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Springer Undergraduate Mathematics Series

Christof Eck
Harald Garcke
Peter Knabner

Mathematical
Modeling
Springer Undergraduate Mathematics Series

Advisory Board
M.A.J. Chaplain, University of St. Andrews, St. Andrews, Scotland, UK
A. MacIntyre, Queen Mary University of London, London, England, UK
S. Scott, King’s College London, London, England, UK
N. Snashall, University of Leicester, Leicester, England, UK
E. Süli, University of Oxford, Oxford, England, UK
M.R. Tehranchi, University of Cambridge, Cambridge, England, UK
J.F. Toland, University of Cambridge, Cambridge, England, UK

The Springer Undergraduate Mathematics Series (SUMS) is a series designed for

undergraduates in mathematics and the sciences worldwide. From core foundational
material to final year topics, SUMS books take a fresh and modern approach.
Textual explanations are supported by a wealth of examples, problems and
fully-worked solutions, with particular attention paid to universal areas of difficulty.
These practical and concise texts are designed for a one- or two-semester course but
the self-study approach makes them ideal for independent use.
More information about this series at http://www.springer.com/series/3423
Christof Eck Harald Garcke
•

Peter Knabner

Mathematical Modeling

123
Christof Eck Peter Knabner
Universität Stuttgart Department Mathematik
Stuttgart Universität Erlangen-Nürnberg
Germany Erlangen
Germany
Harald Garcke
Fakultät für Mathematik
Universität Regensburg
Regensburg
Germany

ISSN 1615-2085 ISSN 2197-4144 (electronic)

Springer Undergraduate Mathematics Series
ISBN 978-3-319-55160-9 ISBN 978-3-319-55161-6 (eBook)
DOI 10.1007/978-3-319-55161-6
Library of Congress Control Number: 2017935386

Mathematics Subject Classification (2010): 00A71, 34-01, 35-01, 49-01, 74-01, 76-01, 80-01

© Springer International Publishing AG 2017

This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or part
of the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations,
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the relevant protective laws and regulations and therefore free for general use.
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To the memory of
Prof. Dr. Christof Eck
(1968–2011)
Preface

Preface to the English Edition

Encouraged by the positive reception to our German textbook on mathematical

modeling, we were motivated to create an English version of this book. Although
there is a long tradition of English textbooks on mathematical modeling to the best
of our knowledge, most of them differ from the one presented here, as our book is
ordered according to a hierarchy of mathematical subjects with increasing com-
plexity. We start from simple models given by (linear) equations and end up with
complex mathematical models involving nonlinear partial differential equations
with free boundaries. In this way, we offer a variety of mathematically more and
more inclined subjects from which both elementary undergraduate and sophisti-
cated graduate courses can be composed.1 In this sense, we hope that our book fills
a gap and will be of use also in the curricula for mathematical modeling in
English-speaking universities.
We have taken the opportunity of the translation process to correct further
misprints and small inconsistencies which have come to our knowledge.
This English version of this book would not have come into existence without
support of the following people: Mrs. Eva Rütz, Mrs. Astrid Bigott, and
Mrs. Cornelia Weber have created the TEX version on the basis of the first trans-
lation provided by the authors, as usual with enormous exactness, speediness, and
dedication. This first draft has been considerably improved by Prof. Serge Kräutle
and Dr. Kei Fong Lam, who worked through the whole text and removed various
inconsistencies and mistakes not only in the usage of the English language but also
concerning the mathematical contents. We thank Clemens Heine of Springer-
Verlag for his continuous support and encouragement.

1
See the preface to the German edition for more detailed suggestions for the use of this textbook.

vii
viii Preface

It fills us with deep sadness that our scholar, colleague, and friend Christof Eck
could not participate in this enterprise. Extremely untimely, just being 43 years of
age, he passed away after a long illness. This volume is dedicated to his memory.

Regensburg, Germany Harald Garcke

Erlangen, Germany Peter Knabner
July 2016

Preface to the First German Edition

With the notion mathematical modeling, we denote the description of phenomena

from nature, technology, or economy by means of mathematical structures. The aim
of modeling is the derivation of a meaningful mathematical formulation from which
statements and solutions for the original problem can be derived. Here, in principle,
every branch of mathematics is “applicable.” In technological applications, quite
often mathematical problems arise with such complexity that they have to be
simplified by neglecting certain influences or they can only be solved with the help
of numerical methods.
If one simplifies mathematical models, for example by neglecting certain “small”
terms in an equation, then it is the task of mathematicians to check to which extent
the behavior of solutions has been changed. Historically, a variety of mathematical
concepts that have been developed were driven by the requirements of applications.
Having this in mind, it is neither by chance nor astonishing that mathematics and
real world “fit together.” Mathematical concepts whose development has been
triggered from a specific field of application often also proved to be usable in other
fields of applications. Furthermore, for a specific problem from applications, there
are in general a wide range of mathematical models feasible. The choice of the
model certainly depends on the degree of detail in the (temporal or spatial) level of
consideration.
Considering this, an education in mathematical modeling appears to be indis-
pensable, if a study in mathematics is also supposed to contain professional qual-
ifications. Often the classical courses of a mathematics curriculum can deliver such
an education only insufficiently. Typical courses concentrate on the development of
a mathematical theory, in which sample applications—if at all—only play the role
of an “optional” motivation. Also, the study in a minor subject from an application
field in general cannot close the gap because students in mathematics are often
overburdened: On the one hand, they have to learn the results of an application
field, and on the other hand, they have to extract mathematical structures from them
to make mathematical knowledge useful. Against this background, specific courses
in mathematical modeling have entered the curriculum of mathematical studies at
various universities. In this context, the present textbook wants to be helpful.
On the one hand, this textbook presents knowledge from an area “between” math-
ematics and the sciences (e.g., from thermodynamics and from continuum mechanics)
Preface ix

which students and lecturers of mathematics need in order to understand models for
problems in the sciences and engineering and also to derive them. On the other hand,
this book contains a variety of interesting, practically relevant examples for the
mathematical theories often only experienced at an abstract level during the study of
mathematics and thus answers the question often posed “what do I need this for?”.
While it cannot substitute any of the textbooks dealing with the underlying mathe-
matical structures such as linear systems of equations/linear algebra or ordinary or
partial differential equations, it nevertheless contains essential aspects of the analysis
of the models. One aim in particular is to illustrate the interactions between mathematics
and applications, which unfortunately are often neglected in mathematics courses.
Furthermore, this textbook also addresses students from the sciences and from
engineering and offers them an introduction into the methods of applied mathe-
matics and mechanics.
The content of this book is restricted to deterministic models with continuous
scales, as they are in the center of classical natural sciences and engineering. In
particular, stochastic models are beyond the scope of this book, and the same
applies to processes at very small scales for which particular models or models from
quantum mechanics and its approximations are feasible. Also, models from eco-
nomics are not in the focus of this book, as stochastic approaches play an important
role there.
An essential concept of this book consists in using the mathematical structures
(and the knowledge about them) as an ordering principle and not the different fields
of applications. This reflects the strength of mathematics, lying in the fact that one
concept can be used for totally different problem classes and fields of applications.
It allows dealing with examples from different fields of applications efficiently
without being forced to always repeat the same mathematical basic structures: This
line will be followed in Chapter 1 and in Chapters 2, 4, 6, and 7. In this order, one
finds embedded Chapters 3 (thermodynamics) and 5 (continuum mechanics). They
provide the necessary links to the natural sciences and engineering. Of course, these
chapters are also shaped by the application of mathematical tools.
The restriction of the subjects at the level of application corresponds to a
restriction at a mathematical level: Throughout this book, we use knowledge from
linear algebra and analysis intensively. Chapter 4 relies on the knowledge provided
by courses in analysis or in ordinary differential equations, and Chapter 5 makes use
in an essential way of the methods of the multidimensional differentiation and
integration (integral theorems) and in this way from the more advanced aspects of
analysis. In Chapter 7, the foundations of the geometry of curves and surfaces play
an important role. It is impossible to define a clear delimitation to the analysis of
partial differential equations. Knowledge from this field and also from linear
functional analysis certainly is useful for Chapter 6, but not necessary.
A discussion of mathematical results about partial differential equations takes
place in this chapter only insofar as there is a tight linkage to the model interpre-
tation. Therefore, the presentation cannot be completely rigorous, but possible gaps
and necessary consolidations are pointed out. In this way, this chapter does not
necessarily require an intense study of the analysis of partial differential equations,
x Preface

