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CIM Series in Mathematical Sciences 1
Jean-Pierre Bourguignon
Rolf Jeltsch
Alberto Adrego Pinto
Marcelo Viana Editors
Dynamics, Games
and Science
School Planet Earth, DGS II, Portugal,
August 28–September 6, 2013
CIM Series in Mathematical Sciences
Volume 1
Series Editors:
Irene Fonseca
Department of Mathematical Sciences
Center for Nonlinear Analysis
Carnegie Mellon University
Pittsburgh, PA, USA
Alberto Adrego Pinto

Department of Mathematics
University of Porto, Faculty of Sciences
Porto, Portugal
The CIM Series in Mathematical Sciences is published on behalf of and in
collaboration with the Centro Internacional de Matemática (CIM) in Coimbra,
Portugal. Proceedings, lecture course material from summer schools and research
monographs will be included in the new series.
More information about this series at

http://www.springer.com/series/11745
Jean-Pierre Bourguignon • Rolf Jeltsch •
Alberto Adrego Pinto • Marcelo Viana
Editors
Dynamics, Games
and Science
School Planet Earth, DGS II, Portugal,
August 28–September 6, 2013
123
Editors
Jean-Pierre Bourguignon Rolf Jeltsch
IHES Le Bois-Marie Department of Mathematics
Bures-sur-Yvette, France ETH ZRurich
Seminar fRur Angewandte Mathematik
ZRurich, Switzerland
Alberto Adrego Pinto Marcelo Viana

Department of Mathematics Instituto de Matemática Pura e Aplicada
University of Porto IMPA
Faculty of Sciences Rio de Janeiro, Brazil
Porto, Portugal
ISSN 2364-950X ISSN 2364-9518 (electronic)

CIM Series in Mathematical Sciences
ISBN 978-3-319-16117-4 ISBN 978-3-319-16118-1 (eBook)
DOI 10.1007/978-3-319-16118-1
Library of Congress Control Number: 2015945812
Mathematics Subject Classification (2010): 37-02, 37-06, 91-01, 91-02
Springer Cham Heidelberg New York Dordrecht London

© Springer International Publishing Switzerland 2015
This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part of
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Printed on acid-free paper
Springer International Publishing AG Switzerland is part of Springer Science+Business Media

(www.springer.com)
Foreword
I was very honored to be invited by Professor Alberto Adrego Pinto to the lecture
at the Advanced School Planet Earth, Dynamics, Games and Science II (DGS II)
from August 28 to August 30, 2013, and to speak at the associated international
conference from September 2 to September 4, 2013. I have known Alberto since I
was a graduate student at the CUNY Graduate Center in the 1980s. After both of
us completed our Ph.D. degrees, we worked on a similar subject: smooth rigidity
for one-dimensional dynamical systems and its generalization to Anosov dynamical
systems of the two-torus, for many years. I was impressed by his work with
his collaborators, using techniques and methods in smooth dynamical systems to
develop many excellent results on smooth rigidity. Meanwhile, my collaborators and
I tried to develop smooth rigidity into symmetric rigidity by applying techniques and
methods in quasiconformal mappings theory and Teichmüller theory, and to build up
a new Teichmüller theory for dynamical systems. So I knew that attending the DGS
II would be stimulating and rewarding. Also, I knew that Alberto is an outstanding
organizer and has the talent to lead a successful advanced school and conference,
and indeed, his organizational skills and talents were proven again. I had a wonderful
time in Lisbon, Portugal, and enjoyed many fruitful discussions with Alberto and his
Portuguese colleagues. In particular, Alberto and his collaborators explained to me
their work in game theory and some basic facts about its related Nash equilibrium,
and we discussed some differences and similarities between the Nash equilibrium
and the Gibbs equilibrium from a dynamical systems point of view. The Advanced
School DGS II and the Conference DGS II were very successful. The Advanced
School DGS II and the Conference DGS II in Portugal were parts of the international
year of the Mathematics of Planet Earth 2013 (MPE 2013) held under the patronage
of UNESCO. The activities at the Advanced School DGS II and the Conference
DGS II were held in the beautiful city of Lisbon. The Advanced School DGS
II was held in Escola Superior de Economia e Gestão, Universidade Técnica de
Lisboa (ISEG-UTL), Lisbon, Portugal, and the Conference DGS II was held in the
renowned Calouste Gulbenkian Foundation, Lisbon, Portugal. This was my third
trip to the city of Lisbon. The previous two were only for one or two days, but
this one was for a week. On this trip, I not only had many fruitful discussions with
v
vi Foreword
other lecturers and speakers and Portuguese mathematicians, but I also visited a
museum in Lisbon where I learned more about Prince Henry the Navigator and
his school of navigation, where some of the leading geographers, cartographers,
astronomers, and mathematicians of the fifteenth century from various parts of
Europe came to work; and participants were trained in navigation, map-making, and
science, including mathematics. The school of navigation started the Portuguese as
well as the European exploration of new lands. So, following the scientific tradition
of Portugal, this volume contains the broad mathematical themes of this conference
on dynamical systems and game theory. It contains samples of the numerous talks
and presentations given at the Advanced School DGS II and the Conference DGS
II. The reader will find many interesting topics in dynamical systems and game
theory, including many interdisciplinary contributions from economics, population
dynamics, ecology, healthcare, disease epidemics, cell biology, and physics. This
volume will also encourage and help the reader to explore “new lands” in various
scientific areas. Finally, I would like to express my thanks to Alberto Adrego Pinto,
Jean-Pierre Bourguignon, Rolf Jelstch, and Marcelo Viana for their efforts in editing
and putting together this important volume.
Yunping Jiang
Distinguished Professor of Mathematics
Queens College of the City University of New York
65-30 Kissena Blvd, Queens, NY 11367-1597, USA
The Graduate Center of the City University of New York
365 Fifth Avenue, New York, NY 10016, USA
Foreword
I was quite pleased, and honored, to be asked by Alberto Pinto to speak at the
International Conference and Advanced School Planet Earth, Dynamics, Games
and Science II (DGS II) and to lecture in the advanced school that accompanied
the conference from 28 August to 6 September, 2013. I had met Alberto at
several conferences over the previous years and was well aware of the high-
quality work that he and many of his Portuguese colleagues were doing in many
branches of mathematics and science. So I knew that attending DGS II would
be stimulating and rewarding. I was, however, unaware of Alberto’s extraordinary
organizational and leadership talents, as were displayed by these events. The extent
of the diverse activities organized under Alberto’s leadership as president of the
international Center of Mathematics (CIM), together with Irene Fonseca (president
of the CIM’s scientific council) and a large number of Portuguese mathematicians,
universities, institutions and organizations, is quite remarkable. These activities
constitute an outstanding contribution to the international year of the Mathematics
of Planet Earth 2013 (MPE 2013), held under the patronage of UNESCO, during
which mathematical organizations, universities, and research centers around the
world hosted conferences, workshops, schools, and long-term programs intended to
showcase the ways in which the mathematical sciences can be useful in addressing
our planet’s many problems.
A highlight of the MPE 2013 activities centered in Portugal was the DGS
II conference and the associated advanced schools, held at the facilities of the
renowned Calouste Gulbenkian Foundation and the Escola Superior de Economia
e Gestão, Universidade Técnica de Lisboa, respectively. These locations in the
beautiful city of Lisbon are wonderful venues for scientific meetings and their
hospitality was greatly enjoyed by all. The broad mathematical themes of the
conference were dynamics and game theory. The chapters in this volume constitute
a sampling of the numerous talks and presentations held during this event. A casual
glance at the table of contents will show the reader a list of contributions to the
mathematical development of game theory and dynamical systems as well as inter-
disciplinary contributions from numerous scientific fields , including economics,
population dynamics, ecology, healthcare, disease epidemics, cell biology, and
vii
viii Foreword
physics. Game theory’s roots were in economics and the contributions in this volume
show that its vibrant role in economics continues unabated. More recently, game
theory and methodologies inspired by game theoretic ideas have made foundational
contributions to other disciplines, the life sciences being a notable example. For
example, extensions of game theoretic methods to dynamic settings have been
and continue to be developed in order to model and understand evolutionary and
adaptive processes in biology, with impacts ranging from the evolution of antibiotic
resistance of pathogens to large-scale ecosystems.
This volume serves well to illustrate the many roles that mathematics can play in
addressing a wide variety of scientific problems that relate to our planet earth. I am
confident that the reader will be inspired by the contributions and will be stimulated
to learn more about the goals of MPE 2013. I want to thank Alberto and his fellow
editors, Jean-Pierre Bourguignon, Rolf Jelstch, and Marcelo Viana, for their efforts
in putting this important volume together.
Jim Michael Cushing

