New Horizons

VMI Journal of Undergraduate Research

Volume 3 Issue 1 April 2009

TABLE OF CONTENTS

1 From the Executive Editor Sciences

5 Mathematical Model of Rabbit Haemorrhagic Disease Cadet Marshall H. Jarrett (Civil Engineering, ’11) Faculty Mentor: Dr. Lea R. Lanz, Assistant Professor of Mathematics and Computer Science

15 Adaptive Numerical Analysis of Laser Pulses Cadet Thomas M. Shaffner (Physics, ’08) Faculty Mentors: Dr. John R. Thompson, Professor and Head, Department of Physics and Astronomy and Dr. Troy J. Siemers, Associate Professor of Mathematics and Computer Science

31 A Kinematic Model for Hand Movements Cadet Christopher M.P. Leach (Mechanical Engineering, ’10) Faculty Mentor: Dr. Vonda K. Walsh, Professor of Mathematics and Computer Science Engineering

41 Two-Dimensional Transient Heat Transfer Experiment Cadet Hsin-sheng, Lee (Mechanical Engineering, ’09) Faculty Mentor: Dr. Robert L. McMasters, Professor of Mechanical Engineering

49 Thermal Distortion of a Subscale Membrane Mirror Cadet Scott T. MacDonald (Mechanical Engineering, ’10) Faculty Mentor: Dr. Joseph R. Blandino, Professor of Mechanical Engineering Interdisciplinary

59 The Rhetoric of Science: A Case Study of Susumu Tonegawa’s Landmark Discovery Cadet Joshua C. Kenny (Biology, ’09) Faculty Mentor: Dr. Christina R. McDonald, Institute Writing Director Humanities

67 Learning to See: The Black Mountain College Experiment Cadet Even T. Rogers (English and Fine Arts, ’10) Faculty Mentor: Dr. Robert L. McDonald, Professor of English

83 Kitchener to the Somme: British Strategy on the Western Front during the Great War Cadet Gregory E. Lippiatt (History and English, ’09) Faculty Mentor: Dr. Charles F. Brower IV, Acting Director, VMI Center for Leadership and Ethics

93 Marshall and the Politics of Command: 1906-June 6, 1944 Cadet John M. Curtis (History, ’10) Faculty Mentor: Dr. Malcolm Muir, Henry King Burgwyn, Jr. Boy Colonel of the Confederacy Chair in Military History

111 About the Contributing Editors

115 Undergraduate Research at VMI

117 In Memoriam New Horizons r Volume 3 r Number 1 r 2009

From the Executive Editor

No hay lı´mites salvo el cielo. [The sky’s the limit.] Miguel de Cervantes

hree years have passed since New through any concerted effort by the editorial T Horizons editorial board first presented board, however, but rather by the level of its vision for the new journal to the VMI academic excellence established by the cadet faculty and Corps of Cadets. With only a authors themselves in volumes 1 (2007) and blueprint in our collective conscience, we had 2 (2008) of New Horizons. little to show our first audience except a Like their predecessors, the nine cadets conceptual diagram and a bulleted list of goals whose research appears in this year’s print and aspirations. We had set demanding edition—as well as the three cadets whose standards, too demanding many commented, work will appear in the electronic version of when they learned of the multi-layered process New Horizons, volume 3—have successfully we had set forth for prospective authors. met the demands of an eight-month review/ “Daunting,” said some, “too ambitious,” revise process, including recommendation for retorted others, while still others just shook publication by an anonymous third-party their heads with gentle kindness and reader. More likely than not, the reviewer’s sympathetically expounded on the futility of response is the first ungraded qualitative tilting at windmills. evaluation of their work these cadets have Undoubtedly, we have learned many lessons ever received, and at first glance they may about publishing a journal of undergraduate have found the comments overly critical or research since 2006 and even tilted at the even dispiriting. Academic review, after all, occasional windmill. But we have never had does not tend towards gentle kindness, but to compromise the standards we put forth at rather constructive criticism, which can the inception of the journal. To the contrary, sometimes overwhelm even the most the bar for publication has been raised, not seasoned writer.

1 2 New Horizons / April 2009

The cadet authors and cover designer science, and philosophy in representation of whose work comprise this third volume of six different institutions. The New Horizons New Horizons—along with their faculty Editorial Board and the Institute are indebted mentors—represent eight departments across to them for the generosity of their time and VMI’s three academic divisions. And while expertise on behalf of our cadets. interdisciplinarity is not a new feature in our We are equally grateful to all our colleagues journal, the extent and breadth of the at the Institute who were no less generous with collaborative efforts across the curriculum and their time and intellect in their service to cadet throughout the inquiry/writing/review development by serving as research mentors process in this year’s issue merit special and contributing editors for this third volume mention. Chapeau bas as well to the VMI of New Horizons. The unconditional support Department of Physics and Astronomy, who and enthusiasm we receive from faculty make their drum-roll debut in New Horizons colleagues, the dean’s office, our “Friends of with nothing less than one article, a New Horizons” and especially Dr. Jim contributing editorship, the cover design, and Turner, Director of the VMI Undergraduate the newest member of the New Horizons Research Initiative, continue to inspire us, as Editorial Board, Dr. George M. Brooke, IV, cadets set and re-set the standard of Assistant Professor of Physics. undergraduate research at the Institute In addition to the cross-disciplinary evermore skyward. investigative endeavors that define the 2009 Finally, my heartfelt thanks to my fellow edition of our journal, the editorial board editors Alexis Hart, Bob McMasters, and takes exceptional pride in the number of Merce Brooke, without whom this intellectual colleagues who graciously served as quest would be only an endless row of extramural reviewers. This year’s directory windmills on the horizon. of contributing editors includes non-VMI teacher/scholars from the fields of rhetoric, Mary Ann Dellinger engineering, American literature, political Executive Editor, New Horizons

New Horizons is published annually through the VMI Undergraduate Research Initiative. For information, contact: [email protected] or Ms. Leslie Joyce, Undergraduate Research, 309 Science Building, VMI, Lexington, VA 24450. SCIENCES New Horizons r Volume 3 r Number 1 r 2009

Mathematical Model of Rabbit Haemorrhagic Disease

Cadet Marshall H. Jarrett

Faculty Mentor: Dr. Lea R. Lanz, Assistant Professor of Mathematics

ABSTRACT Scientists and mathematicians have developed mathematical models to describe the spread of diseases in populations. An epidemic recently modeled is Rabbit Haemorrhagic Disease (RHD), a disease that first surface in China in the early 1980’s. There are many different mathematical models employed to describe epidemics, and specifically RHD. One type of classical epidemic model, the MSEIR, divides an infected population into different subclasses and uses differential equations to represent population changes in each subclass. From history of the disease, disease characteristics, and mathematical analysis of the model, variations of the MSEIR model, the SIR and SIRS models, are considered as appropriate models for RHD. However, because a replenishment of the susceptible class is not a characteristic of RHD, the SIRS model is more applicable to RHD.

INTRODUCTION numbers of domestic rabbits on farms (Cooke 2002). The loss of millions of In 1984, an epidemic severely attacked consumer rabbits could have crippled millions of Angora rabbits in the People’s businesses relying on the rabbits for meat Republic of China. Spreading rapidly, the and fur (Cooke 2002). However, the disease killed millions of wild rabbits (Cooke uncontrolled spread of the disease led to 2002; Mitro & Krauss 1993). During the research geared toward using the disease to next twelve years, reports of the disease control inflated rabbit populations causing killing thousands of both wild and domestic harm to an area’s natural ecosystem. During rabbits traveled from Asia to Europe, Africa, the mid 1990’s, a research center was and Central America (Cooke 2002). Caused established on Wardang Island in Australia by a calicivirus, the now classified Rabbit to see how the climate could affect the Haemorrhagic Disease (RHD) has become spread of the disease. Before research could endemic among domestic and wild rabbit be completed, the virus escaped to mainland populations. Because of its worldwide Australia and began to spread through wild prominence, research continues to uncover rabbit populations all over the country. At new information about how fast the disease the time of the unwanted release, the spreads and what factors contribute to its epidemic raised concern for Australia’s wild proliferation. rabbit population, but actually turned out to Initially, researchers studied RHD to find be a successful means of biologically ways to prevent the virus from killing large controlling the millions of rabbits that

5 6 New Horizons / April 2009

Australian farmers and naturalists considered populations, B.D. Cooke outlines the as pests (Cooke 2002). The introduction of importance of understanding death rates of the disease dramatically decreased the infected rabbits to better “assist the number of rabbits to a more desirable level. management of wild rabbit populations either Although the disease is relatively new, for conservation or pest control purposes” continuing study of outbreaks confirm certain (Cooke 2002). Because the disease is facts about Rabbit Haemorrhagic Disease. endemic in certain parts of the world, other The Center for Food Security and Public studies continue to produce valuable Health at Iowa State University publishes a information about RHD by using collected web page dedicated to all aspects of the data and mathematical modeling. Using these disease such as species affected, geographic models, researchers can simulate how certain distribution transmission, etc. RHD only factors may or may not lead to higher affects the European rabbit (Oryctolagus mortality rates within an infected population cuniculus) which is prominent in all parts of of European rabbits. In this study, a simple the world from Europe to New Zealand and model of an infected rabbit population will be Australia. When a population becomes constructed to better understand how exposed to the virus, some rabbits contract mathematics can be applied to a natural the disease either directly or indirectly. Direct phenomenon like the spread of Rabbit transmission occurs during oral, nasal, or Haemorrhagic Disease. conjuctival contact with an infected host. Indirect transmission occurs from free virus particles remaining in an infected carcass or 1 MODERN EPIDEMIC MODELING “most or all excretions including urine, feces, Epidemic modeling first appeared in 1766 and nasal secretions” deposited by an infected when Daniel Bernoulli formulated a rabbit (Iowa State 2007). Upon contraction, mathematical model to study the spread of the disease remains latent for a period smallpox (Hethcote 2000). Since then, ranging anywhere between one and three epidemic models evolved into many different days (Cooke 2002). During this incubation shapes and forms. The first step in constructing stage the host can spread the virus, but is not an epidemic model is to divide the members of suffering from the disease. At the end of the the dynamic affected population into different latent period, a rabbit either survives without classes. Then a system of differential equations experiencing any effects of the disease or dies is created. After the model is designed, within 12–36 hours from hemorrhages on its researchers analyze how each subclass changes internal organs ranging from the trachea and during the course of an epidemic. Modern lungs to the liver and kidneys. A portion of models divide a population into many different surviving rabbits develop immunity to the classes. The existence and application of each disease while others remain susceptible. class is purely situational and varies with each However, newborn populations experience a disease and the affected population. Some period of resistance to the disease for around models may include all five subclasses, and as 8 weeks; some experimental results show few as two subclasses adequately represent 40% of young rabbits do not contract RHD some epidemic scenarios. while the adult population experiences 90% mortality (Cooke 2002). The data collected from hundreds of studies 1.1 Population Classes involving the spread of RHD can help people While mathematical modeling cannot understand how to control the spread or exactly replicate the reality of an epidemic, elimination of the disease depending on results provide qualitative analysis of the certain circumstance. In the study Rabbit situation (Murray 2002). As mentioned haemorrhagic disease: field epidemiology above, some epidemic models divide a and the management of wild rabbit population into five different classes: passive Jarrett / Mathematical Model of Rabbit Haemorrhagic Disease 7 immune (M), susceptible (S), exposed (E), A disease’s characteristics determine what infected (I), and removed (R) (Hethcote types of individuals are considered removed. At 2000). Figure 1 is a diagram of the MSEIR the end of the infection period, the individual model and dynamics between classes. may die, gain immunity from experiencing the Looking at the diagram of MSEIR model in disease, or simply recover and return to the figure 1, classification of a population susceptible class. member begins immediately after birth. The M class represents newborn infants possessing some form of antibodies, 2 EPIDEMIC MODELS AND RHD temporarily preventing this class from 2.1 The Kermack-McKendrick (SIR) acquiring the disease. The existence of antibodies, their source, and the duration of Model immunity depends solely on the disease and While more complicated models with the effected species. For example, one extensive parameters may better simulate species exposed to specific disease may disease growth and decay, this section covers experience infant immunity for a lengthy the classic Kermack-Mckendrick model first period of time while another species may introduced in 1927 (Murray 2002; Hethcote have a shortened period of infant immunity 2000). or no infant immunity at all (Hethcote 2000). This Kermack-McKendrick model applied to Individuals capable of contracting the disease RHD studies the effects of the disease on a are classified into the susceptible class (S). During constant population caused by equivalent any epidemic, members of the susceptible class birth rates and death rates. While birth rate interact with members of other classes, including and death rate occur in natural populations, the infective class from which they acquire the but are excluded in this model, a relatively disease. Once acquired, a susceptible individual accurate representation of the disease is becomes “exposed” to the disease and is attainable (Murray 2002). Often referred to as classified into class (E). Members in this class a SIR model, the Kermack and McKendrick experience a period of latency where the disease model separates a population into three exists in an individual but cannot be spread. At different classes: susceptible class (S), infective the end of the latent period, the length of which class (I), and removed class (R) as shown in varies for each disease, an exposed individual figure 2. Many studies commonly omit the (M) becomes infected (Hethcote 2000). Members and (E) classes because they do not affect the classified in this class (I) are capable of infecting interaction between the susceptible and the susceptible class. Many models end with the infective classes. The susceptible class in a removed class (R) which contains individuals population affected by RHD included rabbits recovered from the disease with immunity. capable of becoming infected with the disease,

Figure 1. Representation of the MSEIR model developed by R. W. Hethcote (Hethcote 2000). 8 New Horizons / April 2009

Based on the above assumptions, the SIR model for RHD is as follows dS Figure 2. SIR Schematic with transfer rates ; ¼SI; ð1Þ and ; dt dI ¼ SI I; ð Þ the infective class consists of rabbits in the dt 2 population that have the disease and are able dR to spread it, and the removed class includes ¼ I: ð Þ dt 3 rabbits who experienced the disease, recover, dS gain immunity, or isolate themselves from the In the SIR Model, dt is the rate of change in population. Essentially, the removed class is the the number of rabbits in the susceptible class, dI remainder of the population after the susceptible dt is the rate of change in the number of dR or infective rabbits are accounted for. rabbits in the infective class, and dt is the rate In this model as shown in figure 2.1, S(t), of change in the number of rabbits in the I(t), and R(t) represent the number of rabbits removed class. Furthermore, parameters and in the susceptible, infective, and removed parameter units are found in table 1. classes, respectively, at any given time t.To derive the differential equations describing 2.2 Analysis of the SIR Model the interactions between the classes, the following conditions are assumed: The following mathematical analysis come from papers by Murray and Hethcote. In r even spacial distribution among order to solve the system of differential susceptible and infected rabbits, equations (1)–(3), it is assumed that at t =0, r the infection rate of susceptible rabbits S(0) = S0 > 0, I(0) = I0 > 0, R(0) = R0 =0.To depends on the interaction between simplify the system, it is also assumed the total rabbits in the susceptible and infective population, N, is always constant. This means classes. Therefore, the rate of transfer of rabbits from the susceptible to infective SðtÞþIðtÞþRðtÞ¼N; SI class is determined by b , where b is the dS dI dR contact rate between the susceptible class þ þ ¼ : which implies dt dt dt 0 and infective class, r rabbits transfer from the susceptible to More specifically, at t =0,S0 + I0 = N. the infective class at the same rate they When analyzing an epidemic model, the key are removed from the susceptible class, point dI/dt determines the occurrence of an r rabbits transfer from the infective class to epidemic. For an epidemic to occur it is the the removed class at the same rate necessary that, dI/dt > 0. Remember the they are removed from the infective class assumption I0 > 0 must exist for any infection and this rate is proportional to the to occur. Looking at equation (2), evaluated at number of infected rabbits. This is t = 0, it follows denoted by gI, where g is the transfer rate from the infective to removed class, Table 1. Parameter values and table design based r because the incubation period of the on R. W. Hethcote (Hethcote 2000). RHD virus is short—between one and three days—the model operates under Variable Description (Units) the assumptions that a susceptible rabbit S Number in the susceptible class (rabbits) will contract the disease immediately after I Number in the infective class (rabbits) R Number in the removed class (rabbits) a direct contact with an infected rabbit. Contact rate (per rabbits per day) Essentially, the latent period is ignored Removal rate (rabbits per day) (Murray 2002). Jarrett / Mathematical Model of Rabbit Haemorrhagic Disease 9

dI Integrating both sides of equation (9) gives ¼ I ðS Þ dt 0 0 t¼0 I ¼S þ ln S þ C; ð10Þ S More specifically, the value of (b 0 – g)is and substituting the initial conditions into the critical indicator whether the infective equations (7) yields class will increase or decrease from t =0. I þ S ln S ¼ C: ð11Þ That is when bS0 – g > 0 an epidemic will 0 0 0 occur. The solution to equation (9) is Simplifying this inequality yields, IðtÞ¼SðtÞþ ln SðtÞþI0 þ S0 ln S0: S >0 ð4Þ 0 ð12Þ S0 > ð5Þ Since the maximum value for I(t), Imax, S occurs when S = r, simplifying equation (12) 0 > 1 ð6Þ yields an equations for Imax, S 0 I ¼þlnþI þS lnS ; ð13Þ The expression is often referred to as max 0 0 0 the reproduction number or reproduction ¼ I0 þ S0 þ lnð=S0Þ; ð14Þ rate, R , the number of secondary infections 0 ¼ N þ ð=S Þ; ð Þ produced by one primary infection in a wholly ln 0 15 susceptible population (Murray 2002; The maximum number the infective class R Hethcote 2000). In classic models, 0 is a depends on the total population size, initial function of the contact rate and initial susceptible size and the threshold value. susceptible population, while in more Figure 3 shows the directional field of complex models, birthrate and death rate equation (8) and integral curves of equation R come into play. Values for 0 depend on the (12). Based on the initial susceptible value in characteristics of the model. S > figure 3, an epidemic will occur when 0 r. Moreover, the ratio is r, the threshold Furthermore, figure 4 shows the directional ratio between susceptibles and infectives. An field and integral curves of equations (8) and (12) S > epidemic will certainly occur when 0 r applied to RHD using the values of g and b Notice that r solely depends on the rates of obtained from (Cooke 2002). This very small transfer, g and b, between each class. threshold value confirms the results found in Further analysis of the model includes RHD studies. Once introduced into any realistic solving the system of equations and graphing population of susceptible rabbits, an RHD the directional field and integral curves. epidemic will occur. Because of the constant population assumption, the system of equations (1)–(3) 3 SIRS MODEL reduces to only include (1)–(2). Setting up a ratio of dI/dt and dS/dt, it follows Another modified version of the MSEIR dI model is the SIRS model. In this model, a dt IðS Þ susceptible renewal rate is proportional to the ¼ ð7Þ dS IS number of individuals in the removed class. dt This indicates recovery without immunity or dI S death and a rejuvenation of the susceptible ¼ : ð Þ dS S 8 class. Otherwise, all other assumptions from the previous model apply. This additional To solve this differential equation, the first transfer rate is illustrated in figure 5. The step involves separating the variables, transfer rate from the removed class to the susceptible class is defined by vI as shown S 1 dI ¼ dS ¼þ dS: ð Þ in the following system of differential S 1 S 9 equations, 10 New Horizons / April 2009

Figure 3. Graphs of directional field and integral curves for the SIR model.

dS of differential equations above to include only ¼SI þ R; ð Þ dt 16 two equations. Rearranging terms in dI N ¼ S þ I þ R yields; R ¼ N S I: ¼ SI I; ð Þ dt 17 Substituting the expression of R into equation dR ¼ I R: ð Þ (16) yields, dt 18 dS ¼SI þ ðN S IÞ: dS dt As in the first model, dt is the rate of change in the number of rabbits in the susceptible Again, deriving dI/dS from equation (16) dI class, dt is the rate of change in the number of and (17) produces dR rabbits in the infective class, and dt is the rate dI SI I of change in the number of rabbits in the ¼ : ð19Þ removed class. The sign on each component dS SI þ ðN S IÞ represents either an increase or a decrease in The directional field of equation (19) is class population. Disease parameters g and b shown in figure 6. Notice an oscillatory are growth rates that describe how fast the pattern on the directional field where integral population of a class increases or decreases curves converge to a critical point (denoted by per unit time. Furthermore, parameters and a solid point on the graph). This indicates a parameter units are found in table 2. fixed value of S and I as t approaches infinity. dI dS We can assume dt ¼ 0 and dt ¼ 0 because S and I, the number of rabbits in the susceptible 3.1 Analysis of the SIRS Model and infective classes remains fixed. From equation (17), Similar to the SIR model, we assume N dI population, , remains constant at all times. ¼ IðS Þ¼0 implies I ¼ 0orS ¼ : This quality allows for reduction of the system dt Jarrett / Mathematical Model of Rabbit Haemorrhagic Disease 11

Table 2. Parameter values and table design based which implies S = N. This produces the on R. W. Hethcote (Hethcote 2000). critical point (N, 0).

Variable Description (Units) r When S ¼ , S Number in the susceptible class (rabbits) I Number in the infective class (rabbits) I ¼ N R Number in the removed class (rabbits) ð22Þ Contact rate (per rabbits per day) þ Removal rate (rabbits per day) Transfer rate (rabbits per day) This produces the critical point ðN=Þ ; þ , denoted by C*.

Since the first critical point I = 0 indicates To obtain the critical points, substitute no infection, no epidemic will occur. The each value of I or S into equation (16) and set stability of the epidemic will only be evaluated the equation equal to 0. Rearranginge the at the second critical point, C*. Using equation equation yields, (21), we can mathematically derive the dS reproduction rate, R , for the SIRS Model ¼I þ ðN SÞI ¼ ð Þ 0 dt 0 20 and determine when an epidemic will occur I > vðN SÞ (when 0). Hence, Ið þ vÞ¼vðN SÞI ¼ : ð21Þ þv N S > 0 N = > There are two cases to be considered: 0 N >= r When I = 0 in equation (21), N R ¼ ðN SÞ¼ ; R ¼ > : ð23Þ 0 0 1

Figure 4. Graphs of directional field and integral curves for the SIR model applied to RHD. = .14 rabbits per day ; = .64 per rabbits per day = 4.57 rabbits. 12 New Horizons / April 2009

crit ¼ðI =Þ ¼ðI þ Þ< 0;

crit ¼ðI þ Þð0ÞþIð þ Þ ¼ Ið þ Þ > 0: Figure 5. SIRS Schematic with transfer rates , , The eigenvalues of the Jacobian matrix, are and . calculated using the following equation, pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi 2 4 This indicates that an epidemic will occur ; ¼ : 1 2 2 when R0 > 1. Next, the stability of the system is analyzed The value under the square root will using the eigenvalues of the Jacobian matrix determine whether the eigenvalues are real or of quations (16) and (17), complex. In the case of this model, stability is obtained when is negative. Hence, critical I ðS þ Þ J ¼ ; C ; ðN=Þ I S point þ is always stable provided the threshold effect (23) exists (Edelstein- where the trace of J, denoted by y, and the Keschet 1998). determinant of J, denoted by D, are Due to characteristics of RHD virus, the ¼ðI SÞð þ Þ; SIRS model should not be applied to a RHD epidemic, because replenishment of the ¼ðI þ ÞðS ÞþIðS þ Þ: susceptible class is not a quality of the disease. At the end of the infection period, infected EvaluatingY and D at the critical point ðN=Þ rabbits die or gain immunity. Recovery with C ; yields þ immunity is non-existent.

Figure 6. Graph of the directional field and stability point for the SIRS model. Jarrett / Mathematical Model of Rabbit Haemorrhagic Disease 13

CONCLUSIONS something new about a topic I previously knew nothing about. This in itself was truly an Using mathematical modeling techniques, exciting and enriching experience. we studied two types of mathematical Finally, I would like to thank the Virginia models—the SIR and SIRS model—and Military Institute Department of Mathematics developed a system of differential equations for providing me with the facilities to to study the change in size of susceptible, successfully carry out my project. infective, and removed classes in a population of rabbits exposed to Rabbit Haemorrhagic Disease. Mathematical analysis on the system REFERENCES of differential equations led to the calculation Iowa State University. (2000) Rabbit hemorrhagic of R0 and the threshold value r, both of which indicate when an epidemic will occur. While disease. URL http://www.cfsph.iastate.edu/ Factsheets/pdfs/Rabbit_Hemorrhagic_Disease. both the SIR and SIRS model can be applied pdf. Last Accessed 7/22/08. to RHD, transfer of individuals from the B.D. Cooke (2002) Rabbit haemorrhagic disease: removed class back into the susceptible class field epidemiology and the management of wild is not a characteristic of Rabbit Haemorrhagic rabbit populations, Ref. Sci. Tech, 21, 347–58. Disease. Therefore, the SIR model is more S. Mitro and H. Krauss (1993) Rabbit hemorrhagic suited for studying rabbit populations infected disease: a review with special review to its with RHD. epizootiology, Eur. J. Epidemiol, 9, 70–78. N.D. Barlow and J.M. Kean (1998) Simple models for the impact of Rabbit Calicivirus Disease (RCD) ACKNOWLEDGMENTS on Australasian rabbits, Ecological Modeling I would like to sincerely thank my advisor, 109, 225–241. J.D. Murray (2002) Mathematical Biology I: An Dr. Lea Lanz, for her generosity, and introduction,3rd ed., Interdisciplinary Applied dedication toward my success in SURI 2008. Mathematics, 17, Springer-Verlag. No other teacher has extended his or her H.W. Hethcote (2000) The mathematics of support for my development as a student like infectious diseases, SIAM Review. 42, 599–653. Dr. Lanz. L. Edelstein-Keshet (1988) Mathematical Models Thanks to all SURI faculty and staff for in Biology,1st ed., McGraw-Hill, 164–190, providing me the opportunity learn 242–254. New Horizons r Volume 3 r Number 1 r 2009

Adaptive Numerical Analysis of Laser Pulses

Cadet Thomas M. Shaffner

Faculty Mentors: Dr. John R. Thompson, Professor of Physics Dr. Troy J. Siemers, Associate Professor of Mathematics and Computer Science

ABSTRACT Fluctuations in the pulse output of a Q-switched Nd:YAG Laser were modeled using differential equations for the electron population inversion and the cavity power of a system with random initial conditions. Starting with a Runge-Kutta 4 numerical estimation method, various initial conditions were examined. Through variations of the RK4 method, including experiments with RK5 and primarily through use of adaptive step sizes, the time of this estimation was reduced to allow it to be run over many runs on a distribution of initial conditions.

INTRODUCTION In this particular project, the laser being studied was a Q-switched Nd:YAG laser. The The use of lasers has become increasingly model was done in two parts: the first, the prevalent in modern technology and scientific continuous-wave (CW) model, represented experiments. Whether being used for the buildup of an electron population inversion precision measurement of fundamental and weak laser background within the laser physical constants, measuring greenhouse gas cavity at a known pump rate; and the second, concentrations remotely, or simply using the pulse model stage, modeled the pulses them in fiber optic cables for long distance themselves that occur after this buildup communications, they have become an and when the cavity losses are turned off. integral aspect of modern life. With the The formulae used to connect the variables diversity and frequency of laser applications governing the system to the results generally today, it has become increasingly important take on a differential form that is extremely to understand the random fluctuations that difficult to solve by hand. Accordingly, the occur within these lasers and how such modeling needed to be done via a numerical irregularities affect the output light. With a estimate. Details on the numerical analysis deeper understanding of these variables, element of this project will be discussed later. we can take into account the effects visible in the output light and prevent the variations from causing communication problems or THE LASER MODEL detrimentally affecting the quality of In a typical laser there are two mirrors, one experimental data. on each end of a laser cavity. One of the

15 16 New Horizons / April 2009

 mirrors is totally reflective, while the other dP 1 h ¼ ðÞn 1 P þ n ð2Þ which is only 95% reflective, known as the 2 dt c c output coupler, allows light to pass out of the cavity when the light is intense enough. In these equations, n is a normalization of the Between the mirrors is a gain medium that population inversion and P is the optical generates photons. These photons start a power in watts currently exiting the output process, known as stimulated emission, that coupler. The x variable is representative of causes the material to emit new photons the pump rate and is a dimensionless identical to those incident upon it. The parameter scaled to the threshold value of the condition necessary for this emission to occur pump rate for the laser system. A pump rate requires a large number of electrons to be in a of one is the lowest value at which there is high energy state within the material, with a enough power for the laser to produce relatively empty lower energy state available coherent light. The other parameters of the below them into which they can fall when equations remain constant, being standard for i they emit new photons. The ratio between the laser. The first term in the top equation, the number of electrons in the higher energy x=, isÀÁ the result of the pumping. The next state and the number in the lower is known as term, =Aeffh Pn, shows the effect of the population inversion. In order to create an stimulated emission, and the last term, n=,is inversion, a “pump” is used to excite electrons the change in n due to spontaneous emission. in the laser material to the higher level, and Likewise in the second equation, nP=c is the thus to maintain a greater population stimulated emission term, P=c is the loss ðh= 2Þn inversion. However, the Nd:YAG laser pump through the output coupler, and c energy is supplied by a high power diode shows the effects of spontaneous emission on laser. Due to fluctuations in this laser the pump the power. With these equations a model rate is never quite exact, and fluctuations in this could be created to determine how long it pump rate were the changes whose effect was takes the background laser power to build up being examined. a population inversion of the level needed to become the initial inversion of a pulse. An example of the model is seen below (Figure 1). Continuous Wave Model This model was done with a pump rate of two. The rapidly rising population inversion is In the continuous-wave stage, the entire readily apparent at the start of the simulation, process begins at a set pump rate with a and as it approaches the equilibrium point of device called an acousto-optic modulator one it starts to oscillate around that point. The (AOM) in place and active. This device uses power leaving the output coupler jumps at sound waves in a solid to act as a diffraction corresponding times as the inversion peaks grating for the laser light, diffracting it out of above one and bleeds off through the output the cavity so that it cannot continue to grow. coupler. As the inversion begins to stabilize Accordingly, this time period in the model is around one, the oscillations of both power focused on giving the pump enough time to and inversion slowly relax around their final create a large population inversion to ensure values. minimal light output. The time given for this The following graph is an example of period of the model is generally on the order the way the power oscillates at the end of this of a millisecond, after which any power portion of the model. Many iterations of fluctuations have returned to the vicinity of the above continuous-wave equations were zero, and the population inversion is settling in the vicinity of one. The equations used for this portion of the model were the following:  i dn x n A description of the other variables, along with a ¼ Pn ð1Þ list of the values used in this experiment, is available dt Aeffh in Appendix A Shaffner / Adaptive Numerical Analysis of Laser Pulses 17 run and the final point in the previous graphs through the less reflective mirror to be a high (i.e., the last point estimated by the simulation) power laser pulse. In this particular portion of was taken from each. A histogram of these our laser model, the following equations— points as seen below shows the oscillations versions of the above equations without the still occurring as the pump rate is varied. pumping and spontaneous emission terms— were used as models:  dn Pulse Model ¼ Pn ð Þ dt A h 3 In the second stage, after the pump has eff created a large enough population inversion, dP 1 ¼ ðÞn 1 P ð4Þ the acousto-optic modulator is turned off. dt c With the AOM off, there is no longer a diffraction grating in the cavity and the power The pumping and spontaneous emission terms quickly builds. The inversion at this point is have been dropped because their effect on the poised to create a quick pulse of laser light, time scale of a pulse is negligible. An example and within a few hundred nanoseconds a of the inversion and power during this stage is pulse occurs and depletes the population seen below in figure 3. Here the relationship inversion. As this occurs, the number of between inversion and power is readily photons reflecting between the mirrors apparent as the inversion drop corresponds to through the laser material rapidly builds until the rising power output, peaking just as the it is strong enough for the 5% of light escaping inversion drop begins to slow.