but hopefully, it stimulates to do so. There is no chapter dedicated solely to opti-

mization, but concepts of optimization are used in different chapters. This reflects
that optimization problems in modeling often appear as an equivalent formulation
of other mathematical problems when expressed in a variational formulation. We
have totally excluded the treatment of numerical methods from this book, although
they represent a central tool in the practical treatment of technical and scientific
problems. We think that this can be justified as there is already a vast amount of
excellent textbooks available.
The material of this book can be used in various ways for undergraduate and for
graduate students, both at an elementary level and at a more advanced level. The
simplest usages are two lecture courses of four hours each week, which cover the
whole spectrum of this book. Here, the first part should be placed in the second half
of undergraduate studies and the second part in the graduate studies. Alternatively,
a course with two hours of lecture per week of introductory character is also
possible at an early stage of graduate studies based on parts of Chapters 1, 2, and 4.
This can be further complemented by another two-hour-per-week course consisting
of parts of Chapters 5 and 6. If there is only room for one course, then it is also
possible to build a course of four hours of lecture per week out of parts of Chapters
1, 2, 3, 4, 5, and some aspects of 6. Alternatively, Chapters 5, 6, and 7 can be used
for a course about mathematical models and continuum mechanics or from the basic
sections of Chapter 5 (derivation of the conservation equations) and Chapters 6 and
7, a course on “applied partial differential equation” can be extracted. Furthermore,
this book can be used efficiently for self-study, at undergraduate, graduate, or
postgraduate level. Postgraduates working with a mathematical model related to
certain fields of application may find the necessary foundations here.
The aim of all the courses described can only be to close a certain gap to the
application fields, and they cannot substitute the concrete realization of modeling
projects. Intensive treatment of many exercises presented here is helpful, but finally,
to our understanding, modeling can only be learned by modeling practice.
A possible teaching concept as it has been used by the authors consists of problem
seminars in which tasks from the applications are posed without any mathematical
material, i.e., the development of feasible mathematical concepts is an essential part
of the work. But we hope that courses based on this textbook provide an essential
foundation for such a modeling practice.
Finally, this book seems to be also suitable for students of the natural sciences
(physics, chemistry) and of engineering. For these students, some of the modeling
aspects will be familiar from specific cases, but a rigorous inclusion in a mathe-
matical methodology should lead to further insight.
Of course, we are not going to judge the existing textbooks on mathematical
modeling. Certainly, there is a variety of excellent books, but in quantity much less
than in other mathematical fields, and many textbooks restrict themselves to an
elementary level, in particular also addressing high school students. A textbook
which tries to cover the whole spectrum from elementary aspects to recent research
is not known to us. Often, textbooks also follow different ordering principles.
The present textbook originated from courses which were given by the second
Preface xi

author at the University of Regensburg and by the first and third author at the
University of Erlangen several times, and therefore, it is the result of a complex
developing process. During this process, the authors received important support.
The authors express their thanks to Bernd Ammann, Luise Blank, Wolfgang
Dreyer, Michael Hinze, and Willi Merz for valuable suggestions. Sincere thanks are
given to Barbara Niethammer, who together with the second author has lectured a
course on mathematical modeling at the University of Bonn from which much
material entered the present book. For careful proofreading, we thank Martin Butz,
Daniel Depner, Günther Grün, Robert Haas, Simon Jörres, Fabian Klingbeil, David
Kwak, Boris Nowak, Andre Oppitz, Alexander Prechtel, and Björn Stinner. In TEX
writing, we were supported by Mrs. Silke Berghof and in particular by Mrs. Eva
Rütz who typed a large part of the manuscript and worked on the numerous figures
with strong dedication—to both our cordial thanks. We thank Serge Kräutle who
provided the figure at the cover—a numerical simulation of the Kármán vortex
street. We would also like to thank cordially Ulrich Weikard for providing
Figure 6.14 and James D. Murray for providing Figure 6.10.

Bielefeld, Germany Christof Eck

Regensburg, Germany Harald Garcke
Erlangen, Germany Peter Knabner
December 2007
Contents

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 1
1.1 What Do We Mean by (Mathematical) Modeling? . . . . . . . . .... 1
1.2 Aspects of Mathematical Modeling: Example of Population
Dynamics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.3 Population Models with Restricted Resources. . . . . . . . . . . . . . . . 8
1.4 Dimensional Analysis and Scaling . . . . . . . . . . . . . . . . . . . . . . . . 12
1.5 Asymptotic Expansions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
1.6 Applications from Fluid Mechanics . . . . . . . . . . . . . . . . . . . . . . . 27
1.7 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
1.8 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
2 Systems of Linear Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.1 Electrical Networks. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
2.2 Space Frames . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
2.3 Constrained Optimization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.4 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
2.5 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
3 Basic Principles of Thermodynamics . . . . . . . . . . . . . . . . . . . . . . .... 75
3.1 The Model of an Ideal Gas and the Maxwell–Boltzmann
Distribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 76
3.2 Thermodynamic Systems and the Thermodynamic
Equilibrium . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 80
3.3 The First Law of Thermodynamics . . . . . . . . . . . . . . . . . . . . .... 81
3.4 The Second Law of Thermodynamics and the Notion
of Entropy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
3.5 Thermodynamic Potentials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
3.6 The Legendre Transform . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
3.7 The Calculus of Differential Forms . . . . . . . . . . . . . . . . . . . . . . . . 99
3.8 Thermodynamics of Mixtures and the Chemical Potential . . . . . . 102

xiii
xiv Contents

3.9 Chemical Reactions in Multi Species Systems . . . . . . . . . . . . . . . 109

3.10 Equilibria of Chemical Reactions and the Mass Action Law . . . . 114
3.11 Kinetic Reactions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
3.12 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
3.13 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
4 Ordinary Differential Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
4.1 One-Dimensional Oscillations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
4.1.1 Forced Oscillations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
4.2 The Lagrangian and Hamiltonian Form of Mechanics . . . . . . . . . 141
4.3 Examples from Population Dynamics . . . . . . . . . . . . . . . . . . . . . . 152
4.4 Qualitative Analysis, Phase Portraits . . . . . . . . . . . . . . . . . . . . . . . 155
4.5 The Principle of Linearized Stability . . . . . . . . . . . . . . . . . . . . . . 160
4.6 Stability of Linear Systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
4.7 Variational Problems for Functions of One Variable . . . . . . . . . . 167
4.8 Optimal Control with Ordinary Differential Equations . . . . . . . . . 183
4.9 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
4.10 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 190
5 Continuum Mechanics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
5.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
5.2 Classical Point Mechanics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
5.3 From Particle Mechanics to a Continuous Medium . . . . . . . . . . . 203
5.4 Kinematics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
5.5 Conservation Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 212
5.6 Constitutive Relations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 222
5.7 The Second Law of Thermodynamics
in Continuum Mechanics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 234
5.8 Principle of Frame Indifference . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
5.9 Constitutive Theory for Viscous Fluids . . . . . . . . . . . . . . . . . . . . 247
5.10 Modeling of Elastic Solids . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
5.11 Electromagnetism . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
5.12 Dispersion. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
5.13 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
5.14 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
6 Partial Differential Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
6.1 Elliptic Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
6.1.1 Calculus of Variations . . . . . . . . . . . . . . . . . . . . . . . . . . . 304
6.1.2 The Fundamental Solution . . . . . . . . . . . . . . . . . . . . . . . . 314
6.1.3 Mean Value Theorem and Maximum Principles . . . . . . . 317
6.1.4 Plane Potential Flows, the Method of Complex
Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 319
6.1.5 The Stokes Equations . . . . . . . . . . . . . . . . . . . . . . . .... 325
6.1.6 Homogenization . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 327
Contents xv