Professor of Mathematics
Interdisciplinary Program in Applied Mathematics
University of Arizona
Tucson, AZ 85721, USA
Preface
As the International Center for Mathematics (CIM) celebrated its 20th anniversary
on the 3rd of December 2013, it is the perfect opportunity to look back on this past
year, which has undoubtedly been one of the most ambitious and eventful ones in its
history. With the support of our associates from 13 leading Portuguese universities,
our partners at the University of Macau, and member institutions such as the
Portuguese Mathematical Society, in 2013 the CIM showed yet again the importance
of a forum such as this for bringing together leading Portuguese-speaking scientists
and researchers from around the world.
The hallmark project of the year was the UNESCO-backed International Program
Mathematics of Planet Earth (MPE) 2013, which the CIM participated in as a
partner institution. This ambitious and global program was tasked with exploring
the dynamic processes underpinning our planet’s climate and man-made societies,
and with laying the groundwork for the kind of mathematical and interdisciplinary
collaborations that will be pivotal to addressing the myriad issues and challenges
facing our planet now and in the future. The CIM heeded the MPE’s call to action
by organizing two headline conferences in March and September of 2013: the
“Mathematics of Energy and Climate Change” conference in Lisbon in the spring,
and the conference “Dynamics, Games, and Science II” in the fall. Both were held at
the world-renowned Calouste Gulbenkian Foundation in Lisbon, one of more than
15 respected Portuguese foundations and organizations that enthusiastically sup-
ported the CIM conferences. As well as the conferences themselves, well attended
“advanced schools” were held before and after each event: at the Universidade de
Lisboa in the spring, and at the Universidade Técnica de Lisboa in the fall.
These conferences succeeded in bringing together some of the most accom-
plished mathematical and scientific minds from across the Portuguese-speaking
world and beyond, while also serving as a launch pad for one of the CIM’s most
exciting endeavors in years: the new CIM Series in Mathematical Sciences, which
will include lecture notes and research monographs and be published by Springer-
Verlag. “The collaboration with Springer will bring mathematics developed in
Portugal to a global audience,” CIM President Alberto Adrego Pinto said at the time
ix
x Preface
of the announcement, “and will help strengthen our contacts with the international
mathematics community.”
These first two volumes in the series, consisting of review articles selected
from work presented at the “Mathematics of Energy and Climate Change” and
“Dynamics, Games, and Science” conferences, reflect the CIM’s international
reach and standing. Firstly, they are characterized by an impressive roster of
mathematicians and researchers from across the United States, Brazil, Portugal, and
several other countries whose work will be included in the volumes.
The authors are complemented by the editorial board responsible for this first
installment, a world-renowned “quartet” consisting of: president of the European
Research Council Jean-Pierre Bourguignon from the École Polytechnique; former
Société Mathématiques Suisse and European Mathematical Society president Rolf
Jeltsch from the ETH Zurich; current Sociedade Brasileira de Matemática president
Marcelo Viana from Brazil’s Instituto Nacional de Matemática Pura e Aplicada; and
CIM president Alberto Adrego Pinto from the Universidade do Porto.
While the MPE program was a major focus of the CIM’s activities in 2013,
the center also organized a number of further events aimed at fostering closer ties
and collaboration between mathematicians and other scientists, mainly in Portugal
and other Portuguese-speaking countries. In this context the CIM held the 92nd
European Study Group with Industry meeting, part of a vital series held throughout
Europe to encourage and strengthen the connections between mathematics and
industry. As the MPE program made clear, humanity faces all manner of challenges,
both man-made and natural, and though industry is attempting to overcome them,
in many cases mathematics and science are far better suited to the task. Yet it is
often industry that delivers the kinds of innovative ideas that will launch the next
great scientific and technological revolutions, and which academia must adapt to.
The potential for dialogue and cooperation between academia and industry is in fact
so great that I have now made it one of the core initiatives in my presidency of the
US-based Society for Industrial and Applied Mathematics (SIAM).
As we look back at the successful year the CIM had in 2013, we should also
bear in mind the dramatic changes currently taking place in the world, changes that
above all the mathematical sciences—including statistics, operational research, and
computer science—will be called upon to address. Foremost among them is the
rise of Big Data, especially as it relates to national security, finance, medicine, and
the Internet (among other fields), which has come to dominate research in many
scientific sectors and requires new analytical tools, which mathematics can provide.
This new landscape will require an unparalleled level of partnership between science
and industry, and is what prompted the European Commission to recently announce
its Europe 2020 Growth Strategy, which calls for investment in groundbreaking
research, innovation in industry, and the cultivation of a new generation of scientists.
It is no coincidence that these three pillars are at the core of the CIM’s own mission,
and the CIM series in Mathematical Sciences will provide the ideal platform for
Preface xi
communicating and broadening the impact of the CIM’s activities with regard to
these global challenges.
President of CIM Scientific Council Irene Fonseca

Acknowledgements
We thank all the authors of the chapters and we thank all the anonymous referees.
We are grateful to Irene Fonseca for contributing the preface of this book. We thank
the Executive Editor for Mathematics, Computational Science and Engineering at
Springer-Verlag Martin Peters for invaluable suggestions and advice throughout this
project. We thank João Paulo Almeida, Ruth Allewelt, Joana Becker, João Passos
Coelho, Ricardo Cruz, Helena Ferreira, Isabel Figueiredo, Alan John Guimarães,
Filipe Martins, José Martins, Bruno Oliveira, Telmo Parreira, Diogo Pinheiro, and
Renato Soeiro for their invaluable help in assembling this volume and for their
editorial assistance.
Alberto Pinto would like to acknowledge the financial support of Centro
Internacional de Matemática (CIM), Ciência Viva (CV), Calouste Gulbenkian
Foundation, Fundação para a Ciência e a Tecnologia, LIAAD-INESC TEC, USP-
UP project, IJUP and Mathematics Department, Faculty of Sciences, University of
Porto, Portugal.
Alberto Pinto gratefully acknowledges the financial support to the con-
clusion of this project provided by the FCT—Fundação para a Ciência e a
Tecnologia (Portuguese Foundation for Science and Technology) within project
UID/EEA/50014/2013 and ERDF—European Regional Development Fund through
the COMPETE Program (operational program for competitiveness) and by
National Funds through the FCT—Fundação para a Ciência e a Tecnologia
(Portuguese Foundation for Science and Technology) within Project “Dynamics
and Applications” with reference PTDC/MAT/121107/2010.
Bures-sur-Yvette, France Jean-Pierre Bourguignon

Zürich, Switzerland Rolf Jeltsch
Porto, Portugal Alberto Adrego Pinto
Rio de Janeiro, Brazil Marcelo Viana
xiii
Contents
Corruption, Inequality and Income Taxation .. . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 1

Elvio Accinelli and Edgar J. Sánchez Carrera
Discrete Symmetric Planar Dynamics . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 17
B. Alarcón, S.B.S.D. Castro, and I.S. Labouriau
Decision Analysis in a Model of Sports Pricing Under
Uncertain Demand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 31
Alberto A. Álvarez-López and Inmaculada Rodríguez-Puerta
Growth Diagrams and Non-symmetric Cauchy Identities
on NW (SE) Near Staircases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 41
Olga Azenhas and Aram Emami
Clustering Techniques Applied on Cross-Sectional
Unemployment Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 71
Carlos Balsa, Alcina Nunes, and Elisa Barros
A Note on the Dynamics of Linear Automorphisms
of a Convolution Measure Algebra .. . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 89
A. Baraviera, E. Oliveira, and F.B. Rodrigues
Periodic Homogenization of Deterministic Control Problems
via Limit Occupational Measures . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 105
Martino Bardi and Gabriele Terrone
On Gradient Like Properties of Population Games, Learning
Models and Self Reinforced Processes . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 117
Michel Benaim
Wave Interaction with Floating Bodies in a Stratified
Multilayered Fluid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 153
Filipe S. Cal, Gonçalo A.S. Dias, and Juha H. Videman
xv
xvi Contents
Shannon Switching Game and Directed Variants . . . . . . . .. . . . . . . . . . . . . . . . . . . . 187

A.P. Cláudio, S. Fonseca, L. Sequeira, and I.P. Silva
A Proposal to Measure the Functional Efficiency of Futures Markets .. . . . 201
Meliyara Consuegra and Javier García-Verdugo
On the Fundamental Bifurcation Theorem for Semelparous
Leslie Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 215
J.M. Cushing
Review on Non-Perturbative Reducibility of Quasi-Periodically
Forced Linear Flows with Two Frequencies . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 253
João Lopes Dias
Collateral Versus Default History . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 273
Marta Faias and Abdelkrim Seghir
Regularity for Mean-Field Games Systems with Initial-Initial
Boundary Conditions: The Subquadratic Case. . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 291
Diogo A. Gomes and Edgard A. Pimentel
A Budget Setting Problem.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 305
Orlando Gomes
Dynamic Political Effects in a Neoclassic Growth Model
with Healthcare and Creative Activities .. . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 317
L. Guimarães, O. Afonso, and P.B. Vasconcelos
An Introduction to Geometric Gibbs Theory . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 327
Yunping Jiang
Sphere Rolling on Sphere: Alternative Approach to Kinematics
and Constructive Proof of Controllability .. . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 341
F. Silva Leite and F. Louro
The Dual Potential, the Involution Kernel and Transport
in Ergodic Optimization .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 357
A.O. Lopes, E.R. Oliveira, and Ph. Thieullen
Rolling Maps for the Essential Manifold . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 399
L. Machado, F. Pina, and F. Silva Leite
Singleton Free Set Partitions Avoiding a 3-Element Set .. . . . . . . . . . . . . . . . . . . . 417
Ricardo Mamede
Some Results on the Krein Parameters of an Association Scheme . . . . . . . . . 441
Vasco Moço Mano, Enide Andrade Martins,
and Luís Almeida Vieira
A Periodic Bivariate Integer-Valued Autoregressive Model . . . . . . . . . . . . . . . . . 455
Magda Monteiro, Manuel G. Scotto, and Isabel Pereira
Contents xvii
The Macrodynamics of Employment Under Uncertainty . . . . . . . . . . . . . . . . . . . 479