Figure 1. An example of the CW for a single iteration. 18 New Horizons / April 2009

Figure 2. A histogram of the final points taken from many runs of the CW model.

The time at which these peaks occur was conditions are selected as starting values, and relatively similar, even with changes in initial an algorithm known as the Runge-Kutta 4 conditions. The initial conditions taken from (RK4) method is used to trace out a path the first portion of the model and shown in through the vector field. The RK4 process figure 2 were used as input conditions in the begins as shown in figure 5 by taking the slope pulse portion of the model, and the peak times at the start point, calculated using the model in each of those runs were recorded to produce equations, and using this slope to estimate a the histogram in figure 4. In figure 4 we see the value halfway through the time step (dt). At relatively close spread of peak times, also this point, point 2, another slope is calculated noting the oscillatory nature that still appears and then used from the start point to a new to occur and is likely a reflection of this same midpoint estimation: point 3. A slope at point feature in the initial seed power values. 3 is then used to estimate a point 4 value at the end of the time step, where another slope is calculated. These four slopes are then used, NUMERICAL ESTIMATION the midpoint slopes (slope 2 and slope 3) The fact that the equations for this system being weighted double, to find a weighted are in differential form, both in the first and average slope across the time step. This second stage, complicates using them to average slope is the slope used to estimate the create a model for this setup. In this form the value for the final point. The final point then equations do not actually produce the shape of becomes the start point for the next time step the curve created, but rather a vector field in and the process is repeated. By doing this over which the change in inversion or power can be the entire time period (i.e. the length of the found at each point, but not their actual value. continuous-wave or pulse model evaluation), a In order to evaluate the model, typical input reasonable estimate of the graph can be found. Shaffner / Adaptive Numerical Analysis of Laser Pulses 19

Figure 3. An example of the inversion and power after the acousto-optic modulator is turned off.

Adaptive Time Steps portions when quick direction changes are rare. To do this a 5th order Runge-Kutta algorithm The difficulty with this method, however, is (RK5), a slightly more complex and accurate that running a RK4 algorithm on every time version of RK4, was used. By comparing step, and keeping the time steps small enough the RK4 and RK5 estimate at each time step, to stay accurate, can result in the estimation some understanding of how accurate the taking quite a while to complete even on estimate was could be reached. As long as the newer computers. To maintain accuracy, the two estimates were close enough to the actual time step needs to remain small enough to be values, the difference between them would able to model very rapid changes in the be relatively small and the time step could graph’s shape. The small step size makes for be increased. In those regions where large a long process though, including many very fluctuations were occurring, however, the small time steps over intervals when the th th 4 order and 5 order estimates were further graph remains relatively smooth. In these apart, indicating a smaller step size was needed smooth areas, very small time steps are to maintain accuracy. unnecessary to maintain accuracy and make Through some testing of variations on this the program needlessly time-consuming. technique, it was found in general that a base One way to reduce this waste of time is to level of accuracy should be established as the utilize an adaptive technique, in which the time starting point for the program, in this case step size is changed to be smaller on portions of approximately 0.01 microseconds. Time the graph with more fluctuations and larger for steps larger than this lost accuracy quickly 20 New Horizons / April 2009

Figure 4. A histogram of peak times for many iterations of the pulse model. when the fluctuations began and in many cases A base tolerance was established as well, became wildly inaccurate. Time steps smaller generally on the order of 1 x 10-7 difference than this increased the total estimation time between the RK4 and RK5 estimations of considerably without noticeably increasing the inversion or power. The step size began at accuracy of the process. the base step size and would be doubled as

Figure 5. A depiction of the Runge-Kutta 4 (RK4) estimation algorithm. Shaffner / Adaptive Numerical Analysis of Laser Pulses 21 long as the RK4 and RK5 difference was the step size drops and fluctuates frequently in within the tolerance. In order to avoid the those areas of the graph where fluctuations step size getting so large that fluctuations only are more common, and in smoother areas affecting small portions of time might be the step size is maintained at its highest value. missed, a cap was also set. When the step Also of note are the aberrant deviations in the size became larger than five times the initial start of the power estimate, and the step size set, it was no longer increased. As corresponding drops in time step. These long as the RK4 and RK5 difference stayed aberrations did not always appear in the within the tolerance, the step size was left estimates, and were less likely to show up at this larger value. When the difference with smaller time steps, but it seems to be exceeded the tolerance, however, the step simply a period before the numerical estimate size was either then halved or dropped back has settled. Because they did not appear to to the initial step size, depending on how make any difference in the rest of the much the tolerance was exceeded. With this estimate, it was not deemed worth the time it technique the computer run time for a single would take to make the estimate accurate estimate over 1000 microseconds dropped enough to eliminate them. from roughly 23 seconds to approximately It was never determined why five times the 5-7 seconds. initial value was the best cap for this instance. Figure 6 shows one of the previous runs A number of variations were tried, and while with the third graph indicating the step size six resulted in only a minor increase in used through the estimation. It is evident that estimation time, exceeding six or dropping

Figure 6. A CW model run with variable time step. 22 New Horizons / April 2009 to four resulted in noticeable increases in the initial values for these variables in the pulse time of each run. This is a property of this model. The magnitude of the inversion in system that has yet to be explained, it was the equations for both the CW model and the simply found experimentally to work best. pulse model is scaled to be relative to the Other adaptive techniques were considered, losses, however, and as the losses from most notably a formula which used the the AOM drop to zero in the pulse model, the tolerance and RK4-RK5 difference to inversion value effectively triples. To account calculate a scaling factor that altered the step for this the final CW inversion values were size up or down as the estimation progressed. scaled up by a factor of three. The equation for this scaling factor was:  tol h 1= RESULTS s ¼ 4 ð Þ jjz y 5 2 kþ1 kþ1 A Gaussian distribution of initial pump rates This method did not work for the equations was used to model fluctuations in pump rate in use for this model though, producing results power in the CW model. These fluctuations in that in no way resembled the actual properties the ‘x’ parameter in the formulae were used as of the system. Trying to use this method on the pump rates for the first stage of the equations that had such large fluctuations experiment. The output from a run of 25,000 between the smooth and jagged areas of the data points, with the pump rate distribution graph was simply too much variation for this centered around 1.2002 with a standard method to handle. Therefore it was deviation of 0.0501 resulted in the following abandoned in favor of the doubling/halving output: In figure 7 we see a comparison of the method which actually worked. The output inversion values on the y axis against shortened duration of the estimation from this pump rate values on the x axis. It is adaptive technique could thus be used on a noteworthy that the data appears in vertical Gaussian distribution of thousands of pump striations as the pump rate changes. It is here rates and could be completed in a matter of we can see the fluctuations still occurring in the one to two days instead of almost a week. estimate, indicating the possibility of an The MATLAB code used for the CW model underlying periodicity. If the data points are and pulse model with large numbers of data connected in order of ascending estimation points is found in appendices B and C pump rates, the data points are all connected respectively. along these striations as seen in figure 8, confirming the periodicity of the data. Also noteworthy is the fact that the vertical spread of the data appears to decrease with higher Pulse Model Estimation pump rates. This is indicative of the inversion Unlike the CW model, the pulse model was settling faster with higher pump rates. At a fairly uniform in its graphical shape. It lacked high enough pump rate, this spread would the many quick direction changes and short likely converge to a line as the time at which fluctuations seen in the CW estimate; the inversion finally settles to a constant value consequently such run times for this estimate shifts to an earlier time. were quite short without needing an adaptive With output power vs. pump rate seen in technique. An estimation run over the 200- figure 9, striations are again clearly visible 300 nanosecond period necessary to see across the pump rate, and again when an entire pulse with a step size of one connected in order follow these striations, as nanosecond produced very good results in a seen in figure 10, showing the periodicity of fraction of a second. Because of this a non- the oscillations still occurring at the end of the adaptive estimation was used. The final values estimate. Of note here, however, are the of the inversion and power from the CW trends of a widening array of data points that estimate already completed were used as the also shift higher in power with increasing Shaffner / Adaptive Numerical Analysis of Laser Pulses 23

Figure 7. Final inversion values vs. pump rate.

Figure 8. Final inversion values vs. pump rate connected sequentially in ascending order of pump rate. 24 New Horizons / April 2009

Figure 9. Output power vs. pump rate. pump rates. The higher pump rate is The output power and inversions from this providing more energy to the system, which model as shown in figure 11 was then used as is reflected in the power at the end of the the input for the pulse portion of the model oscillation. This higher pump rate also shows with power remaining the same and inversion in the widening of the data, as those spikes scaled up by a factor of three. With this as that are still occurring at the completion of input for the pulse models, the graph in the run are more powerful at higher pump figure 12 was created. rates. Figure 12 shows the first 100 pulses from Combining these two graphs and the model. It is noteworthy that the pulses all connecting the lines in order, gives the output peak at approximately the same value, in figure 11, with power on the vertical axis, closely centered around an average of inversion on the left horizontal axis, and 378.1820 watts with a standard deviation pump rate along the right horizontal axis: In of only 2.4299 watts or 0.64%. Of interest, figure 11 we can see the power and inversion however, is the difference in times at which changing as pump rate changes. Again the this peak time was reached. The distance inversion is fairly centered on its settling point between the first and last peaks is known of one without shifting up or down, while the as the jitter and is indicative of the difference power is rising as the pump rate is increasing. in the time at which a peak occurs, which As there are fewer points on the outside of a resulted from changing the initial pump rate Gaussian distribution, the lines become less of the laser. The mean peak time in this and less smooth near the ends, but this is model turned out to be 8.9291 x 10-08 with a likely due solely to a smaller number of points standard deviation of 6.9328 x 10-09 or taken. With enough points the entire line 7.76%. would likely become smooth in the way the The width is also of interest as once it has central portion of the graph is. been found one can predict the range of time a Shaffner / Adaptive Numerical Analysis of Laser Pulses 25

Figure 10. Output power vs. pump rate connected sequentially in ascending order of pump rate.

Figure 11. Output power (vertical axis) vs. population inversion (left horizontal axis) vs. pump rate (right horizontal axis) connected in ascending order of pump rate. 26 New Horizons / April 2009

Figure 12. First 100 iterations of the pulse model. pulse will occur given a certain pump rate. might be done with small fluctuations in these Also of note is the area of the curve under each starting inversion and power values. Some pulse, which is related to the power of the pulse. consideration might be given as well to the These areas were logged and averaged around exact magnitude of the drop in losses due to 1.5378 x 10-05 watts with a standard deviation turning off the acousto-optic modulator, and of 5.7870 x 10-08 watts or 0.37%. more tests might be done with scaling factors ranging from the value of three used in this model up to five. CONCLUSIONS Overall this project has proven fairly The next step for this project would be to profitable in its analysis of the models of take the output data at each point and both the continuous-wave and pulse portions compare it in depth to experimental of the Nd:YAG laser being studied. Both non- measurements from the Nd:YAG laser adaptive and adaptive modeling techniques system, but time constraints prevented such were tested, the optimal technique in each in depth analysis in this particular project. case was utilized, and reasonable output data Future work could consider other possible was obtained. A different form of adaptive starting values for some of the variables. The analysis was created for use on the CW model, initial power and inversion values in this and trends in the output from both the CW and experiment were always zero, but given close pulse models gave valuable information about enough pulses this might not always be the the effects that pump rate has on the final case in a laser. Further experimentation power and shape of the laser pulse. Shaffner / Adaptive Numerical Analysis of Laser Pulses 27

REFERENCES clc %Initialized variables Kiusalaas, J. (2005). Numerical methods in sigma=2.8e-19; %Stimulated emission cross- engineering with MATLAB. Cambridge University Press, New York, NY. section in cm^2 Press, W.H., Flannery, B.P., Teukolsky, S.A. & gamma=0.026; % Cavity losses Vetterling, W.T. (1986). Numerical recipes: (dimensionless) The art of scientific computing. Cambridge Planck=6.634e-34; % Planck’s constant in J-s University Press, New York, NY. Aeff=3.14e-4; % Cross-sectional area of beam Svelto, O. (1998). Principles of lasers, Fourth edn. inside crystal in cm^2 Plenum Press. v=282e12; % Frequency of laser light in Hz tau=230e-6; %Spontaneous decay rate in Appendix A seconds  tauc=13e-9; % Photon cavity lifetime in dn x n ¼ Pn seconds dt Aeffh  dP 1 h %Calculate coefficients ¼ ðÞn 1 P þ n 2 coeffn=(sigma/(gamma*Aeff*Planck*v)); dt c c coeffP=((Planck*v)/(tauc^2)); n = normalized population inversion P = optical power exiting the output coupler %Get length of run and step size from user of the laser %tf = input(‘Input the final time value tf in x = pump rate relative to threshold value of microseconds > ’); pump rate (threshold at x = 1) tf=1000; s = stimulated emission cross-section of the tf=tf*1e-6; laser material (measure of efficiency of laser %h = input(‘Input the step size h in material at generating twin photons) microseconds > ’); g = logarithmic loss coefficient for a single h=.01; pass through the cavity %tolerance = input(‘Input the tolerance in h > ’); Aeff ¼ cross-sectional area of the laser beam tolerance=1e-7; in the cavity h=h*1e-6; h = Planck’s constant h_init=h; ¼ center frequency of laser pulse avgnum=0; c ¼ average lifetime of photons in laser cavity tocaverage=0; Assigned values: %Calculate number of steps and zero n, P and ðÞR ðÞ: ¼ln 2 ¼ln 0 95 ffi : 2 2 0 02564 t vectors 2 2 Aeff ¼ w ¼ ð0:01Þ ffi 0:0003142 m num=int32(tf/h); h ¼ 6:63 Â 1034 Js % figure L ¼ 10 cm c ¼ 3 Â 1010 cm/s %Generate random numbers ¼ L ¼ : Â 8 c c 1 3010 10 s number=input(‘How many different x ¼ 282 Â 1012 Hz values? > ’); 2 ¼ 2:8 Â 10 19 cm %number=50; for k=1:4 mid=1.2+.2*k; Appendix B disp([‘Mean is ’ num2str(mid)]) CW model code dev=mid*.042; %approx 4% of the mean. %Shaffner 1st CW Laser Rate Equation program X=1:number; %Clear the command window %Initialize random array 28 New Horizons / April 2009

Y=zeros(number,1); 2197.0 - 7200.0*k4/2197.0+1932.0*k2/ count=1; 2197.0); while count<=number k8 = h * dPdt(x,tauc,coeffP,n(i,1) + temp=randn*dev+mid; 7296.0*k5/2197.0 - 7200.0*k3/2197.0 if temp>=1.01 +1932.0*k1/2197.0, P(i,1) + 7296.0*k6/ Y(count)=temp; 2197.0 - 7200.0*k4/2197.0+1932.0*k2/ count=count+1; 2197.0); end k9 = h * dndt(x,tau,coeffn,n(i,1) - end 845.0*k7/4104.0 +3680.0*k5/513.0-8.0* M=mean(Y); k3+439.0* k1/216.0, P(i,1) -845.0*k8/ stdv=std(Y); 4104.0 +3680. 0*k6/513.0-8.0*k4+439.0* final=zeros(number,2); k2/216.0); k10 = h * dPdt(x,tauc,coeffP,n(i,1) - for j=1:number 845.0k7/4104.0 +3680.0*k5/513.0-8.0* x=Y(j); k3+439.0 *k1/216.0, P(i,1) -845.0*k8/ n=zeros(num+1,1); 4104.0 +3680 .0*k6/513.0-8.0*k4+439.0* P=zeros(num+1,1); k2/216.0); t=zeros(num+1,1); k11 = h * dndt(x,tau,coeffn,n(i,1) - z=zeros(num+1,2); 11.0*k9/40.0+1859.0*k7/4104.0-3544.0* tcounter=0; k5/2565.0+2.0*k3-8.0*k1/27.0, P(i,1) - tic 11.0*k10/40.0+1859.0*k8/4104.0-3544.0* k6/2565.0+2.0*k4-8.0*k2/27.0); %Set initial conditions for n, P and t k12 = h * dPdt(x,tauc,coeffP,n(i,1) - n(1,1)=0; 11.0*k9/40.0+1859.0*k7/4104.0-3544.0* P(1,1)=0; k5/2565.0+2.0*k3-8.0*k1/27.0, P(i,1) -11.0* t(1,1)=0; k10/40.0+1859.0*k8/4104.0-3544.0* k6/ z(1,1)=n(1,1); 2565.0+2.0*k4-8.0*k2/27.0); z(1,2)=P(1,1); i=1; % Compute n(i+1,1) h=h_init; n(i+1,1) = n(i,1) + (25.0*k1/216.0 %Compute n, P and t values +1408.0 *k5/2565.0+2197.0*k7/4101- while tcounter < tf k9/5.0) ; % Compute P(i+1,1) % Compute the values k1, k2, k3, k4, P(i+1,1) = P(i,1) + (25.0*k2/216.0 k5, k6, k7, k8 +1408.0 *k6/2565.0+2197.0*k8/4101- k1 = h * dndt(x,tau,coeffn,n(i,1),P(i,1)); k10/5.0); k2 = h * dPdt(x,tauc,coeffP,n(i,1),P(i,1)); k3 = h * dndt(x,tau,coeffn,n(i,1) + k1 / %Compute Z(i+1) 4.0, P(i,1) + k2 / 4.0); z(i+1,1)=n(i,1)+(16.0*k1/135.0 k4 = h * dPdt(x,tauc,coeffP,n(i,1) + k1 +6656.0*k5/12825.0 + 28561.0*k7/ / 4.0, P(i,1) + k2 / 4.0); 56430.0-9.0*k9/50.0+2.0*k11/55.0); k5 = h * dndt(x,tau,coeffn,n(i,1) + z(i+1,2)=P(i,1)+(16.0*k2/135.0 9.0*k3 / 32.0 + 3.0*k1/32.0, P(i,1) + +6656.0*k6/12825.0 + 28561.0*k8/ 9.0*k4 / 32.0 + 3.0*k2/32.0); 56430.0-9.0*k10/50.0+2.0*k12/55.0); k6 = h * dPdt(x,tauc,coeffP,n(i,1) + 9.0*k3 / 32.0 + 3.0*k1/32.0, P(i,1) + %Compute t(i+1,1) 9.0*k4 / 32.0 + 3.0*k2/32.0); t(i+1,1)=t(i,1)+h; k7 = h * dndt(x,tau,coeffn,n(i,1) + tcounter=t(i+1,1); 7296.0*k5/2197.0 - 7200.0*k3/2197.0 if min(abs((n(i+1,1)-z(i+1,1))),abs((P(i +1932.0*k1/2197.0, P(i,1) + 7296.0*k6/ +1,1)-z(i+1,2)))) < tolerance && h < 5*h_init Shaffner / Adaptive Numerical Analysis of Laser Pulses 29

h=h*2; f = ((1/tauc)*(n-1)*P)+(coeffP*n); elseif min(abs((n(i+1,1)-z(i+1,1))),abs((P % (i+1,1)-z(i+1,2)))) < tolerance && h > 5*h_init %End h=h*1; elseif min(abs((n(i+1,1)-z(i+1,1))),abs((P (i+1,1)-z(i+1,2)))) < 2*tolerance && h > Appendix C 5*h_init Pulse model code h=h/2; else h=h_init; %Shaffner 2nd CW Laser Rate Equation end program i=i+1; %function nP=firstfunction(tf,h) end %Clear the command window clc nfin = n(1:i); Pfin = P(1:i); %Initialized variables tfin = t(1:i); sigma=2.8e-19; %Stimulated emission cross- dtfin(1,1)=h_init; section in cm^2 dtfin(2:i)=t(2:i)-t(1:i-1); gamma=0.026; % Cavity losses final(j,1)=nfin(end); (dimensionless) final(j,2)=Pfin(end); Planck=6.634e-34; % Planck’s constant in J-s Aeff=3.14e-4; % Cross-sectional area of toc beam inside crystal in cm^2 tocaverage=tocaverage*avgnum; v=282e12; % Frequency of laser light in Hz tocaverage=tocaverage+toc; tau=230e-6; %Spontaneous decay rate in avgnum=avgnum+1; seconds tocaverage=tocaverage/avgnum; tauc=13e-9; % Photon cavity lifetime in end seconds new=[Y,final(:,1),final(:,2)]; x=3; new=sortrows(new); xlswrite([‘CW’ num2str(floor(mid)) ‘_’ %Calculate coefficients num2str(10*(mid-floor(mid))) ‘.xls’],new) coeffn=(sigma/(gamma*Aeff*Planck*v)); coeffP=((Planck*v)/(tauc^2)); end fprintf(‘Average elapsed time is %9.6f seconds.\n’,tocaverage) %Get length of run and step size from user %End of Program tf = input(‘Input the final time value tf in nanoseconds > ’); Called Subprograms: tf=tf*1e-9; h = input(‘Input the step size h in nanoseconds > %function dndt ’); %f = f(x,tau,coeffn,n,P) = (x/tau)-coeffn*P*n- h=h*1e-9; (n/tau); avgnum=0; tocaverage=0; function f = dndt(x,tau,coeffn,n,P) f = (x/tau)-coeffn*P*n-(n/tau); %Calculate number of steps and zero n, P and % t vectors %End num=int32(tf/h);

%function dPdt %Get inputs from previous step output %f = f(x,tau,coeffP,n,P) = ((1/tauc)*(n-1)*P) matrices +(coeffP*n); nstarts=input(‘Input the output n matrix from function f = dPdt(x,tauc,coeffP,n,P) the last program > ’); 30 New Horizons / April 2009

Pstarts=input(‘Input the output P matrix from %Compute t(i+1,1) the last program > ’); t(i+1,1)=t(i,1)+h; number=size(nstarts); nP(i,1)=n(i,1); number=number(1,1); nP(i,2)=P(i,1); peak =zeros(number,1); if j<=100 peaktime=zeros(number,1); pulsen(i,j)=n(i,1); pulsesn=zeros(num,number); pulseP(i,j)=P(i,1); pulseP=zeros(num,number); end Parea=zeros(number,1); end Parea(j)=h*sum(P); for j=1:number [peak(j),timeindex] = max(P); n=zeros(num+1,1); peaktime(j)=t(timeindex,1); P=zeros(num+1,1); toc t=zeros(num+1,1); tocaverage=tocaverage*avgnum; tocaverage=tocaverage+toc; %Set initial conditions for n, P and t avgnum=avgnum+1; n(1,1)=nstarts(j)*3; tocaverage=tocaverage/avgnum; P(1,1)=Pstarts(j); end t(1,1)=0; %Generate n vs. t and P vs. t plots subplot(2,1,1); plot(t,n) tic title([‘n vs. t: Runge-Kutta 4 Estimation, Time %Compute n, P and t values step: ’, num2str(h),‘seconds Duration: 0 to ’, num2str(tf) ‘seconds’]); for i = 1 : num xlabel(‘time (seconds)’); ylabel(‘n’); subplot(2,1,2); plot(t,P) % Compute the values k1, k2, k3, k4, k5, title([‘P vs. t: Runge-Kutta 4 Estimation, Time k6, k7, k8 step: ’, num2str(h),‘seconds Duration: 0 to ’, k1 = h * dndtStage2(x,tau,coeffn,n(i,1),P (i,1)); num2str(tf) ‘seconds’]); xlabel(‘time (seconds)’); k2 = h * dPdtStage2(x,tauc,coeffP,n(i,1),P ylabel(‘P’); (i,1)); %End of Program k3 = h * dndtStage2(x,tau,coeffn,n(i,1) + k1 / 2.0, P(i,1) + k2 / 2.0); k4 = h * dPdtStage2(x,tauc,coeffP,n(i,1) Called Subprograms: + k1 / 2.0, P(i,1) + k2 / 2.0); k5 = h * dndtStage2(x,tau,coeffn,n(i,1) + %function dndtStage2 k3 / 2.0, P(i,1) + k4 / 2.0); %f = f(x,tau,coeffn,n,P) = (x/tau)-coeffn*P*n- k6 = h * dPdtStage2(x,tauc,coeffP,n(i,1) (n/tau); + k3 / 2.0, P(i,1) + k4 / 2.0); function f = dndt(x,tau,coeffn,n,P) k7 = h * dndtStage2(x,tau,coeffn,n(i,1) + f = -coeffn*P*n; k5, P(i,1) + k6); % k8 = h * dPdtStage2(x,tauc,coeffP,n(i,1) %End + k5, P(i,1) + k6); %function dPdtStage2 % Compute n(i+1,1) %f = f(x,tau,coeffP,n,P) = ((1/tauc)*(n-1)*P) n(i+1,1) = n(i,1) + (k1 + 2.0 * k3 + 2.0 * k5 +(coeffP*n); + k7) / 6.0; function f = dPdt(x,tauc,coeffP,n,P) % Compute P(i+1,1) f = ((1/tauc)*(n-1)*P); P(i+1,1) = P(i,1) + (k2 + 2.0 * k4 + 2.0 * % k6 + k8) / 6.0; %End New Horizons r Volume 3 r Number 1 r 2009

A Kinematic Model for Hand Movements

Cadet Christopher M. Leach

Faculty Mentor: Dr. Vonda K. Walsh

ABSTRACT Modeling the complex motions of the human hand is a notoriously difficult problem. The goal of this research was to develop a computer-based kinematic model of the hand in MATLABW. The parameters for the range of motion of the “average” hand were obtained by measuring the range of motion of twenty human subjects. The results of the model showed that DIP and PIP joints move to their maximum range of motion before the MCP joints. Coupling the Leach Surface Marker Method—developed for the present study—with more capable technologies could potentially advance the study of hand movements in medicine and robotics alike.

INTRODUCTION gaming advancements, the older but still very capable computers and 3D viewing systems The human hand allows a wide range of have become more cost-efficient. More functions that is nearly impossible to list. The currently, 3D motion equipment has been hand moves in so many different ways used in a study of gait movement of both throughout the 3D coordinate system that unimpaired and impaired human subjects. 3D recording and accurately modeling all the animations are now applied to detailed motions continues to stump researchers. A diagnostics as well as treatment planning for kinematic model, which shows pure motion patients with problems with gait (Rau et al. without force, is a technique to demonstrate 2000). While in the past, doctors were limited some of these present-day problems. The to analyzing movements greater than present study focuses on some of the reasons 30 degrees, new mini-receivers are capable of that have made human hand motion difficult to recording very small movements. This new model even with existing technology. technology was designed to enable an injured athlete to go to his or her doctor, who could LITERATURE REVIEW in turn record the athlete’s movement and determine the actual location of the Rau, Schmidt, and Disselhorst-Klug (2000) problem. More motion definition should described the first form of motion detection in reveal such great detail that a medical gait analysis using optoelectronic systems. professional would be able to point out These optoelectronic systems are still very muscles that work to determine which muscles effective and remain widely used for injury make certain movements possible (Cheng detection and movement hindrances. Due to et al. 1999).