6.1.7 Optimal Control of Elliptic Differential Equations . . . . . . 332

6.1.8 Parameter Identification and Inverse Problems . . . . . . . . 336
6.1.9 Linear Elasticity Theory . . . . . . . . . . . . . . . . . . . . . . . . . 340
6.2 Parabolic Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 344
6.2.1 Uniqueness of Solutions, the Energy Method . . . . . . . . . 345
6.2.2 Large Time Behavior. . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
6.2.3 Separation of Variables and Eigenfunctions. . . . . . . . . . . 351
6.2.4 The Maximum Principle . . . . . . . . . . . . . . . . . . . . . . . . . 354
6.2.5 The Fundamental Solution . . . . . . . . . . . . . . . . . . . . . . . . 355
6.2.6 Diffusion Times . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 358
6.2.7 Invariant Transformations . . . . . . . . . . . . . . . . . . . . . . . . 360
6.2.8 General Initial Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 361
6.2.9 Brownian Motion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
6.2.10 Traveling Waves . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
6.2.11 Reaction Diffusion Equations and Traveling Waves . . . . 367
6.2.12 Turing Instability and Pattern Formation . . . . . . . . . . . . . 374
6.2.13 Cahn–Hilliard Equation and Pattern Formation
Processes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 381
6.3 Hyperbolic Conservation Laws . . . . . . . . . . . . . . . . . . . . . . . . . . . 385
6.4 The Wave Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 393
6.5 The Navier–Stokes Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
6.6 Boundary Layers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 405
6.7 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
6.8 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 420
7 Free Boundary Problems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 427
7.1 Obstacle Problems and Contact Problems . . . . . . . . . . . . . . . . . . . 428
7.2 Free Boundaries in Porous Media . . . . . . . . . . . . . . . . . . . . . . . . . 435
7.3 The Stefan Problem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 446
7.4 Entropy Inequality for the Stefan Problem . . . . . . . . . . . . . . . . . . 453
7.5 Undercooled Liquids. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 454
7.6 Gibbs–Thomson Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 456
7.7 Mullins–Sekerka Instability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 458
7.8 A Priori Estimates for the Stefan Problem with Gibbs–Thomson
Condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 461
7.9 Phase Field Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 464
7.10 Free Surfaces in Fluid Mechanics . . . . . . . . . . . . . . . . . . . . . . . . . 472
7.11 Thin Films and Lubrication Approximation . . . . . . . . . . . . . . . . . 476
7.12 Literature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 479
7.13 Exercises. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 480
Appendix A: Function Spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 489
Appendix B: Curvature of Hypersurfaces . . . . . . . . . . . . . . . . . . . . . . . . . 493
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 499
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 505
Chapter 1
Introduction

1.1 What Do We Mean by (Mathematical) Modeling?

With (mathematical) modeling we denote the translation of a specific problem from

the natural sciences (experimental physics, chemistry, biology, geosciences) or the
social sciences, or from technology, into a well-defined mathematical problem. The
mathematical problem may range in complexity from a single equation to a system
of several equations, to an ordinary or partial differential equation or a system of
such equations, to an optimization problem, where the state is described by one
of the aforementioned equations. In more complicated cases we can also have a
combination of the problems mentioned. A mathematical problem is well-posed, if
it has a unique solution and if the solution of the problem depends continuously
on its data, where continuity has to be measured in such a way that the results are
meaningful for the application problem in mind. In general the phenomena to be
described are very complex and it is not possible or sensible to take all its aspects
into account in the process of modeling, because for example
• not all the necessary data are known,
• the model thus achieved cannot be solved anymore, meaning that its (numerical)
solution is expensive and time consuming, or it is not possible to show the well-
posedness of the model.
Therefore nearly every model is based on simplifications and modeling assumptions.
Typically the influence of unknown data are neglected, or only taken into account
in an approximative fashion. Usually complex effects with only minor influences on
the solution are neglected or strongly simplified. For example if the task consists
of the computation of the ballistic trajectory of a soccer ball then it is sensible to
use classical Newtonian mechanics without taking into account relativity theory. In
principle using the latter one would be more precise, but the difference in results for
a typical velocity of a soccer ball is negligible. In particular this holds true if one
takes into account that there are errors in the data, for example slight variations in the
size, the weight, and the kickoff velocity of the soccer ball. Typically available data

© Springer International Publishing AG 2017 1

C. Eck et al., Mathematical Modeling, Springer Undergraduate
Mathematics Series, DOI 10.1007/978-3-319-55161-6_1
2 1 Introduction

are measured and therefore afflicted with measurement errors. Furthermore in this
example certainly the gravitational force of the Earth has to be taken into account, but
its dependence on the flight altitude can be neglected. In a similar way the influence
of the rotation of the Earth can be neglected. On the other hand the influence of air
resistance cannot be neglected. The negligible effects are exactly those which make
the model equations more complex and require additional data, but do not improve
the accuracy of the results significantly.
In deriving a model one should make oneself clear what is the question to be
answered and which effects are of importance and have to be taken into account
in any case and which effects are possibly negligible. The aim of the modeling
therefore plays a decisive role. For example the model assumptions mentioned above
are sensible for the flight trajectory of a soccer ball, but certainly not for the flight
trajectory of a rocket in an orbit around the Earth. Another aspect shows the following
example from weather forecasting: An exact model to compute the future weather for
the next seven days from the data of today cannot serve for the purposes of weather
forecast if the numerical solution of this model would need nine days of computing
time of the strongest available supercomputer. Therefore often a balance between the
accuracy required for the predictions of a model and the costs to achieve a solution
is necessary. The costs can be measured for example by the time which is necessary
to achieve a solution of the model and for numerical solutions also by the necessary
computer capacities. Thus at least in industrial applications costs often mean financial
costs. Because of these reasons there can be no clear separation between correct or
false models, a given model can be sensible for certain applications and aims but not
sensible for others.
An important question in the construction of models is: Does the mathematical
structure of a model change by neglecting certain terms? For example in the initial
value problem
ε y  (x) + y(x) = 0 , y(0) = 1

with the small parameter ε one could think about omitting the term εy  . However,
this would lead to an obviously unsolvable algebraic system of equations

y(x) = 0 , y(0) = 1 .

The term neglected is decisive for the mathematical structure of the problem indepen-
dent of the smallness of parameter ε. Therefore sometimes terms which are identified
as small, cannot be neglected. Hence, constructing a good mathematical model also
means to take aspects of analysis (well-posedness) and numerics (costs) of the model
into account.
The essential ingredients of a mathematical model are

• an application problem to be described,

• a number of model assumptions,
1.1 What Do We Mean by (Mathematical) Modeling? 3

• a mathematical problem formulation, for example in the form of a mathematical

relation, specifically an equation, an inequality, or differential equation, or several
coupled relations, or an optimization problem.
The knowledge of the model assumptions is of importance to estimate the scope
of applications and the accuracy of the predictions of a model. The aim of a good
model is, starting from known but probably only estimated data and accepted laws
of nature to give an answer as good as possible for a given question in an application
field. A sensible model should only need data which are known or for which at least
plausible approximations can be used. Therefore the task consists in extracting as
much as possible information from known data.