Paulo R. Mota and P. B. Vasconcelos
A State Space Model Approach for Modelling the Population
Dynamics of Black Scabbardfish in Portuguese Mainland Waters .. . . . . . . . 499
Isabel Natário, Ivone Figueiredo, and M. Lucília Carvalho
Entropy and Negentropy: Applications in Game Theory.. . . . . . . . . . . . . . . . . . . 513
Eduardo Oliva
Micro-Econometric Analysis of New Household Formation in Spain . . . . . . 527
Orlando Montoro Peinado
An Adaptive Approach for Skin Lesion Segmentation in
Dermoscopy Images Using a Multiscale Local Normalization . . . . . . . . . . . . . . 537
Jorge Pereira, Ana Mendes, Conceição Nogueira, Diogo Baptista,
and Rui Fonseca-Pinto
Chaotic Dynamics and Synchronization of von Bertalanffy’s
Growth Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 547
J. Leonel Rocha, Sandra M. Aleixo, and Acilina Caneco
Three Dimensional Flows: From Hyperbolicity
to Quasi-Stochasticity.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 573
Alexandre A.P. Rodrigues
Dengue in Madeira Island . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 593
Helena Sofia Rodrigues, M. Teresa T. Monteiro, Delfim F.M.
Torres, Ana Clara Silva, Carla Sousa, and Cláudia Conceição
The Number of Saturated Numerical Semigroups
with a Determinate Genus. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 607
J.C. Rosales, M.B. Branco, and D. Torrão
Modern Forecasting of NOEM Models . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 617
Manuel Sánchez Sánchez
An Overview of Quantitative Continuous Compound Analysis . . . . . . . . . . . . 627
Rui Santos, João Paulo Martins, and Miguel Felgueiras
Varying the Money Supply of Commercial Banks . . . . . . .. . . . . . . . . . . . . . . . . . . . 643
Martin Shubik and Eric Smith
Optimal Control of Tuberculosis: A Review . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 701
Cristiana J. Silva and Delfim F. M. Torres
A Bayesian Modelling of Wildfires in Portugal . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 723
Giovani L. Silva, Paulo Soares, Susete Marques, M. Inês Dias,
M. Manuela Oliveira, and José G. Borges
xviii Contents
Minimum H-Decompositions of Graphs and Its Ramsey

Version: A Survey . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 735
Teresa Sousa
Appendix A: CIM International Planet Earth Events DGS II, 2013 . . . . . . . 749
Appendix B: Interviews MPE: DGS II . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 753

Corruption, Inequality and Income Taxation
Elvio Accinelli and Edgar J. Sánchez Carrera
Abstract It is recognized that corrupt behavior determines the institutional types

of an economic system where an institution is ruled out by economic agents (e.g.
officials-public or private) abusing their role to procure gain for themselves (rent-
seeking activities) or somebody else. In this vein, we study an evolutionary model
of institutional corruption. We show that income inequality and income taxation
are the main factors (explanatory variables) for fighting institutional corruption.
We conclude with some feasible policies on institutions, beliefs and incentives to
combat the corruption.
1 Introduction
A large number of papers on the causes and consequences of corruption have been
published (for a survey, see [3, 5, 7, 8], among others). Bardhan [3] notes that
corruption appears relevant in undeveloped economies where the organization of
the State is inefficient, democratic control of the civil community over government
actions is absent, and bureaucrats have wide discretionary power (see also [2]).
The literature about the long-run economic consequences of corruption (see [4, 11])
focuses on rent seeking in the provision of public services. A government official
controls the offer of a service against private demand, and then he/she has some
discretionary power on the offer and can restrict it in several ways (e.g. denying
permission or delaying its release). Bribes are the extra-price charged by bureaucrats
to private customers, and arise like rents. The economic consequences of this
phenomenon concern distortions in resources allocation mainly in terms of less
private investment, and a reduced rate of human capital formation. For example,
Ehrlich [4] states that corruption is an economic activity that requires some political
capital. Effort devoted to the accumulation of this kind of knowledge has an
alternative use in human capital production. Corruption reduces economic growth
through a negative influence on investments in human capital.
E. Accinelli () • E.J. Sánchez Carrera

Autonomous University of San Luis Potosi, San Luis, México
e-mail: elvio.accinelli@eco.uaslp.mx; edgar.carrera@uaslp.mx
© Springer International Publishing Switzerland 2015 1

J.-P. Bourguignon et al. (eds.), Dynamics, Games and Science, CIM Series
in Mathematical Sciences 1, DOI 10.1007/978-3-319-16118-1_1
2 E. Accinelli and E.J. Sánchez Carrera
While a large proportion of corrupt practices are illegal, in this paper we do

not consider a legal approach to the definition of corruption since not all corrupt
practices are illegal and not all illegal activities are corrupt practices. In fact, Jain [7]
identifies three categories of corruption grand involving political elite, bureaucratic
involving corrupt practices by appointed bureaucrats, and legislative corruption
involving how legislative votes are influenced by the private interest of the legislator.
The three types of corruption differ only in terms of the decisions that are influenced
by corrupt practices.
However, few are the articles studying strategic fundamentals that cause corrupt
behavior in a society. Hence, the aim of this paper is to describe the evolution of
corruption behavior in a society. Our approach is based on recognizing of what
economists call incentives or psychologists reinforcement for choosing a certain
behavior. When individuals need to choose an action or future behavior between
several possible, they are pressed by different kind of incentives and penalties. We
understand corruption as a possible behavior followed by several individuals in a
given population (see [1]). Accinelli and Carrera [1] pointed out that individuals
under the pressure of incentives and penalties need to choose one of two antagonistic
possible behaviors, being corrupt or non-corrupt. When individuals choose driven
by imitation, but they have not complete information, however they must choose
and do this base upon its own beliefs.
In this paper we assume that individuals are no completely informed about
the payoff of his/her choices, but they are rational in the sense that they choose
with higher probability the behavior that they understand has in each moment, the
highest expected value. In our model, we consider a distribution of income for the
population, and strategic interaction between people who pay taxes and officials who
control such tax compliance. The baseline approach of our model comes from [6]
that examine the implications of corruptibility and the potential abuse of authority
for the effects and optimal design of (potentially non-linear) tax collection schemes.
Hindriks et al. find that the distributional effects of corruption and tax evasion are
regressive, hence for the poor have little to gain from evading taxes and are at the
same time vulnerable to over-reporting of their incomes; for the rich, the converse
is true. The government can Levy progressive taxes without reducing its own payoff
by creating countervailing incentives in the form of commissions: the parties are
tempted to understate income to evade progressive taxes, and tempted to overstate
income to raise the commission payments.
The central authority problem’s is to choose a system of fines and capture the
corrupt behavior of the auditors, in order to discourage this kind of behavior. We
call evaders to citizens who do not pay taxes and corrupts to auditors accept bribes.
However, as long as the central planner sets the optimal policy on the basis that all
citizens pay taxes, every deviation of this situation imply a deviation of the optimal
fiscal policy, with repercussion in the social welfare. Consequently if in the society
there exist evaders, the established taxation is not optimal, and this fact becomes
in its turn in a new incentive for citizens choosing to be evaders. Nonetheless, if
this subpopulation with the time, tends to become smaller, then the perception of
social welfare from each of the social groups increases as the share of the population
Corruption, Inequality and Income Taxation 3
that pays taxes increases. Consequently the action to pay taxes is perceived as not
prejudicial like in other cases. In this way, any incentives to do not comply with tax
obligations tend to disappear and any basis of corrupt auditors. In what follows, we
analyze the impact on the decisions made by different social groups, of the possible
policies defined by the central planner.
Our goal is to explain the structural evolution of corrupt behavior in a given
society as the result of individuals’ decisions influenced by the behavior of the others
members of this society. Along this evolutionary process, at every time, individuals
make their choices about their future behavior, the result of this process is the social
evolution. In particular we analyze the interaction between the tax authority and
citizens, to study the evolution of corrupt behavior as the result of individuals’
beliefs and institutional policies.
The remainder of this paper is organized as follows. Section 2 develops a
game-theory model related to tax evasion and corruption in the tax inspectorate.
Section 3 is devoted to study the evolutionary dynamics of corrupt behavior and
taxpayers. Finally, Sect. 4 contains some implications of the results and discusses
their application to economy.
2 The Model
Consider an economy where institutions are ruled out by two populations, namely
citizens and auditors.
Citizens are required to pay taxes, however only those following a non-corrupt
behavior meet this requirement. We shall say that are evaders, or corrupts, those
citizens who do not pay taxes. Consequently, the population of citizens, C, is
composed by: tax evaders or corrupt, CC , and tax payer or non-corrupt, CN : There
are tax audits done in each period. The task of auditors is to monitor tax compliance
of citizens. The population of auditors, P, is composed in turn, by: corrupt, PC , and
non-corrupt, PN . Non-corrupt auditors are those that make their job according to the
national tax compliance laws. Corrupt auditors do not do their job according to the
law, and they take bribes from citizens evaders. Moreover:
1. Citizens are distributed according to their levels of income, denoted by a set Y;
and a probability that a citizen x 2 C has income lower or equal to y 2 Y is:
P. y.x/ y/ D P. y/:
Note that this probability corresponds to the fraction of citizens with income
lower than or equal to y: We assume that according to their income level, citizens
are divided into n different groups, I1 ; I2 : : : :; In ; thus y W C ! I where I D
fI1 ; : : : In g; so x 2 Ii if and only if y.x/ 2 y.Ii / D .yi ; yN i / where yi is de lower
income of a citizen in class Ii and yN i is the higher income of a citizen in such
class. By n.Ii / we denote the share of citizens in the level Ii :
2. We consider that the central planner has implemented a proportional taxation