31 32 New Horizons / April 2009

Dipietro, Sabatini, and Dario (2003) a standard or program with sufficient determined computer technology and precision to pinpoint or even recognize graphics have increased enormously, thanks certain injuries (Fleiss 1986). Another to the gaming industry. Pressed forward by obstacle preventing these measurements from the advancement of technology in games, becoming a standard is that the attributes of studies in movements of body parts or their the hand—such as joint geometry, ligaments, ranges of motion have become a very popular tendons, and muscular contribution—differ research topic (Dipietro et al. 2003). significantly from person to person Currently, mini-receivers are being used to (Carpinella et al. 2006). Moreover, the increase the graphics in gaming systems. thumb also affects the fingers’ range of These mini-receivers are placed at a minimum motion (Li-Chieh et al. 2003). distance from each other across the body. Fleiss (1986) determined through repeated Once the program is activated, the measurements that the range of hand motion programmers ask the participant to move was affected by the thumb, elbow, and normally (Dipietro et al. 2003; Miyata et al. shoulder position. Subjects were tested 2004; Metcalf et al. 2006). In the context of numerous times with their thumbs and elbows gaming, the player would be dunking, in separate positions, and readings were taken shooting, tackling, or swinging in order for to record the differences. Carpinella, et al. the computer program to record the motion (2006) also determined that repeated and the programmers to apply the recorded measurements were required to find the information to the game. As a result, most percent error in the placement of the joint sports games show an actual recording of a transmitters. This study revealed the percent human performing these actions. Gaming error in the placement of the markers as well systems are so advanced that they can show as the miscalculations produced by different the players sweating, moving their eyebrows, orientations of the joints. The researchers talking with mouth motions, and even were then able to analyze more specific and producing shadows that change due to accurate data from that percentage to prevent orientations in lighting. future inaccuracies in measurement Rau, Schmidt, and Disselhorst-Klug (2000) (Carpinella et al. 2006; Edwards 2002). explained that the detection of muscularly- Ellis (2002) studied repeated motions and injured patients has been advanced as well found that fatigue was sometimes a factor. through electromyography (EMG), which Other times motion increased with repeated records the electrical current going through stretching (Ellis et al. 2002). For example, the muscles when contracted. By recording when a subject works out by continuously the time the muscle takes to respond and the repeating the same motion, fatigue eventually range of motion of the muscle, it is relatively limits the full range of motion. But if the easy to locate and determine appropriate subject is running, the range of motion muscular problems (Rau et al. 2000). EMG increases as the muscles stretch. Upon makes it possible to target the problems and cooling down following the run, the gained not the symptoms. range of motion is lost due to fatigue. In spite of current technology, as Cooney, Edwards (2002) determined that bone et al. (2003) point out, the capabilities of the thickness and bone strength are other factors hand’s different functions and motions have that affect hand motion (Edwards 2002). not been successfully recorded through the Younger boys who tend to have thicker and 3D coordinate plane. When mini-receivers stronger bones have greater range of motion are placed on the hand, they cannot record than older men, who have weaker bones. The the data with enough precision, due to the hand will not allow itself to move to the point skin and the flexibility of the joint. The error of breaking a bone or developing stress is so great from these seemingly minor factors fractures. Younger women also have stronger that no researcher has yet been able to create bones than older females; therefore, they have Leach / A Kinematic Model for Hand Movements 33 more range of motion than older women who knuckle and using that estimation as their very often suffer from osteoporosis. reference point. For the current study, a different type of surface marker method METHODS was used. The measurement started at the metacarpophalangeal (MCP) of each finger and Table measurements were taken from 20 worked out to the tip (Figure 2). The cadet football players ranging in ages from measurements were taken at the MCP. The 19–21 who signed a consent form approved subjects bent their fingers in order to determine by Virginia Military Institute’s Human Subjects where the knuckle began and ended. This and Animal Use Committee. This sample was process was repeated to obtain the length chosen on the basis of Edwards’s research between the various joints in the finger and is (2002) in which different genders and age shown in figure 3. groups demonstrated diverse ranges of hand First, the subjects placed one hand on a motions. polar graph paper with palm down and In the present study, subjects were asked to fingers together without strain as shown in place their right elbow on a flat surface with figure 4. An outline of the hand was drawn the angle between the upper arm and the and straight lines were drawn from the finger lower arm at approximately ninety degrees. tips. Then the subjects were asked to spread The lower arm was brought across the torso their fingers. Straight lines were drawn from thereby solving the changes in the positions of the finger’s new position and the angles the shoulder and elbow, which kept all subjects between each finger were recorded. in approximately the same position when the Since the joints of the fingers—excluding measurements were taken (Figure 1). The the MCP (base knuckles)—are hinge joints, a thumb remained completely unhindered, goniometer was used to measure the range of preventing it from interfering with the motion of the joints. Next, different tools were measurements (Fleiss 1986). used for different measurements: a ruler to The hand was measured using the surface measure the distance between each knuckle, marker method. Rau, Schmidt, and polar graph paper to measure the distance of Disselhorst-Klug (2000) employed this method finger spread, and a protractor to measure the in their research by estimating the center of the degree of finger spread. Data was recorded

Figure 1. Initial position of subjects. 34 New Horizons / April 2009

Figure 2. Location of knuckles and their names. in a spreadsheet to compute the mean, the is ten degrees. These results are in agreement standard deviation, and the 95% confidence with Edwards’ (2002) study that determined interval of the mean range of motion for each bone thickness and strength relate to the range joint of each finger. A program in MATLABW of motion as well as to the age of the subject and was created to demonstrate finger motion in that no standard for these attributes or others the 2D coordinate system. can be applied because these factors change from person to person (Edwards 2002). Li-Chieh, Cooney, and Oyama (2003) RESULTS discussed the fact that the thumb is one of the major reasons why hand motion cannot be Although the subjects were all male and accurately modeled due to its effect on the nearly the same age, the measurements movement of the fingers. This study recorded revealed a large deviation in the attempted to revolve this problem by ignoring range of motion. Table 1 shows measured joint the thumb, thus allowing the hand a regular angles for the middle finger as an example to range of motion unhindered by the thumb’s illustrate the variability of joint movements position. This method produces a among participants. The range of the PIP joint measurement error as well, because the

Figure 3. Goniometer measurement of knuckle angle. Leach / A Kinematic Model for Hand Movements 35

Figure 4. An example of finger spread without graph paper. fingers move while the thumb remains at rest. Surface Marker Placement was used If the thumb were fixed, the range of motion exclusively in this research. As the of the fingers would be affected. participants were asked to bend their fingers, Fleiss (1986) found that shoulder and elbow a clear depiction of where the knuckles’ position affected the range of motion and began and ended ensured consistency in the Metcalf (2006) criticized the method of using method. surface markers because of inaccuracy. Of all While not having the capabilities of the the numerous factors that have made gaming systems described by Rau, Schmidt, researching the hand so difficult, the type of and Disselhorst-Klug (2000), the researcher surface marker method presented by Metcalf recorded data and utilized MATLABW to show (2006) did not resolve many of these hand movement with respect to time. Through problems. These issues were addressed in the MATLABW, graphs of finger motion in intervals present study by consistently requiring the as well as actual motion were demonstrated and shoulder and elbow to be in a fixed position are shown in figures 5 and 6. The modeling of for each measurement. The Leach Method of the fingers in MATLABW revealed that the

Table 1. PIP Range of Motion of the Middle Finger

To the Nearest To the Nearest To the Nearest To the Nearest Subject Degree Hundredth of a Radian Subject Degree Hundredth of a Radian 180 1.40 11 85 1.48 275 1.31 12 75 1.31 380 1.40 13 80 1.40 485 1.48 14 80 1.40 580 1.40 15 85 1.48 680 1.40 16 85 1.48 780 1.40 17 75 1.31 880 1.40 18 80 1.40 980 1.40 19 80 1.40 10 80 1.40 20 80 1.40 36 New Horizons / April 2009

W Figure 5. Example of MATLAB model showing four fingers with proper length as well as the knuckle placement. hand closes in a spiral manner. The DIP and of the knuckles. This method is time-consuming PIP joints move to their maximum range of and cumbersome for the subjects. The motion before the MCP. This movement is not Leach Method of Surface Marker Placement— due to the joints having a large difference in developed as a result of the present study—is their range of motion, but rather to the normal much simpler. Each finger is bent at all the way that the hand is closed. joints, which allows the location of each knuckle as well as the correct length of the segments between each knuckle to be CONCLUSIONS easily determined. This newly-developed measurement method reduced the time that The complex marker method proposed by each subject had to devote to the study without Rau, Schmidt, and Disselhorst-Klug (2000) is sacrificing measurement accuracy. Though far more complicated than the surface marker more complex surface marker methods will method used in the present study. Rau, produce additional information with more Schmidt, and Disselhorst-Klug (2000) applied precision, the Leach Method provides a basic forms of measurements and equations to understanding of hand motion. find the midpoints of motion, which then The researcher did not take into account served as the reference points for the positions ligaments, tendons, skin flexibility, or muscular Leach / A Kinematic Model for Hand Movements 37

Figure 6. A series of graphs depicting the index finger progressively moving through its range of motion.

contributions for this study. Using data obtained Salmon, the library staff, the Media Center, from the Leach Method of finger motion— Dr. Sullivan, Dr. Blandino, Dr. Baragona, and without the consideration of ligaments, my subjects, for all of their help, patience, tendons, skin flexibility—a model of finger devotion, and enthusiasm. Also, special thanks motion was created in MATLABW.The to the URI for the funding of this project. MATLABW motion model revealed that DIP and PIP joints move to their maximum range of motion before the MCP joint. By marrying REFERENCES results in the present study to advanced technologies, new developments may be Rau, G., Disselhorst-Klug, C., and Schmidt, R. realized in medical fields as well as robotics. (2000) “Movement Biomechanics Goes Upwards: From the Leg to the Arm,” Journal of Biomechanics, 33 pp. 1207–1208–1216. Cheng, P., and Pearcy, M. (1999) “A Three- ACKNOWLEDGEMENTS Dimensional Definition for the Flexion/ Extension and Abduction/Adduction Angles,” I would like to thank my SURI professor Medical Biological Engineering Computation, Dr. Walsh, The Writing Center and Nina 37 pp. 440–444. 38 New Horizons / April 2009

Dipietro, L., Sabatini, A., and Dario, P. (2003) Carpinella, I., Mazzoleni, P., Rabuffetti, M. (2006) “Evaluation of an Instrumented Glove for “Experimental Protocol for the Kinematic Analysis Hand-Movement Acquisition,” Journal of of the Hand: Definition and Repeatability,” Rehabilitation Research and Development, 40 Gait and Posture, 23(4) pp. 445–446–454. pp. 179–190. Li-Chieh, K., Cooney, W., Oyama, M. (2003) Miyata, N., Kauchi, M., Kurihara, T. (2004) “Feasibility of using Surface Markers for Assessing “Modeling of Human Hand Link Structure from Motion of the Thumb Trapeziometacarpal Optical Motion Capture Data,” IEEE/RSJ Joint," Clinical Biomechanics, 18 pp. 558– International Conference on Intelligent Robots 559–563. and Systems (IROS), 3 pp. 2129–2130–2135. Edwards, S. (2002) “Developmental and Functional Metcalf, C., Notely, S., Student Member IEEE. hand grasps,” SLACK Incorporated, NJ, pp. (2006) “Validation and Application of a 1–135. Computational Model for Wrist and Hand Ellis, B., and Bruton, A. (2002) “A Study to Movements using Surface Markers,” pp. 490– Compare the Reliability of Composite Finger 505. Flexion with Goniometry for Measurement Fleiss, J. (1986) “The Design and Analysis of of Range of Motion in the Hand,” Clinical Experiments,” John Wiley and Sons, Clinical Rehabilitation 2002, 16 pp. 562– New York, pp. 432. 563–570. ENGINEERING New Horizons r Volume 3 r Number 1 r 2009

Two-Dimensional Transient Heat Transfer Experiment

Cadet Hsin-sheng, Lee

Faculty Mentor: Dr. Robert L. McMasters, Professor of Mechanical Engineering

ABSTRACT A two-dimensional transient heat transfer experiment is conducted in this research so as to determine the thermal parameters of three different materials. The materials tested were aluminum, nylon, and concrete. The parameters determined were thermal conductivity and volumetric heat capacity. Since prior experiments of this type have been analyzed using one-dimensional heat transfer models, an existing one-dimensional method was compared to a new two-dimensional model as part of the experimental analysis in this research. The errors between the mathematical models and the experimental data—also known as the residuals— were compared for each model so that the adequacy of each model could be evaluated.

INTRODUCTION as accurate. The direct solution was a two-dimensional cylindrical-geometry The two-dimensional analysis of a transient configuration solved by a numerical scheme heat transfer experiment is an extension of to find T(r,x,t) of the transient conduction a one-dimensional heat conduction analysis equation, specifically method. A transient experiment is used  because it can simultaneously estimate the 1 @T 1 @ @T @2T ¼ r þ ð1Þ specific heat, thermal conductivity, and @t r @r @r @x2 convection coefficient of different materials 2 using one experiment. While the steady state where a is thermal diffusivity (m /s) [2]. The one-dimensional experiment is still a valuable boundary conditions were experiment, the two-dimensional transient @T experiment provides a potential opportunity k ¼ qðrÞð2Þ to enhance students’ understanding of @x x¼ 0 unsteady transient conduction. In a previous @T study similar to this research, which was k ¼ hTðÞððr; L; tÞT1 3Þ @x x¼L made by C. R Glissman and W. Gill [1], a one-dimensional inverse heat transfer model @T k ¼ hTðÞððr ; x; tÞT Þ was solved iteratively, using a two- @r o 1 4 dimensional analysis as a guide. The present r¼ro research makes use of a two-dimensional In these equations, h is the convection direct solution to investigate the conditions coefficient (W/m2-K), k is thermal for which a one-dimensional calculation is not conductivity (W/m-K), T1 is the ambient

41 42 New Horizons / April 2009

temperature (K), ro is the outer radius of the with depths of 1.0 inch, 1.5 inch, sample, and r is the outer radius of the heater and 2 inches. The two pieces of each in this experimental module. In the boundary material are symmetrical in order to Condition (2), when ro is larger than r, q is generate two complete sets of data and to zero. ensure accuracy in the experiment. The temperature data was collected from the thermocouples using a National Instruments EXPERIMENTAL DESIGN data acquisition system and LabViewW W The set-up for this experiment included 3 software. A Fluke 45 multi-meter was used samples made from different raw materials: tomeasurethepowerofheater.Dueto aluminum,nylon,andconcrete.Each the different characteristics of these three sample included two cylinders of 1 inch samples however, the experimental design thickness and 4 inch diameter. The heat varied between materials. Aluminum is a source came from a 115 volt flexible heater type of metal; hence, it is electrically of three inch diameter and 10 W/in2 conductive. Materials such as aluminum may capacity by Omega Manufacturing cause each thermocouple to read the voltage Company. As Figure 1 shows, the heater is of the metal instead of thermocouple wire. squeezed between two identical samples To avoid these measurement errors, a like a sandwich. This way, all of the dielectric grease was used on the outside heat can be accounted for without concern of the thermocouple wire. In that way, for imperfections in insulation. There are the thermocouple would sense the correct three holes in each sample, with each voltage and give reliable temperature hole accommodating a type T thermocouple readings. A 1 inch piece of 4 inch diameter ofabout0.147inchdiameter.Theholes pipe was used as a mold for the concrete are located in different radial and axial sample. Since the concrete was too hard for positions in the cylindrical sample. The drilling holes, the thermocouples were holes are directly drilled toward the center placed in the mold prior to filling with concrete. The concrete was made from one part of Portland cement, two parts of sand, and a half part of water by weight [3]. In addition, an extra variable resistance box and RTD were also used in the data acquisition process in order to mark a starting point on the wave form chart. The set-up added extra resistance in parallel with the RTD wire, significantly changing the indicated temperature on the wave form chart. The mark on the chart provided a reference point for the start of heating. In this experiment, some assumptions were required to simplify the analysis. The heater was assumed to provide constant uniform heat flux to both sides. In a 1D analysis, the top and the bottom of the module were assumed to be infinite plates. However, in the two-dimensional analysis, the convective boundary conditions were taken into consideration and the convection coefficient was estimated by a 2D model using nonlinear Figure 1. Experimental configuration. regression. Hsin-sheng and Lee / Two-Dimensional Transient Heat Transfer Experiment 43

Table 1. The result entitled “All” is analyzed with shows the results of the data using this all sensors simultaneously. The others are analyzed method. one sensor at a time.

Volumetric Heat Conductivity Capacity Discussion of Nylon samples Thermocouple RMS (w/m*C) (J/C) The results indicate that if all 6 thermocouple All 4.9382 2.3626 1351300 1 0.0847 1.7357 4753100 readings are analyzed at the same time, the 2 0.0863 1.0205 3685700 mathematical model exhibits a poor fit to the 3 0.0889 1.0121 5806300 experimental data. This disparity is shown 4 0.0844 1.3758 5358800 by the large RMS value of the residuals. 5 0.1702 0.94743 3556800 However, using one thermocouple at a time, 6 0.181 1.1307 6436800 results were similar and a reasonable value of thermal conductivity was found. Also, in examining the RMS values from both DISCUSSION OF RESULTS experiments, analyses using thermocouples 5 and 6 were not as good as when using the Nylon Sample with PROP1-D other thermocouples. The reason could have Analysis been that the thermocouple had bad contact Results of Nylon sample with the sample. The values of volumetric heat capacity were not reliable because the In order to see temperature distributed in mathematical model was one-dimensional different locations, thermocouple sensors 1 to and the geometry was assumed to be an 3 are located respectively 1/3 inch from the infinite plate. Therefore, the convective losses heater and 1.5 inches deep; 1/2 inch from were neglected in the 1D analysis method. the heater and 2 inches deep; 2/3 inch from The results were less than satisfactory because the heater and 1 inch deep. Thermocouple the 1D analysis method did not fit well on the sensors 1–3 and 4–6 are symmetric to allow 2D experiment. comparison of the sets of data to test One way to determine if the data are the repeatability of the measurements. The repeatable is to compare two symmetric results shown in Table 1 were from an sensors as shown in Figure 2. Sensors 2, 5 experiment in which the sample was heated and 3, 6 exhibited very close agreement, but for 250 seconds. The results are analyzed sensors 1 and 4 were in error by almost from PROP1–D [4] using a one- dimensional 2 degrees C. This error was higher than numerical conduction direct solution. Table 1 the desired limit of one degree C for

Figure 2. Error between symmetric sensors. 44 New Horizons / April 2009

Figure 3. Comparison of experimental temp & calculated temp.

Figure 4. Residual of Sensor 4. thermocouple readings. Likewise, a possible temperature from thermocouple sensor 4, reason for the error could be bad contact and Figure 4 shows the residuals from these with the sample. Figure 3 compares the two sets of temperature data. In looking at experimental temperature and calculated Figure 4, the results are improved because the residuals overall look straight and close to zero. Table 2. The result “All” is analyzed with all sensors at the same time. The others are analyzed one sensor at a time. Aluminum Sample with PROP1-D Volumetric Conductivity Heat Capacity Analysis Thermocouple RMS (w/m*C) (J/C) Results of Aluminum Sample All 7.0843 2.6994 826400 1 0.2278 6.524 8907600 The thermocouple locations in the aluminum 2 0.2683 5.9284 5786300 sample were the same as for the Nylon sample 3 0.2849 4.3244 4230800 but with a different order in an attempt to 4 0.1652 4.9783 11485000 acquire better data. The holes drilled for 5 0.3131 6.4953 5779100 6 0.311 4.5342 4532300 thermocouple sensors 1, 3, and 5 were 1/3 inch form the heater and 1.5 inches deep; Hsin-sheng and Lee / Two-Dimensional Transient Heat Transfer Experiment 45

Figure 5. Error between symmetric sensors.

Figure 6. Comparison of Experimental Temp & Calculated Temp.

1/2 inch from the heater and 2 inches experiment duration was 614 seconds. As deep; 2/3 from the heater and 1 inch deep. with the nylon sample, the same error came Thermocouple sensors 2, 4, and 6 were about through the use of the PROP1-D [4] located symmetrically to 1, 3, and 5. The total analysis. For the case using all 6 sensors at the

Figure 7. Residual of Sensor 4. 46 New Horizons / April 2009

Table 3. The result “All” is analyzed with all Discussion of Aluminum Samples sensors at the same time. The others are analyzed one sensor at a time. Comparing the RMS value of the errors associated with nylon sample analysis to the Volumetric RMS values of aluminum, the aluminum Heat Conductivity Capacity values were twice as large—around 0.25 Thermocouple RMS (w/m*C) (J/C) degrees. This indicated that the aluminum All 6.2174 2.4608 767160 data were not as good as the nylon 1 0.1351 3.4791 6378600 experiment. As shown in Figure 5, the 2 0.5027 3.368 1813200 temperature differences between sensors 1, 3 0.0942 2.9495 5124200 2 and sensor 3, 4 were close—less than 0.5 4 0.2882 4.3395 3392300 degree C apart—but sensor 5 and 6 had a 5 0.1697 4.105 5116800 6 0.179 3.7931 5272500 maximum different value about 1.3 degree C, which is a little more than what would be expected from a thermocouple. same time, the results indicated a discrepancy Since thermocouple sensor 4 rendered in the experimental measurements. However, better data than the others, it was taken as using one sensor at a time, acceptable thermal an example to compare its experimental conductivity values were calculated. temperature with the calculated temperatures

Figure 8. Error between symmetric sensors.

Figure 9. Comparison of Experimental Temp & Calculated Temp of sensor 5. Hsin-sheng and Lee / Two-Dimensional Transient Heat Transfer Experiment 47

Figure 10. Residual of sensor 5. in Figure 6 and Figure 7. As shown in Discussion of Concrete Samples Figures 6 and 7, the residuals look like a The reading of thermocouples 4, 5, 6 seemed small wave with a magnitude of less than 0.5 reasonable and gave acceptable results degree, which was less than the expected individually, as shown in Figure 9 and maximum sensor temperature error so this Figure 10, from sensor 5. However, there was wouldn’t be considered bad data. no good data from the other sample to There were more possible causes for bad compare with, as there were with previous data on the aluminum sample experiment. experiments, so it was uncertain as to whether First, aluminum is electrically conductive. thermocouples 4, 5 and 6 gave reliable data Therefore, if not enough varnish was put on and results. Also, Figure 10 shows that the the sensors to isolate them electrically from residual graph exhibited a characteristic the sample, the data could easily be off. signature. Comparing the overall RMS of the Second, bad contact between sensors and test residuals in the previous experiments with the locations could still cause bad data. Finally, concrete experiment, the residual values for unstable thermocouple errors could affect the the concrete experiment were higher. Besides results. the previously mentioned possible reasons for inaccurate data, such as bad contact with the Concrete Sample Analyzed with sensors or the heater, a deficient process used PROP1-D in making the concrete sample could be a Results of Concrete Sample big issue. During the process of making concrete, there might have been air bubbles in In the concrete experiment, the set up for the the concrete, which might have insulated thermocouple locations was different from the the thermocouples or perhaps made the other two samples, in order to get more clear concrete significantly non-homogeneous. temperature distributions. Thermocouple 1, 2, and 3 were 2 inches deep, 1/4 inch from Comparison of Experimental Properties Result and the heater; 1.5 inches deep, 1/2 inch from Published Properties the heater; and 1 inch, 3/4 inch from the Experimental Published heater. The experimental results were not Properties Properties very consistent, as shown in Figure 8. Conductivity Heat The temperature difference even exceeded Capacity Volumetric Conductivity Heat 10 degrees C, which is very unreasonable. (w/m*C) (J/C) (w/m*C) (kJ/Kg*C) Capacity However, one of the pieces of concrete Nylon 1.3758 5358800 0.16 1.6 Aluminum 4.9783 11485000 204 0.896 measured by thermocouples 4, 5, and 6, Concrete 4.105 5116800 0.76 23 might be still significant. 48 New Horizons / April 2009

CONCLUSION Engineering Technicians Mr. Cullen, Mr. Parent and Mr. Chandler provided required This experiment was designed to be a two- materials, tools, and professional technical dimensional set up but a one-dimensional support for this project. method was used to analyze the data. The experimental results were still significant because they were similar in terms of estimated REFERENCES conductivity. The values of volumetric heat [1] C.R. Glissman, and W. Gill, 2005, capacity were not as reliable when analyzing “Determination of Thermal Conductivity of with the one-dimensional method. More Insulating Gels Using the Inverse Heat Transfer accurate and reliable estimates of conductivity Method”, Thermal Conductivity 28, New and volumetric heat capacity may be obtainable Brunswick, Canada. using a two-dimensional method and further [2] Y.A. Cengel, 2007, “Heat and Mass studies may show these benefits. Transfer”, Suzanne Jeans, New York, pp. 77. [3] Wikipedia, 2008, “Regular Concrete”, Concrete http://en.wikipedia.org/wiki/Concrete. [4] Beck Engineering Consultant Company, ACKNOWLEDGEMENT “Thermal Parameter Estimating Program”, The author wishes to express his PROP1D, http://www.beckeng.com/. [5] R. McMasters and R. Dinwiddie, “Analysis of appreciation to Dr. McMasters for his ideas Flash Diffusivity Experiments Performed on and his detailed instructions related to this Semi-Porous Materials”, Proceedings of the research. The author also expresses gratitude 28th International Thermal Conductivity to Dr. Arthur, who helped with instructions in Conference W , DEStech, Lancaster, Pa., operating the LabView data acquisition pp. 96–105, July, 2006. system. Dr. Sullivan also helped with [6] J.P. Holman, 2002, “Heat Transfer”, instructions in generating a drawing. Finally, Elizabeth A, Jones, New York, pp. 594–599. New Horizons r Volume 3 r Number 1 r 2009

Thermal Distortion of a Subscale Membrane Mirror

Cadet Scott T. MacDonald

Faculty Mentor: Dr. Joseph R. Blandino, Professor of Mechanical Engineering

ABSTRACT Membrane mirrors are a technology that could be used to survey extended objects, those larger than 10 pixels. Membrane mirrors do not offer the precision of glass optics, but they are low mass, can be packaged into relatively small containers for launch, and can have deployed diameters in the tens of meters. Since remote sensing instruments that use membrane mirrors will be employed to resolve features tens of pixels in size, they do not require the same optical precision as telescopes used to image single pixel sources such as stars. Membrane mirrors in-orbit, however, must maintain their shape under varying thermal conditions. Orbiting telescopes must repeatedly undergo extreme temperature changes. These transitions can result in significant thermal gradients on the spacecraft as well as distortions in the mirror. The purpose of this study is to investigate the thermal distortion of a 0.243 m diameter circular Kapton membrane. A test apparatus was constructed to hold the mirror, apply a vacuum that resulted in a uniform force on the membrane, and provide a source of heat. The vacuum gave the mirror a shape. At elevation, the distortion of the membrane shape was measured using photogrametry. The membrane was tested at room temperature and at 24 C above ambient temperature. The membrane shape obtained in the laboratory using photogrametry was compared to the results obtained from a finite element analysis using axi-symmetric shell elements. The center of the membrane deflected approximately 5.75 mm under a 199 Pa pressure at room temperature. At elevated temperature the center deflection was over 6.25 mm. These values agreed well with finite element predictions.

INTRODUCTION Orbiting telescopes must pass from Earth’s Space-based membrane mirrors could be shadow into sunlight and from sunlight back utilized to survey extended objects, those into shadow. These transitions can result in larger than 10 pixels. In the near term, it is significant thermal gradients on the unlikely that the resolution of membrane spacecraft. This study describes the mirrors will approach the performance of experiment design and computational model traditional mirrors, but for applications such development and presents a comparison of as imaging planetary features or the polar the experiment and numerical results. caps on Earth from orbit, the performance Space-based telescopes are ideal for may be adequate. Membrane optics offers the environmental and geographic monitoring as potential for large apertures that have low well as for astronomical observations. While production and launch costs. systems such as the Hubble Space Telescope

49 50 New Horizons / April 2009

Figure 1. Test apparatus. and James Webb Space Telescope are best for be considered when sizing shape control imaging single pixel objects such as stars, they elements. are cost prohibitive for earth observations. There is limited data on the thermal- A lower-cost solution for applications such as structural behavior of thin film membranes. monitoring ice sheets on Earth or even the Jenkins et al. [12] studied the effect of heating polar caps on Mars may be a large aperture on the wrinkling behavior of a round optical membrane mirror. These objects may be tens membrane. Blandino et al. [13] presented a of pixels in size when imaged. For imaging combined experimental and numerical study these objects, it may be preferable to trade of a 0.5 m square tensioned membrane that optical perfection for larger aperture, lower was heated in the center. The application mass, and reduced launch costs. was for sunshields and solar sails. Recently, Membrane mirrors for in-space applications Rassi and Jenkins have addressed the is not a new idea. The idea goes back at least issue of thermal distortions by investigating until the mid 1980s [1]. Over the past decade the coefficient of thermal expansion research efforts have been undertaken to distribution in membrane optics [14]. This develop technologies and concepts using study presents data from experiments on the membrane mirrors for optical and infrared thermal distortion performance of a 0.243 m applications [2-6]. Much of this work has circular membrane and compares the data to focused on active control of the membrane numerical predictions. shape [7-11]. It is also important to investigate the thermal distortions that may occur when an orbiting mirror is subjected to changes in EXPERIMENT DESIGN solar heating. It is important to understand the The design of the test stand is a pressure nature of the thermal distortions as they must vessel with a flexible heater on one side and MacDonald / Thermal Distortion of a Subscale Membrane Mirror 51

Figure 2. Cooling system tubes and ports. a thin film Kapton membrane on the other. to determine the optimal spacing between A picture of the test apparatus is shown in the heater and the test membrane. The Fig. 1. The membrane is held in place by two analysis is also used to predict the identical aluminum rings, one on each side of membrane temperature as a function of the membrane. The membrane is 0.243 m the heater output. The space between the diameter Kapton that is aluminized on one heater and the aluminum rings is insulated side. The membrane is 2.54 Â 10-5 m thick. in an attempt to eliminate radiation Heat is applied to the non-aluminized side of exchange between the aluminum rings— the membrane. The apparatus has the ability which hold the membrane in place—and to record pressure and temperature data the heater. A cooling system is added to from different locations on the apparatus by the outside of the test stand to prevent heat using three thermocouples; they are located from being conducted from the heater to on the heater plate, the side of the the aluminum rings through the shell of the apparatus, and the bottom aluminum ring of test apparatus. This cooling system the apparatus. A vacuum applied inside the (Figure 2) is made of polypropylene tubing test apparatus—using a small hand pump— and connected to the apparatus using gives the membrane a concave shape. The epoxy. Ice water is pumped through the pressure was applied to give the membrane a tubing using a submersible pump located shape, not to simulate space conditions. The inside a portable ice chest. vacuum was only used to apply a uniform Temperature readings are taken at force to the membrane. three different points on the test stand using A radiation heat transfer analysis was type T thermocouples. The thermocouples conducted prior to building the apparatus measure the heater temperature, inside 52 New Horizons / April 2009

Figure 3. Photogrammetry setup. Note that projected targets are not shown and apparatus is shown without cooling system on outer shell.

ring, and outside ring temperatures. Another recorded using a data acquisition system thermocouple is movable and used to controlled by a program written in measure the membrane temperature in LabVIEWW, and the temperature was several different locations. The data was recorded at four points on the membrane.

