most entitled to our regard.
It is possible that the transportation system may be wrong, but, at
least, let us be consistent.
It is not necessary that Captain Maconochie's plan should be
adopted in extenso, to the immediate and active subversion of the
ancient system. We may feel our way. There is no reason why a
single prison should not be set apart, or, if necessary, specially
constructed, for the purpose of applying the test of practice to the
new theory. A short act might be passed, empowering the judges to
inflict labour instead of time-sentences—of course, within a certain
limit as to number. Captain Maconochie himself might be entrusted
with the superintendence of the experiment, in order to avoid the
possibility of a suspicion that it had not received a fair trial. If, with
every reasonable advantage, the scheme should eventually prove
impracticable, then, of course, it will sink into oblivion, and be
consigned to the limbo of impossible theories. The country will have
sustained no loss, save the insignificant expense of the model
machinery.
Considering the whole subject—its importance, its difficulty, the
novelty of the proposed amendments, and their magnitude—we are
disposed to agree with the learned Recorder of Birmingham, that
"the plan is highly deserving of notice." Objections, of course, might
be made in abundance, over and above those we have thought
proper to notice. These, however, may be all reduced to one,
namely, that the scheme is impracticable. That it may prove so, we
do not deny; nor could any one, with a grain of prudence, venture to
deny it, seeing how many promising projects are daily failing, not
through their own intrinsic defects, but through miscalculation of
opposing forces. The test of the Mark System, we repeat, must be
experience. All that we seek to establish in its favour is the
soundness of its principles. Of these we do not hesitate to avow a
perfect approval; and, in doing so, we do not fear being classed
among the disciples of the new school of pseudo-philanthropy,
whose academy is Exeter Hall, and whose teachers are such men as
Lord Nugent and Mr Fox. It is quite possible to feel compassion for
the guilty, and a solicitude for their temporal as well as eternal
welfare, without elevating them into the dignity of martyrs, and
fixing one's attention upon them, to the neglect of their more honest
and less protected neighbours. It is no uncommon thing to hear
comparisons drawn between the conditions of the prisoner and the
pauper—between the abundant nourishing food of the former, and
the scanty meagre rations of the latter! There is no doubt that better
fare is provided in a jail than in a workhouse. Good reasons,
perhaps, may be given for the distinction, but in appearance it is
horribly unjust. No system which proposed to encourage it would
ever receive our approbation. The Mark System is adverse to the
pampering of criminals. It seeks to enforce temperance and frugality,
both by positive rewards, and by punishing gluttony and indulgence.
Its object is the improvement, not of the physical, but the moral
condition of the prisoner. His mind, not his body, is its especial care
—a prudent, humane, we will even say, a pious care! Visionary it
may be, though we think not—absurd it can never be, except in the
eyes of those to whom the well-being of their fellow-creatures is
matter of indifference, and who, too frivolous to reflect, or too
shallow to penetrate the depths of things, seek to disguise their
ignorance and folly under cover of ridicule. To such we make no
appeal. But to the many really humane and sensible persons who
are alive to the importance of the subject, we recommend a
deliberate examination of the Mark System.
M.
LAYS AND LEGENDS OF THE
THAMES.
Never was there such a summer on this side of the Tropics. How is
it possible to exist, with the thermometer up to boiling point! London
a vast caldron—the few people left in its habitable parts strongly
resembling stewed fish—the aristocratic portion of the world flying in
all directions, though there are three horticultural fetes to come—the
attachés to all the foreign embassies sending in their resignations,
rather than be roasted alive—the ambassadors all on leave, in the
direction of the North Pole—the new governor of Canada
congratulated, for the first time in national history, on his
banishment to a land where he has nine months winter;—and a
contract just entered into with the Wenham Lake Company for ten
thousand tons of ice, to rescue the metropolis from a general
conflagration.
—Went to dine with the new East India Director, in his Putney
paradise. Sir Charles gives dinners worthy of the Mogul, and he
wants nothing of the pomps and pleasures of the East but a harem.
But, in the mean time, he gathers round him a sort of human
menagerie; and every race of man, from the Hottentot to the
Highlander, is to be found feeding in his Louis Quatorze saloons.