1.2 Aspects of Mathematical Modeling: Example

of Population Dynamics

To illustrate some important aspects of modeling in this section we consider a very

simple example: A farmer has a herd of 200 cattle and he wants to increase this herd
to 500 cattle, but only by natural growth, i.e., without buying additional animals.
After a year the cattle herd has grown to 230 animals. He wants to estimate how long
it lasts till he has reached his goal.
A sensible modeling assumption is the statement that the growth of the population
depends on the size of the population, as a population of the double size should also
have twice as much offspring. The data available are
• the initial number x(t0 ) = 200 of animals at the initial time t0 ,
• the increment in time Δt = 1 year,
• a growth factor of r = 230/200 = 1.15 per animal and per time increment Δt.
If one sets tn = t0 + nΔt and if x(t) denotes the number of animals at time t, then
knowing the growth factor leads to the recursion formula

x(tn+1 ) = r x(tn ) . (1.1)

From this recursion formula one gets

x(tn ) = r n x(t0 ) .

Therefore the question can be formulated as:

Find a number n such that x(tn ) = 500.
The solution is
 
500
  ln
x(tn ) 200
n ln(r ) = ln , or n = ≈ 6.6.
x(t0 ) ln(1.15)
4 1 Introduction

Hence, the farmer has to wait for 6.6 years.

This is a simple population model which in principle can also be applied to other
problems from biology, for example the growth of other animal population, of plants
or bacteria. But it can also be used in apparently totally different fields of applications,
for example the computation of interests or the cooling of bodies (see Exercises 1.1
and 1.2). Without possibly noticing, in deriving the above model we have used several
important modeling assumptions, which are fulfilled sometimes, but which are not
fulfilled in a lot of cases. In particular the influence of the following effects has been
neglected:
• the spatial distribution of the population,
• limited resources, for example limited nutrients,
• a loss of population by natural enemies.
Further details which also have been neglected, are for example the age distribution
in the population, which has influence on the death rate and the birth rate, and the
subdivision in female and male animals. Additionally the model leads to non-integer
population quantities, which strictly speaking is not correct. The simplifications and
deficiencies do not render the model worthless but they have to be recognized and
taken into account to assess the result correctly. In particular the specific result of
6.6 years should not be taken too seriously, and an appropriate interpretation rather
is that the farmer presumably will reach his goal in the 7th year.
An aspect, which is not optimal for intrinsic mathematical reasons, is the time
increment of one year, because it is chosen arbitrarily. For the application under
consideration it has a sensible meaning, nevertheless also an increment of three
months or of two years could have been chosen. Furthermore we need two data, the
increment in time and the growth rate. Both data depend on each other, meaning
that the growth characteristics possibly can only be described by one number. As a
first approach one can conjecture that the growth rate depends linearly on the time
increment, i.e.,
r = 1 + Δt p

with a factor p still unknown. From r = 1.15 for Δt = 1 year we conclude that p =
0.15/year. Taking this for granted then for Δt = 2 years one has r = 1.3. Therefore
after 6 years, (6 = 3 times 2) the farmer has

200 · 1.33 = 439.4

cattle. But in the “old” model with Δt = 1 year he has

200 · 1.156 ≈ 462.61

animals. Therefore the assumption of a linear relation between r and Δt is wrong.

A better approach can be gained by the limiting process Δt → 0:

1.2 Aspects of Mathematical Modeling: Example of Population Dynamics 5

x(t + Δt) ≈ (1 + Δt p) x(t) for “small” Δt ,

or more precisely
x(t + Δt) − x(t)
lim = p x(t) ,
Δt→0 Δt

i.e.,
x  (t) = p x(t) . (1.2)

This is a continuous model in the form of an ordinary differential equation, which

does not contain an arbitrarily chosen time increment anymore. It possesses the exact
solution
x(t) = x(t0 ) e p(t−t0 ) .

If the data are as above, i.e., a time increment of Δt = 1 year and a growth rate
r = 1.15, this means
e p·1 year = 1.15

and therefore
p = ln(1.15)/year ≈ 0.1398/year .

This is a continuous exponent of growth.

The discrete model (1.1) can be perceived as a special numerical discretization
of the continuous model. An application of the explicit Euler method with time step
Δt to (1.2) leads to

x(ti+1 ) = x(ti ) + Δt p x(ti ) , or x(ti+1 ) = (1 + Δt p) x(ti ) ,

this is (1.1) with r = 1 + Δt p. In the case p < 0 a time increment of the size
Δt < (− p)−1 has to be chosen to achieve a sensible sequence of numbers. On the
other hand using the implicit Euler method one gets

x(ti+1 ) = x(ti ) + Δt p x(ti+1 ) , or x(ti+1 ) = (1 − Δt p)−1 x(ti ) ,

i.e., (1.1) with r = (1 − Δt p)−1 . Here for p > 0 the time step has to be chosen such
that Δt < p −1 . By Taylor series expansion one can see that  the different growth
factors coincide for small Δt “up to an error of the order O (Δt)2 ”:
 
(1 − Δt p)−1 = 1 + Δt p + O (Δt p)2 .

The connection between the continuous and the discrete model therefore can be
established by an analysis of the convergence properties of the numerical method.
For the (explicit or implicit) Euler method one gets for example

|x(ti ) − xi | ≤ C(te ) Δt ,
6 1 Introduction

where x(ti ) is the exact solution of (1.2) at time ti and xi is the approximate solution
of the numerical method, assuming that ti ≤ te , where te is the given final time for the
model. For details about the analysis of numerical methods for ordinary differential
equations we refer to the textbooks of Stoer and Bulirsch [123] and Deuflhard and
Bornemann [28].
Both models, the discrete and the continuous, have the seeming disadvantage
that they also allow non-integer solutions, which obviously are not realistic for the
considered example. The model describes — as it is true for every other model —
not the total reality but only leads to an idealized picture. For small populations
the model is not very precise, as in general population growth also depends heavily
on stochastic effects and therefore cannot be computed precisely in a deterministic
way. In addition for small populations the model assumptions are questionable, in
particular one neglects the age and the sex of the animals. In the extreme case of a
herd of two animals obviously the growth will depend heavily on the fact whether
there is a male and a female animal, or not. For large populations on the other hand
one can assume with a certain qualification that it possesses a characteristic uniform
distribution in age and in sex, such that the assumption of a growth proportional to
population size make sense.
The substitution of integer values by real numbers reflects the inaccuracy of the
model. Therefore it is not sensible to change the model such that integer values in
the solutions are enforced. This would only lead to an unrealistic perception of high
accuracy of the model. For a small population a stochastic model, which then “only”
provides statements about the probability distribution of the population size, makes
sense instead of deterministic models.
Nondimensionalization
The quantities in a mathematical model generally have a physical dimension. In the
population model (1.2) we have the units number and time. We denote the physical
dimension of a quantity f with [ f ] and abbreviate the units number of entities by A
and time by T . Therefore we have

[t] = T ,
[x(t)] = A ,
A
[x  (t)] = ,
T
1
[ p] = .
T
The specification of a physical dimension is not yet a decision about the physical unit
of measurements. As a unit of measurement for time one can use seconds, minutes,
hours, days, weeks, or years, for example. If we measure time in years, then t is
indicated in years, x(t) by a number, x  (t) in number/years and p in number/years.
To get models as simple as possible and furthermore in order to determine char-
acteristic quantities in a model, one can nondimensionalize the model equations.
1.2 Aspects of Mathematical Modeling: Example of Population Dynamics 7

For this aim one defines a characteristic value for every appearing dimension and
correspondingly a unit of measurement. Here it is not necessary to choose one of the
common units as for example seconds or hours but it is more appropriate to choose
a unit adapted to the problem. For the population model there are two dimensions,
therefore two characteristic values are needed, the characteristic number x and the
characteristic time t. These are chosen in such a way that the initial data t0 and
x0 = x(t0 ) are as simple as possible. Therefore a convenient unit of measurement
for time is given by
t − t0
τ= ,
t

where t denotes a unit of time which still has to be specified, and as a unit for number
we choose
x = x0 .