Figure 4. Schematic of Finite Element Model. MacDonald / Thermal Distortion of a Subscale Membrane Mirror 53

Table 1. Membrane Material Properties. A picture of the imaging set-up is shown in Modulus of Elasticity 2.8Â109 Pa Fig. 3. The estimated precision for the out- Poisson’s Ratio 0.34 of-plane direction (Z) was within 0.1 mm. Coefficient of Thermal Expansion 20Â10-5 m/m

Numerical Model A finite element model was developed in Three ports, which are shown in Figure 2, W were drilled into the steel side walls of the test ANSYS using ten Shell 208 axi-symmetric stand. The original intent was to have a port shell elements. Figure 4 shows the schematic for a vacuum pump, pressure transducer, of the model. Table 1 lists the material and a release valve, but the pressure properties used for the Kapton membrane. transducer on hand was not sensitive enough for the small vacuum pressures that were used. Therefore, a water manometer RESULTS was employed to measure pressure in place Figure 5 shows the comparison of of the pressure transducer. experimental and numerical results for a 199.3 Photogrammetry was used to measure the Pa vacuum pressure at room temperature while shape of the membrane. Photogrammetry Figure 6 shows the comparison at a membrane is a non-contact measurement technique by center temperature of 47 C. For both cases the which three or more calibrated cameras ambient temperature was 23 C. The finite determine three-dimensional shape from a element data shown in both figures corresponds series of two dimensional photographs. to the nodes shown in Figure 4. The elevated Four 10 megapixel digital SLR cameras temperature case shows good agreement were employed to acquire images for between analysis and experiment while the analysis. Circular targets were projected room temperature comparison shows some onto the membrane using a 35 mm slide variation. The results are encouraging, but more projector and grid target pattern slide. data is required to characterize the thermal

Figure 5. Graph of room temperature response, displacement vs. distance from center of membrane, subjected to 199.3 Pa pressure. 54 New Horizons / April 2009

Figure 6. Graph of 47 C (24 C above ambient) temperature response, displacement vs. distance from center of membrane, subjected to 199.3 Pa pressure. distortion behavior. The results show a distinct [2] Marker, D., 2002, “Novel Solutions for Large change in shape between the room and elevated Aperture Lightweight Diffraction Limited temperature cases. Space Optics,” in Gossamer Aperture Technology Workshop, J.A. Dooley, ed., JPL-Publication02-019. SUMMARY [3] Marker D.K. and Carreras R.A., Rotge´ J.R., Jenkins C.H. and Ash J.T., 2001, A combined experimental and numerical “Fundamentals of Membrane Optics” study of the thermal-structural behavior of a Gossamer Spacecraft: Membrane and Inflatable 0.243 m diagonal membrane mirror has been Structures Technology For Space Applications, initiated. The initial results show reasonably Edited by Jenkins C.H., Volume 191, good comparison between numerical and pg. 111–202. experimental results. [4] Peterson, L.D., and Hinkle, J.D., 2004, “Implications of Structural Design Requirements for the selection of Future Space Telescope ACKNOWLEDGMENTS Architectures,” Proc. SPIE Vol. 5166-05. The author would like to acknowledge [5] Morgan, R.M., Agnes, G.S., Barber, D., the generous support for this project from Dooley, J., Dragovan, M., Hatheway, A.E., Marcin, M., 2004, “The DART Cylindrical, the VMI Summer Undergraduate Research Infrared, 1 Meter Membrane Reflector,” SPIE Institute. Conference on Astronomical Telescopes and Instrumentation, Glasgow, Scotland, United REFERENCES Kingdom, 21–25. [6] Robertson, L.M., 2002, “A Systems [1] Murphy, L.M., Tuan, C., 1987, “The Engineering Study of Gossamer Optical formulation of Optical Membrane Reflector Satellites,” AFRL-VS-TR-2002-1007. Surfaces Using Pressure Loading,” Contract [7] Patrick, B., Moore, J., Chodimella, S., Maji, A., Report, SRI/TR-253-3025. Marker, D., and Wilkes, M., 2005, “Meter-Class MacDonald / Thermal Distortion of a Subscale Membrane Mirror 55

Membrane Mirror with Active Boundary Influence Functions for Piezoelectric in- Control,” Paper AIAA-2005-2193, plane actuated tensioned circular Proceedings of the 46th AIAA/ASME/ASCE/ deformable mirrors,” Smart Structures AHS/ASC Structures, Structural Dynamics and materials 2006: Modeling, Signal and Materials Conference,Austin,TX. Processing, and Control, edited by D. K. [8] Patrick, B., Moore, J., Chodimella, S., Lindner, VOL 6166, SPIE. Marker, D., and deBlonk, B., 2006, “Final [12] Jenkins, C.H., Fitzgerald, D.M., Liu, X., Testing and Evaluation of a Meter-Class 2000, “Wrinkling of an Inflatable Membrane Actively Controlled Membrane Mirror,”, with Thermo-Elastic Boundary Conditions,” st AIAA Paper 2006-1901, Proceedings of 41 AIAA Structures, Structural Dynamics, the 47th AIAA/ASME/ASCE/AHS/ASC and Materials Conference, Atlanta, GA, Structures, Structural Dynamics and Paper No. AIAA-2000-1727. Materials Conference, Newport, RI. [13] Blandino J.R., Johnston J.D., Miles J.J. and [9] Shepherd, M.J., Peterson, G.A., Cobb, R.G., Dharamsi U.K., 2002, “The Effect of and Palazotto, A.N., 2006, “Quasi-static Asymmetric Mechanical and Thermal Optical Control of In-plane Actuated, Loading on Membrane Wrinkling,” Paper Deformable Mirror: Experimental Comparison AIAA-2002-1371, Proceedings of the 43rd with Finite Element Analysis, Paper AIAA/ASME/ASCE/AHS/ASC Structures, AIAA 2006-2231, Proceedings of the 47th Structural Dynamics and Materials AIAA/ASME/ASCE/AHS/ASC Structures, Conference, Denver, CO. Structural Dynamics and Materials [14] Rassi, E., and Jenkins, C., 2008, “Closed Conference,Newport,RI. Form Design Equations for CTE Distribution [10] Rogers J., and Agnes, G, 2003, “Modeling in Ultra-Lightweight Optics,” Paper Discontinuous Axisymmetric Active Optical AIAA-2008-2135, 49th AIAA/ASME/ASCE/ Membranes,” Journal of Spacecraft and AHS/ASC Structures, Structural Dynamics, Rockets, Vol. 40 No. 4, pp. 553–564. and Materials Conference 16th AIAA/ASME/ [11] Shepherd, M.J., Cobb, R.G., and Baker, AHS Adaptive Structures Conference, W.P., 2006, “Low Order Actuator Schaumburg, IL. INTERDISCIPLINARY New Horizons r Volume 3 r Number 1 r 2009

The Rhetoric of Science: A Case Study of Susumu Tonegawa’s Landmark Discovery

Cadet Joshua C. Kenny

Faculty Mentor: Dr. Christina R. McDonald, Institute Director of Writing

ABSTRACT Acknowledging that advancement of scientific knowledge occurs within a Kuhn-defined framework of paradigm shifts, it is imperative that scientists abroad recognize the rhetorical dimension inherent in their discourse and the resulting effects of this rhetorical influence on the current paradigm of their respective fields. If not, a scientist’s research may be susceptible to rebuttal or even cancellation in the shadow of a Kuhn-defined scientific revolution. Susumu Tonegawa’s Nobel Prize-winning discovery of antibody diversity serves as a recent testament to the power of rhetoric in changing the paradigm of his time, particularly through his development of ethos. Tonegawa’s ethos—exemplified through Aristotle’s three rhetorical settings—crafts a recognizable public persona of confidence that appeals to a broader scientific community, facilitating the acceptance of his radical discovery.

uring the final years of his graduate all fit the enterprise that historical D education in theoretical physics, study displayed. Yet they were and Thomas Kuhn formulated a radical are fundamental to many discussions conception of scientific progress that shifted of science, and their failures of verisi- his focus from physics to philosophy (Kuhn v). militude therefore seemed thorough- Despite this drastic change of career interests, ly worth pursuing. (Kuhn v) Kuhn pursued the inadequate explanations The result of Kuhn’s analysis and his manifest in scientific philosophy with laudable subsequent publication of The Structure of vigor. According to Kuhn’s preface in The Scientific Revolutions in 1962 “provoked Structure of Scientific Revolutions: several howling rounds of debate in Exposure to out-of-date scientific philosophy of science about its vision of theory and practice radically under- scientific change, a vision that crucially mined some of my basic concepti- involved persuasion” (Harris xiii). Essentially, ons about the nature of science Thomas Kuhn argued that “normal science” and the reasons for its special occasionally reveals anomalies that cannot success...somehow, whatever their “be aligned with professional expectation,” pedagogic utility and their abstract leading to investigations that create “a plausibility, those notions did not at new set of commitments [and] a new basis for

59 60 New Horizons / April 2009 the practice of science” (Kuhn 6). Kuhn labels His Nobel Prize-winning discovery of antibody these scientific revolutions as “transformations diversity paralleled the scientific apotheosis of paradigms” (Kuhn 12), additionally that resulted from Watson and Crick’s suggesting that the often dramatic adoption publication because his article provided of a new paradigm is facilitated through evidence that obfuscated the widely accepted persuasion—an inherently significant notion of a single gene-single protein component of rhetorical theory (Kuhn 200). hypothesis, a model unable to account for the In Landmark Essays On Rhetoric of enormous immunological diversity exhibited Science, modern rhetorician Randy Harris by an individual’s adaptive immune response asserts that: (Hall 26). Tonegawa’s discovery consequently exemplifies Thomas Kuhn’s rhetorically Kuhn’s framework indisputably war- founded paradigm shift because his ethos rants the rhetorical investigation of crafts a recognizable public persona of science. His governing notion is that confidence that appeals to a broader scientific science proceeds in fits and starts, community, facilitating the acceptance of his one model of reality, one paradigm, radical discovery. Indeed, without the existence replacing another at key junctions— of this rhetorical appeal, fundamental a heliocentric universe replacing reconstructions of scientific knowledge are a geocentric universe, moving conti- less likely to occur. Rhetorical analysis of nents replacing stable ones, probabi- Tonegawa’s work begins, like most scientific listic physics replacing deterministic investigations, within the historical context that physics—and at each of these key predated his discovery. junctures, rhetoric is the engine of The scientific climate that surrounded change. (Harris xv) Tonegawa at the time of his famous Indeed, several rhetoricians have applied experiments was ripe for change. Tonegawa— Kuhn’s theory to examples of scientific a professional molecular biologist—was discourse within the past century. For directed to study immunology at the newly instance, Michael Halloran examines James constructed Basel Institute of Immunology in Watson and Francis Crick’s discovery of Switzerland by his former mentor Dr. DNA’s double helical structure and the Renato Dulbecco. According to Tonegawa, reasons behind its excessive celebrity in “Dulbecco said it might be a good idea for “establishing molecular biology as a science” molecular biologists to get involved in (Halloran 39). the fundamental issues of immunology” Yet despite this growing positive reception of (Hall 25). Indeed, the young Susumu Kuhn’s philosophy—a growth largely coupled Tonegawa quickly became immersed in to the recent acknowledgment of rhetoric as what was then known as the “preeminent a legitimate study—rhetorical analysis has only mystery” of immunology: the genetic tested the fringes of scientific communication. mechanism behind antibody diversity. Undoubtedly, fledgling disciplines who study Stephen Hall’s article published in Arousing the “rhetoric of science” pale in comparison the Fury of the Immune System: New to science’s prominence and publicity. It is Ways to Boost the Body’s Defense imperative, however, that scientists recognize summarized the problem best: the rhetorical dimension inherent in their discourse to bridge this gap because At birth, human beings possess a researchers are historically susceptible to phenomenally large repertoire of accepting blindly the Kuhn-defined “paradigm antibody molecules—a different of a field.” Susumu Tonegawa’s publication immunological tool, as it were, to fit serves as a recent testament to the power of every possible loose screw in the rhetoric in changing the paradigm of his time, body. When Tonegawa started his particularly through his development of ethos. work, researchers did not know the Kenny/A Case Study of Susumu Tonegawa’s Landmark Discovery 61

full extent of the paradox. We now rhetorical strategy evident in Tonegawa’s know that each human is born with article is consequently his development of the capability of generating upward ethos, a necessary tool that conveyed the of 1012, or 1 trillion, antibody legitimacy of his experimental results. molecules, each with a different Tonegawa’s ethos is best analyzed through shape. Yet we also know that each Aristotle’s three rhetorical settings: forensic, person possesses far fewer genes, epideictic, and deliberative oratory. the latest estimates putting the total Alan Gross provides a reasonable number at between 50,000 and adaptation of Aristotle’s rhetorical settings 100,000 genes for all the functi- to the context of scientific discourse. In ons of the body. If, as molecular Starring the Text: The Place of Rhetoric biologists insisted, one gene pro- in Science Studies, Gross states, “A duced one protein, how could the [scientific] report is forensic because it immune system manufacture up to reconstructs past science in a way most 1,000,000,000,000 different anti- likely to support its claims; it is deliberative body proteins from fewer than because it intends to direct future research; 100,000 genes? (Hall 26) it is epideictic because it is a celebration of appropriate methods” (Gross 25). With the problem at hand, Tonegawa Interestingly, all three rhetorical settings engaged in what Kuhn described as “puzzle arranged in order of forensic, epideictic, and solving” (Kuhn 36), innovatively applying deliberative oratory remain consistent with “recently invented techniques of molecular the typical arrangement of a scientific biology” (Tonegawa). These techniques article. The researcher presents existing primarily included Tonegawa’s adaptation of work relevant to the research in his or her restriction enzymes and recombinant DNA, field (forensic); advocates the innovative both of which led to the epoch-defining techniques used in the experiment solution of antibody diversity. Stephen Hall (epideictic); and ends by highlighting the noted Tonegawa’s unique expertise: loose ends of the research, thus suggesting He knew how to use biochemical possible directions for future investigation scissors, known as restriction (deliberative). As Gross argues, this highly enzymes, to cut up DNA, and he regimented order of arguments contributes knew how to use a procedure known to the perceived logical progression of as hybridization to identify active science: “Like all syllogisms, the paradigm genes in a given cell...[data] told syllogism of science is sound only by virtue him that the gene that instructed a of its form” (Gross 30). Tonegawa’s article is B cell to make an antibody was, no stranger to this topos, or line of shockingly, a patchwork gene—a argument, or else his article would not have gene stitched together from the been published in such a widely respected DNA. (Hall 27) journal. Tonegawa consequently enhanced his ethos by simply abiding to the journal- The result of Tonegawa’s discovery was a recommended article “format,” primarily subsequent publication of his results in because the scientific community is more the October 1976 edition of the Proceedings receptive to articles published in reputable of the National Academy of Sciences. journals. In addition to this initially The prominence of the journal and the established ethos, each individual rhetorical implications of Tonegawa’s research both setting contains tropes that help propagate required a carefully crafted rhetorical Tonegawa’s confidence in his findings. argument to sway the existing canonical texts Tonegawa begins his article in the forensic that argued on behalf of the one gene-one setting, briefly highlighting the existing protein hypothesis. The fundamental knowledge of antibody diversity: 62 New Horizons / April 2009

Both light and heavy chains of im- (epideictic oratory), Tonegawa goes beyond munoglobulin molecules [antibodies] the passive-voice prose typical of scientific consist of two regions: the variable texts (Gross 30). The article immediately region (V region) and the constant establishes a personal tone that remains region (C region) (1,2). Uniqueness consistent throughout the text, emphasizing (i.e., one copy per haploid genome) Tonegawa’s ownership of the experiments of the genetic material coding for through the first-person narrative: C region (“C gene”) has been con- We report here experimental evi- jectured from normal Mendelian dence for possible joining of V segregation of allotypic markers (3). and C sequences at the DNA Nucleic acid hybridization studies level...We have shown that the pat- have confirmed this notion (4–10). tern of BamH I DNA fragments that (Hozumi and Tonegawa 3628). carry immunoglobin V- or C-gene This introductory material accentuates sequences is completely different in Tonegawa’s ethos because he cites ten the genomes of mouse embryo cells different scientific articles from respected and of a murine plasmacytoma journals within the span of three sentences, (Hozumi and Tonegawa 3630). adding immediate credibility to his argument. The effect of this more informal prose is A large portion of Tonegawa’s argument, similar to what Michael Halloran has called however, resides within the assumed premise “Watson and Crick’s self-consciously genteel of the central dogma of genetics, a widely style.” Halloran notes that: acknowledged scientific theory that explains the progression of genetic material from DNA Watson and Crick put forward a to RNA to proteins: “Since V- and C- gene strong proprietary claim to the dou- sequences exist in a single mRNA molecule as ble helix. What they offer is not the a contiguous stretch, such integration must structure of DNA or a model of take place at either the DNA or RNA level” DNA, but Watson and Crick’s struc- (Hozumi and Tonegawa 3628). This unstated ture or model. Moreover, in staking premise characterizes a typical enthymeme their claim they enact a distinctive highly similar to Watson and Crick’s way of adhering to ideas in public; description of DNA, one “whose missing they dramatize themselves as intel- premise is a scientific topos so basic and lectual beings in a particular style. powerful that it would be gauche in the (Halloran 43) extreme to state it openly in a technical Tonegawa’s prose—though slightly more paper” (Halloran 42). Fortunately, the result modest than Watson and Crick’s—clearly of the enthymeme contributes to the overall articulates a public persona characteristic confidence and ethos of Tonegawa’s claims of ethos-driven arguments. Tonegawa’s because of the inherent connection with epideictic oratory is particularly manifest in his audience: both parties mutually agree his debunking of alternative explanations. with the central dogma of genetics. The This technique inevitably shifts focus to his subsequent epideictic and deliberative oratory own interpretations by assigning negative that summarize Tonegawa’s revolutionary diction (e.g., “trivial”) to downplay opposing discoveries complement this confidence, explanations: facilitating acceptance of his tentative paradigm. There is also an alternative explana- Tonegawa’s epideictic oratory capitalizes tion for the absence of the embryon- on stylistic elements and common topics to ic DNA components in the tumor, maintain the necessary element of ethos. namely, that the V–C gene joining In supporting his revolutionary methods took place in only one of the Kenny/A Case Study of Susumu Tonegawa’s Landmark Discovery 63

homologous chromosomes and that fragment carrying the MOPC 321 V gene the other chromosome(s) has been does not seem to exist in the genome of this lost during propagation of the tumor, our results are clearly incompatible tumor. In view of the known chro- with this model” (Hozumi and Tonegawa mosome abnormalities of murine 3631, emphasis added). The culmination of plasmacytomas, we cannot eliminate these rhetorical devices helps Tonegawa this trivial possibility. (Hozumi and gain public acceptance by suggesting the Tonegawa 3631) potential use his new theory may have (Halloran 46). Combining the apparently dismissive By the 1980’s, there was no doubt that tone of this passage with the language that Tonegawa’s discovery had led to a revolution bolsters Tonegawa’s own “straightforward in immunological thought and practice. His interpretation” (Hozumi and Tonegawa identification of the genetic mechanisms 3630) of his experimental results projects behind antibody diversity opened doors to a voice that resonates with the “supreme novel treatments, unprecedented research, confidence” (Halloran 42) of Watson and and a greater sense of the complex Crick’s paper. The deliberative oratory in the mechanisms that each individual exhibits final section of Tonegawa’s paper employs during an immune response. But such similar stylistic tropes. information is not regarded as valid without In Gross’s adaptation of Aristotle’s effective communication, hence the rhetorical rhetorical settings, Tonegawa uses deliberative nature of science. In the case of paradigm- oratory to offer post-experimental insight shifting concepts, like Tonegawa’s proposed and direct future research: evidence, the scientist’s ethos plays a key If there are multiple V genes, there role in summoning the required academic must exist a mechanism for the recognition. Indeed, it is paramount that activation of one particular V gene. scientific communities recognize these In the light of present findings, one rhetorical devices at work to appreciate intriguing possibility is that activa- the speed of Kuhn-defined “scientific tion of a V gene is intimately revolutions.” If not, a scientist’s research coupled with its joining to a C may easily remain forgotten in the wake of gene...our results [also] suggest an progress. interesting explanation for allelic exclusion. (Hozumi and Tonegawa 3631) ACKNOWLEDGEMENTS Though the example above highlights the ontological role of scientific syntax, additional I extend my special thanks to Dr. tropes are at work in Tonegawa’s final Christina McDonald, who helped me discussions, including informal rhetorical conceive this project from the beginning questions that connect Tonegawa with his and provided guidance to the end. Her audience, increasing his public character: insight and thought-provoking questions “What is the mechanism by which the continue to be a source of inspiration, and I integration of V and C-gene sequences is am eternally indebted to her teachings for brought about?” (Hozumi and Tonegawa pushing my intellectual perspective in new 3631). In addition, scrupulous rejections and directions. I also appreciate the anonymous comparisons of competing experimental sources of peer-review that New Horizons models—a device catalogued under Aristotle’s offered. This professional critique numerous common topics—become contributed to the paper’s contextual transparent: “In the past, several models have foundations, and I am privileged to have been proposed...since the embryonic DNA received such a high caliber of feedback. 64 New Horizons / April 2009

WORKS CITED Harris, Randy. “Introduction.” Landmark Essays on Rhetoric of Science: Case Studies. Ed. Gross, Alan. “The Justification of Rhetoric of Randy Harris. Mahwah: Hemagoras, 1997. Starring the Text: The Place of Science.” xi–xlv. Rhetoric in Science Studies. Carbondale: Hozumi, Nobumichi, and Susumu Tonegawa. Southern Illinois UP, 2006. 20–31. “Evidence for Somatic Rearrangement of Hall, Stephen. “Billions of Powerful Weapons to Immunoglobin Genes Coding for Variable Choose from.” Arousing the Fury of the and Constant Regions.” Proc. Natl. Acad. Immune System: New Ways to Boost the Sci. USA 73 (1976): 3628–32. Pub Med Body’s Defense. Ed. Maya Pines. Chevy Chase: Central. Howard Hughes Medical Institute, 1998. 25–30. Kuhn, Thomas. The Structure of Scientific Halloran, Michael. “The Birth of Molecular Revolutions. 2nd ed. Chicago: U of Chicago Biology: An Essay in the Rhetorical Criticism of P, 1970. Scientific Discourse.” Landmark Essays on Tonegawa, Susumu. “Autobiography.” Nobel Rhetoric of Science: Case Studies. Ed. Randy Foundation. 2009. 8 Feb. 2009. . HUMANITIES New Horizons r Volume 3 r Number 1 r 2009

Learning to See: The Black Mountain College Experiment

Cadet Even T. Rogers

Faculty Mentor: Dr. Robert L. McDonald, Professor of English

ABSTRACT In the fall of 1933, in the mountains east of Asheville, North Carolina, Andrew Rice and several colleagues founded a utopian educational community called Black Mountain College. It opened during a time of political fallout in Europe as well as significant socio-economic changes in the United States. Many of the initial faculty, like Josef and Anni Albers and Xanti Schawinsky, were expatriates who sought creative refuge from the growingly oppressive fascist and totalitarian governments of Europe. America was emerging from the Great Depression, spawning public debate on the structure of many of America’s institutions, including higher education. On one side were those who favored a knowledge-based, fundamentalist approach, as laid out by Robert Maynard Hutchins in his treatise “What is General Education?” On the other were proponents of Progressivism like Theodore Dreier and John Rice, who were inspired by the experiential philosophies of John Dewey, formalized in his manifesto Democracy and Education (1916). The coalescence of the artistic sentiment of modernism and American Progressive education theory created a dynamic learning environment at Black Mountain College where art and experience combined to form the centerpiece of the interdisciplinary curriculum. In this paper, I approach the founding of Black Mountain from

67 68 New Horizons / April 2009 the perspective of its context in time and place, paying special attention to the convergence of these two bodies of thought. In the second half of the paper, I look to the works of two of its students—visual artist Robert Rauschenberg and photographer Hazel Larsen Archer—to see if it is possible to glean elements of art-as-dialectic so strongly emphasized at the college.

n the fall of 1933, in the mountains east of Frederick Rudolph observes in his work The I Asheville, North Carolina, John Andrew American College and University: AHistory, Rice, a former professor at Rollins College, Progressivism was primarily a “middle class several of his colleagues also from Rollins, sense of obligation” and was formed in and the famed Bauhaus artist and teacher response to “the discovery of the slum, Josef Albers founded an educational the political machine, the immigrant, the community called Black Mountain College. monopoly, and [a] decline in ethical standards” Acting in the fertile intellectual climate (357). The Progressive response to social and created by the convergence of modernism political “chaos” would be the liberally educated and Progressivism, the founders would call on citizen in action, resulting in movements such as both these bodies of thought to develop the women’s suffrage and Progressive education. college’s revolutionary curriculum. Guided by Black Mountain College would arise in a the artistic sentiment of modernism and period of resurgence of the collegiate ideals of the optimistic and experiential spirit of liberal education that seemed so antithetical Progressivism, Black Mountain enveloped its to the specialization and scientific relativism students in an interdisciplinary education of the German university model. In higher highlighted by and centered on the education, specialization represented an enlightening experience of the arts. The extension of the spirit of “self seeking which college served as more than a place for the American experience encouraged” the intellectual training of its students; their (Rudolph 358) that was responsible for the immersion in community life, rigorous capitalistic failures of the Great Depression. academic pursuits, and the enrichment of As Rudolph observes, what the founders called “art-experience” The world lay in chaos perhaps exactly would shape their entire being. At Black because there had been too many specialists, Mountain, no aspect of life’s experience was too many scientists, too many engineers, and removed from its educational implications; not enough men prepared to think widely and every moment would be a moment for wisely, prepared to consider subtleties, growth and expansion. connections, the whole fabric of emotions, My project addresses two subjects: first, institutions, decisions, values, and traditions how the coalescence of modernism and that defined modern man. (470) American progressive education theory gave As higher education was forced to consider rise to the college and created its dynamic its own share in perpetuating the collapses learning environment; and second how of the early 20th century, Progressive we today can sense the resonance of educational reformers like John Dewey and his Black Mountain’s educational and artistic contemporaries seized the opportunity to enter philosophies in the works of its students. the conversation, responding with discourse that would inspire the development of a THE BLACK MOUNTAIN LEARNING number of experimental schools like Black ENVIRONMENT Mountain. Progressive education theories would guide the realities of everyday life at the In shaping the curriculum and experience of college, including the centrality of community Black Mountain, credit goes primarily to living to a complete education, experience as the educational impact of the uniquely the basis of education, and the role of the American movement Progressivism. As teacher as much more than lecturer. Rogers / Learning to See: The Black Mountain College Experiment 69

Rice maintained that Black Mountain community life. As such, students developed College would be a place where theory would an extraordinary versatility, capable of meet the test of reality in an experimental moving from the harvest to Socrates or spirit. He explained, though, that the college roadwork to Stein. would not be the chaotic or free-wheeling Yet, just as Black Mountain would not teach experimental school that was so often what Wassily Kandinsky and other moderns criticized for lacking direction in a significant called “art for art’s sake” (3), knowledge and relevant course of study. It would instead would not be pursued strictly for the sake of be a place where “free use might be made of knowledge. In defining the nature of tested and proven methods of education” knowledge, John Rice insisted that “what you (“Black Mountain” 271). do with what you know is the important thing. The Progressive determination to “get back To know is not enough” (“Fundamentalism” to the old American idea of ‘Mark Hopkins’ 267). Here Rice makes a critical distinction on one end of the log and the student on between what is implied in “getting” an the other” (Adamic 614) exorcised pedantry education (qtd. in Adamic 616), and its from the halls of Black Mountain. Instead, the difference with respect to experiencing an responsibility of the educator rested on his education. Rice points out that to “get” an or her ability to be a facilitator of knowledge. education implies the “cramming” (615) of With the student as an integral, if not the knowledge into the skull—regardless of central element of the classroom, the teacher whether that knowledge is useful in the molded the experience of the student into one growth of the self or is once again simply a that inspired growth and expansion. fact that an “educated” person ought to Rice points out that, in addition to Black know—whereas education as experience is Mountain’s function as an institution of higher the simultaneous engagement of the senses learning, it was “at the same time, a social and the mind. By doing so, Rice entered the unit” (Rice 271). In her seminal work The fundamental debate of many supposed Arts at Black Mountain College, Mary “progressive” philosophies such as those Emma Harris describes Black Mountain espoused by University of Chicago President as “the story of the implementation and Robert Maynard Hutchins. While Hutchins’s testing the college’s educational ideals within model dedicated the university to bringing its the context of community” (8). Students students to understanding a “common stock of were required to participate in farming, fundamental ideas” (“Fundamentalism” 587), construction projects, and various upkeep Black Mountain’s approach would be more assignments that, more often than not, organic. To Rice’s way of thinking, a purely required physical labor. In a 1965 interview, intellectual approach leaves untouched the Albers commented that “the girls and the boys rest of the student—the social being that is [,] they knew each other sweating ...You see, deepened and expanded by the experience [they] get respect for the other when he is not that comes from the exploration of the self just in the highest makeup” (37). Albers, Rice, and one’s surroundings. and their colleagues were drawing on the work of Dewey who, in Democracy and Education, saw that “the very process of living together educates. It enlarges and THE BLACK MOUNTAIN enlightens experience; it stimulates and “ART-EXPERIENCE” enriches; it creates responsibility for accuracy The marriage of Progressivism and and vividness of statement and thought” modernism resulted in what Rice called “art- (6). Echoing the Progressive emphasis experience,” which he identified as the on citizenship, such education through missing piece in American higher education.1 communal cooperation was vital to the Perhaps no one has expressed the tenor of development of effective participants in modernism as eloquently or succinctly as 70 New Horizons / April 2009

Josef Albers when he said that modernism movement, form, sound, and other media of implied a “significant contemporaneousness,” the arts, gets a firmer control of himself than is and that possible through purely intellectual effort. (272)

to be modern is to be responsive to the It was never the intention of the founders and mentality of the present; or, to answer the faculty of Black Mountain for the school to be a present spiritual needs; or, in creative work, place for the formal training of artists; indeed it to express our thought and feeling in a form 2 of our own, as in a language of our own. (qtd. was all but discouraged. The combination in Harris 15) of interdisciplinary studies in a Progressive environment amplified by the modern artistic Moderns immersed themselves in the aesthetic was meant to “bring young people to demanding immediacy of present experience an intellectual and emotional maturity,” thereby and resurfaced with a profoundly humanistic striking a “balance between the intellect and statement: that the solutions to the issues of emotions” (qtd. in Adamic 615). modern life would be found, not in the shelled- Ultimately, Black Mountain would strive to out ashes of the old order, but, in Harriet develop what Rice called—interchangeably— Monroe’s words, through “a concrete and “the poet” and the “the philosopher-scientist- immediate realization of life” (25). Moderns artist” (619). While perhaps arousing accomplished this realization through a new suspicions of elitism, such an individual was art that reflected not only an awareness of a common man or woman balanced in context but also a dedication to perception the knowledge of humanity’s intellectual through unconditioned eyes. heritage who could think with suppleness The modern aesthetic would permeate and sophistication—a person who was every nuance of life at Black Mountain. self-possessed and, through experience, Instead of an intellectual approach to art—art was deepened and expanded to a place of appreciation or art history—the experience self-knowledge. Finally, such a person would of art was placed firmly at the center of come to experience the internal and external a student’s education. The faculty strove through artistic eyes, thereby having the ability to establish an unconditioned but refined to “consider the world and humanity material relationship between art and the individual, and remake them” (Rice 620). thereby stripping art of its relic status. To In founding Black Mountain, and ostensibly Dewey, the experience of art is the only through its entire existence, neither John Rice, activity that serves three crucial functions nor his colleagues, nor the students had any in the formation of an experience: it “lead[s] idea what would truly be the result of their to a consummatory experience,” it fosters experience. In this way, it was an experiment. expansion and growth, and it is instructional It was an experiment that, while guided and (Jackson 33). Art expedites what Dewey called illuminated by the light of Progressivism and the “organic connection between educational modernism, was charting the unknown. Rice and personal experience,” leading to a state of maintained that he constantly felt that all “heightened vitality” (Experience 28). In the participants, faculty and students alike, were the first Black Mountain catalogue released after “on the threshold of answer” (Rice qtd. in the school’s founding, Rice truly defined the Adamic 627, emphasis added) to the question rationale for such a necessary emphasis on of whether the theories that were professed the arts. He wrote that bore any results. They may have in fact answered that question, though it would prove through some kind of art-experience, which is to be a result that is impossible to assign a not necessarily the same as self expression, number value, as it is equally impossible to test the student can come to the realization of whether a student has realized his or her order in the world; and, by being sensitized to potential as a “whole being” (625). Rogers / Learning to See: The Black Mountain College Experiment 71