policy, so all citizen should pay taxes proportional to their income, . y/ y.x/,
where 0 < . y/ < 1. By y.x/ we denote the income of the citizen x. That
is, the central authority sets rates by income levels, i.e. . y/ D .Ii / for all
y 2 Ii ; i D 1; : : : :; n: So that the total amount paid as tax by a x-citizen with
income level y 2 Ii is equal to .Ii / y.x/.
3. We consider that income distribution is constant over time, but the percentage
of taxpayers is time-variant. Hence, in every period of time t we represent by:
• ˛.t/ the share of citizens taxpayers,
• .t/ the share of non-corrupt auditors.
• ˇ.t/ D 1 ˛.t/ is the share of tax evaders, and ı.t/ D 1 .t/ represents
the share of corrupt auditors.
4. In this vein, we state the following.
Definition 1 Let us define the index, c , as a measure of total illegal behavior
in the economy, i.e.
c .t/ D ˇ.t/ C ı.t/:
5. We denote by underliney and yN the lowest and the highest income levels,
respectively. Thus the distribution of taxes P˛ . y/ is supported in the interval
Œy; yN : Total income due to taxes collected in time t is:
Z yN
Tt D . y/y.x/dP˛ . y/;
y
The subscript ˛ indicates that the total of citizens paying . y/ y.x/ depends on
the total share of taxpayers, given by ˛.
6. We consider that the tax audit is performed, in each period, on citizens with
certain probability PA 2 Œ0; 1. Thus tax evasion is punishable and let us denote
by m > 0 the fine imposed by a non-corrupt auditor on a citizen tax evader
when s/he is audited.
7. The model takes into account the possibility that a briber may bargain with the
auditor some money in exchange for not revealing the evasion. This bargain has
been succeeded when a corrupt auditor meets an evader, and then the corrupt
auditor gets a bribe equal to BN D k. y/y.x/ > 0, 8 0 < k < 1.
8. However the central authority can detect to the illegal behavior and conse-
quently punishing the corrupt auditor. The fine imposed to the corrupt auditor
by the central authority is M > 0, and pM 2 Œ0; 1 is the probability that the
corrupt auditor is detected. Hence, we can state that the sum of the probabilities
.t/ C pM 0 measures the efficiency of the central authority as guarantors of
legal behavior.
9. If a non-corrupt auditor meets a tax evader citizen, s/he is facing the monitoring
cost, c.˛; / > 0, by punishing the evader. This cost is a decreasing function
of ˛; and increasing with ; and convex in both variables. Such a monitoring
cost corresponds to the work associated with this process, and it increases as
the number of evaders or the number of corrupt officers is increasing. This
somehow shows that the incentives to behave legally changes according to the
profile distribution of economic agents (see the above Item 3–4, Definition 1).
To counteract this negative action about the behavior of public officials, can be
doing, for instance, paying a premium to those officials who fulfill their duties.
In many Latin American countries, there is a prize to presenting a right fiscal
report, and it is paid to employees who are not cheating.
10. If corruption is punished, the total amount received by the payment of fines
is transferred to improve the social welfare. The total money obtained by the
central authority is the sum of the total money of taxes collected plus the total
amount received from fines. The total amount of fines is a random variable, W,
with expected value W: N So, the central authority has an expected total national
revenue:
N t > 0:
Rt D Tt C W
Individuals, P and C, have some utility due to the tax system and national
revenue. That is, utilities of auditors and citizens,
uP .˛; R/ > 0 and ux .˛; R/ > 0;
depend on the total national revenue, R, and on the share, ˛, of taxpayers.

Therefore, under the above considerations, if the policy of the central planner
is given, then individual (expected money-metric) utility functions (or expected
payoffs) are given by:
uCNx .˛/ D ux .˛; R/ C .1 . y//y.x/; .A/

uCCx .˛; / D ux .˛; R/ PA m C .1 . y//y.x/ C 1 .1 k. y//y.x/ ; .B/
Pn
uPC .˛/ D up .˛; R/ C .1 ˛/ iD1 k.Ii /y.Ii /ni PM M; .C/
uPNC .˛; / D up .˛; R/ .1 ˛/c. /: .D/

(1)
Note that these utilities can change over time if the share populations change, and
˛ and are the only endogenous variables while the parameters R, . y/, m are
exogenously determined by the central authority. The parameter k is a constant fixed
by the corrupt auditors. The first equation (A) is the utility function of a taxpayer
with income y.x/. The second one (B) is the utility function corresponding to a
citizen tax-evader, with income y.x/; 0 < k < 1 correspond to the proportion of the
tax that citizen tax-evader must pay to a corrupt auditor with probability .1 /.
With probability , an evader is revealed by a non-corrupt auditor and must pay a
fine m plus the amount owned. The third one (C) is the utility function of the corrupt
auditor. We assume that with probability .1 ˛/ the audited citizens are evaders,
and in this case the auditor takes bribes. The last one (D) the utility of a non-corrupt
auditor. we assume that an honest auditor must perform certain management when
confronting an individual evader. This management has a cost, which we assume
decreases when the number of honest auditors. This management should only be
performed when confronting an individual evader, otherwise we assume it is zero,
i.e., @c.˛;
@
/
< 0: Obviously, the probability to pay this cost, decrease when the
number of honest citizen increase. Either because the probability of facing a citizen
evader decreases or because the cost is shared between more auditors
Remark 1 A citizen chooses to be a non-corrupt, i.e. he/she is taxpayer, if uCNx .˛/ >
uCCx .˛; / which holds when:
y.x/.1 C PA / C mPA
. y/ ;
y.x/ 1 PA . k k /
where . y/ is a threshold value indicating a social limit, beyond which the utility
of an honest citizen with income y surpasses the associated utility to the corrupt
behavior. This threshold value makes reference to the highest income tax rate that
the central authority should impose for not favoring the evader behavior. Note that
0 . y/ < 0 means that citizens with higher incomes are more likely to become
evaders.
Remark 2 An auditor chooses to be a non-corrupt if uPNC .˛; / > uPC .˛/ which
holds when:
P
.1 ˛/Œ niD1 k.Ii /y.Ii /ni C .1 ˛/c. /
pM > ;
M
and so the difference uPNC .˛; / uPC .˛/ is positive and it is increasing either when
pM or M are large enough.
We assume that the level of social welfare increases with the total national
revenue and with the share of taxpayers, i.e.
@uj @uj
.˛; R/ > 0 and .˛; R/ > 0 for all j 2 fC; Pg;
@R @˛
and that the functions uj .˛; R/ are concave with respect to R, i.e.
@2 uj .˛; R/
< 0;
@R2
where auditors and citizens do not value equally the welfare obtained by taxes,
this assumptions is considered in the fact that uC .˛; R/ is not necessarily equal to
uP .˛; R/:
Central authority should fix the optimal tax rate assuming that every citizen pay
taxes. So this is not longer optimal in the presence of citizens evaders. Suppose the
share of taxpayers in time t is ˛.t/ D ˛. Consider in addition that P˛ .Ii / correspond
to the proportion of citizens in the level Ii ; i D 1; : : : ; n that in time t are paying
taxes. The level of income of each group (or social class) is symbolized by y.Ii /:
Then in terms of income, the expected amount of tax collected can be written
as:
X
n
T˛ .t/ D .Ii /Œ y.Ii / y.Ii1 /P˛ .Ii ; t/;
iD1
where as we said P˛ .Ii ; t/ represents the percentage of citizens with income y.Ii /
that are taxpayers, in time t. While total (potential) amount collected corresponds
to:
X
n
T˛D1 D .Ii /Œ y.Ii / y.Ii1 /P˛D1 .Ii /
1
where P˛D1 .Ii / is the share of taxpayers citizen with income yIiC1 while P.Ii / is the
total share of individuals with such income in the population, so P.Ii / P˛ .Ii ; t/ for
all t; with equality if and only if ˛ D 1:
From now on to facilitate the scripture, if not strictly necessary, we suppress
the variable t although all values depend on the distribution of populations, which
certainly change over time.
The utility of a citizen x;q who is a taxpayer, is given by the Eq. (1A), and it can
be written as:
!
X n
uCNx .˛; / D ux ˛; . y.Ii /Œ y.Ii / y.Ii1 /P˛ .Ii / C W C .1 .Ij //y.Ij /:
N
1
To simplify the notation we denote by j the optimal tax corresponding to the income
level equal to yIj ; j D 1; 2 : : : ; n i.e. j D .Ij /: The next proposition offers an
important result.
Proposition 1 As the gap between social classes (measured by the different income
levels Ii ), is increasing (more income inequality), the greater the tax evasion (more
corruption).
Proof If the policy maker considers that every citizen pay taxes according with
their income, i.e.: ˛ D 1; then the utility function depends only on taxes D
.1 ; : : : ; n /; and these are fixed by the central authority. More precisely, if ˛ D 1
then R./ D T˛D1 ./ and so, the optimal tax rate . y/ (the optimal policy for the
central planner) must verify the equations:
@uCNx @uCNx @R
@j .1; R. // D @R .1; R. // @j
. /
@uCNx Pn
D @R
1; 1 i Œ y.Ii / y.Ii1 /P˛D1 .Ii / Œ y.Ij / y. Ij1 /P˛D1 .Ij / y.Ij / D 0
(2)
or equivalently,
!
@uCNx X
n
y.Ij /
1; i Œ y.Ii / y.Ii1 /P˛D1 .Ii / P˛D1 .Ij / D 1; (3)
@R 1
y.Ij /
for all j D 1; : : : ; nI where y.Ij / D y.Ij / y.Ij1 / is the income gap between the
social classes Ij and Ij1 : Note that if we assume ˛ D 1, then P˛D1 .Ij / is equal to
the total percentage of citizens with income y Ij : Given that the utility function is
@2 uCNx
strictly concave in R it follows that @j2
< 0 so, j is a maximum. In conclusion,
by Eq. (3) it follows that the number of citizens that are willing to be taxpayers is a
decreasing function of the gap between social classes Ij and Ij1 : Hence, as lower is
the gap between social classes, the lower is the tax evasion.
As we argue previously, auditors may have interest in to coexist with evaders
(Eqs. (1C) and (1D)). It follows from these equations that the interest of auditors in
this complicity tends to decrease when the possibility of being caught in their illegal
actions is increasing. This argues in favor of auditing and administrative controls,
because they are part of public activities aimed at ensuring the normal functioning of
the institutions. Another problem is the cost of establishing a convenient mechanism
to punish the illegal activity of evaders and corrupt auditors. As we will prove in the
next section, it is possible to establishing an adequate system of monitoring, based
on probabilities and fines, enabling to ensure that shares of taxpayers and no-corrupt
auditors may evolve positively.
3 On the Evolutionary Dynamics of the Model
We consider in this section that citizens and auditors play an asymmetric contest
evolutionary game. The possible strategies for each individual in each subpopulation
are to implement a corrupt behavior or a legal (honest) behavior. Since players are
rational they will choose between these two pure strategies, according with the
perception of the rewards and possible punishment that, each election imply. The
strategic election is influenced on one hand, by the behavior of their peers (imitative
behavior), and on the other hand this strategic election is strongly influenced by the
behavior of the counterpart, i.e. the corrupt behavior of the citizens is encouraged
by the corrupt behavior of the auditors, and reciprocally.
To analyze the evolution of legal behavior by citizens and auditors, we admit
that the tax rate imposed by the policy maker is optimal, and then we introduce
a dynamical system of imitation based on the well known model of [9], where
the parameters of this dynamical system are strongly related with the degree of
efficiency of the monitoring system (see Remarks 1–3). Therefore, consider that:
1. Citizens imitate the behavior of their leader neighbors or successful people, and
they perceive the possibilities to be punished or not. This fact is captured by
the parameters b and f in the dynamical system (4), see below. According with
their beliefs, they will choose the most profitable behavior. So, this beliefs are
strongly related with the perception of the citizens of the governmental efficiency
to capture the illegal actions.
P
2. It is natural also to assume that the growth rate of corrupt auditors, ıı , increases
with their relative weight in the auditors’ population and decreases with the
number of citizens who are not willing to give bribes. Recall that ˇ D 1 ˛
and D 1 ı, and all these variables must be non-negative in every time.
P
3. If in some time tf , ˛.tf / D 1, then for all t > tf , implies that ı.t/ < 0 and
˛.t/
P D 0. Reciprocally, if in a given time all auditor is corrupt then every citizen
is an evader, and then ˛.t/ P D 0.
P < 0 and ı.t/
To obtain the evolution for the share of corrupt behavior in a given time t D t0 ;
assuming that in t D t0 , 0 < ˛.t0 / < 1 and 0 < ı.t0 / < 1: This situation can be
medelled using the following system of differential equations:
˛P D ˛.a C b˛ cı/;
ˇP D ˛;
P
(4)
ıP D ı.d e˛ C f ı/;
P
P D ı:
where a; b; c; d; e; f are positive constants, and the magnitude of these parameters