Setting
x
y=
x
and expressing y as a function of τ ,

x(tτ + t0 )
y(τ ) = ,
x
one obtains
t 
y  (τ ) = x (t)
x
and therefore the model becomes
x 
y (τ ) = p x y(τ ) .
t
This model gets its most simple form for the choice

1
t= . (1.3)
p

The model thus derived is the initial value problem

y  (τ ) = y(τ ) ,
y(0) = 1 . (1.4)

This model has the solution

y(τ ) = eτ .
8 1 Introduction

From this solution all solutions of the original model (1.2) can be achieved by using
a transformation:

x(t) = x y(τ ) = x0 y( p(t − t0 )) = x0 e p(t−t0 ) .

The advantage of the nondimensionalization therefore is the reduction of the solution

of all population models of a given type by the choice of units to one single problem.
Note that this holds true independent of the sign of p, although the behavior of the
solutions for p > 0 and p < 0 is different. For p < 0 the solution of (1.2) is given
by the solution (1.4) for the range τ < 0.
The scaling condition (1.3) also can be obtained by means of dimensional analysis.
In this procedure the characteristic time t to be determined is expressed as a product
of the other characteristic parameters in the model,

t = p n x0m with n, m ∈ Z .

By computing the dimension one obtains

 n
1
[t] = [ p] [x0 ]
n m
and therefore T = Am .
T

The only possible solution of this equation is given by n = −1, m = 0, if the number
of animals is interpreted as a dimension of its own. Thus we get exactly (1.3).
In more complex models typically the model cannot be reduced to a single problem
by nondimensionalization but the number of relevant parameters can be strongly
reduced and the characteristic parameters can be identified. This also relates to the
corresponding experiments: For instance, from the nondimensionalization of the
equations for airflows one can conclude how the circulation around an airplane can be
experimentally measured by using a (physical) model for the airplane much smaller
in scale. We will explain dimensional analysis in one of the following sections using
a more meaningful example.

1.3 Population Models with Restricted Resources

For large populations in nature a constant growth rate is not realistic anymore. A
restriction of the habitat, or the available nutrients, or other mechanisms impose
limitations on the growth. To construct a model it is feasible for such situations to
assume that there is a certain capacity x M > 0 for which the resources of the habitat
are still sufficient. For population quantities x smaller than x M the population still
can grow, but for values larger than x M the population decreases. This means that
the growth rate p now depends on the population x, p = p(x), and that
1.3 Population Models with Restricted Resources 9

p(x) > 0 for 0 < p < x M ,

p(x) < 0 for p > x M

have to hold true. The most simple functional form satisfying these conditions is
given by a linear ansatz for p, i.e.,

p(x) = q(x M − x) for all x ∈ R

with a parameter q > 0. With this ansatz we obtain the differential equation

x  (t) = q x M x(t) − q x(t)2 (1.5)

as a model. The additional term −q x(t)2 is proportional to the probability for the
number of encounters of two specimens of the population per unit of time. The
term represents the more competitive situation if the population size increases, the
so-called “social friction”. The Eq. (1.5) has been proposed by the Dutch biomath-
ematician Verhulst and is called logistic differential equation or equation of limited
growth.
Equation (1.5) also can be solved in closed form (compare Exercise 1.3). From

x
=q
x(x M − x)

we conclude using the partial fraction decomposition

 
1 1 1 1
= +
x(x M − x) xM x xM − x

and by integration

ln(x(t)) − ln |x M − x(t)| = x M qt + c1 , c1 ∈ R .

After the choice of an appropriate constant c2 ∈ R we obtain

x(t)
= c2 e x M qt ,
x M − x(t)

and
c2 x M e x M qt xM
x(t) = = .
1 + c2 e x M qt 1 + c3 e−x M qt

Incorporating the initial condition x(t0 ) = x0 we obtain

x M x0
x(t) = . (1.6)
x0 + (x M − x0 )e−x M q(t−t0 )
10 1 Introduction

From this exact solution the following properties can be easily derived:
• If x0 is positive, the solution always stays positive.
• If x0 is positive, then for t → +∞ the solution converges to the equilibrium point
x∞ = x M .
The graph of x can be sketched also without knowing the exact solution. From (1.5)
first we conclude

x  > 0 , if x < x M ,
x  < 0 , if x > x M .

Furthermore we have

x  = (x  ) = (q (x M − x) x) = q(x M − x) x  − q x x 
= q(x M − 2x)x  = q 2 (x M − 2x)(x M − x) x .

From these results we conclude

x  > 0 , if x ∈ (0, x M /2) ∪ (x M , ∞) ,

x  < 0 , if x M /2 < x < x M .

Thus the solution curves have an inflection point at x M /2 and the curves are concave
in the interval between x M /2 and x M , and convex otherwise. Solutions of the logistic
differential equation are depicted in Fig. 1.1.
Stationary Solutions
For more complex time-depending models a closed form solution often cannot be
found. Then it is useful to identify time independent solutions. Such solutions can
be computed using the time dependent model by just setting all time derivatives to
zero. For our model with restricted growth one gets

0 = q xM x − q x2 .

xM

xM
2

Fig. 1.1 Solutions of the logistic differential equation

1.3 Population Models with Restricted Resources 11

This equation has the two solutions

x0 = 0 and x1 = x M .

These are the solutions of the original model for specific initial data. Often time
independent solutions appear as so-called stationary limits of arbitrary solutions
for large times, meaning that they are solutions constant in time towards which
time dependent solutions converge for large times. Typically this only appears if the
stationary solution is stable in the following sense: If the initial data is only changed
slightly then also the solution changes only slightly. Using the exact solution (1.6)
the question of stability can be easily answered for the logistic differential equation:
The solution for the initial value
x(t0 ) = ε

with a small ε > 0 is given by

xM ε
xε (t) = ,
ε + (x M − ε)e−x M q(t−t0 )

it converges for t → +∞ towards x M , therefore the stationary solution x0 = 0 is not

stable. For
x(t0 ) = x M + ε

with a small ε = 0 the solution is given by

x M (x M + ε)
xε (t) = ,
(x M + ε) − ε e−x M q(t−t0 )

it converges for t → +∞ towards x M . From

xε (t) = q xε (t)(x M − xε (t))

one can conclude also without knowing the exact solution that the distance to x M
can only decrease for increasing time as from xε (t) > x M it follows xε (t) < 0 and
from xε (t) < x M it follows xε (t) > 0. Therefore the stationary solution x M is stable.
Stability is of importance, as in nature in general no instable stationary solution can
be observed, therefore they are irrelevant for most practical applications. For more
complex models sometimes no closed form solution for the time dependent equation
can be derived. However, there are techniques of stability analysis, with which often
the stability properties of stationary solutions can be deduced. Often this is done
by means of a linearization of the problem at the stationary solution followed by a
computation of the eigenvalues of the linearized problem. This will be explained in
more detail in Chap. 4.
12 1 Introduction

1.4 Dimensional Analysis and Scaling

Now we want to explain dimensional analysis using a slightly more significant

example. We consider a body of mass m, which is thrown bottom-up in vertical
direction with respect to the gravitational field of a planet (for example the Earth).
The motion of the body is described by Newton’s law

F
a= ,
m
where a denotes the acceleration of the body and F the force acting on the body.
This force is described by Newton’s law of gravitation
mE m
F = −G ,
(x + R)2

where G ≈ 6.674 · 10−11 N · m2 /kg2 denotes the gravitational constant, m E the mass
of the planet, R the radius of the planet and x the height of the body, measured from
the surface of the planet. We neglect the air resistance in the atmosphere and consider
the planet to be a sphere. If one defines the constant g by

Gm E
g= ,
R2
one gets
g R2m
F =− .
(x + R)2

For the Earth we have g = 9.80665 m/s2 , the gravitational acceleration. The motion
of the body then is described by the differential equation

g R2
x  (t) = − . (1.7)
(x(t) + R)2

This has to be completed by two initial conditions,

x(0) = 0 , x  (0) = v 0 ,

where v 0 denotes the initial velocity.