ART AS A “SOCIAL FACT” perception of a work can have a profound effect on the individual viewer, as well as A picture lives a life like a living creature, undergoing the society as a whole. German artist La´zlo´ changes imposed on us by our own life Moholy-Nagy points out that from day to day. This is natural, as the picture lives on art is the senses’ grindstone, sharpening through the eyes, the mind, and the feelings. Art has an educational and formative ideological the man who is looking at it. function, since not only the conscious but (qtd. in Smith 251) also the subconscious mind absorbs the —Pablo Picasso social atmosphere which can be translated into art. (68) The act of creation, as Anni Albers wrote in the 1937 Black Mountain College Bulletin, This position is similar to that of “is the most intense excitement one can come John Dewey, who held that through to know.” The creation of art is a personal and perception—which is not the same as intimate endeavor, a product of one’s own recognition—“a work of art elicits and inspiration and his or her interaction with accentuates this quality of being a whole and time, energy, and materials. Whether by of belonging to the larger, all inclusive, whole making art through sculpture, photography, which is the universe in which we live” (qtd. in painting, or any other medium, Albers writes, Jackson 199). Thus, when a work of art is the artist engages in a personal “adventure” “offered in display and shown to other which has in it the possibility for the individual people” and it becomes “a social fact,” it has to “leave the safe ground of accepted the ability to develop a sense of community in conventions and to find [herself] alone and the individual (Andre 23). self-dependent” (qtd. in Katz 31). Contemporary audiences are accustomed Yet, art, like the artist who created it, does to viewing artists as anti-social and self- not exist in a vacuum; it is not meant to be a absorbed, cut off from the realities of their strictly individual experience. Art is of the world, surroundings. The motivation of “true and, once released by the artist, it must artists,” however, and of what Ezra Pound inevitably exist in the world. In its various calls “good art” in a modern sense, is to forms, art is sensory, attractive, begging to be “bear true witness” to the time (1). In this experienced through the eyes, the ears, and respect, the artist is a fundamental member other faculties of perception. How close can an of society, a form of social activist who audience really come to experiencing the creates his work “as an instrument of truth” sense of excitement, adventure, and (Hilton 147). Art, then, becomes engaging, immediacy that led to the work’s creation? Are necessary, and dialectic. non-artists—those whose efforts do not result in While the engagement of the student in music, paintings, sculpture—confined to living “art-experience” was vital to self-development vicariously through the work, grasping for at Black Mountain College, the creation of art traces of the rich enlivening experience that led was never considered an end. Surely, both the artist’s inspiration? The answer to all of Josef Albers and John Rice would insist these, I believe, is no. Yet the question of what that the potential enrichment garnered art actually does, how it performs in the world from art-experience or any experience is and in an audience’s imagination, lingers. incomplete, undemocratic without the sharing That art has a function, that it has an of that experience and was therefore effect in the world, a usefulness outside of the antithetical to the communal facet of Black self-centered experience of the artist, has been Mountain. a heavily addressed subject of artists and After leaving Black Mountain, many critics for the past century. Beyond the students would go on to become prolific individual impact of creation to the artist, the artists, celebrated for their ingenuity and 72 New Horizons / April 2009 creativity. The true test of Black Mountain’s cardboard refuse manages to profoundly success, however, is not necessarily in the convey interconnectedness and intricacy. volume of works or the fame of its students. Rauschenberg’s attraction to found objects Rather, if Black Mountain was effective in developed while he was a student at Black shaping individuals who would experience Mountain College. He attended Black the world through the eyes of an artist and Mountain for one year as a full time student who possessed the companion ability to during 1948-49 as well as two consecutive “consider the world and humanity material summer sessions, 1951 and 1952. There, and remake them” (qtd. in Adamic 620), a Rauschenberg blossomed under the dialectic and transformative quality should modernist aesthetic of Josef Albers, whose resonate in the works of its students. We philosophical concepts were grounded to should discern in their works a commitment the classroom experience through exercises to “elevate humanity by means of art” in the meticulous study of line, form, and (Magnelli 78). color. “What [Albers] taught me,” said Rauschenberg, “had to do with the entire visual world.” Instead of teaching “how to ‘do WHITE PAINTINGS art,’” as if it was an assembly-line product, THE OF ROBERT “[Albers’s] focus was always on your personal RAUSCHENBERG sense of looking” (qtd. in Hunter 43). Albers’s goal after arriving at Black Mountain was to A canvas is never empty. (Ashton 243) “open eyes” in a way that intensified a —Robert Rauschenberg student’s awareness of the visual world Robert Rauschenberg is best known for his (Albers 34). Albers described moments of collages and assemblages, using the stuff of success in the classroom when students everyday life to produce art. In works like would eventually say: “my eye sees now the Automobile Tire Print, a literal print of the world a little more intensively than I have tire of a 1936 Ford that he and John Cage done before” (37). rolled across a long piece of paper, he shows To shift their perception from seeing the his mastery of simplicity. In the assemblage world for its coherent forms, Albers taught titled Monogram, a stuffed Angora goat students to deconstruct objects into their wreathed in a tire standing on a collage of elements of geometric line, shape, and color, and to observe how the interplay of those elements limit and give definition to the object. What emerged was an intense study of materials, which Albers termed Werklehre, during which students like Rauschenberg experienced and evaluated those materials to grasp their capabilities before setting out to produce a work. Albers defined Werklehre as “a forming out of material ... [to demonstrate] the possibilities and limits of materials” (qtd. in Katz 67). Often it was from the materials themselves that students found their inspiration. What the students produced in Albers’s class could be considered art by any standard, but Albers chastised students for signing their projects as if they Figure 1. Robert Rauschenberg, White Painting were completed works. Instead, the projects 1951. were all considered “studies”—practices for Rogers / Learning to See: The Black Mountain College Experiment 73 refining and fine-tuning the visual and motor senses for a more full experience of perception. One might expect that Rauschenberg’s time at Black Mountain would result in works that incorporated a complex array of materials and mediums. Yet, his most simple works, his matte white painted canvases entitled White Paintings made in the summer of 1952, are what emerged. Rauschenberg was not—as critics would assert—making a mockery of art of that period, nor was he rejecting his artistic training at Black Mountain. In a letter to Betty Parsons requesting a showing during the following winter, he Figure 3. Robert Rauschenberg, White Painting describes his intentions (with numerous (seven panels) 1951. misspellings) behind their creation and the (therefore it is) that is the pulse and importance of their existence: movement the truth of the lies in our Dear Betty, peculiar preoccupation. They are large white (1 white as 1 GOD) canvases I have since putting on shoes sobered up organized and selected with the experience from summer puberty and moonlit smells. of time and presented with the innocence of Have felt that my head and heart move a virgin. Dealing with the suspense, through something quite different than the excitement and body of an organic silence, hot dust the earth threw at me. The results the restrictions and freedom of absence, the are a group of paintings that I consider plastic fullness of nothing, the point a circle almost an emergency. They bear the begins and ends. They are a natural contriditions that deserves them a place response to the current pressures of the with other outstanding paintings and yet faithless and a promoter of intuitional they are not Art because they take you to a optimism. It is completely irrelevant that I place in painting art has not been. am making them—Today is their creator.

Figure 2. Robert Rauschenberg, White Painting Figure 4. Robert Rauschenberg, White Painting (two panels) 1951. (four panels) 1951. 74 New Horizons / April 2009

I will be in N.Y. Nov 1st and will forfeit all you have to look, the more you have to be in rights to ever show again for their being the picture” (243). This is also true for the given a chance to be considered for this White Paintings: it is precisely because of the year’s calendar. paintings’ ambiguity that the viewer is drawn Love Bob I think of you often Brave woman. so deeply into the works. The collaboration of the materials—the white paint and the (qtd. in Kotz 78) canvases—combine with the absence of a His writing exposes his youthful exuberance visual narrative to produce a work that and reveals a certain “odd combination effectively eliminates the psychological of modesty and poise, boyishness and distance between the painting and the viewer. sophisticated self-promotion” (Kotz 72). In this raw state of perception—a vital step in Nevertheless, his insistence about the what John Dewey called an “experience”—we necessity and immediacy of these works is look at the canvases and see beyond their conveyed in strong, passionate descriptions— apparent emptiness. We can look at the four he correlates the uninflected whiteness of paneled painting (Figure 4) and begin to see the canvases to the omnipotence of God. To what Rauschenberg called the “suspense, Rauschenberg, the paintings are a “natural excitement and body of an organic silence, response” to a larger spiritual “emergency” in the restrictions and freedom of absence, the both art and life, a hollowness of the period plastic fullness of nothing, the point a characterized by the ensnaring pitfalls of circle begins and ends.” That “organic pessimism. They are meant to address, even silence” becomes perceivable and the heal, the disillusionment of the “faithless” by works, in their empty-fullness, become elevating the spirit to a place of “intuitional pregnant with purpose and meaning. The optimism.” That the paintings exist to effect whiteness and uniformity cause a shift from positive change and act as a course the visual experience of seeing to one of adjustment reveals Rauschenberg’s intention contemplation. to engage the viewer in a purposeful dialectic; The full experience of the paintings does he means for them to be experienced and, as not stop at the limits of the 4800 4800 canvas a consequence, to inspire new meaning. (Figure 1), however. We are invited to extend Against the white walls of a gallery, it would our awareness beyond the now-blurred edges be easy to miss the White Paintings: five of the canvas to engage with, to pay attention sets of white painted canvases varying in to the surroundings that would otherwise go numbers of panels and dimensions (four unnoticed or be shrugged off as irrelevant. shown, Figures 1–4). The paint was applied As Phillip Jackson observes in his work John to the canvas with a roller, giving the surfaces Dewey and the Lessons of Art, “We normally a smooth and uniform appearance. Although give only a fleeting and superficial attention to simple, the works are far from conventional. even those aspects of our environment with As we look at the canvases, we are first drawn which we are physically engaged” (129). to what is absent. The matte white canvases Dewey shows that in this way, “we are carried are void of the traditional elements of a out beyond ourselves to find ourselves” (qtd. in painting which supply a picture with its Jackson 61). The White Paintings are a narrative, making it impossible to draw catalyst to experience the world with the associations from or form value judgments same awareness, closing what Rauschenberg about the content of the picture. Yet, the called “the gap between art and life” (243). paintings are not guilty of the “libertinism” or The closing of that gap in the individual, the lawlessness that often accompanies criticism blurring of the limits of the canvas so that even of this kind of work (Varnedoe 242). In his the mundane was perceived through the 2003 Mellon Lecture on abstract art titled fresh eyes of an artist, was the most Pictures of Nothing, Kirk Varnedoe points important function of art emphasized at Black out that “the less there is to look at, the more Mountain. Rogers / Learning to See: The Black Mountain College Experiment 75

THE PHOTOGRAPHIC impersonal, and assumes nothing, stating OBSERVATIONS OF simply what is. It does not filter new HAZEL LARSEN ARCHER information. Pure observation puts thinking on hold, creating stillness, fully alert, that The hallmark of Hazel Larsen Archer’s allows seeing to take place without the photographs is the intense focus into which interference of the mind” (Zarow 19). While her subjects are called. Beyond the clear and the photograph is the desired result of focused quality of her pictures, the majority of photography, it is in service of the process of her shots are of specific and selected aspects seeing. The click of the shutter produces of a larger occasion or experience. Whether of evidence of the conscious experience of a dancing Merce Cunningham, various seeing the subject in its essence. Archer members of the Black Mountain community, characterized this moment as or the Black Mountain Quiet House, each picture is a conscious and simultaneous The merging of the exquisite inclusion and exclusion which in turn reveals relationship of heart (responding) the essence of Archer’s subject. To view (drawing near to) Something; Archer’s prints is to journey into her hand (touching-physical) and eye photographic process whereby the reflex of (seeing the surface) now touching with the eye, our minds to name and evaluate what we see then penetrating that surface to the succumbs to pure visual experience. invisible. (qtd. in Zarow 19) Archer began her “nine-year love affair” with Black Mountain in the summer of Her poem reveals the intimate engagement 1944 after graduating from the University between self and subject that is required of of Wisconsin (Wright 5). She applied for the photographic process. full-time status the following fall and returned to Archer’s approach to photographing Black study at a graduate level with Albers for four Mountain is emblematic of this relationship. years before being offered a teaching position In her series of dance photographs, we in 1949 which she held until 1954. Upon see much more than the bodies of Robert joining the faculty, Archer became Black Rauschenberg, Merce Cunningham, and Mountain’s first resident photography teacher. Elizabeth Jannerjahn captured during various Her time at Black Mountain would be during movements. Speaking of Archer’s dance one of the liveliest periods of the college’s short series, David Vaughan points out that her history. While Archer’s photographs catalogue the vitality, creativity, and humanity which images are notable for their absolute characterized that time, they are most clarity—although there is no retouching— importantly a product of her ability to see in a they are almost frames from a film. Some way that others had not learned and her desire photographers try to give a sense of to communicate that process. movement by blurring the image, but this is not how the eye perceives dance movement, Like Albers, Archer’s time at Black unless it is very fast. (11) Mountain would be one of opening eyes. In the classroom, the focus of Archer’s lessons When observing dance, our eyes and was entirely on “seeing” (Zarow 19). Only mind rest on the fulfillment of each when our visual relationship to the world is movement, rather than the transition between conscious, when the involuntary labeling of them. Like the apices and troughs of a our minds subsides, does seeing happen, sinusoid, Archer’s photographs capture the though. Erika Zarow, Archer’s daughter, dancers at the most expressive points in their points out that for her mother, to see requires movements. We see this clearly in the face of a kind of “observation” that is free of Rauschenberg (Figure 5)—a moment of “polarities: good/bad, beautiful/ugly, likes committed response to his body resulting in and dislikes” (19). “Observation,” she says, “is utter abandon. 76 New Horizons / April 2009

photographer] to reveal the essence of what lies before his lens with such clear insight that the beholder may find the recreated image more real and comprehensible than the actual object” (174). The photograph allows us to see the aspects of experience that we may otherwise ignore because it calls our attention directly to the most essential, the most characteristic, qualities of the subject. In this way, Archer’s portraits of Black Mountain faculty and students seem to settle on what is most distinctive about Figure 5. Hazel Larsen Archer, Robert the individual, revealing inner character. Rauschenberg and Elizabeth Jannerjahn dancing at Buckminster Fuller commented that Archer Black Mountain College circa 1948. “seemed to see [others] think” (90). Her portrait of him largely validates that claim. The photograph of Fuller (Figure 9), sitting What makes her pictures so unique, pigeon-toed in the corner of the frame and though, is that they take dance off of the completely taken up with the model in front stage. Instead of performance pictures, of him, captures the architect in a moment of Archer’s dance photographs were shot in a intense attention to his work. Because the field on the campus. This portrayal takes geometric models and chalkboard scribbles dance out of its familiar milieu of that surround him are given more attention choreographed steps and displays it in the photograph than Fuller himself, essentially as the realization of a human the objects appear to be the physical need to express through the body. manifestations of the grand and complex Cunningham’s impetus to leap through the mental process in which the unassuming man field as seen in one sequence (Figures 6–8) is engaged. It is easy to imagine that Fuller was comes not from music—most likely, there unaware of Archer’s presence in the room was no music in the field—but from an until he was shown the photograph. internal creative impulse given over to his Archer’s commitment to the practice of muscles for the sake of expression. seeing is nowhere more apparent than in her What Archer’s photographs offer us is an photographs of the Black Mountain Quiet uncommon view into the nature of House (Figure 10). The Quiet House was movement. She crops the pictures—which in constructed by former Black Mountain many cases removes the heads of the student Alex Reed in memoriam for Ted and dancers—to emphasize her focus on the Barbara Dreier’s son Mark who died at the age movement itself. This breaks down the pace of six in an accident involving a school vehicle. of the dance into discernible parts, focusing It was built as “a place for contemplation, on finite manifestations of motion captured in meditation, and the observance of special time. We can be present with the captured occasions” for use by all members of the energy of each moment in a way that is Black Mountain community (Vaughan 33). In impossible in the everyday experience of life. her photographs, the Quiet House becomes a Had we been sitting in the field that day, it is spiritual representation of that community unlikely we would have approached the which was so devoted to self-observation and experience with the same intensity or walked insight. Archer spent numerous hours at the away with the same understanding. Although structure photographing the shifting collages primarily a still-life photographer, Edward of light and shadow projected on the doors by Weston spoke of this phenomenon when the organic interaction of the sun and he wrote, “[the camera] enables [the overhead trees. The doors of the Quiet House Rogers / Learning to See: The Black Mountain College Experiment 77

Figures 6–8. Hazel Larsen Archer, Merce Cunningham sequence at Black Mountain College circa 1948. 78 New Horizons / April 2009

Figure 9. Hazel Larsen Archer, Buckminster Fuller in classroom at Black Mountain College circa 1948. bear special significance to the sense of meaning associated with such a place. They are the portal to the private promise of a community committed to obtaining a higher Hazel Larsen Archer, Inside View of sense of self-awareness (Figure 11). Figure 10. Quiet House circa 1948. The photographs are a perfect example of how the camera “faithfully records not only second, this moment will feed into an entirely what is front of it, but what is behind it as new one and become lost to time. well” (Zarow 19). The exposing of the film In his Guggenheim Candidate Report occurs in a fleeting moment when the supporting Archer’s selection for fellowship, photographer’s own expectations merge with Buckminster Fuller wrote: what is in front of the lens. The sense of peace and stillness captured in the photographs [Archer] saw what we who hurry never have exists because of Archer’s own Zen-like act of the time to see. She saw the life processes. observation; the pictures we see are simply a She saw the tree photo-converting the sun byproduct of her meditation. The pictures ask radiation; she saw the tree breathing—She us to become aware of this moment in all of its saw the ages processing beautifully and conditions, qualities, and limitations. The inexorably as she photographed the same side of a barn moment by moment and hour delicate and unique interplay of the conditions by hour; she let us see with her what we had in Archer’s photographs bears witness to never been privileged to see before. (90) the irreproducibility of each moment. The photographs are a reminder that the here Archer’s photographs seem to whisper: pay and now is sacred precisely because, in a attention. Rogers / Learning to See: The Black Mountain College Experiment 79

Figure 11. Hazel Larsen Archer, Quiet House doors circa 1948.

CONCLUSION immeasurable. From its founding, the college was dedicated to nurturing the unquantifiable Archer’s photography, like many of the attributes of its students that made them most works of Black Mountain’s students gives human. Ironically, the qualities that appear to resounding legitimacy to the debate of Art be most vital to enlightened existence are (capital A) as a valuable human endeavor. As those which elude bubble sheets, check boxes, Kurt Spellmeyer points out, “The arts exist and credit requirements. From the Black primarily to demonstrate ways of making the Mountain experiment, we can see the world more coherent: they showcase modes of importance of much more than raw experience that enlarge our ability to see, to knowledge to the individual. We see a case for act, to know, to feel, and to share” (642). At the important ways in which education can Black Mountain, art was central precisely develop emotional and intellectual maturity, because it is a human spiritual necessity. In discernment, and self knowledge. Arguably, September 2008, former students of Black American culture has never been more Mountain, its many supporters, and numerous in need of a citizenry possessing these scholars celebrated the 75th anniversary of the characteristics. college’s founding in Asheville, North Carolina. In a period when the value of a truly liberal education is being marginalized for the NOTES convenience of “hard” and testable subjects, 1 This is arguably still the case. For a contemporary th Black Mountain’s 75 anniversary is a criticism of America’s higher education, see reminder of the importance of that which is former Harvard President Derek Bok’s Our 80 New Horizons / April 2009

Underachieving Colleges: A Candid Look at Hutchins, Robert Maynard. "What is a General How Much Our Students Learn and Why They Education?" Harper’s 173 (November 1936): Should Be Learning More (Princeton, NJ: Princeton 602– 09. UP, 2005). John Dewey and the Lessons 2 Jackson, Philip W. See Harris 16. of Art. London: Yale UP, 1998. Johnson, Janis. “The Unconventional Willa Cather.” Humanities 26.4 (2005). Accessed online:< http://www.neh.gov/news/ ACKNOWLEDGEMENTS humanities/2005-07/cather.html>. I owe the success of this paper to the Kandinsky, Wassily. Concerning the Spiritual in wonderful guidance of Dr. Rob McDonald. By Art. 1914. Trans. M. T. H. Sadler. New York: holding me accountable for myself and my Dover, 1977. Rauschenberg: Art and Life. education, he has shown me what it takes to Kotz, Mary Lynn. New York: Abrams, 2004. take on this kind of work. He has constantly Magnelli, Alberto. [Untitled]. Ashton 78. believed in me and has been my friend and Moholy-Nagy, La´szlo´. [Untitled]. Ashton 67–68. mentor throughout my youthful antics and Monroe, Harriet. "’Introduction’ to the New moments of inspiration. I am better for his Poetry." Critical Essays on American presence in my life. Modernism. Ed. Michael Hoffman and Patrick I would also like to thank the kind D. Murphy. New York: Hall, 1992. 25–30. patronage of the Jackson-Hope Fund donors. Pound, Ezra. “Ezra Pound Quotes.” Famous Poets Their investment in the lives and futures of and Poems. 2009. 9 Feb. 2009. possible. quotes . Rauschenberg, Robert. [Untitled]. Ashton 243. Rice, John A. “Black Mountain College.” Progressive WORKS CITED Education 11 (April–May 1934): 271–74. Adamic, Louis. My America. New York: Harper, ———. “Fundamentalism and the Higher 1938. Learning.” Harper’s 174 (May 1937): 587–96. Albers, Josef. “March 1956 Interview.” Black Rudolph, Frederick. The American College and Mountain College: Sprouted Seeds: University: A History. Athens: U of Georgia P, An Anthology of Personal Accounts. Ed. 1962. Mervin Lane. Knoxville: U of Tennessee P, Smith, David. [Untitled]. Ashton 250–53. 1990. 33–41. Spellmeyer, Kurt. “Review: A Massive Failure of Andre, Carl . [Untitled]. Ashton 189–90. Imagination.” College English 70.6 (June Ashton, Dore, ed. Twentieth-Century Artists on 2008): 633–43. Art. New York: Pantheon, 1985. Varnedoe, Kirk. Pictures of Nothing: Abstract Brooks, Van Wyck. “On Creating a Usable Past.” Art since Pollock. Princeton: Princeton UP, Dial 64 (April 11, 1918): 337–41. 2006. Dewey, John. Art as Experience. New York: Vaughan, David. “Motion Studies.” Hazel Larsen Berkeley, 1934. Archer: Black Mountain Photographer. ———. Democracy and Education. New York: Asheville: Black Mountain College Museum and Macmillan, 1916. Arts Center, 2006. 9–17. ———. Experience and Education. 1938. New Westone, Edward. “Seeing Photographically.” York : Touchstone, 1997. Classic Essays on Photography. Ed. Alan Halberg, Robert von. “Robert von Halberg: A Talk Trachtenberg. New Haven: Leete’s Island, with John Wieners” (1974). Selected Poems. 1980. 169–75. Ed. Raymond Foye. Santa Barbara: Black Wright, John and Alice Sebrell. Sparrow, 1986. 289–92. “Acknowledgements.” Hazel Larsen Archer: Harris, Mary Emma. The Arts at Black Mountain Black Mountain Photographer. Asheville: Black College. Cambridge: MIT P, 1987. Mountain College Museum and Arts Center, Hunter, Sam. Robert Rauschenberg: Works, 2006. 5. Writings, and Interviews. Barcelona: Poligrafa, Whitehead, Alfred North. The Aims of Education 2006. and Other Essays. New York: Macmillan, 1929. Rogers / Learning to See: The Black Mountain College Experiment 81

Zarow, Ericka. “Capturing Light.” Hazel Larsen Kosinski, Dorothy. Dialogues: Duchamp, Cornell, Archer: Black Mountain Photographer. Johns, Rauschenberg. New Haven: Yale UP, Asheville: Black Mountain College Museum and 2005. Arts Center, 2006. 18–19. Naumburg, Margaret. The Child and the World: Dialogues in Modern Education. New York: Harcourt, 1928. The Theory of the Avant-Garde. WORKS CONSULTED Poggioli, Renato. Trans. Gerald Fitzgerald. Cambridge: Harvard Bowers, C. A. The Progressive Educator and the UP, 1968. Depression: The Radical Years. New York: Pratt, Caroline. I Learn From Children: An Random, 1969. Adventure in Progressive Education. New Cage, John. Silence. Connecticut: Wesleyan UP, York: Simon, 1948. 1939. Read, Herbert. Education Through Art. New Cremin, Lawrence. The Transformation of the York: Pantheon, 1949. School: Progressivism in America Education, Schmidt, George P. The Liberal Arts College: A 1876–1957. New York: Knopf, 1968. Chapter in American Cultural History. New Dewey, John. “Democracy for the Teacher.” Jersey: Rutgers UP, 1957. Progressive Education 8 (March 1931): 216–18. Semel, Susan, and Alan Sadovnik, eds. “Schools of Forga´cs, E´ va. The Bauhaus Idea and Bauhaus Tomorrow, Schools of Today: What Happened Politics. Trans. John Ba´tki. Budapest: Central to Progressive Education.” History of UP, 1991. Schools and Schooling. Vol. 8. Gen. Eds. Alan Graham, Patricia. Progressive Education: Sadovnik and Susan Semel. New York: Peter From Arcady to Academe: A History of Lang, 1999. the Progressive Education Association, Sewall, Gilbert. Necessary Lessons: Decline and 1919-1955. New York: Columbia UP, 1967. Renewal in American Schools. New York: Free Gray, Peter. Modernism: The Lure of Heresy: Press, 1983. From Baudelaire to Beckett and Beyond. New Stevens, Wallace. “Of Modern Poetry.” Stevens: York: Norton, 2008. Collected Poetry and Prose. Ed. Frank Kermode Hodin, J. P. Modern Art and the Modern and Joan Richardson. New York: Literary Classics Mind. Cleveland: P of Case Western Reserve U, of the United States, 1997. 218–19. 1972. Washburne, Carleton. What Is Progressive Hopps, Walter. Robert Rauschenberg: The Early Education?: A Book for Parents and Others. 1950s. Houston: Houston Fine Arts, 1991. New York: John Day, 1952. Howe, Irving. The Idea of the Modern. New York: Whitford, Frank. Bauhaus. London: Thames, Horizon, 1967. 1984. New Horizons r Volume 3 r Number 1 r 2009

Kitchener to the Somme: British Strategy on the Western Front during the Great War

Cadet Gregory E. Lippiatt

Faculty Mentor: Dr. Charles F. Brower IV, Acting Director, VMI Center for Leadership and Ethics

ABSTRACT While the British Army in 1914 was arguably the most professional and best-trained army in Europe, it was sorely unprepared for the scale of the conflict that loomed over the next four years. The pre-war British Army was far too small to contend with the massive conscript armies of the Central Powers for an extended war of attrition. To cope with this problem, Field-Marshal Earl Kitchener turned his back on some of the principles of the “traditional” British grand strategy of indirect warfare. A direct deployment of an expanded British Army to the Continent was the most significant of these revolutions. He successfully appealed to the patriotism of the British people, and civilians enlisted in droves to fill his New Armies. His plan intended for these amassed shopkeepers-turned-soldiers to be delivered in a decisive war-winning blow to destroy the Central Powers who had been locked in a stalemate with the French army, thus placing Britain in a position to dictate the terms of the ensuing peace. However, circumstances soon overrode Kitchener’s intentions, and the New Armies began to be committed to divergent theatres such as the Dardanelles. After Kitchener’s death in 1916, his grand strategic purpose was abandoned and the massive military might he had accumulated at such great effort was rashly committed and expended at the disastrous Battle of the Somme. The New Armies simply became a means of refilling the depleted British Army. As a result, Britain was just as exhausted militarily as all the other European powers at the end of the war and had lost the grand strategic advantage Kitchener had hoped to gain through the creation of the New Armies.

ield-Marshal Horatio Herbert, Earl the initially reluctant Secretary of War during F Kitchener of Khartoum, was one of the the First World War that he made his greatest iconic personalities of England and the British mark on history. He worked tirelessly in the Army well before 1914. His distinguished role War Office as his face glared from recruiting as commander in the great colonial wars that posters, revolutionizing the British Army to had cemented the British Empire in Africa in prepare it for a long and total war on the the nineteenth century had gained him a title European continent. Even though British and the recognition and admiration of the strategy occasionally turned to diversions English people. But it was in his role as in the Dardanelles and Greece, Kitchener