are in direct relation with the policy implemented by the central authority, in
particular with the amount of fines and the probability that the corrupt behavior
can be caught and punished (see Remarks 1–2).
The study of many evolutionary models, social or biological, is based on
the determination and analysis of parameters or combinations of parameters that
determine the change in the qualitative behavior of the solutions of a system of
differential equations. In our case this study corresponds to the central authority,
who must find those combinations that achieve a better social growth. To ensure
that the appropriate values of the parameters, prevail in society, she must design a
suitable social, or economic policy. Certainly, this is not a simple task, however the
identification of these parameters and the role they play in social evolution, can help
in the process of fulfilling this goal.
For instance in the first equation, the parameter c represents the negative weight
that the corrupt auditors play in the evolution of the society. It follows that the
social influence of this group, measured by c; decreases if m or p.m/ increase. The
parameter b represents the importance of the imitation inside the subpopulation of
the taxpayers, this value increases with the difference: uCIx .˛; I; t/ uCNIx .˛; I/:
We assume that the citizens or auditors, can change their behavior followed up to
the present, if and only if there exists in society, a different behavior that may be
imitated. This leads us to conclude that if in time t D tf for instance ˛.tf / D 1 then
˛.t/ D 1 for all t tf : Analogously, for the other cases, i.e., if ˇ.tf / D 1 then
ˇ.t/ D 1 for all t tf and the same for the auditors. So, the dynamical system (4)
can be reformulated as:
8
< ˛.a C b˛ cı/; if 0 < ˛.t0 / < 1
˛P D
:
0 8 t tf W ˛.tf / D 1 or ˛.tf / D 0:
8
ˆ
ˆ
(5)
<
ı.d e˛ C f ı/;
ıP D
ˆ
:̂
0 8 t tf W ı.tf / D 1 or ı.tf / D 0:
The parameter b; measures the effect of the imitation in the behavior of the
citizens. The growth rate of the legal behavior, is higher when greater the influence
of imitation in social behavior, measured by b:
@. ˛˛P /
D b > 0:
@˛
The intensity of this parameters, depends strongly on the difference between the
utilities of the tax payers citizens and evaders. This shows that it is possible, for
the central authority, to design a policy to ensure legal behavior on the part of
citizens, (see Remark 1) which as we will see impact favorably also in the behavior
of auditors (see below Eq. (6)).
The pernicious effect on the society, of the corrupt behavior of auditors is
strongly related with the parameter c: Note that
@. ˛˛P /
D c < 0:
@ı
The parameter e; measure the rate at which decreases, by the effect of an
increased legal behavior of citizens, the corrupt behavior of auditors, and the
parameter f measure the rate at which increases by the effect of an increased illegal
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The morning of the 14th found the flotilla lying in the wake of the
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the action, a shot from the enemy’s water battery carried away the
flagstaff of the St. Louis; almost the next shot took the chimney guys
of the same boat. A well sent ball from the St. Louis soon struck the
flagstaff of the enemy, which was on the top of the hill behind the
batteries. This terrible fire lasted about half an hour, when a 64-
pound ball from the middle battery cut the tiller ropes of the gunboat
Louisville, rendering her steering apparatus unmanageable. About
the same time a shot entered one of the windows of the pilot-house
of the Carondelet, mortally wounding the pilot. Thus the control of
two Union boats was in a great degree lost. Shortly after this, a 32-
pound ball penetrated the pilot-house of the St. Louis, mortally
wounding one of the pilots, injuring two other pilots, and severely
wounding Flag-officer Foote. There were five men in the pilot-house
at the time, only one of whom escaped injury. The room was filled
with pieces of the broken wheel, chains, room furniture and rubbish
of every sort; there was no one there to take the helm save the
Commodore—no chance to call another to his aid—so, equal to the
emergency, the gallant old Commodore seized the remaining handles
of the wheel, and for a quarter of an hour acted the double part of
commander and pilot, and at last, when compelled to fall back, he
kept bow to the foe, and gave his orders as calmly and coolly as when
first entering the action.
At about the middle of the engagement, a 32-pound rifle shot took
away the flagstaff and Commodore’s pennant. In a moment half a
dozen men sprang out of the ports, caught the mutilated staff upon
their shoulders, hoisted the “blue flag” to its place, where they stood
and held it for several minutes, in the face of a most murderous fire.
Thus three powerful vessels were disabled by accidents that do not
happen twice in a hundred times. The men on board were unwilling
to give up the fight. The enemy had been driven from the lower
battery, and their fire had slackened perceptibly. What remained to
be done? To fight in such a current, with unmanageable boats,
would, the Commodore knew, be worse than folly. Reluctantly,
therefore, he ordered them to fall back.
The vessels then stopped their engines and floated slowly from
their positions. They had been within two hundred yards of the fort.
The enemy soon saw the condition of the fleet, and redoubled their
fire. They ran to the lower batteries and opened them on the retiring
vessels with terrific force. One of the guns of the Carondelet had
burst in the middle of the action, and the Pittsburg had received two
balls below water mark, causing her to leak rapidly. But they replied
well to the reinvigorated foe, and fired the last shot.
The fleet retired in good order, and anchored two miles below the
fort. The injuries to the gunboats were not very great. The principal
damage to the St. Louis was that sustained by the shot entering her
pilot-house. She was struck 61 times; the Pittsburg 47; the
Carondelet 54; and the Louisville about 40. The enemy fired about
500 shots.
The fleet fired a little more than 300, about 75 of which were 8-
inch shells.
The demeanor of Commodore Foote during the engagement was
the subject of admiration with every man in the fleet. His
countenance was as placid and his voice as mild in the heat of the
action as if he had been engaged in social conversation. He stood in
the pilot-house for a long time, watching the effect of every shot.
When he saw a shell burst inside of the fort, he instantly commended
the deliberate aim of the marksman, by a message through his
speaking tube. When the balls fell short, he expressed his
dissatisfaction in such words as “A little further, man; you are falling
too short.” During a part of the action he was on the gun-deck,
superintending the care of the wounded. In the end, nothing but the
pilot’s assurance that his vessel could not be managed with her
broken wheel, induced him to consent to a withdrawal.
Incidents on board the Louisville were not wanting. Captain Dove
had just complimented one of the gunners on a splendid shot, when
the shot that played such havoc entered his port, and completely
severed the gunner in twain, scattering his blood and brains over
Captain Dove’s person. But the Captain never blanched; he only
wiped his face, and in an instant was superintending the replacement
of another gun as if nothing had happened. Cool, brave and
determined, he was throughout the action a support to his men and
an honor to his country.
THE LAND ATTACK.
In addition to the two water batteries already described, a third
had been commenced, but was not at the time completed. The fort
stood on a hill, and within its ample lines nearly a hundred large and
substantial log-houses had been erected for quarters. In order to
prevent any lodgment of an opposing force on the hills back of the
fort, it was necessary to construct a line of defenses around the fort,
at the distance of a mile, and in some places more than a mile, from
the principal work. These outworks extended from a creek on the
north side of the works to another which entered a quarter of a mile
below. Both of these streams were filled with backwater from the
swollen river, for the distance of three-quarters of a mile from their
mouths. This chain of breastworks and the miry bed of the creeks
formed a most complete impediment to the marching of an artillery
force within sight of the main fort. This line of works was not less
than three miles in length, breast high, and formed from a ditch on
either side, so as to answer the purpose of rifle-pits and parapets. At
intervals on every elevation platforms had been constructed and
mounted with howitzers and light field pieces. Such were the works,
defended by from 20,000 to 25,000 men, that the national troops
were determined to take by assault.
Early on the morning of the 12th of February, the national troops
left Fort Henry with two days’ rations in their haversacks, without
tents or wagons, except such as were necessary to convey a surplus of
commissary stores and ammunition, and ambulances for the sick.
The expedition under the command of Brigadier-General U. S.
Grant, was divided into three columns—the division under Brigadier-
General McClernand, taking the road from Fort Henry to Dover,
running to the south of the enemy’s position; the second division,
under command of Brigadier-General C. F. Smith, taking the direct
or telegraph road to the fort; the third division, subsequently placed
under the lead of Brigadier-General L. Wallace, being sent round by
Paducah and Smithland, ascending the Cumberland, under the
escort of the gunboats. Each of these divisions consisted of about ten
regiments of infantry, batteries, and cavalry.
First Division, Brigadier-General McClernand.—1st Brigade, Col.
Oglesby, acting.—8th Illinois, Lieut. Col. Rhodes; 18th Illinois, Col.
Lawler; 29th Illinois, Col. Reardon; 13th Illinois, Col. Dennis; 31st
Illinois, Col. J. A. Logan; Schwartz’s battery; Dresser’s battery; 4
battalions Illinois cavalry. 2d Brigade, Col. W. H. L. Wallace, acting.
—11th Illinois, Lieut. Col. Hart; 20th Illinois, Col. Marsh; 48th
Illinois, Col. Smith; 49th Illinois, Col. Hainey; Taylor’s battery;
McAllister’s battery; 4th and 7th Illinois cavalry, Cols. Kellogg and
Dickey.
Second Division, Brigadier-General C. F. Smith.—1st Brigade,
Col. Cook, acting.—7th Illinois, 50th Illinois, 12th Iowa; 13th
Missouri, Col. Wright; 52d Indiana; 3 batteries Missouri 1st artillery,
Maj. Cavender commanding; Capts. Richardson, Stone, and Walker.
2d Brigade, Col. Lauman, acting.—7th Iowa, Lieut.-Col. Parrott; 2d
Iowa, Col. Tuttle; 14th Iowa, Col. Shaw; 25th Indiana, Col. Veatch;
56th Indiana.
Third Division, Brigadier-General Lewis Wallace.—1st Brigade,
Col. Croft, acting.—17th Kentucky, 25th Kentucky, 31st Indiana, 44th
Indiana, Col. Hugh B. Reed. 2d Brigade, Col. Thayer, acting.—1st
Nebraska, Lieut. Col. McCord; 13th Missouri, Col. Wright; 48th
Ohio, Col. Sullivan; 58th Ohio, Col. Bausenwein; Willett’s Chicago
battery.
By nine o’clock all the forces were on the march. The division of
General McClernand took the upper or southern road to Dover. The
division of General Smith proceeded by the northern or telegraph
road, running directly to the fort. The route lay through broken and
undulating lands. Small streams of the purest water were crossed at
every ravine. The hills were in places covered with green pines and
tall, heavy timber. The weather was mild and spring-like; the men in
admirable spirits, marching in regular order, and the surrounding
scenery almost tropical in its luxuriance. At about two o’clock in the
afternoon the advanced skirmishers of McClernand’s division came
in sight of the enemy’s tents stretching between the hill upon which
the fort was situated, and the next, on Dover ledge.
Word was passed back to General Grant that the enemy and his
camp had been sighted. General Grant at once ordered up the rear of
the column. Dresser’s battery was posted on an eminence
overlooking the tents, and a few shells sent into the camp. There was
a general and promiscuous scattering of men from the camps into
the earthworks to right and left. General Grant immediately ordered
the division of General Smith into line of battle on the ravine back of
the main elevation. A column of men was pushed up on the left of the
fort. Scouts returned saying that the breastworks could be discovered
on the extreme left. An hour or two was then spent in reconnoitering
along the various hills surrounding the enemy’s position.
This preliminary skirmish was soon over, and the enemy had fallen
back within his intrenchments, when the shades of night fell upon
the two armies. Many of the Federal soldiers, in anticipation of an
engagement, had relieved themselves of their overcoats, blankets,
and haversacks, and were altogether unprepared for the experience
of the night. But cheerfully kindling their camp-fires, under a mild
and genial temperature, they gathered around the cheerful blaze and
gradually fell into slumberous dreams of home, of conquest, or of
love.
During the night the enemy made a sortie on the extreme right of
the Federal lines, which by its suddenness created some confusion
for the time, but he was repulsed and compelled to retire.
On Thursday, the 13th, the attack commenced. The morning sun
rose brightly on the scene. The men were soon engaged in cooking
what provisions could be obtained. Several hogs running at large in
the woods had been shot for breakfast, and a sumptuous meal was
made from their flesh. At sunrise the firing of riflemen commenced.
The enemy could be descried behind his breastworks. The most
available positions were selected for batteries, and by eight o’clock a
regular exchange of shot and shell had commenced across the ravine
which separated the combatants. Taylor’s battery was on the extreme
right, next came Schwartz’s, further to the left. Further still was a
section of an Illinois battery. Across a deep ravine and in the centre
of the position was Captain Richardson’s First Missouri Light
Artillery, on the point of a ridge provokingly near the enemy’s lines.
Higher upon the same rise was McAlister’s battery of twenty-four
pound howitzers, and on the left could be heard at intervals an Iowa
battery.
The long established form of opening the fight by a contest of
sharpshooters and artillery was observed. For two hours nothing was
to be heard but the loud thuds of cannon, with the relief of a sharp
crack of rifles, and an occasional report of a musket, which in the
distance could hardly be distinguished from a field piece. Major
Cavender, of the Missouri First, sighted his twenty-pound Parrott
rifle guns. Two or three shots had been sent whizzing through the
trees, when “clash” came a shot in front of the piece. Without moving
a muscle the major completed his task, and bang! went a response.
Bang went another from the sister-piece under the intrepid captain.
A second was received from the fort, passing over the hill, exploding
just in the rear, a third burst directly over head, and the combat was
kept up with spirit. Dresser’s battery poured out shell from his large
howitzers in splendid style. The enemy held a slight advantage in
position, and had the range with accuracy. The shells were falling
fast around the batteries, doing however but little injury. A few
minutes and a round shot passed over the gun, and carried away the
shoulder and part of the breast of artilleryman Bernhard of
Richardson’s battery, killing him almost instantly. The captain
shifted his position three times during the morning, whenever the
enemy got his range with too much accuracy.
On the extreme right Schwartz and Taylor were blazing away
fearlessly. The ground between them and the intrenchments was
nearly cleared of trees, and they could observe by the smoke the
position of each other with accuracy. The firing from the batteries in
McClernand’s division was continuous. An attempt had been made
by the enemy to capture Taylor’s battery, which had been gallantly
repulsed. The rebels had reached close upon the battery, and only an
incessant shower of canister saved it from capture, the infantry not
being formed in position to support it effectually. The Twentieth
Illinois came up in time to drive the enemy into their works.
In the afternoon General McClernand determined to make a
formidable assault of a redoubt of the enemy, fronting the centre of
his right. The redoubt was the only one which could be distinctly
seen, owing to timber and undergrowth. At this point the ground was
for the most part void of large timber, the barren extending even
beyond the road on the ridge which the Union troops passed. The
batteries of this redoubt had a very perfect range, and gave the