For trajectories expected in our application typically the term x(t) is very small
compared to the radius of the Earth and seems to be negligible in the denominator
in the right-hand side in (1.7). We want to investigate the validity of this ansatz in a
systematic fashion. To do so first we perform a nondimensionalization. As a specific
example we use the data
1.4 Dimensional Analysis and Scaling 13

g = 10 m/s2 , R = 107 m , and v 0 = 10 m/s ,

which have an order of magnitude corresponding to the application in mind.

The dimensions appearing here are L for the length and T for time. The given data
are the initial velocity v 0 with dimension [v 0 ] = L/T , the “planet acceleration” g with
dimension [g] = L/T 2 , and the radius R with dimension [R] = L. The independent
variable is the time t with dimension [t] = T , and the quantity to be computed is the
height x with dimension [x] = L. First we look for all representations of the form

Π = v 0a g b R c ,

which are either dimensionless (case (i)), or have the dimension of a length (case
(ii)), or have the dimension of a time (case (iii)). From
 a  b
L L
[Π ] = L c = L a+b+c T −a−2b
T T2

it follows:

Case (i): We have a + b + c = 0, −a − 2b = 0, therefore a = −2b, c = b, and

finally
 b
gR
Π= .
v 02

This leads to the identification of

v 02
ε= (1.8)
gR

as a characteristic dimensionless parameter. In fact all other dimension-

less parameters are powers of this specific one.
Case (ii): We have a + b + c = 1, a + 2b = 0 and therefore a = −2b,
c = 1 + b. As a specific unit for length one obtains

 = v 0−2b g b R 1+b = R ε−b ,

where b denotes a constant not yet specified.

Case (iii): We have a + b + c = 0, a + 2b = −1 and therefore a = −1 − 2b,
c = b + 1. Therefore a characteristic unit for time is given by

R −b
τ = v 0−1−2b g b R b+1 = ε .
v0

We will now try to nondimensionalize Eq. (1.7). To this purpose we consider a unit
for length x and a unit for time t and represent x(t) in the form
14 1 Introduction

x(t) = x y(t/t) .

From (1.7) we obtain

x g R2
y  (τ ) = − ,
t
2 (x y(τ ) + R)2

i.e.,
x 1
y  (τ ) = − . (1.9)
2
t g ((x/R) y(τ ) + 1)2

This equation has to be provided with the initial conditions

t
y(0) = 0 and y  (0) = v0 .
x

Now we want to choose x and t in such a way that as many of the appearing parameters
as possible equal 1. However, here we have more parameters than scaling units,
namely the three parameters

x x t
2
, , and v0 .
t g R x

Hence, only two of these parameters can be transformed to one and therefore there
are three different possibilities:

x x R
(a) 2 = 1 and = 1 are a consequence of x = R, t = , then the parameter
t g R g
t v0 √
is given by v 0 = √ = ε using ε from (1.8). Therefore the model reduces
x Rg
to
1 √
y  (τ ) = − , y(0) = 0 , y  (0) = ε . (1.10)
(y(τ ) + 1)2

x t R x
(b) = 1 and v 0 = 1 can be deduced from x = R and t = , leading to 2 =
R x v0 t g
v 02
= ε for the third parameter. Then the dimensionless model is given by
Rg

1
ε y  (τ ) = − , y(0) = 0 , y  (0) = 1 .
(y(τ ) + 1)2

x t v0 v2
(c) = 1 and v 0 = 1 are a consequence of t = and x = 0 . Then the third
2
t g x g g
x v 02
parameter is given by = = ε. Thus the dimensionless model reads
R gR
1.4 Dimensional Analysis and Scaling 15

1
y  (τ ) = − , y(0) = 0 , y  (0) = 1 . (1.11)
(ε y(τ ) + 1)2

Let us mention that there is a fourth possibility. Besides (1.9) we may also use the
equivalent formulation

x3 1
y  (τ ) = − .
t
2
g R2 (y(τ ) + R/x)2

This leads, by setting t = g R 2 /v 03 x = g R 2 /v 02 , to a fourth possibility (d)

1
y  (τ ) = − , y(0) = 0 , y  (0) = 1
(y(τ ) + ε)2

with ε = v 02 /(g R).

Now we want to assess and compare the four dimensionless equations for the
application example displayed above. For R = 107 m, g = 10 m/s2 and v 0 = 10 m/s
the parameter ε is very small,

v 02
ε= = 10−6 .
Rg

This suggests to neglect terms of the order of ε in the equations.

The model (a) is then reduced to

1
y  (τ ) = − , y(0) = 0 , y  (0) = 0 .
(y(τ ) + 1)2

Because of y  (0) < 0 and y  (0) = 0 this model leads to negative solutions and there-
fore it is extremely inexact and of no use. The reason lies in the scaling within the
nondimensionalization: The parameters t and x here are given by

R
t= = 103 s and x = 107 m ,
g

both scales are much too large for the problem under investigation. The maximal
height to be reached and the instance of time for which it is reached are much
smaller than the scales x for length and t for time and therefore are “hardly visible”
in the nondimensionalized model.
The model (b) reduces to

1
0=− , y(0) = 0, y  (0) = 1 .
(y(τ ) + 1)2
Another random document with
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{27}
In his opinion the Ashantis had been preparing ever since the
British occupation in 1896 to reassert their independence."
The Governor was, himself, in Kumassi when the Ashantis first
attacked it, on the 25th of March, and he has given an account
of the desperate position in which the few British officials,
with their small native garrison and the refugees whom they
tried to protect, were placed. "Our force," said Sir Frederic
Hodgson, "consisted of only some 200 Hausas, while there is
reason to believe that we had not less than 15,000 Ashantis
surrounding us. In addition to our own force we had to protect
some 3,500 refugees, chiefly Mahomedan traders, Fantis, and loyal
Kumassis, none of whom we were able to take into the fort,
where every available bit of space was required for military
purposes. It was heartrending to see the efforts of these poor
people to scale the walls or break through the gate of the
fort, and we had to withdraw the Hausas from the cantonments
and draw a cordon round the refugees. It is impossible to
describe the horror of the situation with these 3,500 wretched
people huddled together without shelter under the walls of the
fort. That same night a tornado broke over Kumassi, and the scene
next morning with over 200 children was too terrible for
words. Afterwards they were able to arrange shelters for
themselves." Near the end of April, two small reinforcements
from other posts reached Kumassi; but while this strengthened
the numbers for defence, it weakened the food supply. Taking
stock of their food, the besieged decided that they could hold
out until June 23, and that if the main body then marched out,
to cut, if possible, their way through the enemy, leaving a
hundred men behind, the latter might keep the fort until July
15. This, accordingly, was done. On the 23d of June Governor
Hodgson, with all but 100 men, stole away from Kumassi, by a
road which the Ashantis had not guarded, and succeeded in
reaching the coast, undergoing great hardships and dangers in
the march. Meantime, an expedition from Cape Coast Castle was
being energetically prepared by Colonel Sir J. Willcocks, who
overcame immense difficulties and fought his way into Kumassi
on Ju]y 15, the very day on which the food-supply of the
little garrison was expected to give out. The following
account of his entry into Kumassi is from Colonel Willcocks'
official report: "Forming up in the main road, we marched
towards Kumassi, a mile distant, the troops cheering wildly
for the Queen and then followed silence. No sound came from
the direction of the fort, which you cannot see till quite
close. For a moment the hideous desolation and silence, the
headless bodies lying everywhere, the sickening smell, &c.,
almost made one shudder to think what no one dared to
utter—'Has Kumassi fallen? Are we too late?' Then a bugle
sound caught the ear—'the general salute'—the tops of the
towers appeared, and again every man in the column, white and
black, broke into cheers long sustained. The brave defenders
had at last seen us; they knew for hours' past from the firing
growing ever nearer that we were coming, yet they dared not
open their only gate; they perforce must wait, for even as we
appeared the enemy were making their last efforts to destroy
the outlying buildings, and were actually setting them on fire
 until after dark, when a party of 100 men went out and treated
them to volleys and cleared them out. If I have gone too fully
into details of the final scene, the occasion was one that
every white man felt for him comes perhaps but once, and no
one would have missed it for a kingdom."