83 84 New Horizons / April 2009 preferred to focus the war effort on the high cost of modern warfare would force the German armies on the Western Front and to conflict to be brief, Kitchener’s operations in prepare the battlefield for the arrival of his South Africa and the Sudan had lasted several New Armies. Although Kitchener died in years despite limited financial resources (27). 1916 before these new battalions could Based on these experiences, he believed that be put into widespread combat use, his role the war could last as long as three years, and and influence proved to be instrumental so he called for an expansion of the army to to the military emphasis on the British one million men (31). Expeditionary Force (BEF) on the Western Both predictions would be proved to Front. Ironically, in the hands of other men be modest, but they were certainly not and in a perverted form, Kitchener’s efforts anticipated by anyone else at the time. As the led to the development of the disastrous newly-appointed Secretary of War attempted Somme campaign and the unforeseen and to reconcile the pre-war plans of the British unintentional strategy of attrition that General Staff and the realities of the situation characterized the later war years as a result of in Europe, he remarked, “I am put here to that engagement. conduct a great war, and I have no army” From the earliest days of the war, Kitchener (qtd. in Esher 35). He had little faith that realized that a wholly novel approach to the the Territorial Force—a sort of national organization and size of the British Army was guard—could be effectively trained and could necessary in order to give it a chance at reinforce the Regular Army, which had victory. Historically, the British Army had already been committed to the Continent been characterized by its relatively small size after the first few weeks of the war (Esher as a result of its status as the military branch 36). This disregard of the Territorials was junior to the mighty Royal Navy. This based in part on Kitchener’s own prejudices subordinate status was still in place when the against citizen-soldiers from his early Army BEF crossed the Channel in 1914 and service. However, it stemmed from more resulted in the Kaiser’s dismissive comments rational factors as well. The Territorial Force about such a “contemptible little army.” was designed primarily for the defense of Although the official historian of the BEF, Britain rather than for overseas service, and, Brigadier-General J.E. Edmonds claimed in 1914, many Territorial soldiers and their that “the Expeditionary Force in 1914 parents were extremely reluctant to volunteer was incomparably the best trained, best for service on the Continent. The force was organized, and best equipped British Army also simply unprepared in many ways for which ever went forth to war” (qtd. in Spiers active combat, with many units deemed unfit 38), his statement would only have reflected for such service and lacking proper equipment reality if the BEF was setting out to fight (Cassar 33–4). Kitchener accordingly an auxiliary role in a great war, not preparing concluded that he would rather recruit “men to serve as a major allied force with who know nothing to those who have been equal responsibility for repelling the Germans taught a smattering of the wrong thing” (Cassar 77). This small, elite force of (qtd. in Cassar 33). As a result, Kitchener’s professional soldiers was well-suited for short plan to prepare the British Army for the conflicts or colonial police actions, but was coming years of conflict rested instead on the unable to prosecute a prolonged war against creation of the “New Armies.” another great power. Kitchener apparently The scale of this expansion was truly recognized this problem before anyone else in enormous. Due to public confidence in the British government or public as a result of Kitchener’s expertise, power, and ability to the long campaigns he conducted in Africa win the war, Prime Minister H.H. Asquith’s with limited resources. While many European Cabinet granted him wide-ranging powers experts believed that the international nature as supreme war lord and made him essentially of the belligerent economies and the expected an extra-constitutional wartime dictator Lippiatt / Kitchener to the Somme 85

(Magnus 285). As a result, he could propose (Tooley 86). Men had to drill in civilian sweeping changes to the British military clothes with umbrellas for rifles as a result of system with near impunity. Kitchener’s force the utter unpreparedness of the factories for projections eventually reached seventy new the volume of new soldiers (Esher 65). In time, divisions needed for commitment to the however, Kitchener and his logistical staff fight in order to be competitive with those overcame such difficulties and began to shape armies deployed by ally and enemy alike in a an army of citizen-soldiers destined to turn full-scale European war. This number was back the aggression of the Central Powers massive given that the original BEF consisted (Cassar 33). Kitchener’s transformational of six divisions of the Regular Army revolution of the British Army was underway. (Cassar 26–7). Kitchener insisted that the The creation of the New Armies was British government “must be able to put not popular with everyone, however. armies of millions into the field and to Many general officers—Field-Marshal Sir maintain them for several years” (qtd. in John French among them—did not share Magnus 284). These new divisions were Kitchener’s long-term vision of the conflict to be created almost entirely from scratch and believed that to withhold reinforcements (much to the chagrin of the Territorials) from the front by choosing to deploy the New (Esher 36–37). Recruiting campaigns, Armies as independent units—as well as to including the memorable poster emblazoned allocate badly needed veteran NCOs and with Kitchener’s face and pointing finger, officers to train these new battalions at encouraged civilians to become soldiers home—was to risk fatally crippling the (Magnus 288–89). Incentives also lay in BEF (Cassar 32). French claimed that if this the system of “Pal’s Battalions,” in which long-term policy was abandoned and the BEF men from the same locality could enlist immediately given all of the resources at together with the promise of serving in the Britain’s disposal, he could drive the Germans same unit (Tooley 86). Conscription, though to their own side of the Rhine within six weeks contemplated, was not implemented until (Magnus 303). Many other officers advocated 1916, maintaining for the early years of using the existing Territorial Force system as the war Britain’s unique position in Europe as the foundation for the expansion of the army, the only country to still employ an entirely but Kitchener refused to change his attitude voluntary military system. Although Kitchener toward the Territorials who were (in his eyes) could likely have imposed compulsory poorly trained troops that could not be relied enlistment by sheer force of his personality upon for overseas operations (Esher 62–63). and position in order to expand the Army, his Like Cromwell and his New Model Army, decision to acquiesce to voluntary service Kitchener intended to create an innovative probably helped keep the British public and centralized army organization that would be government unified and supportive of the war capable of fighting conventional war on a in the early war years (Cassar 32–33). Even massive scale. without conscription, early quotas were met Along with this reorganization of the without much trouble. Inspired by strong British Army, Kitchener also emphasized a passions of nationalism, duty, and adventure, primary commitment to the continental both middle- and working-class men left their theater of combat operations, a grand strategy civilian jobs—skilled and unskilled—and uncharacteristic of historical British policy. eagerly answered the call, and the ranks of The traditional British grand strategic approach the New Armies swelled (Esher 37). In fact, to a continental war as outlined by the the response overwhelmed the ability of the famous British historian Basil Liddell Hart— Army to accommodate the new recruits. and, indeed, Prime Minister H.H. Asquith’s Enlistment had reached approximately 2.5 government’s pre-war plans—consisted of million by the end of 1915, more than five strong naval pressure on the enemy percent of the entire British population belligerents to counter their likely military 86 New Horizons / April 2009 superiority on land. A small expeditionary his fresh New Armies could step in to force much like the one originally sent across administer the decisive blow against the the Channel in 1914 would be sent to support exhausted German forces (French xiii). What Britain’s allies on the Continent, but the Kitchener and other British policymakers most significant aspects of British support for failed to realize was that a prolonged war of her partners would be in the form of war attrition would make their retention of these materiel and economic incentives, while the New Armies for a crucial final attack against Royal Navy would deprive the enemy of the enemy’s center of gravity nearly these same necessities (Cassar 31). By impossible. The stalemate of trench warfare implementing these initiatives, the Liberal would demand an ever-increasing tribute of policymakers hoped to make use of the blood and treasure as increasingly grand EntentealliancetodefeatGermanywith attempts at breakthrough were made in vain. relatively small cost to Britain itself, allowing Thus, the very existence of such armies her, from a position of power in comparison to would mean that they would inevitably be weakened allies and enemies alike, to dictate deployed, perhaps even exhausted, to feed thenatureofthepost-warenvironmentto this frustrated military machine, resulting in Britain’s advantage (French, xii–iii). However, their own wasting away in the trenches and Kitchener, an Army man, had grander, more leaving them as weakened as their allies by revolutionary ideas for winning the war on the the end of the conflict. Continent. After the first month or two of a conflict of Even so, Britain’s traditional indirect grand maneuver and the subsequent “Race to the strategy was not abandoned from the outset of Sea,” the war on the Western Front quickly the war, but was rather modified and replaced settled into the stalemate of trench warfare. as the situation demanded. Kitchener’s plan The BEF took up a position on the left of for the creation of the New Armies at first the great line of trenches, continuing the coexisted uneasily next to primarily naval and fortifications from the French Army’s position economic contributions to the allied war to Nieuport in Belgium on the coast, effort. Britain had the strongest economy of wherefrom the British Army and Royal Navy the Entente in 1914 and provided financial could coordinate operations. An amphibious support for her allies until it became apparent operation designed to flank the German that it was not economically possible both to line by attacking Ostend and Zeebrugge was bankroll France and Russia and to raise a proposed by First Lord of the Admiralty massive military machine like the New Winston Churchill and even initially planned Army system (French xi). The urgency of with Kitchener’s consent, until Field-Marshall operations on the front dictated the need French began using the operation to extort for more troops rather than an indirect from the government massive quantities of economic approach, and so the primary guns and munitions that the factories on the emphasis of the British war effort shifted to home front were not yet capable of producing the recruitment, preparation, and deployment and began demanding too the immediate of the New Armies. deployment of Territorial or New Army units Originally, a grand strategic purpose also to be broken up and amalgamated into the existed for the creation of Kitchener’s bloodied Regular Army regiments already on Armies. Kitchener hoped that they would the Continent. Kitchener, in accordance with place Britain in a position of supreme military the grand strategic purpose of the New might after the end of hostilities, when the Armies, refused to allow the massive military armies of the other belligerents would be buildup that he was engineering at home to severely weakened. Kitchener’s conception of be drained piecemeal to France, and he a policy of attrition relied on the expenditure shelved the amphibious program, though not of the French and Russian armies in the without significant protest from both the field stalemate that defined the Western Front until and other members of the government Lippiatt / Kitchener to the Somme 87

(Magnus 305–06). The breaking of the increasingly frustrating situation, Kitchener deadlock on the Western Front had become doubted the possibilities of the campaign’s secondary to the goal of an expanded British viability, but he refused to advise a withdrawal Army, and so the tail began to wag the dog as unless the Mediterranean Expeditionary Force Kitchener’s Armies began to dictate the was faced with complete destruction, claiming deployment and operations of the BEF in that such a move would bring discredit to Belgium and France. British prestige internationally, especially in Alternatives to the trenches were sought the East, where it possessed imperial holdings elsewhere as well. The most significant of (Magnus 342). He vehemently maintained this these diversions was the infamous Dardanelles position toward evacuation until the very end campaign of 1915. Proposed by Churchill as (Magnus 358–59). The anxieties of the French an alternative to attempting to break through and the precariousness of the Russian military the German lines in Europe, the plan for the position swayed him toward re-emphasizing campaign entailed a combined naval and offensive action on the Western Front, amphibious assault to capture Constantinople however, and attention was diverted from and knock the Ottoman Empire out of the war the Mediterranean (Magnus 345–48). In late (Cassar 59). It was hoped that by eliminating summer, therefore, Kitchener began to members of the Central Powers from the dismiss the value of the Dardanelles campaign alliance, an isolated Germany would be forced and significantly scaled down its objectives to capitulate.1 (Cassar 235). His famous statement that “We However, Kitchener’s commitment to the must make war as we must; not as we should campaign was never more than half-hearted. like” (qtd. in Tooley 73) now seemed He initially refused to supply the campaign vindicated, even if it had become something with troops, choosing instead to hold his of a self-fulfilling prophecy. Despite hopes for New Army battalions in reserve and forcing success through an indirect grand strategy, the Churchill to plan a purely naval attack Western Front remained the priority, and its to force the Dardanelles. Even after the plan insatiable appetite for blood and fortune would had settled on a combined arms amphibious exclude major commitments to other theaters operation, Kitchener neglected to devote of operations. his energy to planning for campaign The Western Front’s appetite would also contingencies, arguing instead that the details begin to demand more manpower than a of the operation should be worked out voluntary system of enlistment could deliver. spontaneously by the commanders on the Accordingly, January 1916 witnessed the spot (Magnus 316–17). introduction of conscription to Britain for On a wider strategic scale, Kitchener had the first time in history with the Military promised to support French General Joseph Service Act. Men between the ages of 18 and Joffre’s planned offensive on the Western 41 were now eligible for conscription, though Front in the autumn, and so could not many exemptions were made for married men offer reinforcements to the troops at Gallipoli (though these would be lifted in April), those in (Cassar 235), which was showing signs of the clergy, and, in an attempt to preserve being a catastrophic failure that might lead to peace at home, Irishmen (Tooley 87). This another fruitless stalemate like that on the move was revolutionary for Britain and Western Front, and Kitchener had doubts that compounded the fundamental changes of the the British could “long support two fields of British Army already begun by the creation of operations draining our resources” (qtd. in the New Armies. Magnus 342). However, a success on the As noted earlier, many, including Churchill, Western Front offered the promise of a sure believed that Kitchener possessed enough of a victory, while even a breakthrough in the mandate from the government and people of Dardanelles would not ensure the collapse of the United Kingdom to have imposed the Central Powers. As a result of the conscription at the outset of the war. But 88 New Horizons / April 2009

Kitchener, in the strange position of being There was, however, no other solution to thrust into the position of Secretary of War stem the wastage of men in France and after years of having served as an officer Flanders. Thus, by April 1916, Kitchener overseas, felt that he was in no position to acquiesced to the demands of his generals in gauge public opinion on the matter Europe and the Conservatives in London and effectively, and so wisely bowed to Asquith’s endorsed full compulsion, in turn pressuring recommendation for voluntary enlistment Asquith to do the same, leaving the Prime (Cassar 32–33). He maintained this Minister no choice but to give his assent as support for the Prime Minister’s reluctance well (Cassar 273–74; Magnus 373). The first to introduce compulsive service into 1915, act of conscription, mentioned above, affected even after the Battle of Loos and the only bachelors, but another passed in the resultant intense pressure from Conservatives spring declared all men within the acceptable to employ conscription as a means of age range (conscientious objectors excluded) refilling the ranks. His stand on the issue eligible for service. This second act would not of compulsion at this point would be a go into effect until June, only days after significant step in his alienation from Kitchener’s death (Magnus 354). It is perhaps the Cabinet that would lead to the waning fitting that the introduction of conscription of Kitchener’s influence in the British without any potential armistice in sight government, as he was perceived as a which unraveled the New Armies’ role in political traitor by his fellow Tories (Cassar Kitchener’s envisioned grand strategy began at 241–43) and as fatally indecisive by other the same time as Kitchener’s own premature members of the Cabinet (Magnus 357). In demise. many ways, Kitchener’s stubborn opposition Kitchener’s death was sudden and to the inevitable introduction of compulsive unexpected. While undertaking a secret visit service gave impetus to his political decline. to Russia to further Entente cooperation In addition to his principled subordination of between the two fronts, his transport (the military policy to his civilian master, Kitchener cruiser HMS Hampshire) struck a German had his own motivations for delaying mine in the midst of a heavy storm. The mine conscription as long as possible. Although by had been laid by a German U-boat in late 1915 Kitchener realized the eventual preparation for the Battle of Jutland the necessity of conscription in order to keep the previous month and struck the Hampshire British Army in the field, he still did not quite by accident. There were only a handful advocate its implementation (Magnus 354). of survivors, and Kitchener’s body was never This seemingly irresponsible position was a recovered, imprisoned by the dark cold of the result of his continued belief in the potential North Sea. The shock of the British public at for the use of his New Armies to land the his death was a testament to his popularity. At decisive blow that would end the war and first, wild rumors of his survival circulated, the leave Britain in a dominant position to most incredible of which maintained that he dictate peace to allies and enemies alike. had been transported to a hideaway in the He feared that conscription would drain Hebrides where, like King Arthur, he would British manpower too quickly and exhaust the sleep and await Britain’s hour of need, when nation’s reserves before the end of hostilities, he would come back as a sort of messianic severely compromising the position of hero (Magnus 376–79). But he never power Kitchener anticipated and limiting returned from his watery grave, and his British influence on a grand strategic level legacy turned to the unfolding of the events (Cassar 265). Kitchener’s hopes and plans that had been set in motion during his lifetime. for the post-war role of his massively The climax of the saga of the New Armies expanded Army led him to resist pressure for and Kitchener’s impact on the history of the full conscription for nearly two years of First World War came with the tragic conflict. Battle of the Somme. With Kitchener’s death, Lippiatt / Kitchener to the Somme 89

Field-Marshal Sir Douglas Haig, commander reserves to the front line, followed by the main of the BEF, became the most influential figure attack, which would result in the decisive in shaping British Army policy. As the New breakthrough that Haig so intensely desired Armies became a battle-ready force in 1916, (Travers 128). It was a calculated procedure Haig had his own, quite different, plans for based on the established traditional military committing them to the Western Front doctrine of the day. as a decisive, war-winning weapon. While However, the plan was never implemented Kitchener intended to withhold the New in this form. With the German offensive at Armies until he could see victory on the Verdun and Haig’s increasing hunger for a horizon, Haig believed that the deployment of breakthrough and return to the open warfare this large, fresh force could actively bring with which he was comfortable, the proposed about those conditions for victory. He viewed operations on the Somme were abbreviated the trench warfare of the Western Front as in complexity, though not in scale. The the first stages of a modern incarnation of the preparatory assaults were eliminated from the Napoleonic strategy of the Advanced Guard, plan, and only the main attack, immense and by which a general engagement along the terrible, remained (Travers 129). Kitchener’s entire front could be turned to victory by Armies, deprived of their grand strategic role deploying a significant reserve to a weak in the conduct of the First World War, had point in the enemy lines, breaking through, now also lost any sort of operational and thus splitting and destroying the enemy’s complexity in their deployment, and had been army. While French and BEF troops engaged committed to a simplistic assault that rested on the enemy along a wide front in a general vain hopes of a Napoleonic breakthrough. assault perhaps 100 miles wide along the The new battle plan for the Somme trench lines in the Artois region near offensive rested on two major stages. First, a the River Somme, the large reserve force massive artillery bombardment along the provided by the New Armies could, according entire length of the attacking front would to Haig, punch a hole through a section of the prepare the first several lines of the enemy German lines that had been tested and trenches for the assaulting troops by clearing found to be weak, opening up a decisive them of Germans over a weeklong period. At breakthrough that would return mobility to the time of the attack proper, as the troops the war and presumably lead to an Entente went over the top, mines dug under the victory (Travers 127). Thus Kitchener’s plans German lines would be fired, destroying more for a modernization of the scale of the British sections of German trench and killing and Army to bring it in line with the armies of shocking more enemy soldiers. The artillery Europe and efforts to place it in a key role support would then change, adopting the role for deciding both victory and subsequent of a “creeping barrage” as the rounds were peace conditions had been abandoned or fired to land directly in front of the attacking subordinated in order to accommodate an troops who would walk behind it as it early nineteenth-century operational strategy protected them and prepared their objectives without any sure promise of success. for their arrival. Ideally, the soldiers would thus Haig’s initial conception for the Somme find very little active German resistance as offensive did not rest on an immediate they crossed no-man’s land and entered the breakthrough, but rather on a series of enemy’s trenches (Tooley 158–59). Despite escalating actions, with the decisive breach (or perhaps because of) its simplicity, Haig’s of German lines as its ultimate climax. These plan seemed to offer a sure chance at success actions would take place in three stages, and the promise of an easy British victory. beginning with local harassment operations But reality proved otherwise. The against the enemy intended to wear down his bombardment, while impressive both in its forces. This initial action would be followed by scale and intensity, was ineffective, as a preliminary assault intended to draw enemy the German soldiers huddled in deep dugouts 90 New Horizons / April 2009 that had been prepared long before, relatively of the first day, the Somme offensive ground safe from the maelstrom above them. When on, claiming more men and materiel as the shelling stopped, survival became a race Haig adapted his strategic objectives from between the Germans, who had to reach the “breakthrough” to “wearing out.” Having surface where they could lay murderous rifle failed to plan for any alternative other than a and machine-gun fire into the advancing successful breach of the German lines, troops, and the British, who had to cross Haig had to reevaluate his objectives in no-man’s land and get inside the German order to continue the Somme offensive trenches. The Germans, notified of the (Travers 131-32). The operation, or series of commencement of the attack by the operations, dragged on for several months detonation of the mines, had a much shorter and quickly devolved into a simple battle of distance to cover and easily won the race attrition. The comic nature of the offensive’s (Tooley 160). The British New Army troops, pettiness was prevented by its horrible toll in considered too green to be able to master the human life. Though the British and French complicated tactics of fire-and-movement used had advanced several hundred yards over four by the Regulars, were instructed to assault by and a half months, they had paid for it dearly walking evenly across no-man’s land in a with 600,000 casualties (Tooley 161). The massive formation (Keegan 226). As a result, hellish nature of the horror and duration of the assault became a turkey shoot for the the Somme offensive became characteristic of Germans, who poured a withering volume of subsequent operations on the Western Front fire into the columns of British citizen-soldiers, until 1918, as the same combat attrition, with many of whom died before realizing that their heavy loss for little gain, defined the next unit had come under fire. Their progress major British offensive at Third Ypres or slowed, the creeping artillery barrage left Passchendaele. them behind, sweeping over the German Kitchener’s death thus served both as a lines into the distance, leaving most German symbolic and practical catalyst for the riflemen and machine-gunners in place to development of the First World War. decisively halt the British advance before it Symbolically, his death came at nearly the had made it more than a few yards from same time as the deaths of many of the its own trenches (Tooley 160). By the men whom he had recruited to join his afternoon of that fateful July 1, any ideas of a New Army formations. The irony in the breakthrough seemed cruelly sarcastic. destruction of the New Army battalions at The resultant losses of the first day of the the Somme—the first of the great attritional Somme offensive were appalling. Almost no battles of the war—lies in Kitchener’s hopes significant advance had been accomplished, for their use in landing the decisive blow and those units that had captured their against a weakened Germany, preserving objectives held onto them precariously. their strength, and then using that strength Within the first few hours, the British had lost to influence the post-war settlement to 21,000 soldiers killed, and the Empire Britain’s advantage. Instead, Haig sacrificed suffered about 60,000 total casualties by the them in order to attempt to push a strong day’s end (Tooley 161), many of these from Germany toward a decisive defeat and, as a the ranks of the New Armies Kitchener had so result, wasted the capital Kitchener had ardently labored to create. The fruits of that saved for the betterment of British grand labor, for which Kitchener had had such great strategy. Kitchener’s revolution in the hopes of a decisive role in the successful organization of the British Army did conclusion of the war, had been squandered place the BEF in an expanded role in a vain offensive that had fallen far short of on the Western Front and resulted in its glorious projections. an abandonment of the perceived British But the fighting was not over, and would traditions of military policy, but the ultimate not end for many weeks. Despite the disaster employment of his creation strayed far from Lippiatt / Kitchener to the Somme 91 his intentions and established the cycle of GreatWarinanewlightandledmeto enormous and unproductive battles that write this paper for his class. resulted in nothing more than mutual attrition that would not have been possible WORKS CITED without the existence of the massive New Kitchener’s War: British Army formations. Those New Armies, the Cassar, George H. Strategy from 1914 to 1916. Washington: legacy that Kitchener worked so hard to Brassey’s, 2004. build and protect, followed him to the grave Viscount Esher, Reginald. The Tragedy of Lord in the fields and forests of the Artois, Kitchener. New York: Dutton, 1921. suborned and deviated from their intended French, David. “Introduction.” British Strategy honor as the war-winning and peace- and War Aims 1914–1916. London: Allen & deciding factor in the outcome of the Unwin, 1986. ix-xiv. Great War. Keegan, John. The Face of Battle. New York: Barnes & Noble, 1976. NOTES Magnus, Phillip. Kitchener: Portrait of an Imperialist. New York: Dutton, 1959. 1 For more information on the planning and execution of Spiers, Edward M. “The Regular Army in 1914.” the Gallipoli campaign, please refer to: A Nation in Arms: A Social Study of the r Aspinall-Oglander, Cecil Faber. Military Operations, British Army in the First World War. Eds. Ian Gallipoli: Maps and Appendices.London: F.W. Beckett and Keith Simpson. London: Heinemann, 1932. Manchester UP, 1985. 38–61. r Callwell, Major-General Sir C.E. The Dardanelles. Tooley, Hunt. The Western Front: Battleground New York: Houghton, 1919. and Home Front in the First World War. r Higgins, Trumbull. Winston Churchill and the New York: Palgrave, 2003. Dardanelles: A Dialogue in Ends and Means. Travers, Timothy. The Killing Ground: The New York: Macmillan, 1963. British Army, the Western Front, and the r Gallipoli James, Robert Rhodes. . New York: Emergence of Modern Warfare, 1900–1918. Macmillan, 1965. Boston: Allen & Unwin, 1987. ACKNOWLEDGEMENTS WORKS CONSULTED I must first offer my thanks for the funding that makes my continued enrollment at the Aspinall-Oglander, Cecil Faber. Military Operations, Gallipoli: Maps and Appendices Virginia Military Institute possible. Without . the support of scholarships provided by London: Heinemann, 1932. Brown, Ian Malcolm. British Logistics on the U.S. Army ROTC and the Institute Honors Western Front 1914–1919. Westport: Praeger, Program at VMI, I would never have been 1998. able to pursue this paper. The staff of Callwell, Major-General Sir C.E. The Dardanelles. Preston Library—particularly Captain Nilya New York: Houghton, 1919. Carrato and Dr. Megan Newman—proved Cassar, George H. Kitchener’s War: British invaluable in helpingmefindsources. Strategy from 1914 to 1916. Washington, D. Major Eric Osborne of the VMI History C.: Brassey’s, 2004. Department also bears responsibility for Viscount Esher, Reginald. The Tragedy of Lord introducing me to and guiding me through Kitchener. New York: Dutton, 1921. the topic of First World War military history, French, David. “Conclusion: Victory or Bankruptcy?” British Strategy and War Aims 1914–1916 which sparked my interest in this project. . London: Allen & Unwin, 1986. 244–49. Most importantly, I must thank Brigadier —. “Introduction.” British Strategy and War General Charles Brower for his support in Aims 1914–1916. London: Allen & Unwin, my research for his Grand Strategy in the 1986. ix-xiv. Twentieth Century class, which resulted in Higgins, Trumbull. Winston Churchill and the this paper. His teaching caused me to view Dardanelles: A Dialogue in Ends and Means. Kitchener and British strategy during the New York: Macmillan, 1963. 92 New Horizons / April 2009

James, Robert Rhodes. Gallipoli. New York: Tooley, Hunt. The Western Front: Battleground Macmillan, 1965. and Home Front in the First World War. New Keegan, John. The Face of Battle. New York: York: Palgrave, 2003. Barnes & Noble, 1976. Travers, Timothy. How the War Was Won: Magnus, Phillip. Kitchener: Portrait of an Command and Technology in the British Imperialist. New York: Dutton, 1959. Army on the Western Front, 1917–1918. New Spiers, Edward M. “The Regular Army in 1914.” York: Routledge, 1992. A Nation in Arms: A Social Study of the —. The Killing Ground: The British Army, the British Army in the First World War. Eds. Ian Western Front, and the Emergence of Modern F.W. Beckett and Keith Simpson. London: Warfare, 1900–1918. Boston: Allen & Unwin, Manchester UP, 1985. 38–61. 1987. New Horizons r Volume 3 r Number 1 r 2009

Marshall and the Politics of Command: 1906-June 6, 1944

Cadet John M. Curtis

Faculty Mentor: Dr. Malcolm Muir, Henry King Burgwyn, Jr. Boy Colonel of the Confederacy Chair in Military History

ABSTRACT Many Americans recognize George Marshall for his contributions after World War II, especially his work in developing the Marshall Plan to rescue post-World War II Europe. However, many Americans do not realize how vital George Marshall was to U.S. success during World War II. Marshall’s ability to modernize and develop the Army in the years leading up to World War II—along with his ability to select the right officers for the right positions—significantly contributed to the success of the United States Army in World War II.