troops considerable uneasiness, by blazing away at them whenever
they passed over the brow of the hill. Three regiments were detailed
for the work—the Forty-eighth, Seventeenth and Forty-ninth Illinois.
They advanced in line of battle order, the Forty-ninth, Colonel
Morrison, on the right, the Seventeenth, under command of Major
Smith, in the centre, and the Forty-eighth, Colonel Hainley, on the
left. Colonel Morrison, as senior Colonel, led the attack. The advance
was a most beautiful one. With skirmishers arrayed in front, the
three regiments swept down the hill, over a knoll, down a ravine, and
up the high hill on which the redoubt was situated, some two
hundred and fifty or three hundred feet in height, covered with brush
and stumps, all the time receiving a galling fire of grape, shell and
musketry, with a precision which would have done them credit on
the parade ground. The breastworks were nearly reached, when
Colonel Morrison, while gallantly leading his men, was struck by a
musket ball. The captain of the company on his right was also killed,
while the Forty-ninth fell into some confusion; but unappalled the
Seventeenth still gallantly pressed forward and penetrated even to
the very foot of the works. But it was not in the power of man to scale
the abattis before them. Brush piled upon brush, with sharp points,
fronted them wherever they turned; so, after a few interchanges of
musketry with the swarming regiments concentrated there, the word
for retiring was given. It was done in good order, by filing off to the
left and obliqueing into the woods below; but many a gallant soldier
was left behind underneath the intrenchments he had vainly sought
to mount. They were not, however, destined to die unavenged.
Scarcely, had their retiring columns got out of range, ere Taylor’s
Chicago battery opened on the swarming rebel masses with shell and
shrapnell. The effect was fearful. Each gun was aimed by the captain
himself, and when its black mouth belched out sudden thunder,
winrows of dead men fell in its track.
While this heavy firing had been heard on the right, General
Smith, had ordered the enemy to be engaged on the left. The Twenty-
fifth Indiana, at the head of a brigade, led the way. They had reached
a position on the brow of a hill where the successful assault was
afterwards made, and were met by the enemy in force, who swarmed
behind the works, pouring a deadly hail of bullets and grape into
them. The leading regiment broke in disorder after sustaining a hot
fire, and the whole line fell back out of range. The object of the sortie
had been accomplished, and the enemy’s forces drawn from the
other side, but the advantage did not result, as might have been
anticipated, in the occupation of the fort on the right by General
McClernand.
Six companies of the famous regiment of riflemen, raised by
Colonel Birge, accompanied the expedition from Fort Henry, and two
companies afterwards arrived by the transports. This was a corps of
picked men skilled in the use of the rifle, drawn from the North-west.
These hardy pioneers started out in the morning, with a hard
biscuit in their pocket and a rifle on their shoulder, for the rebel
earthworks, where they remained until relieved by a fresh gang. So
adventurous were they, that many of them crept within fifty yards of
the rifle-pits and exchanged words as well as shots with the enemy.
One piece in front of Dresser’s battery was kept in silence during
the morning by the sharpshooters picking off their gunners. At last a
shell from a Union battery, falling short, drove them away. One
valiant southerner, to prove his bravery, jumped into the rampart to
take aim; in an instant he was pierced by three balls, and fell out of
the intrenchment, where he lay till nightfall.
The firing for the rest of the day was slow, and appeared by general
consent to be abandoned. The Unionists seemed to have failed in
every attempt on the fort. Wounded men were being brought in on
stretchers; some limped along, supported by comrades, others
staggered forward with bleeding hands and battered heads tied in
handkerchiefs. The ambulances had brought in the maimed and
seriously wounded. In the gray dusk of evening men came forth with
spades to dig the graves of their fellow-soldiers, whose remains,
stiffened in death, were lying under the pale stars.
Hardly had the camp-fires been kindled for the night when a
drizzling shower set in, which soon turned into a steady fall of rain.
The wind grew suddenly colder. The weather, hitherto so pleasant,
was chilled in an hour to a wintry blast. Snow began to fall, and the
mercury sank below freezing point.
Many of the soldiers had lost their overcoats and blankets during
the day. Not a tent, except hospital tents, in the command.
Provisions growing very scarce—the muddy, wet clothing freezing
upon the chilled limbs of the hungry soldiers. It was a most
comfortless night. Not five houses could be found within as many
miles, and these were used as hospitals. Various expedients were
devised to ward off the cold. Saplings were bent down and twigs
interwoven into a shelter; leaves piled up made a kind of roof to keep
off the snow. Large fires were kindled, and the men lay with their feet
to the fire. The victims who perished of cold, exposure, hunger and
neglect, on this night, will fill up a long page in the mortality record
of that eventful siege.
On Friday, the conflict was maintained only by the pickets and
sharpshooters, General Grant having concluded to await the arrival
of additional forces, before assaulting the works.
Hitherto the investment had been made by the divisions of
Generals McClernand and Smith, about ten thousand men each,
including the cavalry and artillery. A third division had been sent up
the Cumberland, and should, by reasonable calculation, have been
opposite Fort Henry on Wednesday night. Here was Friday morning
and no transports arrived. What could have befallen them? General
L. Wallace, who had been left in command at Fort Henry, was
summoned over, and arrived on Friday evening with two regiments
of his brigade. Couriers were seen dashing along from the
headquarters to the point where the boats were expected to land.
About ten o’clock came the joyful intelligence that the gunboat fleet,
with fifteen transports, had landed five miles below the fort. The
troops from Fort Henry were pouring in, and close upon them came
the troops from the boats. The men had heard something of the
fighting, and moved up in splendid order, expecting to be marched
directly into battle.
At about half-past two o’clock the sound as of thunder, with long
reverberations in the distance, told that the river guns had at last
opened their mouths, and were paying their compliments grandly to
the rebel batteries. Now and then could be seen in the distance, high
up in the air, a sudden puff of white smoke, which sprang as if from
nothing, slowly curling in graceful folds, and melting away in a snow-
white cloud; it was a bursting shell, instantly followed by the rumble
of the gun from which it had been sent. The loud roar of the cannon
kept growing thicker and faster. The heavy columbiads and
Dahlgrens in the fort were returning the fire. One, two, three, and
then half a dozen at once! The terrible game of death becomes wildly
exciting!
The gunboats were advancing—the bombardment had fairly
begun. The cheers went up in ten thousand voices. The death-dealing
bolts of Fort Henry were falling thick and fast into Fort Donelson.
But little did the besiegers know what protection and defence nature
had laid against the ingenuity of art, which the insurgents had seized
upon to accomplish their purpose! No one considered the
importance of those great natural traverses and curtains of rock
which had been thrown up by the primeval subterranean fires, nor
what bomb-proofs and lunettes the waters of a thousand years had
worn into the sides of those hills. The area of the place was so large
that nearly the whole force could be removed from the water front,
and thus leave the shells to explode against the bleak hill sides, or
crush through the deserted huts of the enemy.
Meantime an occasional shot from the batteries surrounding the
outer lines of defence must have told upon the enemy on the other
side. The enemy replied but feebly. The entire morning had been in
anxious expectancy, neither party being willing to risk the chances of
another trial of valor. The weather was keen and frosty, the roads
slippery and clogged with stiff mud.
Saturday, which was destined to witness the grand denouement of
the painful tragedies enacted about Donelson, was cold, damp and
cheerless. The enemy, during the night, had transferred several of
their batteries to portions of their works, within a few hundred feet
of which the extreme right wing of the Federals was resting. Upon
the first coming of dawn, these batteries suddenly opened on the
Ninth, Eighteenth, Twenty-ninth, Thirtieth and Thirty-first
regiments, comprising Oglesby’s brigade, which had the advance.
Simultaneously with the opening of the batteries, a force of about
twelve thousand infantry and a regiment of cavalry was hurled
against the brigade with a vigor which, made against less steady and
well-disciplined troops, must surely have resulted in their entire
demolition.
Sudden and unexpected as was this sally on the part of the enemy,
it did not find the gallant Illinoisans unprepared to meet them. The
attack was made in columns of regiments, which poured in upon the
little band from no less than three different directions. Every
regiment of the brigade found itself opposed to two, and in many
cases to no less than four different regiments. Undismayed, however,
by the greatly superior force of the enemy, and unsupported by
adequate artillery, the brigade not only held their own, but upon two
occasions actually drove the rebels fairly into their intrenchments,
but only to be pressed back again into their former position. At last
having expended every round of their ammunition, they were obliged
to retire and give way to advancing regiments of Colonel W. H. L.
Wallace’s brigade, the Eleventh, Twentieth, Seventeenth, Forty-fifth,
Forty-eighth Illinois, and Forty-ninth Indiana regiments.
By rapid firing from the two batteries of Taylor and Schwartz, the
enemy was driven back. The Union regiments which had suffered so
much were withdrawn. The enemy had by this time concentrated
their broken troops for another attack. General McClernand had
already prepared for the emergency. Anticipating that an attempt
would be made to force a passage through, he ordered a brigade to
the rear and extreme right to form behind the regiments then in
front.
An hour had elapsed when the enemy returned in a dense mass,
renewing the fight. The battery of Captain Schwartz seemed to be the
object of their attack. On they came, pell mell, with deafening volleys
of fire. The Union batteries, well nigh exhausted of canister, poured a
storm of shell into their ranks. Ammunition caissons were sent back
in haste to get a fresh supply of canister. The Ninth, Eighteenth,
Thirtieth and Forty-first were the next regiments to be brought up.
The crest of the hill was contested with variable success for a full
hour, when the enemy was finally driven back. The line of battle was
so much confused that no connected account of the movements can
be detailed. The utmost bravery was displayed on both sides, until
the struggle degenerated into a wild fierce skirmish. The rebels
finally retired a third time.
The Union men had expended their ammunition. It was during
this lull, and before the men could realize the fact that they had
driven the enemy before them, that the fourth and last attempt was
made to seize the battery. The horses being shot, the enemy
succeeded in gaining possession of the battery of Captain Schwartz,
and were on the point of turning the guns on the Federal troops,
when Captain Willett’s Chicago battery, which had just toiled up
fresh from Fort Henry, arrived on the ground and poured in a perfect
storm of canister, just in time to save the day. The rebels fell back in
disorder, dragging the guns of Schwartz with them down the hill, and
gained entrance to the fort before the Federals could overtake them.
Some eager regiments followed them to the embankments, a few
men climbing over, who were driven back for want of support.
The regiments which suffered most in this morning’s engagement
were the Eighteenth and Eleventh Illinois; next them, the Thirty-first
and Eighth. The expenditure of ammunition must have been
excessive, on the hypothesis that each man had his cartridge-box full
on going into action. Forty rounds of the standard cartridge is
enough to fight with, and more than enough to carry with other
accoutrements of battle.
There were many instances of men who displayed the utmost
heroism in this action—some refused to be called off the field,
fighting to the last moment; others returned after having their
wounds dressed. One of the artillerymen, who received a wound,
walked to the hospital, a mile or more, had the ball extracted, and
then insisted on going back to his battery. The surgeon refused, when
he quaintly said: “Come, come, put on some of your glue and let me
go back.”
General McClernand, who had been a conspicuous mark during
the whole of this fight, bore himself with firmness, exhibiting great
decision and calmness in the most arduous situation. The tumult on
the left having subsided, he sent a messenger back to General Grant
to know if the left wing of General Smith was secure; if so he was
ready to advance. As the day waned, an occasional shot was to be
heard from the gunboats, but no satisfactory account could be
received of their operations. A lull followed the storm. Both armies
were preparing for the grand coup de main, by which Fort Donelson
was to be taken.
It was resolved to storm the fort. The honor of accomplishing this
difficult and perilous exploit on the left wing was given to General
Smith. When Colonel Lauman led his brigade in solid columns up
the steep sides of the hill, he drove the enemy from his
entrenchments, pouring a fearful volley into their disorganized and
broken ranks. The national ensign was immediately flung out from
the earthworks, and greeted with deafening cheers from ten
thousand loyal voices.
The shades of night cast their canopy over the contending hosts,
and compelled the Federal commander to delay the completion of his
victory till morning. Soon after daylight, the Federal columns
advanced in battle array, prepared to storm the works at all points,
when their eyes were greeted with innumerable white flags, thrown
out by the enemy at every threatened position.
What followed may be told in few words. The enemy seeing that
the Unionists had gained one of his strongest positions, and
successfully repulsed him in his most daring attempts to raise the
siege, took advantage of the darkness, and called a council of war, in
which it was determined to surrender. With all possible haste some
7,000 troops were dispatched up the river by night. The rebel
Generals Floyd and Pillow made their escape. The fort, with all its
contents, fell into the conquerors’ hands. More than 13,000
prisoners, Brigadier-General Buckner, with twenty Colonels and
other officers in proportion; sixty-five cannon, forty-eight field and
seventeen siege guns, a million and a half dollars in stores,
provisions, and equipage, twenty thousand stand of arms—was
glorious result, purchased at comparatively small loss. The Federal
loss in killed and wounded was 2,200; that of the rebels 1,275.
At the storming of Fort Donelson many acts of personal valor
might be recorded. An instance of reckless gallantry, and fortitude
under a most painful surgical operation, that of Hamilton, a son of
Professor Leiber, is worthy of record. This young man was twice
wounded in the battle of Fort Donelson. The first was a flesh wound,
of which he made nothing. Presently, however, he was struck by a
Minie ball in the same arm; this shattered his elbow, with the bones
above and below, and he sank to the ground, fainting with loss of
blood. He was picked up towards night, carried to a house, and
thence, over a rough road, in an army wagon, to the river bank, a
distance of three miles, which necessarily caused the greatest
suffering. Arrived at the river bank, he was put on board a boat and
conveyed with other wounded to an hospital, where his arm was
amputated. When the operation was over, the brave young fellow’s
first words were, “How long will it be before I can rejoin my
company?” At that time young Leiber was a Lieutenant of the Ninth
Illinois regiment. He was appointed aid-de-camp by General Halleck
soon after the battle of Donelson as a reward for his great bravery.
THE OCCUPATION OF NASHVILLE.
February 25, 1862.
After the surrender of Fort Donelson, on the 16th of February, it