ASPHYXIATING SHELLS: Declaration against.

See (in this volume)

PEACE CONFERENCE.

ASSASSINATIONS:
Of President Barrios.

See (in this volume)

CENTRAL AMERICA (GUATEMALA): A. D. 1897-1898.

Of President Borda.

See (in this volume)

URUGUAY: A. D. 1896-1899.

Of Canovas del Castillo.

See (in this volume)

SPAIN: A. D. 1897 (AUGUST-OCTOBER).

Of Empress Elizabeth of Austria.

See (in this volume)

AUSTRIA-HUNGARY: A. D. 1898 (SEPTEMBER).

Of Governor Goebel.

See (in this volume)

KENTUCKY: A. D. 1895-1900.

Of President Heureaux.

See (in this volume)

DOMINICAN REPUBLIC: A. D. 1899.

Of King Humbert.

See (in this volume)

ITALY: A. D. 1899-1900;
and 1900 (JULY-SEPTEMBER).

Of Professor Mihaileano.

See (in this volume)

BALKAN AND DANUBIAN STATES.

Of Nâsr-ed-din, Shah of Persia.

See (in this volume)

 PERSIA: A. D. 1896.

Of M. Stambouloff.

See (in this volume)

BALKAN AND DANUBIAN STATES (BULGARIA).

ASSIOUT, Nile barrage at.

See (in this volume)

EGYPT: A. D. 1898-1901.

ASSOCIATIONS BILL, The French.

See (in this volume)

FRANCE: A. D. 1901.

ASSOUAN. Nile barrage at.

See (in this volume)

EGYPT: A. D. 1898-1901.

ASSUMPTIONIST FATHERS, Dissolution of the Society of the.

See (in this volume)

FRANCE: A. D. 1899-1900 (AUGUST-JANUARY).

ATACAMA, The question concerning.

See (in this volume)

CHILE: A. D. 1894-1900.

ATBARA, Battle of the.

See (in this volume)

EGYPT: A. D. 1897-1898.

ATHENS: A. D. 1896.
The revival of Olympic games.

As the result of a movement instituted in France by the Baron

de Coubertin, an interesting attempt to give athletic sports
the spirit and semblance of the ancient Olympic games was made
at Athens in the spring of 1896. A number of wealthy Greeks in
different parts of the world joined generously in the
undertaking, one gentleman especially, M. Averoff, of
Alexandria, bearing the cost of a restoration in marble of the
stadium at Athens, for the occasion. The games were held in
April, from the 6th to the 15th, and were witnessed by a great
number of people. Besides Greek competitors, there were 42 from
Germany, 23 from England, 21 from America, 15 from France. The
great event of the occasion was the long foot-race from
Marathon to Athens, which was won by a young Greek.

The U. S. Consul at Athens, writing of the reconstruction of

the ancient stadium for the games, described the work as
 follows:

{28}

"The stadium may be described as an immense open air

amphitheater constructed in a natural ravine, artificially
filled in at the end. It is in the shape of an elongated
horseshoe. The spectators, seated upon the sloping sides of
the ravine, look down into the arena below, which is a little
over 600 feet in length and about 100 feet wide at the widest
part. … The stadium, as rebuilt for the games, will consist of
(1) the arena, bounded by a marble curbing, surmounted by an
iron railing adorned with Athenian owls;
(2) a walk between this curbing and the first row of seats;
(3) a low retaining wall of marble on which rests the first
row of seats, the entire row being of marble;
(4) the seats;
(5) the underground tunnel.

In addition to these features there will be an imposing

entrance, a surrounding wall at the top of the hill, and two
supporting walls at the entrance. As far as possible, in the
reconstruction of the stadium, the old portions will be used,
where these are in a sufficient state of preservation, and an
effort will be made to reproduce, as nearly as practicable,
the ancient structure. The seats at present will not all be
made of pentelic marble, as there is neither time nor money
for such an undertaking. At the closed end of the arena,
seventeen rows will be made of pentelic marble, as well as the
first row all the way around. The remaining rows up to the
first aisle are being constructed of Pincus stone. These will
accommodate 25,000 seated spectators. From this aisle to the
top will be placed wooden benches for 30,000 seated
spectators. Add to these standing room for 5,000, and we have
the holding capacity of the stadium 60,000 without crowding."

United States Consular Reports,

March, 1896, pages 353-354.

ATLANTA: A. D. 1895.
The Cotton States and International Exposition.

An important exposition, named as above, was held with great

success at Atlanta, Georgia, from the 18th of September until
the end of the year 1895. The exhibits from Mexico and many of
the Central and South American States were extensive and
interesting; but the main interest and value of the exposition
were in its showing of the industrial resources of the
Southern States of the American Union, and of the recent
progress made in developing them.

AUSGLEICH, The.

See (in this volume)

AUSTRIA-HUNGARY: FINANCIAL RELATIONS;
and A. D. 1897 (OCTOBER-DECEMBER).
AUSTRAL ISLANDS:
Annexation to France.

The Austral or Tubuai Islands were formally annexed to France

by the Governor of Tahiti, on the 21st of August, 1900.

----------AUSTRALIA. Start--------

AUSTRALIA:
Recent extensions of Democracy in the Australian Colonies
and New Zealand.
Social experiments.

"The five colonies of the Australian continent, Tasmania, and

New Zealand constitute seven practically independent
commonwealths under the British crown. Australians and New
Zealanders have therefore been able to develop their countries
along their own lines, and have surpassed all other
Anglo-Saxon nations in the number and variety of functions
which the state is called upon to perform. … The railways
almost without exception, and all the telegraph and telephone
lines, are in the hands of the community. In the few cases in
which there is private ownership of railways, a particular
line was demanded at a certain time, and the government were
not then in a position to borrow the funds required for its
construction. Western Australia has recently purchased the
entire property of one of the two private undertakings in the
colony. A mass of sanitary and industrial legislation also has
been placed upon the statute book.

"Again, South Australia, Victoria, Western Australia, and New

Zealand lend money to settlers at low rates of interest; South
Australia sells its wines in London; Queensland facilitates
the erection of sugar mills; Victoria and South Australia have
given a bonus upon the exportation of dairy produce; South
Australia, New Zealand, and Victoria receive the produce,
grade and freeze it free of charge, or at a rate which barely
covers the expenses; Victoria contributes toward the erection
of butter factories; Victoria and New Zealand have subsidized
the mining industry; and Western Australia has adopted a
comprehensive scheme for the supply of water to the Coolgardie
gold fields. In all the colonies the national system of
primary education is compulsory and undenominational. In South
Australia, Victoria, Queensland, and New Zealand it is also free.
In the other colonies fees are charged, which may be remitted
wholly or partly if parents are unable to pay them. Assistance
is given in most cases for the promotion of secondary,
technical, and university education. New Zealand and South
Australia have appointed public trustees. New Zealand has long
possessed a department of life insurance.