INTRODUCTION 1906 to June 6th 1944, George Marshall’s ability to build vital relationships with other Most educated Americans realize that officers and to develop his own leadership General George C. Marshall had a very skills would prove a key component in the important and positive effect on the United Army’s success in World War II. States’s effort leading up to World War II, organizing the largest peacetime expansion in the Army’s history. However, few people understand that never before did one FORMATIVE YEARS man, through his own strong chain of George Marshall graduated from the command, have such a large responsibility Virginia Military Institute in 1901 and for the Army’s very pattern, size, equipment, commissioned as a second lieutenant in training, organization and command structure the Army in 1902. During the early part of his (Watson 1–2). Over the course of his long career Marshall served tours of duty in career leading up to World War II, Marshall the Philippines from 1902–1903, and then developed many important relationships with at Fort Reno, Oklahoma from 1903–1906 officers who would play important roles in the (Gimpel 28–31). It was Marshall’s build up and conduct of the U.S. Army in appointment to the School of the Line at Fort World War II. His ability to assess these Leavenworth, Kansas in 1906 when Marshall officers over the years by noting them in really began to emerge as a bright young his “little black book” became vital to the officer (Gimpel 32). American war effort as Marshall oversaw During this time Marshall most likely began the largest expansion in U.S. Army history writing names of officers who impressed (Pogue, Ordeal 95). During the period from him (along with those he believed were

93 94 New Horizons / April 2009 unimpressive) in his “little black book” (Pogue, commander. One such event occurred Ordeal 95). Much of the work at the school with General John J. Pershing, who was was done in the traditional Army route, commander of the American Expeditionary although the tactics class was different. Force (AEF) in France, while Major Marshall Taught by Major John F. Morrison, an entire was serving as Chief of Staff of the 1st Infantry new generation of officers, later known as Division. The AEF was conducting exercises, “Morrison Men,” were trained in the new and Marshall confronted General Pershing applicatory style by having the officers about what he thought was an unfair critique solve operational problems instead of having of his divisional commander (Perry 21–22). them memorize formulas. Marshall was Marshall’s frank confrontation impressed tremendously impressed with this teaching Pershing, who valued subordinates unafraid to method, which he used throughout his career disagree with him. This encounter with (Stoler 22). Pershing led to another jump in Marshall’s After tours in the United States, in 1913 career. He was promoted to lieutenant Marshall went back to the Philippines, where colonel in January 1918, and then eventually his star continued to rise (Gimpel 35). In to full colonel in September 1918 (Gimpel maneuvers in 1914 to test the defenses of 54–55). Marshall’s rapid ascension led to Luzon, Marshall was appointed adjutant of a his assignment to the General Staff of the 5,000 man invading force and performed First Army in July 1918. Marshall became brilliantly. A young lieutenant named Henry responsible for large troop movements, “Hap” Arnold, who would later head the especially during the Meuse-Argonne Army Air Forces, saw Marshall under the Offensive, during which the high command shade of a bamboo clump examining a map had to move over 600,000 men in less than and then dictating precise orders during ten days under the cover of darkness to avoid maneuvers. Arnold later informed his wife German detection. Marshall was soon given that he had just seen the future Army Chief the nickname “the wizard” for his brilliant of staff in action (Stoler 27). Marshall troop maneuvers (Gimpel 57). and Arnold’s friendship developed in the However, the Meuse Argonne offensive Philippines, where they would often go on brought Marshall into conflict with an officer hunting trips together, along with another he would be dealing with for the rest of his peer, Courtney Hodges, who would go on to career. Late in the drive, the U.S. First Army command the First Army late in World War II was pushing to take the city of Sedan. As the (Pogue, Education 125–26). G-3 Operations Officer for the First Army, Marshall wrote the memorandum dictating the attack plan for that unit. The two U.S. WORLD WAR I divisions that were lined up to attack first With the entry of the United States into were the 1st Division and the 42nd Division, World War I in 1917, George Marshall’s whose Chief of Staff was the dashing abilities would again be put on display. During Brigadier General Douglas MacArthur. Once his time in France, he also forged many the orders written by Marshall reached the important relationships with men who would division commanders, the assault on Sedan become vital to U.S. success in World War II. began. However, a mix up in the orders led In June 1917, while aboard the ship the 1st Division to march directly in front of Tenadores on his way to France, Marshall the 42nd Division. As both divisions tried to shared the same stateroom with Lesley enter Sedan, they became mixed and halted McNair, who would go on to command Army the American advance. In the darkness of Ground Forces in World War II (Bland, night, it was hard to tell apart American and Reminiscences 189). German soldiers. MacArthur went to the front Throughout Marshall’s career, he would to try to clear a path. Before he reached speak his mind, even to his superior the front, he was spotted by a patrol from the Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 95

1st Division. MacArthur—whose attire did not large congressional budget cuts, the Army was seem to fit a U.S. officer—was taken for a limited in its actions in China. Marshall also German soldier by the patrol that proceeded had the opportunity while in China to start to “capture” him. After the event, MacArthur lasting friendships with soldiers such as Major noted the name of the officer who issued Joseph Stilwell (Stoler 50–53). the memorandum (Marshall) and forever associated it with his own “capture” and the 42nd’s lost opportunity to take Sedan FORT BENNING (Rooker 5–8). With the completion of his service in China in 1927, Marshall accepted the position of Assistant Commandant of the Infantry School POST WORLD WAR I at Fort Benning, Georgia. The school was By the armistice in November 1918, responsible for training company grade Marshall had established an excellent infantry officers in small unit tactics along reputation as a tactician and most with providing refresher courses for senior extraordinary officer. In both tactics and officers, as well as officers of the National logistics, he developed a level of achievement Guard and the Reserves. Marshall was very that was unmatched by any officer his age in interested in this type of training, and had the Army. It was during this time, shortly after exact opinions as to what should be taught the end of World War I, that Brigadier General and how. Since the Commandant was in Fox Connor told a young prote´ge´ named charge of the entire installation and had Dwight Eisenhower to get an assignment with previously served with Marshall, he enjoyed a Marshall if he could because, Connor said, “in virtual free hand with both curriculum and the future we will have to fight beside allies teaching methods (Stoler 55). Marshall and George Marshall knows more about brought the fruits of his own education to his techniques of arranging allied commands new position. Because Benning was the than any man I know. He is nothing short advanced tactics training school for the of a genius” (Stoler 41). Pershing clearly infantry, the techniques Marshall had learned recognized Marshall’s brilliance, and after the could now be put into one of the Army’s most armistice he sought to keep Marshall on his important training schools. His greatest aim staff in whatever way he could. In April 1919, was to simplify the techniques of troop Pershing asked Marshall to be one of his leadership. Marshall had learned the postwar aides (Stoler 41). Marshall’s work importance of simplicity in tactics at Fort with Pershing, now Army Chief of Staff, Leavenworth under Major Morrison (Pogue, thrust Marshall into the world of Washington Education 249). When Marshall first arrived D.C. politics. Marshall was forced to meet at Fort Benning, he found a school stuck in with legislators and policy makers to get their the past. Teachers were not up to date on input and support on many issues. Marshall new Army tactics. Traditional lecture-based was very careful to maintain political classes did not engage the students, who were neutrality. Marshall would often say, “My not encouraged to discuss issues or question mother was Republican, my father was a any of the doctrines. Theory and book Democrat, and I’m an Episcopalian” (Gimpel learning were the norm; from his influences 65). Marshall’s service with Pershing ended in at Fort Leavenworth under Major Morrison, 1924. In September of that year, Marshall Marshall strongly favored using practical, went to China to serve with the Fifteenth real life examples to teach his students Infantry Regiment in Tientsin (Gimpel (Gimpel 71–72). 65–66). During 1924–1927, Marshall saw Marshall slowly began to change what he the limits of the postwar Army, which had disliked along with instituting new practices been drastically reduced after the end of the and selecting his own staff. To head the First World War. Marshall realized that due to important area of the school’s Tactical 96 New Horizons / April 2009

Section, Marshall held the position open for a ahead with new technologies. Marshall year until his friend Joseph Stilwell from managed to get a number of tanks assigned China could accept the position. He would to Fort Benning so students could interact become known as “Vinegar Joe” for his with the new technology of warfare. Marshall rough temperament. Marshall valued Stilwell also realized the growing importance of for his energy and his work ethic, along with warplanes, but he had to make do with only his unorthodox mind. To head the Second an annual demonstration. In addition, Section (which covered logistics, supply, Marshall’s new approach involved student training, and communication), Marshall exchanges between Fort Benning and the selected Lt. Colonel M.C. Strayer. To Artillery School at Fort Sill. Marshall believed head the Third Section (which developed it was important for artillery officers to weapons doctrine), Marshall selected the soft- understand infantry doctrine and vice versa. spoken Major Omar Bradley. To head the Infantry and artillery units were traditionally Fourth Section (in charge of history and rivals, and Marshall believed that the publications), Marshall selected another exchanges between the schools would help friend from China, Major Harding (Pogue, to minimize the unhealthy competition Education 257–259). For Marshall, combat (Gimpel 73–74). experience was not the major factor in these Marshall also looked to change the very selections; he was more interested in the men make up of the Army. He began to themselves. Marshall commented that Bradley experiment with the sizes of infantry was “conspicuous for his ability to handle battalions to determine their optimum size, people” and Stilwell was a “genius for which proved to be around 850 men. instruction” (Cray 106). Marshall gave great Marshall disliked the U.S. “square” infantry latitude to his section heads, using the division of two brigades. His tests established command technique of giving his staff that a triangular division of three brigades was assignments and then leaving them alone. If more mobile and efficient. To counter-balance they hesitated, he would relieve them. Omar the smaller size of the new divisions, Marshall Bradley remembered, “During the two years I added more firepower to them, adding a field served him as Chief of the Weapons Section, artillery battalion to each regiment as well as he sent for me only once to discuss the work a heavy weapons company and a weapons of my section” (Bland, Papers Volume I 320). platoon to each company. Later, he would Marshall continued changing the attach a tank battalion to each infantry atmosphere at Benning. In his classes, and in division. These alterations gave American those of other instructors, Marshall replaced divisions several times the firepower of their the traditional lecture format with a more predecessors (O’Neil 214). casual, give-and-take exchange. Marshall In his time at Benning, Marshall made explained, “I found it was many times more many additions to his “black book.” effective when a man talked off the cuff” During Marshall’s five years at Benning, the (Gimpel 74). Marshall also banned written students there began referring to themselves lectures and provided poor maps or no maps as “Marshall’s Men” in a fashion similar at all for maneuvers to duplicate the confusion to Marshall’s belief that he was one of of a real battlefield, and to constantly “Morrison’s Men” in his early days at Fort emphasize thoughtful and original responses Leavenworth (Gimpel 74). While at Benning, to the unexpected. “The art of war has no Marshall taught or served with many future traffic with rules,” a textbook written under World War II commanders such as: Omar his administration at Benning began, “for the Bradley, James L. Collins, Mathew Ridgeway, infinitely varied circumstances and conditions George Decker, Joseph Stilwell, Charles L. of combat never produce the same situation Bolte, John E. Dahlquist, Edward Almond, twice” (Stoler 56). Marshall’s new curriculum James Van Fleet, and Bedell Smith. He also also placed much importance on staying served on the Infantry Board with Courtney Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 97

Hodges, his old friend from the Philippines General Pershing to stick with his original (Pogue, Education 248–249). Marshall idea. I think to break up the format right at completed his tour at Benning in 1932. the climax of the war would be a mistake” The final result was the “spirit of Benning” (Perry 9). Eisenhower nodded, but disagreed and the virtual creation of the American with Marshall. Eisenhower told Marshall that World War II Army character and its high he understood that continuity was important command. During Marshall’s five years at in the kind of book that Pershing was writing, Benning, 200 future generals passed through but he added, “I still think that each of the the school: 150 as students and 50 as battles ought to be treated as a single instructors (Stoler 56). The importance of narrative with the proper annotations to give Marshall’s time at Benning can be seen in a it authenticity” (Perry 9). Marshall commented letter from the Commandant, Major General to Eisenhower that his idea was good, Campbell King, dated June 14th, 1932: but went on to state that he believed Pershing was happy with the original format. For the past four years and seven months, you Eisenhower later stated that there was have served as Assistant Commandant, the obvious discomfort at this first meeting, which Infantry School, in direct charge of the set the tone for their future relationship. Academic Department. The value of your Despite this uncomfortable first meeting, services to the infantry school can not be Marshall invited Eisenhower to join his staff at overestimated. By your clear thinking and far sighted policies; by your indefatigueable efforts Fort Benning. Eisenhower had to turn down and knowledge you have improved the teaching the invitation because he had already received methods at the school to the point where they orders, but his name was written down in are not surpassed in any other service school. Marshall’s “little black book” (Perry 9–10). The value of your work is recognized Marshall and Eisenhower would go on to throughout the infantry. Your able handling forge a very successful partnership; however, of the school proper has been inestimable value neither man would ever have claimed they to the service at large and has been indicative of were close friends. the reputation you have long enjoyed as one During his time at Fort Benning, Marshall of the Army’s ablest and most brilliant officers. would again come into conflict with Douglas (King) MacArthur. In 1931 Pershing published My Experiences in the World War, In 1930, while still at Benning, Marshall had which praised George Marshall and caused an encounter with an officer named Dwight MacArthur to feel slighted. Again, as at the Eisenhower. At the time, Eisenhower was events in Sedan, Marshall became aligned serving as the assistant to the retired General against Douglas MacArthur (Rooker 11). Pershing, who was serving as the head of the American Battle Monuments Commission. Pershing asked Eisenhower to look over and ILLINOIS NATIONAL GUARD, comment on his memoirs, which were based VANCOUVER BARRACKS on his World War I diaries. Eisenhower Marshall completed his service at Fort suggested that Pershing abandon the diary Benning in 1932. Even with all he had format and write about the battles “as seen accomplished there, he was still only a from the commander of the American colonel. To be considered for promotion to Expeditionary Force in Europe” (Perry 9). Brigadier General, Marshall needed at least Pershing agreed with Eisenhower’s criticism. two more years commanding troops in the He asked Eisenhower to rewrite the chapters, field instead of doing staff work. When the and then passed the manuscript to Marshall. position of senior instructor with the Illinois In their first face-to-face meeting, Marshall National Guard came open in the winter commented to Eisenhower, “I think they’re of 1933, Douglas MacArthur—now Chief very interesting. Nevertheless, I advised of Staff of the Army—was asked to suggest 98 New Horizons / April 2009 a commander to fill the position. MacArthur’s discouraging experience of seeing the man I aide produced a list that included George relieved in France as G-3 of the Army similarly Marshall’s name on it. MacArthur advanced six years ago. I think I am entitled to recommended that Marshall receive the job. some consideration now” (Stoler 60–61). Many believe that MacArthur gave the When Marshall received Pershing’s report command to Marshall as revenge for 1918. that his last appeal to get Marshall promoted The time that Marshall spent commanding had failed, Marshall wrote back to Pershing, “I the National Guard troops would not count can but wait, grow old, and hope for a more as an Army field command, because they favorable situation in Washington” (Pogue, were not active duty soldiers. It did not Education 295). Once Marshall arrived in help Marshall’s case that the retired Illinois in 1933, he was very depressed with General Pershing appealed to MacArthur on the assignment. His wife commented that Marshall’s behalf. MacArthur still held a “George had a grey, drawn look which I had grudge against Pershing for not giving him never seen before and have seldom seen enough credit during the action of World War since” (Stoler 60). However, within a few I. Pershing asked MacArthur to help Marshall months of reporting to his new command, as a personal favor to him. MacArthur’s Marshall began to recapture his enthusiasm response was short and simple: “All requests for training. Marshall’s time commanding the refused.” Until Douglas MacArthur finished his National Guard unit was very successful. term as Chief of Staff and departed for the Serving under Major General Roy D. Keehn, Philippines, Marshall’s career promotions an influential attorney and member of the were halted. Pershing’s attempts in both Democratic Party, Marshall would often 1934 and 1935 to get Marshall promoted accompany him before the State Legislature. failed as well (Rooker 11–14). Many The experience dealing with politicians would historians and military personnel have become vital to Marshall’s future as Army questioned whether the National Guard Chief of Staff, particularly during his time assignment was truly a direct slight from spent appealing the United States Congress MacArthur. Forrest Pogue, Marshall’s official for more funds in the early 1940’s (Stoler 60). biographer, argued that MacArthur was By 1936, with the departure of MacArthur reluctant to listen to all claims that required as the Army Chief of Staff , and with his name setting aside promotion by seniority, most being high on the seniority list, Marshall was likely due to the resentment aroused by his finally promoted to Brigadier General. With own rise up the Army chain of command. the new rank, Marshall was assigned to Pogue continued to argue that MacArthur Vancouver Barracks, Washington (Stoler 61). preferred not to play favorites and chose to Upon hearing of his promotion, Omar use the seniority system (Pogue, Education Bradley wrote to Marshall congratulating him. 294–95). However, Omar Bradley later Marshall wrote back, saying: argued that many in the Army saw the National Guard assignment as a slight. I found your letter of congratulations on my Bradley believed that the assignment may return from leave. Thank you very much for have bothered Marshall more than he let on, writing as you did. I especially appreciate what and Bradley believed that Marshall may have you had to say, because you rank at the top among my Army contacts who have displayed disliked MacArthur personally, but Marshall the highest efficiency. I very much hope we will was not someone who would keep personal have an opportunity to serve together again; I grudges (Omar N. Bradley 71). can think of nothing more satisfactory to me. Whether MacArthur’s assignment was in (Bradley 78) fact a personal slight against Marshall will never be known for certain, but it is clear that Before Marshall could depart for Vancouver, Marshall was frustrated with the assignment. however, he still had a month of maneuvers Marshall told Pershing he had “had the to conduct. In his last assignment in Illinois, Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 99 he led one side in a joint regular Army-National and eventually Army Chief of Staff, he would Guard maneuver. Marshall was given a have to continue commanding troops, not numerically inferior force and assigned the sit behind a desk. Unknown to Marshall, role of loser. Because he commanded the many individuals in the War Department inferior force in the exercise, Marshall decided believed he could become Chief of Staff by a to attack over open ground with his smaller different route. Many in the War Department force at night to prevent casualties (Pogue, saw Marshall rising from the WPD to Deputy Education 315). Many officers questioned Chief of Staff, once the current deputy Marshall’s decision to attack at night, and it moved on to a corps commanding position. was assumed by those involved in the action Both Assistant Secretary of War Louis that it would be criticized by the officers Johnson and Chief of Staff Malin Craig were conducting the post-maneuver critique. impressed with Marshall when they visited the Instead, the officer in charge of the critique, Vancouver Barracks. After only three months Major Mark Clark, G-3 of the 3rd Division, as Chief of the WPD, Marshall was promoted concluded that Marshall’s approach was an to the Deputy Chief of Staff (Stoler 62). In a imaginative one, based on Marshall’s letter dated October 15th, 1938, Marshall’s experience in World War I (Pogue, Education prote´ge´, Mark Clark, congratulated him on 315–16). Once Marshall arrived in Vancouver, his appointment: he would again run into Major Clark. At the time of Marshall’s service in Vancouver, Clark My Dear General Marshall: was still serving in Third Division, stationed at Fort Lewis, Washington. As the G-3, Clark Word has just been received of your assignment was responsible for training individual units for as Deputy Chief of Staff. May I offer my sincere combat situations. Clark had a relatively free congratulations on this new assignment. Word of this detail did not come as a surprise for in hand in his actions, due to the fact that the my communication with Major Adams he had division commander was old and in poor indicated as much without definitely saying health. Even though Clark enjoyed his so. Mrs. Clark joins me in best wishes to freedom, he was concerned about his youth Mrs. Marshall and yourself. (Clark) and inexperience and sought counsel from a seasoned infantry officer. Clark found that Marshall was now only one step away from counselor in Marshall. Clark would frequently the Chief of Staff position, but it appeared to fly by small airplane to consult with be a huge step and one from which he was him. Marshall came to appreciate Clark’s clear separated by many difficult barriers. In the mind, refreshing outlook, and energetic Army hierarchy he was still considered a application to duty (Blumenson 40–41). junior officer, with twenty-one major generals Marshall would continue to remember Clark and eleven brigadier generals senior to him. and strongly recommend him for an Marshall was also very concerned with the assignment to the Army War College (Pogue, storm that was gathering in Europe. The Education 316). actions of Adolf Hitler in rearming Germany made Marshall very nervous that if another World War broke out and the U.S. ASSISTANT CHIEF OF STAFF: WAR had to enter, it would not be ready (Stoler PLANS DIVISION, DEPUTY CHIEF 62). Marshall conveyed these concerns OF STAFF to Brigadier General McNair, his old After two years at the Vancouver Barracks, friend from World War I, in a letter dated th in 1938 Marshall’s next assignment was as March 4 , 1939: head of the War Plans Division (WPD) on the General Staff in Washington D.C. Marshall We must be prepared the next time we are was disappointed in this posting, because he involved in a war, to fight immediately, that believed if he was to make major general is within a few weeks, somewhere and 100 New Horizons / April 2009

somehow. Now that means we will have to armies. The Chief of Staff was now able to employ the National Guard for that purpose, make his own selection without bowing to the because it will constitute the large majority of rules of strict seniority (Pogue, Ordeal 95). the war army of the first six months. This being Marshall also knew that if the U.S. Army so, it seems fundamental to me that the training was going to be prepared for war, it of our officers, our staff procedure and our must conduct high-level demonstrations manuals, should primarily be based for use in connection with such a force. Regular officers of maneuvers to test new Army tactics, should be experts regarding every consideration technology and leaders. However, Marshall involved in the training and the leadership of was having difficulties acquiring the proper partially trained troops; they should be funding to conduct these maneuvers. He immediately familiar with the employment of again conveyed his concerns to McNair in a organizations below war strength and lacking in letter dated March 28th, 1939: artillery and similar components, as well as supply echelons. (Bland, Papers Volume 1 At the moment I am concerned over the 707–08) preliminary estimates being made for maneuvers and demonstrations to be financed During his service as Deputy Chief of Staff, out of the fiscal year 1941 funds, and I thought Marshall came into contact with Brigadier it might be just as well to discuss one of the General Lloyd Fredendall, who in 1938 phases with you direct, at this particular time. served as the executive officer in the Office of Each year, faculty and students at Leavenworth the Chief of Infantry. Fredendall had a very are taken up to Fort Riley for a demonstration of distinguished record, having served in World artillery fire and bombing. The proposals for War I, having attended the Command and 1941 have expanded the affair to six days, at a General Staff School, and having graduated cost of about $57,000. The same paper from the Army War College. Both Marshall discussed the movement of the mechanized and McNair became very impressed with force to Fort Riley for a demonstration before the Cavalry School. The cost of this would be Fredendall (Ossad 5–6). about $168,000. G-3 decided that it would be Marshall began to realize that if war came, better to move the faculty and students to Fort the promotion system within the Army had to Knox and hold the demonstration there, as this be improved. Because the peacetime Army would cost only, all told, $15,000. I find in the had no permanent rank higher than major estimates such pathetically small amounts as general, the seniority system stated that the $4,000 for the maneuvers in the First Corps senior division commander in each army Area and similar amounts for maneuvers in the automatically succeed to the vacant corps Third Corps Area, and only $16,000 for the command. The result was that posts were Corps Area concentration at Benning, which is often filled with generals who had months or a very large affair; etc., etc. Considering that the only weeks left to serve. Many officers ultimate training of the Army is supposed to be taken care of in the maneuvers, these minute with strong records reached their command appropriations indicated a rather futile basis for goals just in time to stage their final review, the development of genuine field efficiency and or mediocre officers moved upward to high leadership. (Bland, Papers Volume 1 710–11) command only because they stepped onto the escalator of rank a few months before a more qualified colleague. Marshall commented, “I In late 1938, a major issue was beginning to wanted to be able to put my finger on the split the War Department in Washington. man I wanted, so he would work like the devil Proponents of air power began to argue that and be interested in something besides the two strategic bombing of an enemy’s industry cars and the extra bathroom his wife wanted.” could itself win wars by destroying the With General Craig’s consent, he lobbied for enemy’s industrial ability and psychological temporary lieutenant-general ranks to be will to resist and had called for a large established for the commanders of the four independent force to fulfill this task. Many Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 101 critics in the War Department disagreed with Roosevelt that he “wanted the right to say this strategy, believing that air power was what I think, and it would often be meant to serve in a subordinate role to unpleasing.” Roosevelt, remembering the ground forces. Marshall was thrown into this meeting of 1938, responded affirmatively. debate on November 14th, 1938. Marshall The White House on April 27th officially accompanied General Craig to a high level made the announcement. Marshall would White House meeting during which President become acting Chief of Staff on July 1st, and Roosevelt presented the plan he was going to would officially take the post on September submit to Congress, in which he called on 1st, 1939 (Stoler 66). Congress to fund 10,000 airplanes a year. As fate would have it, the day Marshall He asked for no funds to provide crews to became Chief of Staff was the day Hitler those planes or to build up ground forces. invaded Poland and began World War II Marshall believed the President’s plan was (Stoler 68). The Army that George Marshall unbalanced and made little military sense. inherited in 1939 was very similar to its However, no one at the meeting opposed the predecessor of twenty-five years ago, prior to President until Roosevelt asked the silent World War I. The recommendations by Marshall, “Don’t you think so, George?” Pershing and others to maintain a larger Marshall obviously did not. Marshall also Army or to institute universal military training was offended by the first name reference, had been rejected by Congress (Gimpel 91). which he said was “a misrepresentation In late 1939, the Army contained fewer of our intimacy.” Marshall responded, than 175,000 men, in nine divisions, ranking “Mr. President, I am sorry, but I don’t agree nineteenth in the world (Stoler 69). at all.” Marshall later recalled, “That ended the One of Marshall’s first orders of business conference. The President gave me a very was to modernize the Command and General startled look, and when I went out they all Staff College at Fort Leavenworth, which bade me good-bye and said my tour in was the beginning of the expansion and Washington was over” (Stoler 65). However, modernization that would be the hallmark of similar to his confrontation with General Marshall’s Chief of Staff years leading up Pershing in 1917, Marshall’s bluntness to the U.S. entry into World War II. It was impressed the President. He became important to modernize Leavenworth because someone the President knew would tell him it was the school that offered instruction in what he thought (Stoler 65). how to manage a division and helped the Army identify officers who would be corps and division commanders in the future CHIEF OF STAFF (Perret 118). For this job, Marshall selected With General Craig’s term as Chief of Staff Brigadier General Lesley McNair. Marshall coming to a close, in April 1939 President summoned him from Fort Sill, where he was Roosevelt decided to name Marshall the next experimenting with the triangular division Army Chief of Staff. One of the main reasons that Marshall had helped develop at Fort Roosevelt chose Marshall was that he was Benning. Marshall gave him command of the reluctant to campaign for himself publicly, very prestigious Command and General Staff as some other generals vying for the job School. Marshall commented, “I selected him were doing. Marshall’s refusal to launch a very hurriedly to give him control of Fort public campaign was based on an astute Leavenworth, which I thought was following a understanding of his own strengths and very antiquated policy, particularly in regards weaknesses, along with his own sense of to the air corps” (Pogue, Ordeal 82–83). modesty. General Pershing’s support was also Before McNair completed the changes, very helpful. The President invited Marshall Marshall called him to the General to the White House on April 23rd to give Headquarters (GHQ), giving him the task of him the news officially. Marshall told creating divisions in one to two years from 102 New Horizons / April 2009 units consisting of regular Army officers and many Americans were still wary of such a noncoms, National Guard, Reservists and measure. To answer these concerns, Marshall completely untrained selectees. Assisting addressed the nation by radio on September McNair with the training was another choice 16th, 1940: made by Marshall, Mark Clark, by now a Lieutenant Colonel. Clark came to the GHQ I wish to emphasize the importance of these after serving time as an instructor at the Army preparations. We are at peace with every Staff College. Within a year of serving in the nation of the world. Nevertheless, it is the GHQ, Clark became deputy to McNair with feeling of the War Department that the next six months include the possibility of being the most the rank of Brigadier General. Due to his critical period in the history of this nation. deafness, McNair often sent Clark to represent Ordinary common sense indicates that our him in meetings with the Chief of Staff. Clark preparations should be made accordingly. The continued to grow in Marshall’s favor as he situation today is utterly different from that of exercised his role in developing the Army’s 1917. Then we were at war-but we foresaw new training system (Pogue, Ordeal 82–83). small possibility of military danger to this However, Clark also began developing a country. Today though at peace, such a reputation in the Army as an arrogant, possibility trembles on the verge of becoming a egotistical shameless self promoter (Perry 86). probability. Then we could proceed with Marshall knew it was important to expand deliberation. We could wait until we built the Army, but he had to win the approval of cantonments, until we first trained officers later to train the men, until we were prepared to form Congress. In the spring of 1940 he refused to a field army. We did not need to worry about support the movement led by private citizens arms, equipment or ammunition, -our allies to create the first peacetime draft in U.S. were prepared to supply those necessities. history. Marshall feared that his official Today time is at a premium and modern arms support would hurt the movement and the and equipment must be provided by our own Army by causing an antimilitary backlash in industries –Also I fear that we expect too much Congress, as well as hurting pre-existing of machines. We fail to realize two things: First mobilization plans. Privately, he authorized that the finest plane or tank or gun in the world members of his staff to help draft the bill. By is literally worthless without technicians trained the summer, Congress passed the Selective as soldiers, hardened, seasoned and highly Service Act, which instituted the draft, and disciplined to maintain and operate it; and second, that success in combat depends the President called up the National Guard primarily on the development of trained combat and Reserve units (Gimpel 93). Marshall teams composed of all arms. (Bland, Papers also took the opportunity to ask Congress Volume 2 308–09) for enormous sums to arm and equip the draftees, so as to be able to create an army By October 1940, more than sixteen million of 1.5 to 2 million men by mid-1942. By men between twenty-one and thirty-six September Congress had agreed to the registered for the draft. By the end of 1940, extended appropriations Marshall requested. only 18,000 men had been inducted into the During this period, Marshall’s influence service, but a year later, the figure had risen to with Congress continued to grow. Congress more than 900,000 (Gimpel 94). believed the suggestions Marshall made Marshall also knew how vital it was to were in the national interest. Aides advised continue his restructuring of the promotion President Roosevelt to send Marshall to testify system within the Army, which had remained before Congress for every appropriation bill. virtually unchanged since before World War I. Marshall made seven trips to the Capitol from From mid-1939 through the spring of 1940, May 29th–June 5th. From April–September, Marshall pushed Congress for a bill that he spent twenty-one days testifying in fifteen changed the officer selection process. In July separate hearings (Stoler 76). Even with of 1939, Marshall had presented a bill before Congress passing the Selective Service Act, Congress that would substitute efficiency Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 103 for seniority. Marshall believed it to be of great (Watson 247–49). However, the new law importance to increase productivity and “to allowed Marshall to create a system in which develop more rapidly practical preparation he was able to train and select the officers of for war.” Many officers in the Army new divisions at a more rapid rate. Marshall wondered if the denial of such a long-standing began replacing many older officers with Army tradition would have a negative effect. younger, more aggressive commanders. Only To this concern Marshall replied, “We will one of the 1939 senior generals would survive have to do that if we are going to be to command troops in World War II. efficient...the thing is just cold business” Marshall’s “little black book” became one of (Watson 248). Marshall’s plan also sought to the most feared items in the Army (Stoler 84). make mandatory retirement for officers in However, Marshall’s “little black book” was the higher age brackets. Testifying before not without its errors. Marshall crossed off Congress on April 8th, 1940, Marshall stated: Colonel James Van Fleet because his name was similar to another colonel Marshall knew Some legislation of this nature should to be a drunk. Each time Van Fleet was be accomplished at the earliest practicable recommended for brigadier general, Marshall moment. Otherwise we are getting into a rather held up his promotion. Not until after impossible situation so far as the general the Normandy invasion did Marshall realize efficiency of the officer corps of the Army is he had been holding back the wrong concerned. And I mean particularly the Ordeal leadership. As it stands now, the officers in that man (Pogue, 95–96). Members of last group will be so old when the time comes Marshall’s staff watched with fascination as he that they might eventually reach the grade of took the book out and crossed off a name or colonel and lieutenant colonel so limited in added another. Marshall removed many older experience in handling men except in small officers who had survived years of poor pay groups that it would be a very unfortunate thing and slow promotion just as they thought they for the army to have them suddenly jump to had reached the door of promise. Marshall positions of high command and control. When lost many friendships that he had forged over we move troops in the field under the difficulties his years in the Army. It gave Marshall no joy of a campaign, aggressive leadership is vital to to have that much power, and he said later success. The efficiency of the whole army that no task he performed pained him more. depends upon leadership. We must have those leaders; and they will not develop under the But he believed he was preparing the Army present system. Leadership in the field depends for war and the selection of those who could to an important extent on one’s legs and lead in battle was his duty to the country stomach and nervous system and on one’s (Pogue, Ordeal 93–95). ability to withstand hardships and lack of sleep During the same time, Marshall and McNair and still be disposed energetically and began an overhaul of the National Guard aggressively to command men, to dominate leadership. Very early into his appointment men on the battlefield. [In World War I] I to the GHQ, McNair began shifting older saw 27 different divisions of ours engaged in officers in the Guard out of service. Due to battle –we employed 29-and there were more the fact that no congressional authorization reliefs of field officers due to physical reasons was needed for forced retirements or than for any other cause. Their spirit, their tenacity of purpose, their power of leadership reshuffling of the command in the Guard, over tired men, was broken through physical McNair was able to start before the regular fatigue. (Watson 248–49) Army began shifting and retiring officers. Because of this, many National Guard officers Congress enacted a bill for new selective cried discrimination. However the statistics promotions on June 13th, 1940. The showed the percentage of field grade officers new law helped to push younger officers retired in the National Guard was somewhat up, but it still did not provide special less than the Regular Army. The highly advancement for officers of outstanding merit publicized shifts in the National Guard took 104 New Horizons / April 2009 place at the division and regimental levels, members of the War Department would where command positions often went to men determine policy. Marshall directly told with political backgrounds or to former World Stimson that he must decide whether he would War I officers who had gained little command follow the suggestions of the Chief of Staff or experience since that time. McNair found his civilian advisors. Marshall stated to Stimson little difficulty showing evidence of poor that if civilian military camps were held, he administration and ineffective troop handling would resign. Stimson then made it clear to to justify his requests for transfers and forced Marshall that he would follow his advice. With retirements (Pogue, Ordeal 99). the new system in place, Marshall watched Still, in handling the National Guard closelyoverthefirstofficerclassatFort removals, Marshall realized he must tread Benning. He insisted that officers be chosen warily. Many of the high ranking officers for mental ability and qualities of leadership had powerful political connections in their from units throughout the Army and then states, and members of Congress were quick carefully trained and tested for their knowledge to intervene on their behalf. Throughout the of weapons and tactics. Marshall knew that controversy, Marshall retained a respect these officers would fight brutally tough battles for the National Guard. During his long during the first six months of a war when association with the organization, he properly trained troops and adequate weapons had developed an understanding for their were often lacking (Pogue, Ordeal 102–03). problems that helped him to keep friendships In the summer of 1941, the great relations with their commanders. Marshall instituted a Marshall had established with Congress were policy by which Guard officers were given an beginning to wane. Some in Congress began opportunity to prove they were as efficient accusing Marshall of being Roosevelt’s servant as regular officers. Marshall believed the and of becoming as much of a manipulator weakness of the Guard officers was due to and conspirator as the President. These lack of training and experience. Usually it had attacks were due to the fact Marshall strongly nothing to do with their capacity to lead. supported an extension to the draft. Many in Marshall also ordered that no vacancy in a Congress considered this a betrayal of the Guard unit be filled by a regular officer if 1940 Act. Marshall told friends, “I am being a qualified National Guard officer could be called Benedict Arnold, a skunk, Hitler found (Pogue, Ordeal 99–100). Marshall, a stooge, traitor, etc, etc.” (Stoler Marshall also brought forth new theories on 83). Even with this harsh criticism, Marshall the training of officers, some of which caused a persuaded Congress to extend the draft, conflict with the War Department in the spring but by the narrowest margin. In August of 1941. In the First World War, the Army Congress voted to extend the draft by a vote copied the British system of commissioning of 203–202 (Stoler 83). college trained men after a short period of During Marshall’s time as Chief of Staff training with the belief they would excel in from September of 1939 to the summer of leadership qualities. Marshall had originally 1941, he oversaw the first peacetime draft in backed the civilian trained program sponsored U.S. history, which help to expand the Army by the Reserve Officer Training Corps. Once from fewer than 200,000 to a force of over selective service was adopted, Marshall 1.4 million men. During this time, Marshall proposed a system in which every officer would became one of the most respected men have a taste of a private’s life. Marshall wanted in Washington and the individual most officer candidates to be selected by officers responsible for preparing the U.S. for World under whom they had trained. Secretary of War II (Stoler 83). War Henry L. Stimson’s advisors strongly With all the changes Marshall oversaw, he disagreed with Marshall’s suggestion. This realized it was important to test them in disagreement led to a larger battle over action. In August and September 1941, whether the Chief of Staff or the civilian Marshall organized and launched war games Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 105 across thousands of miles in Louisiana and Hostilities between Japan and the United States, Texas, involving half a million men. The British Commonwealth and Dutch have maneuvers acted as a proving ground for new commenced. Japanese made air raid on Pearl th recruits, new equipment, and new techniques, Harbor this morning December 7 . Carry out including the use of paratroopers. Above all tasks assigned Rainbow 5 so far as they pertain to Japan. In addition cooperate with the British Marshall would use the games to find strong and Dutch to the utmost without jeopardizing candidates for combat commands in the future the accomplishment of your primary mission of (Gimpel 97–98). During the maneuvers defense of the Philippines. You are authorized Colonel Dwight D. Eisenhower excelled and to dispatch air units to operate temporarily from again came to Marshall’s attention (Stoler suitable bases in cooperation with the British or 82). Eisenhower designed the plans for the Dutch. Report daily major dispositions and all “blue force,” which successfully defeated the operations. You have the complete confidence “red force.” Eisenhower’s use of infantry was of the War Department and we assure you of able to halt the armored columns of the red every possible assistance and support within our Papers Volume 3 force. The blue force proceeded to pin their power. (Bland, 8) opponents against the Red River, then cut It was clear that the U.S. was not ready for them off from their supply lines. Immediately total war against the Axis Powers of Germany, after the maneuvers, Marshall promoted those Italy and Japan. The U.S. still had too many officers who performed well, and forced out weaknesses. However, it was much more many officers he deemed had done poorly. prepared than it had been back in 1917, and For his performance in the maneuvers, this preparedness was mainly due to the Eisenhower rose to Brigadier General (Perry actions of Marshall. As General Omar Bradley 8). Eisenhower’s ability to make quick noted after Pearl Harbor: “I thought how lucky decesions involving thousands of troops was a we were to have George Catlett Marshall as vital quality that made Eisenhower so valuble Chief of Staff. In his two and a half years in to Marshall (Perry 28–29). In November command, he had laid the groundwork 1941, Marshall again conducted more necessary for us to go to war” (Bradley 103). maneuvers, this time in the Carolinas. Major While Marshall was only the Army Chief of General Lloyd Fredendall, who in July had Staff, it became clear at the onset of the war been given command of U.S. II Corps, that he was Roosevelt’s most trusted military performed very well in the maneuvers, advisor. The other members of the Joint continuing to impress Marshall (Generals 43). Chiefs of Staff—Chief of Naval Operations Congress complained about the cost of Admiral Ernest King and Roosevelt’s military mounting the exercises, but Marshall aide Admiral William D. Leahy—often contended that they were vital to the Army: “I deferred to Marshall’s judgment. America’s want the mistake to be made in Louisiana, not World War II strategy was partially in his over in Europe, and the only way to do this is hands. Consequently, Marshall became to try it out, and if it doesn’t work, find what bombarded with demands for more war we need and make it work” (Gimpel 98). planes, transports, ships, tanks, trainers, and soldiers (Perry 20). Marshall would later change the make up of the Joints Chiefs THE U.S. IN WORLD WAR II when, in early 1942, he began allowing The December 7th attacks on Pearl Harbor General Arnold to sit in on every staff by the Japanese forever changed America. meeting. By treating the Army Air Forces as a The war Marshall had been preparing for had separate unit, Marshall all but guaranteed that finally arrived (Stoler 87). in the wake of World War II the Air Forces Immediately following the attacks, Marshall would become the United States Air Force. sent an urgent message to General Douglas Marshall commented, “I tried to give Arnold MacArthur: all the power I could. I tried to make him as 106 New Horizons / April 2009 nearly as I could Chief of Staff of the Air large scale war. On the morning of December without any restraint” (Perry 66-67). 27th, Marshall persuaded the President to As quickly as he could, Marshall back his initiative. Under pressure from implemented changes he knew needed to be Marshall and the President, the British made for victory. Shortly after Pearl Harbor, Command accepted the idea of a unified he turned all Army recruiting and training over command in all the operational theaters (Dear to Lieutenant General Lesley McNair. McNair and. Foot 493–95). designed a thirteen-week course that quickly Along with the difficulties Marshall was prepared Americans to fight the Germans encountering with the British, the war itself and Japanese. McNair also established the started off very badly for the Americans. On Army specialty schools for airborne and March 11th, 1942 General Douglas armor. Marshall rarely disagreed with MacArthur was ordered to flee the McNair’s actions, and never intervened in his Philippines, which soon fell to the Japanese. training regimen (Perry 21). General Bradley The Axis commanders began labeling commented, “Thanks to McNair; the GI of MacArthur as spineless and calling U.S. World War II was far better trained than the soldiers weak. In Berlin, MacArthur was doughboy of World War I, or any previous war described as “the fleeing general.” In Rome in our history” (Bradley 92). Marshall also Mussolini called him a “coward.” A Japanese adopted the plan of keeping the number of newspaper called him a “deserter” who “fled American divisions low. Marshall wanted to his post.” Marshall decided the best maintain the smallest number of divisions at propaganda to counter the Axis would be to maximum strength. Marshall believed it was give MacArthur the Medal of Honor. better to use fresh manpower to restore the Eisenhower disagreed, but Marshall sent the fighting strength of existing divisions, than to recommendation to the President, who continually create new ones. Marshall’s approved. MacArthur received the award on devotion to the smallest number of divisions March 26th at a banquet given for him by the at maximum strength brought him into Australian Prime Minster (Manchester 275). conflict with Stimson and the War By June of 1942, Marshall needed to select Department. Stimson was very concerned a general to command U.S. forces in Europe. that the Army was too small to achieve He asked General McNair for his opinion on victory. The total number of divisions who should command troops in Europe. Marshall submitted to the War Department McNair suggested General Patton, Stilwell or was 91, with two divisions being inactivated Fredendall. Marshall agreed that any of these long before the war was over. At its peak men would do a solid job. Marshall then asked strength of 5.9 million personnel, it was less Clark if he believed it would be better to select a than half the size of the Red Army, slightly younger man for the position. Clark said he did smaller than Germany’s and not much larger and suggested Dwight Eisenhower. On June than Japan’s. Marshall’s “90 division gamble” 7th, Marshall asked Eisenhower what kind of was continually questioned throughout the war commander the U.S. needed. Eisenhower (Perret 118). said the commander “must enjoy the fullest Soon after the bombings of Pearl Harbor, confidence of the Chief of Staff in order that Marshall began negotiations with the British he may efficiently, and in accordance with the on a variety of issues, the most important basic ideas of the Chief of Staff, conduct all the being a unified command between the British preparatory work for the successful initiation and the Americans. Marshall stated to a of Bolero.” On June 11th, Marshall officially British Delegation that a lack of unified named Dwight Eisenhower Commander of command in World War I had caused U.S. Forces, European theater of operations enormous difficulties. The British were (Perry 91–95). shocked by this request, believing the With Eisenhower in command of Europe, Americans knew nothing about how to fight a Marshall began developing the strategy for Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 107