became evident to the Confederate leaders that the cities of Nashville
and Memphis, and other important positions must soon fall into the
hands of the victorious Federal army. Public meetings were held at
both these cities, in which it was recommended to defend them to the
last extremity, and if necessary to prevent their occupancy by the
Union troops, many of the more violent and reckless of the military
determined that they should be burned, and every description of
property destroyed. At Nashville, the Governor, Isham G. Harris,
pledged himself to “shed his blood, fight like a lion, and die like a
martyr,” rather than submit to the enemy; and at the same time
efforts were made, but with little success, to organize additional
forces for defence.
During the progress of the siege at Fort Donelson, dispatches were
sent to Nashville, announcing a series of rebel successes, and on
Saturday night information was conveyed that the Federals had
again been defeated both on land and water, but they had been
reinforced and might renew the attack in the morning. With these
hopeful and exulting assurances, the city rested in peace, confident
that the light of the morning would open upon a glorious victory for
the rebel arms.
Early on the morning of Sunday the first rumors of this heavy
calamity to the rebel cause had been conveyed to the leaders in
Nashville. At first, suppressed whispers and grave countenances
indicated that something important had transpired. But the people
generally were confident and hopeful as on the evening before, and
anticipated that any hour of the day would give the signal for a grand
jubilee and rejoicing. The time for public service in the churches
drew near, and the people repaired to their several places of worship.
The churches were partly filled and the streets crowded with the
passing multitude, when a startling rumor broke the peaceful
stillness of the day. The Federals were victorious! Fort Donelson had
surrendered! Fifteen thousand Confederate prisoners had laid down
their arms to the invaders! Fear, added to imagination, ran riot in the
town.
It was said that the Federal troops had already reached Robertson,
a place about twenty-five miles from Nashville, connected by
railroad, and that the gunboats were at Clarksville, on the river, on
their way to the city. Governor Harris, taking advantage of his early
information, had hastily convened the members of the Legislature,
then in session at Nashville, which had met, and adjourned to
convene at Memphis. These circumstances becoming known, gave
plausibility to the exciting rumors of the celerity of the Federal
movements, and the people were panic stricken.
Before nightfall hundreds of citizens, singly and in families, were
making their way South, many of them having no idea why they were
thus recklessly abandoning comfortable homes, or where they were
going. Toward night it was announced that the military authorities
would throw open the public stores to all who would carry the
property away.
This excitement continued throughout Sunday night, constantly
gaining strength, aided by the destruction of two gunboats which
were in process of construction—two fine New Orleans packets, the
James Woods and James Johnson, having been taken for that
purpose. The army of General Johnston commenced its retreat,
encamping by regiments at convenient points outside of the city. On
Monday morning, great excitement prevailed; the public stores were
distributed to some extent among the people, while the army and
hospitals were making heavy requisitions, and pressing all the
vehicles and men that could be obtained to carry supplies to their
camp. At the same time, considerable quantities of stores were
removed to the depots for transportation south. Evening came, and
no gunboats—no Federal army from Kentucky. General Johnston left
for the South, placing General Floyd in command, assisted by
Generals Pillow and Hardee. The apprehensions of the near
approach of the enemy having been found groundless, it was
determined by General Floyd that the distribution of the stores was
premature. An order was sent to close the warehouses, and a force
detailed to collect what had been given out. This was done, so far as
practicable—but on Tuesday the distribution commenced again, and
continued with slight restrictions, under the eyes of the most
judicious citizens, until Saturday morning. Tuesday night the iron
and railroad bridges across the Cumberland were destroyed, in spite
of the most earnest and persistent remonstrances of leading citizens.
The iron-bridge cost about one hundred and fifty thousand dollars,
and the railroad bridge two hundred and fifty thousand dollars. It
was one of the finest drawbridges in the country.
The scenes which were enacted during the following days, up to
Monday morning the 24th, were still more exciting. The untiring
energy of the Mayor and city authorities, who throughout this whole
affair acted with prudence and zeal, was inadequate to keep the
excited people under control.
On Sunday morning, twenty-five Federal pickets breakfasted in
Edgefield, opposite the city, and during the morning eight of them
seized a little stern-wheeled steamer that had been used as a ferry,
and refused to permit it to continue its trips. Mayor Cheatham
immediately crossed in a skiff, but found no officer with whom he
could negotiate. In the evening, Colonel Emmet, of the Fourth Ohio
Cavalry arrived, and sent a message to the Mayor, requesting his
presence. The interview was satisfactory on both sides, though the
formal surrender of the city was deferred until the arrival of General
Mitchell, who was expected on Sunday night or Monday morning.
On Monday morning the city became comparatively quiet. In the
evening Generals Buell and Mitchell arrived in Edgefield, and
understanding that the authorities had appointed a committee,
consisting of the Mayor and several of the leading citizens, he sent a
message requesting an interview. The hour of the interview was fixed
at eleven o’clock, A. M. on Tuesday. In the mean time General Nelson
arrived in the city about eight o’clock, A. M., in command of a fleet,
consisting of one gunboat, the Cairo, and eight transports.
Transports continued to arrive during the day, and at night the
number reached eighteen or twenty. A large portion of this army