This certainly variegates the scene considerably, and relieves us of
the intolerable topics, of Parliament, taxes, the last attempt on Louis
Philippe, the last adventure of Queen Christina, or the last good
thing of the last great bore of Belgrave Square; with the other
desperate expedients to avoid the inevitable yawn. We had an
Esquimaux chief, who, however, dwelt too long on the luxury of
porpoise steaks; a little plump Mandarin, who indulged us with the
tricks of the tea trade; the sheik Ben Hassan Ben Ali, who had
narrowly escaped hanging by the hands of the French; and a New
Zealand chief, strongly suspected of habits inconsistent with the
European cuisine, yet who restricted himself on this occasion to
every thing at the table.
At length, in a pause of the conversation, somebody asked where
somebody else was going, for the dog-days. The question engaged
us all. But, on comparing notes, every Englishman of the party had
been everywhere already—Cairo, Constantinople, Calcutta, Cape
Horn. There was not a corner of the world, where they had not
drunk tea, smoked cigars, and anathematised the country, the
climate, and the constitution. Every thing was usé—every soul was
blasé. There was no hope of novelty, except by an Artesian
perforation to the centre, or a voyage to the moon.
At last a curious old personage, with a nondescript visage, and
who might, from the jargon of his tongue and the mystery of his
costume, have been a lineal descendant of the Wandering Jew,
asked, had any one at table seen the Thames?
The question struck us all at once. It was a grand discovery; it
was a flash of light; it was the birth of a new idea; it was an influx of
brilliant inquiry. It was ascertained, that though we had all steamed
up and down the Thames times without number, not one of us had
seen the river. Some had always steamed it in their sleep; some had
plunged at once into the cabin, to avoid the passengers on deck;
some had escaped the vision by the clouds of a cigar; some by a
French novel and an English dinner. But not one could recollect any
thing more of it than it flowed through banks more or less miry; that
it was, to the best of their recollection, something larger than the
Regent's Canal; and some thought that they had seen occasional
masts and smoke flying by them.
My mind was made up on the spot. Novelty is my original passion
—the spring of all my virtues and vices—the stimulant of all my
desires, disasters, and distinctions. In short, I determined to see the
Thames.
Rose at daybreak—the sky blue, the wind fragrant, Putney
throwing up its first faint smokes; the villa all asleep. Leaving a billet
for Sir Charles, I ordered my cab, and set off for the Thames. "How
little," says Jonathan Swift, "does one-half of the world know what
the other is doing." I had left Putney the abode of silence, a solitary
policeman standing here and there, like the stork which our modern
painters regularly put into the corner of their landscapes to express
the sublime of solitude—no slipshod housemaid peeping from her
window; no sight or sound of life to be seen through the rows of the
flower-pots, or the lattices of the suburb gardens.
But, once in London, what a contrast. From the foot of London
bridge what a rush of life; what an incursion of cabs; what a rattle of
waggons; what a surge of population; what a chaos of clamour;
what volcanic volumes of everlasting smoke rolling up against the
unhappy face of the Adelaide hotel; what rushing of porters, and
trundling of trunks; what cries of every species, utterable by that
extraordinary machine the throat of man; what solicitations to trust
myself, for instant conveyance to the remotest shore of the
terraqueous globe!—"For Calais, sir? Boat off in half-an-hour."—"For
Constantinople? in a quarter."—"For Alexandria? in five
minutes."—"For the Cape? bell just going to ring." In this confusion
of tongues it was a thousand to one that I had not jumped into the
boat for the Niger, and before I recovered my senses, been far on
my way to Timbuctoo.
In a feeling little short of desperation, or of that perplexity in
which one labours to decypher the possible purport of a maiden
speech, I flung myself into the first steamer which I could reach,
and, to my genuine self-congratulation, found that I was under no
compulsion to be carried beyond the mouth of the Thames.
I had now leisure to look round me. The bell had not yet chimed:
passengers were dropping in. Carriages were still rolling down to the
landing-place, laden with mothers and daughters, lapdogs and
bandboxes, innumerable. The surrounding scenery came, as the
describers say, "in all its power on my eyes."—St Magnus, built by Sir
Christopher Wren, as dingy and massive as if it had been built by
Roderic the Goth; St Olave's, rising from its ruins, as fresh as a fairy
palace of gingerbread; the Shades, where men drink wine, as
Bacchus did, from the bunghole; the Bridge of Bridges, clambered
over and crowded with spectators as thick as hiving bees!
But—prose was never made for such things. I must be Pindaric.
London Bridge.
"My native land, good-night!"
Adieu, adieu, thou huge, high bridge
A long and glad adieu!
I see above thy stony ridge
A most ill-favour'd crew.
The earth displays no dingier sight;
I bid the whole—Good-night, good-night!
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