North Africa. Marshall pulled out his “little invasion of France. Churchill and the British, black book” and began working with however, wanted to take the war into Italy. Eisenhower on commanders for the invasion. Marshall argued that nothing should be Marshall was especially fond of Major General allowed to interfere with the coming invasion Lloyd Fredendall, describing him as “one of of France. Eventually, the Allies agreed upon the best.” At a staff meeting during which an invasion of France in May 1944. With Fredendall’s name was mentioned, Marshall Marshall’s blessing, the Allies launched an said, “I like that man; you can see invasion of Sicily on July 10th, 1943 and an determination all over his face” (Ossard 7). invasion of Italy on September 3rd of that Perhaps as a result of Marshall’s favorable same year (Dear and Foot 496). Lieutenant disposition toward Fredendall, Eisenhower General Mark Clark took command of the chose Fredendall to command the 39,000 U.S. Fifth Army, which led the invasion of man Central Task Force (Ossard 7). Italy. Eisenhower recommended Clark for the The North African Campaign began on position, and Marshall approved. Clark would November 8th, 1942 (Dear and Foot 495). eventually become commander of all Allied Almost immediately, problems with forces in Italy, and would receive the Fredendall arose. Fredendall had arrived at his surrender of German forces in Italy in 1945 designated headquarters in Tebessa, Tunisia, (Dear and Foot 243). weeks before the main invasion and seemed At the Teheran Conference in late 1943, it more concerned with establishing an elaborate was finally agreed that the invasion of headquarters than with waging war. He mainland Europe—code named Operation ordered an engineering regiment to tunnel his Overlord—would be set for May of 1944 command headquarters into a hill south of the (Dear and Foot 498). With the date for city, which he named “Speedy Valley” (Perry Overlord set, a decision needed to be made 159–60). Fredendall also appeared very on who would command it. At Tehran, the skittish in the field, and seemed to become Allies agreed that the commander would be shrill and confused at the first sign of combat an American. Marshall clearly wanted to pressure. In February 1943, the U.S. engaged command the operation, and he seemed to the Germans for the first time at Kasserine be the logical choice. However many in the Pass. The American defense was ill-prepared, Army (including the retired General Pershing) and within two days Fredendall’s II Corp was believed it would be a mistake to switch the routed by General Rommel. At the height of Chief of Staff in the middle of a war. Pershing the battle, Fredendall decamped from his suggested that the Overlord command was a observation position and moved to the rear of demotion for Marshall. Many in the War the lines. After the battle, Major General Department believed Marshall needed to stay Ernest Harmon was sent by Eisenhower to in Washington D.C. because of his ability to assess Fredendall’s performance. Harmon oversee all the different theaters of war and to commented, “He’s no damn good, you ought work with Roosevelt and Churchill. Marshall to get rid of him. He is a common, low son of had been so successful regarding interservice, a bitch and a physical and moral coward.” civil-military, and Allied coordination that General Omar Bradley, also sent by Marshall many in the War Department believed to be Eisenhower’s “eyes and ears,” if Marshall left there would be disastrous commented to Eisenhower that all of the consequences for the U.S. war effort. division commanders had lost confidence in Roosevelt attempted to organize the Fredendall. Within a week Lieutenant General command structure so Marshall could serve as George S. Patton replaced Fredendall (Perry both Chief of Staff and Overlord Commander, 165–-68). but he could not arrange it. Roosevelt had By May 1943, the Allies had cleared North great respect for Marshall and wanted to Africa of the German resistance. Again make him the “Pershing of the Second World Marshall and the Joint Chiefs pushed for an War.” Roosevelt was willing to give Marshall 108 New Horizons / April 2009 command of Overlord and make Eisenhower Allies on the final road to victory in Europe the Chief of Staff, if Marshall requested it. (Gimpel 125). However, Marshall was not willing to do so. Marshall desired the Overlord command, but his sense of duty was more important to him CONCLUSION than his own personal preference. In the end, In early 1944, Time Magazine named Roosevelt chose Eisenhower to command George Marshall its Man of the Year, Overlord. Roosevelt explained to Marshall, “I proclaiming that “American Democracy is the feel I could not sleep at night, with you out of stuff Marshall is made of” (Stoler 129). In the country” (Stoler 106–08). December of that year, Roosevelt obtained Marshall was disappointed in the President’s for Marshall his fifth star, making him the first decision, but he had full confidence in five star general, with the rank “General of the Eisenhower’s command abilities. The two most Army” (Stoler 109, 111). Winston Churchill important topics they discussed in early 1944 labeled Marshall the “organizer of victory” were the size of the invasion bridgehead and the and “the noblest Roman of them all” (Stoler generals who would be given high level 129–30). Secretary of War Stimson told commands. Eisenhower suggested an Marshall, “You, sir, are the finest soldier I expansion of the bridgehead from three to five have ever known” (Stoler 130). These two divisions. Marshall also agreed to put Omar actions and the comments from Churchill and Bradley in charge of the U.S. First Army and Stimson clearly show the invaluable effect then the U.S. Army Group that would be Marshall’s leadership was to the United States created after the landings in France. Directly and allied war effort during World War II. below Bradley would be General Courtney Marshall’s ability to implement the changes Hodges, Marshall’s old friend from the needed to modernize the Army, along with Philippines (Stoler 112–13). In a letter dated his ability to exercise his chain of command, 16 February 1944, General Bradley wrote set up the U.S. for victory in World War II. General Marshall from England commenting on the situation of the First Army’s Staff: ACKNOWLEDGEMENTS We were all disappointed that you could not join us over here but everyone realizes that your I would like to thank everyone involved with services in Washington are probably even more the Summer Undergraduate Research Institute important. Since you could not come, we were for giving me the opportunity to research very glad that General Eisenhower was sent George Marshall, especially Colonel Turner here. As you know he commands the respect of and Ms. Hardin. I would also like to thank the British as well as the Americans. The First Colonel Muir for everything he did to make Army Staff which I was able to form from the this paper the best it could be. Without him as key people I brought from Africa and the people I secured while I was back in the states is a very a mentor, I truly believe this paper never fine one. Of course, several did not measure up would have gotten off the ground. I would but with so many strong members it was easy to also like to thank the staff at the George find the weak spots and make changes Marshall Research Library for being so helpful promptly. The Army Group staff is well throughout the whole process of writing organized expect for some of the special staff the paper. selections which are a little behind and are being completed now. (Bradley) WORKS CITED All the years of effort Marshall and many Bland, Larry I. George C. Marshall Interviews others had put in came to a head on June 6th, and Reminiscences for Forrest C. Pogue. 1944 with launching of Operation Overlord. Lexington: George C. Marshall Foundation, The hard-fought success of Overlord put the 1996. Curtis / Marshall and the Politics of Command: 1906-June 6, 1944 109

———. The Papers of George C. Marshall Volume Marshall, George C. “Bradley, Omar N.” George I: “The Soldierly Spirit” December 1880-June C. Marshall Papers. Box 58, Folder 9. 1939. Baltimore: John Hopkins UP, 1981. Ossard, Steven L. “Command Failures” BNET ———. The Papers of George Catlett Marshall Online. March 2003 . December 6th, 1941. Baltimore: John Hopkins Perret, Geoffrey. There’s A War to Be Won: UP, 1986. The United States Army in World War II. Bland, Larry I. and Sharon Ritenour. The Papers of New York: Random, 1991. George Catlett Marshall Volume 3: “The Right Perry, Mark. Partners in Command. New York: Man for the Job” December 7, 1941–May 31, Penguin, 2007. 1943. Baltimore: John Hopkins UP, 1991. Pogue, Forest C. George C. Marshall: Education Blumenson, Martin. Mark Clark. New York: of a General 1880–1939. New York: Viking, Congdon, 1984. 1963. Bradley, Omar N. A General’s Life. New York: ———. George C. Marshall: Ordeal and Hope Simon, 1983. 1939–1942. New York: Viking, 1966. Clark, Mark Wayne. “Clark, Mark Wayne, Rooker, Barry. George C. Marshall and Douglas 1938–1943.” George C. Marshall Papers. Box MacArthur: Two Different Worlds. Dissertation, 61, Folder 14. Virginia Military Institute, 1987. Cray, Ed. General of the Army George C. Stoler, Mark A. George C. Marshall: Soldier- Marshall: Soldier and Statesman. New York: Statesman of the American Century. Norton, 1990. New York: Twayne, 1989. Dear, I.C.B and Foot, M.R.D. The Oxford Watson, Mark S. Chief of Staff: Prewar Companion to World War II. New York: Plans and Preparation. Washington D.C: Oxford UP, 1995. Historical Division Department of the Army, Gimpel, Lee. Fighting Wars Planning For Peace: 1950. The Story of George C. Marshall. Greensboro: Morgan, 2005. WORKS CONSULTED King, Campbell. “Fort Benning Correspondence: March 1932–June 15th 1932.” George C. O’Neill, William L. Oxford World War II: A Marshall Papers. Box 1, Folder 1. Student Companion. New York: Oxford UP, Manchester, William. American Caesar: Douglas 1999. MacArthur 1880–1964. Boston: Little, 1978. These are the Generals. New York: Knopf, 1943. New Horizons r Volume 3 r Number 1 r 2009

ABOUT THE CONTRIBUTING EDITORS

Elena Andreeva holds a Ph.D. in Middle Eastern Studies from New York University. Her research focuses on the interaction between East and West, Iranian history and culture in the 19th and early 20th centuries, and aspects of colonialism and imperialism in the Middle East. She has published articles on Persian and Dari literature, on Russian Orientalism, and on Russian travelers to Iran. Her manuscript entitled Russia and Iran in the Great Game: Travelogues and Orientalism was published by Routledge in 2007. Dr. Andreeva’s current project examines “Orient” in Russian arts, including music, paintings, and literature.

James V. Beck has a bachelor’s degree from Tufts University, a master’s degree from the Massachusetts Institute of Technology, and a Ph.D. from Michigan State University. His areas of research are in heat transfer, inverse problems, and optimal experiment design. Dr. Beck is Professor Emeritus of Mechanical Engineering at Michigan State University.

Joseph R. Blandino received his Ph.D. in Mechanical and Aerospace Engineering from the University of Virginia. His research interests are in the area of membrane and inflatable structures and thermal-structural interactions. Dr. Blandino is a Professor of Mechanical Engineering at the Virginia Military Institute.

Scott Bryson received his Ph.D. from the University of Kentucky. He is the author of The West Side of Any Mountain: Place, Space, and Ecopoetry (University of Iowa Press, 2005) and has edited or co-edited several collections of criticism on nature writing, including Ecopoetry: A Critical Introduction, Twentieth-Century American Nature Poetry, and Twentieth-Century American Nature Writing: Prose. His current scholarship focuses on urban theory and culture, primarily as it relates to the phenomenon of Los Angeles literature. Dr. Bryson is a Professor of English at Mount St. Mary’s College in Los Angeles.

Elizabeth Cummins completed her Ph.D. at the University of Illinois at Urbana-Champaign after completing a Fulbright at the University of Bristol (U.K.) and an M.A. at the University of South Dakota. Her areas of expertise are American literature and culture, literature by women, and science fiction. She has published articles and books on the work of Ursula K. Le Guin and on Judith Merril. Dr. Cummins is Professor Emerita in the Department of English and Technical Communication at Missouri University of Science and Technology.

111 112 New Horizons / April 2009

Paul Heilker is Co-Director of the Ph.D. Program in Rhetoric and Writing and Associate Professor of English at Virginia Tech, where he teaches courses in writing, rhetorical theory, composition pedagogy, and literary nonfiction. He was recently named a member of the university’s Academy of Teaching Excellence. He is the author of The Essay: Theory and Pedagogy for an Active Form (NCTE, 1996) and co-editor (with Peter Vandenberg) of Keywords in Composition Studies (Heinemann, 1996). Dr. Heilker’s work has appeared in such venues as College Composition and Communication, Rhetoric Review, Computers and Composition, Composition Studies, and The Writing Instructor.

Gregory N. Hartman completed his doctoral studies in 2002 at Virginia Tech and spent three years as a postdoctoral fellow at the University of Arizona working with some of the leaders of the Calculus Reform movement. His current mathematical research studies the properties of functions derived from a generalized directrix. He is also working with colleagues to develop low cost, interactive digital texts for undergraduate use. Dr. Hartman is an Associate Professor of Mathematics and Computer Science at the Virginia Military Institute.

Meagan C. Herald received her doctorate in Mathematics from the University of Utah in 2007. Her area of expertise is mathematical immunology, and her scholarly endeavors include modeling more general topics in immunology, epidemiology, and bacterial interactions. Dr. Herald is an Assistant Professor of Mathematics and Computer Science at the Virginia Military Institute.

Kurt Jefferson holds a holds a Ph.D. from the University of Missouri. His most recent publications include “Tito’s War: Yugoslav Partisan leader Josip Broz took on Hitler and Stalin—and beat them both” and “Rusia, una gran potencia” (“Russia, a great power”). He is also the author of Christianity’s Impact on World Politics: Not by Might, nor by Power (Peter Lang, 2002). Dr. Jefferson is a Professor of Political Science and Department Chair at Westminster College.

R. Geoffrey Jensen received his Ph.D. in History from Yale University. He has previously taught at UCLA, Yale University, the Royal Military Academy Sandhurst (U.K.), and the University of Southern Mississippi, where he co-directed the Center for the Study of War and Society. His publications include books and articles on European military history, the history of Spain, and the Spanish army’s cultural perceptions and civil affairs projects in North Africa. Dr. Jensen holds the John C. Biggs ‘30 Cincinnati Chair in Military History at VMI.

Keith A. Kline holds a doctorate in Experimental Psychology from the University of Tennessee. His research interests focus on cardiovascular responses prior to, during, and following exposure to acute laboratory stressors and the cognitive, affective, and behavioral correlates of those responses. Dr. Kline is an Associate Professor of Psychology at the Virginia Military Institute.

Lea R. Lanz completed her doctoral studies at Auburn University in 2003 under the guidance of Greg Harris and William Yin. Her academic interests include studying the uniqueness and existence of solutions to boundary value problems in differential equations and working with students in undergraduate research. Dr. Lanz is an Assistant Professor of Mathematics at the Virginia Military Institute.

James E. Mahon received his M. Phil from Cambridge University and his Ph.D. from Duke University. He works mainly in the area of moral theory. Recent publications include "The Definition of Lying and Deceiving" (Stanford Encyclopedia of Philosophy, 2008) and "The Truth about Kant on Lies" (The Philosophy of Deception, Oxford UP, 2009). Dr. Mahon ABOUT THE CONTRIBUTING EDITORS 113 is Associate Professor and Chair of the Philosophy Department at Washington and Lee University.

W. Wayne Neel holds a Ph.D. in Mechanical Engineering from North Carolina State University. His areas of research include mechanics and manufacturing in the context of historical technology, musical and architectural acoustics, mechanics of machines, and numerical control of manufacturing. Dr. Neel is a Professor of Mechanical Engineering at the Virginia Military Institute.

David A. Rachels completed his doctoral studies in English at the University of Illinois, Urbana- Champaign. His most recent book is a collection of Mark Twain’s Civil War writings. Dr. Rachels is a Professor of English and Fine Arts at the Virginia Military Institute.

Daniela M. Topasna received her doctorate from Virginia Polytechnic Institute and State University. Her research focuses on organic thin films and nanoscale materials. She is an Associate Professor of Physics and Astronomy at the Virginia Military Institute. New Horizons r Volume 3 r Number 1 r 2009

UNDERGRADUATE RESEARCH AT VMI

ew Horizons represents the latest departments, faculty, and cadets through a N facet of the VMI Undergraduate variety of programs. Research Initiative (URI), established in TheURIlaidthefoundationfor 2001 by directive of the Dean of Faculty, undergraduate research at VMI through its Dr. Charles F. Brower, IV (Brigadier Department/Program Innovation Grants General, U.S. Army Retired). The goal for Developing Programs. Innovation of the URI is to provide cadets with Grants provide funding to departments and meaningful undergraduate academic research programs offering capstone research experiences through one-on-one interaction experiences with the following priorities:1) with faculty mentors both inside and outside those without a capstone research experience in the traditional classroom environment. Over their curriculum, but proposing to develop the course of its history, URI efforts to and implement one; 2) those already having a promote cadet research have focused on the plan for a capstone research experience, but following objectives: needing funds for implementation; 3) those already having a fully functioning capstone r Revision of the curriculum and elevation research experience, but seeking funds to of cadet standards and expectations improve it; 4) and those already having a fully making cadet participation in research functioning capstone research experience, but projects a typical part of the VMI seeking funds to reward participating faculty academic experience. mentors. r Solidification of faculty support through: Cadets seeking research funds may apply to 1) incentives merited by the additional the Wetmore Cadet Research Fund,a responsibilities of supervising individual competitive grant process which allows them cadet research projects and 2) the to purchase supplies, to travel to symposia allocation of additional faculty positions focused on their thesis research, to continue in designated areas of expertise. with the previous summer’s research, and/or r Expansion of institutional support to to conduct field studies. Wetmore funds are cadets involved in research and their allocated by academic session and are faculty mentors. available throughout the year. URI Cadet Research Resources also Since its inception, the VMI Undergraduate subsidize travel, allowing cadets to present Research Initiative has expanded in many their project results at meetings/symposia or directions, thanks to ongoing administrative to conduct field research in preparation for support, the generosity of alumni completion of research leading to an honors organizations, cadets’ intellectual curiosity, thesis during the academic year or summer and faculty enterprise. Currently, the URI sessions. funds various grant programs and symposia in One of the most successful initiatives of support of cadet research made available to the URI, the Summer Undergraduate

115 116 New Horizons / April 2009

Research Institute (SURI) provides funding the 2005 National Conference on on a competitive basis for cadet-faculty Undergraduate Research, jointly sponsored research teams representing almost every by VMI and neighboring Washington & Lee academic department at VMI. Each cadet University. Two thousand undergraduate receives a cash award along with free tuition, researchers, along with three hundred room, and board for ten weeks, while each professors and administrators representing faculty mentor receives a stipend. Cadets also three hundred colleges, attended the three- earn 6 academic credit hours for their work. day conference held on the hosting campuses. In addition to the mentored research An unexpected outcome of URI-supported projects, the Summer Institute sponsors an undergraduate research activities has been the orientation session, guest speakers, and social creation of cadet-developed intellectual functions. Cadets present the results of their property. Currently the URI is assisting project in a research symposium held in several cadet teams through the process of September. obtaining patent protection for their All cadets are invited to submit a proposal to inventions. Additionally, we have used the the Undergraduate Research Symposium real-world examples of these cadet inventions (URS), held annually in April. Cadet as case studies in an academic classroom presenters at the URS discuss the results of setting, specifically as the subject of a their research in a poster exhibition hall marketing and business plan development in (informal demonstrations) or in a formal a course on entrepreneurship. session (lecture format) as part of a special The URI is led by Dr. James E Turner, campus-wide day of events. Invited faculty Director of Undergraduate Research, and members from other colleges and universities Professor of Chemistry/Biology, who was assist in the evaluation of cadet presentations. appointed to this position in 2001 by the Dean The three top-rated cadets in each academic of Faculty. As Director of Undergraduate division (science, engineering, and humanities) Research, Dr. Turner chairs the URI are honored at an awards dinner in the Committee, which comprises representatives evening. from all VMI academic departments, and is The evaluation of cadets’ work and responsible for the management and operation constructive feedback we have received from of the various undergraduate research our colleagues from other campuses have programs and activities, as well as strategic helped us to improve the Symposium each planning of the URI. Professor Turner, by year. As an added benefit, the interactions virtue of his position, is a member of the between VMI faculty and the external judges Dean’s extended staff and reports to that office have laid the groundwork for future, inter- in all URI matters. institutional collaborations on undergraduate research. Source. Dr. James E. Turner, Director of Perhaps the most significant cooperative Undergraduate Research, Virginia Military effort in support of cadet research to date was Institute New Horizons r Volume 3 r Number 1 r 2009

IN MEMORIAM

William J. Stockwell, Ph.D. (1952–2009)

Professor of Physical Education Associate Dean of Faculty Acting Deputy Superintendent and Dean of Faculty Colleague and Mentor

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