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Dynamics Games and Science

International Conference and Advanced

Mathematics of Energy and Climate Change International

Knowledge Science, Engineering and Management: 13th

Computers and Games 8th International Conference CG

Spatial Information Theory 11th International

Earth Observation Open Science and Innovation 1st

Computer Games Workshop on Computer Games CGW 2013 Held

Security and Privacy in Communication Networks 9th

Alberto Adrego Pinto

More information about this series at

Alberto Adrego Pinto Marcelo Viana

ISSN 2364-950X ISSN 2364-9518 (electronic)

Mathematics Subject Classification (2010): 37-02, 37-06, 91-01, 91-02

Springer Cham Heidelberg New York Dordrecht London

Printed on acid-free paper

Springer International Publishing AG Switzerland is part of Springer Science+Business Media

Jim Michael Cushing

President of CIM Scientific Council Irene Fonseca

Bures-sur-Yvette, France Jean-Pierre Bourguignon

Corruption, Inequality and Income Taxation .. . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 1

Shannon Switching Game and Directed Variants . . . . . . . .. . . . . . . . . . . . . . . . . . . . 187

The Macrodynamics of Employment Under Uncertainty . . . . . . . . . . . . . . . . . . . 479

Minimum H-Decompositions of Graphs and Its Ramsey

Appendix B: Interviews MPE: DGS II . . . . . . . . . . . . . . . . . . . .. . . . . . . . . . . . . . . . . . . . 753

Elvio Accinelli and Edgar J. Sánchez Carrera

Abstract It is recognized that corrupt behavior determines the institutional types

E. Accinelli () • E.J. Sánchez Carrera

© Springer International Publishing Switzerland 2015 1

While a large proportion of corrupt practices are illegal, in this paper we do

2. We consider that the central planner has implemented a proportional taxation

c .t/ D ˇ.t/ C ı.t/:

uP .˛; R/ > 0 and ux .˛; R/ > 0;

depend on the total national revenue, R, and on the share, ˛, of taxpayers.

uCNx .˛/ D ux .˛; R/ C .1 . y//y.x/; .A/

uPNC .˛; / D up .˛; R/ .1 ˛/c. /: .D/

central planner) must verify the equations:

3 On the Evolutionary Dynamics of the Model

where a; b; c; d; e; f are positive constants, and the magnitude of these parameters

February 25, 1862.

After the surrender of Fort Donelson, on the 16th of February, it

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