"Finally, … New Zealand has adopted a system of old-age

pensions. A pension of seven shillings a week is to be given
to every person above the age of sixty-five years, provided he
or she has lived in the colony for twenty-five years, and is
 able to pass a certain test in regard to sobriety and general
good conduct. … In South Australia direct taxation takes two
forms. There is an income tax at the rate of four and a half
pence in the pound up to £800, and of six-pence in the pound
above £800 of taxable amount resulting from personal
exertions, and at the rate of ninepence and one shilling in
the pound respectively on incomes from property. Incomes
between £125 and £425 enjoy exemption on £125 of the amount.
Again, there is a tax on the unimproved value of land of one
half-penny in the pound up to, and one penny above, the
capital value of £5000. …

"Similar taxation is to be found in New Zealand, and includes

both a progressive income tax and a tax on land values which
is more highly graduated than that of South Australia. … All
improvements are excluded from the assessment of the taxable
amount. … If the owner of the property is dissatisfied with
the assessment of the government, he can call upon them to buy
it of him at their own valuation. In only one case has such an
extreme step been taken; and it is pleasant to find that it
has resulted in an annual profit of nearly five per cent upon
the outlay, and that the land which formerly gave employment
to a few shepherds is now occupied by a large number of
thriving settlers.
{29}
I may add that when the government deem that an estate is not
being developed as it should be by its owners, they are
authorized by statute to purchase it—by negotiation if
possible, otherwise at a price paid by an impartial
tribunal—with a view to its subdivision into small holdings
suitable to the requirements of the community. This system of
taxation, it will be said with some truth, is based upon the
teachings of Henry George. He travelled in Australia and New
Zealand, and was listened to with attention; but, while he
looked to the ultimate absorption of the whole unearned
increment, his hearers in the antipodes dissociated themselves
from his conclusions, though they appreciated the value of his
premises. Consequently, while accepting his principles, they
did not hesitate to exempt small properties from the tax, and
to increase its rate progressively in relation to the amount
of the unimproved value. …

"One of the most hopeful signs of the day is that, with the
help of the representatives of labor in Parliament, Australian
governments have done much within recent years to mitigate the
excess of population in the large towns, and to replace the
unemployed upon the land. Of course mistakes have been made.
In some cases settlers have failed through lack of
agricultural knowledge; in others, on account of the
barrenness of the soil. In South Australia, the village
settlements, which were avowedly started as an alternative to
relief works, have been only a modified success. In New
Zealand, village settlements have produced very satisfactory
results. … In Victoria, a labor colony has been established,
with the entire support of the trades-unionists, to which the
unemployed may be sent, and at which they receive, at a very
 low rate of wages, a course of instruction in agricultural
pursuits which enables them subsequently to obtain private
employment with farmers or others. In New Zealand, I found a
very strong feeling among trades-unionists that it would be to
the interest of the workingmen themselves if a penal colony
were established, on the lines of those which exist in
Germany, to which loafers might be sent, and at which they
would be compelled to work, with the alternative of
starvation."

H. De R. Walker,
Australasian Extensions of Democracy
(Atlantic Monthly, May, 1899).

See also (in this volume),

NEW ZEALAND: A. D. 1891-1900.

AUSTRALIA: Western Australia:

The Outlander problem in Australia.

"Here we have a problem in many respects similar to that which

has distracted South Africa. In several particulars the
resemblance is startlingly close. … Many of the elements of
disorder in the two continents are the same. In Western
Australia, as in the Transvaal, there is a large population of
mining residents, who complain that they are treated like
'helots'—to use Sir Alfred Milner's term—by the privileged
agricultural burghers. They urge that they are denied fair
representation, so that the burghers monopolise political
power; that the administration is in the hands of a knot of
politicians and place-hunters at Perth—I had almost written
Pretoria; that they have made the colony wealthy by their
enterprise and capital, only to see a large part of the fruits
of their industry drawn from them by excessive taxation, which
is expended mainly outside their own district; that they are
burdened by oppressive railway rates and denied access to the
port which is the natural outlet to the Goldfields, and so on.
The Kalgoorlie 'Uitlanders,' like the Johannesburgers, have
sent a petition to the Queen, signed by a larger number of
persons than those who forwarded the famous memorial which set
the ball rolling in South Africa and led to the Bloemfontein
Conference. The case is fully and temperately set forth in
this petition, and in the Manifesto of the Eastern Goldfields
Reform League of Western Australia, both of which documents
are in the last Bluebook relating to Australian Federation.
The same official compilation contains a statement to Mr.
Chamberlain from Dr. Paget Thurston, in which the parallel
between West Australia and the Transvaal is asserted with the
most uncompromising directness. 'We have here,' says the
writer, 'a Boer and Outlander question almost parallel to that
in the Transvaal. As an Outlander I appeal to you.' Dr.
Thurston adds: 'The old West Australians openly speak as if
the colony was theirs, and we were interlopers who have no
course open to us but to leave the colony if we are
dissatisfied.' This has a very familiar sound, and so has the
following: 'The great bulk of the taxation is levied through
 duties on food and drink. As the Boer party includes all the
agricultural producers, and the Outlanders include the great
bulk of the consumers, this acts injuriously on us in two
ways. It puts a frightful load on the Outlander taxpayer, and
enables the Boer producer to command a very high price for his
food-stuffs. Owing to the limitation of the market by
excessive protection, many articles of common use reach famine
prices at times. In the three years I have been here, for
instance, potatoes have been £22 10s. a ton; apples, 2s. 6d. a
pound; oranges, 5s. a dozen; new-laid eggs, 4s. a dozen (at
the time of writing, 3s. 6d.). Fresh butter is practically
unobtainable for ten months in the year, and common country
wine (such as I used to buy for 3d. and 4d. a bottle in the
Canary Islands) is here 2s. a bottle. I ask you, Sir, whether
any other place in Her Majesty's Empire (not physically
inaccessible) can show prices one half as high during the past
three years?'

"Nor does the ominous kind of hint that preceded the Jameson
Raid fail to be uttered. Only three terminations, according to
Dr. Thurston, are possible if Sir John Forrest does not modify
his Krugerite policy towards the mining settlers:
'(1) Separation of the goldfields.—This would be only fair to
the goldfields; but thousands of Outlanders have settled in
the other parts of the colony, and this step would not redress
their wrongs. The practical result of this step would be
prosperity for the goldfields, but almost ruin for the rest of
the colony.
(2) Revolution.—I fear this is much more probable than is
generally thought. Unless a material change takes place
quickly there will be bloodshed in this colony.
(3) General depression, practically equivalent to bankruptcy.'
Separation, however, and the creation of a new colony, which
would include the Goldfields district and come down to the
sea, and would immediately join the Australian Federation, is
the remedy officially proposed by the representatives of the
Outlanders. …

{30}

"The Colonial Secretary has deferred his final answer to the

Goldfields Petition until the comments of the Perth Ministry
upon that document have been received and considered. But he
has sent a provisional reply to the representatives of the
petitioners in London. He sees the solution of the matter in
getting Western Australia somehow into the new Commonwealth.
In a communication to Mr. Walter Griffiths, one of the
Goldfields delegates, the Colonial Secretary says: 'The
decision of the Government of Western Australia to summon
Parliament immediately with the view to the passing of a
measure for the submission of the Commonwealth Bill to the
electors of the colony has removed the chief of the grievances
put forward in the petition and has opened up an early
prospect of obtaining the object which the petitioners had in
view. An answer will be returned to the petition after a
careful consideration of its terms and of the comments of the
 Government of the colony thereon, but Mr. Chamberlain trusts
that before an answer can be returned the people of the colony
will have decided to join the Commonwealth, for the government of
which, in that event, it will be to deal with the grievances
alleged in the petition in so far as they are not exclusively
within the province of the Parliament and Government of
Western Australia.' In other words, let the Federation dispose
of the matter. But the delegates point out that this might not
remove their grievances. The Federal Parliament would have no
power to compel the dominant party in the Perth Assembly
either to redistribute seats fairly, or divide the colony, so
as to create 'Home Rule for the Rand.' True, we should have
washed our hands of the affair, and could tell the malcontent
Uitlanders that it was none of our business. But if Perth
still remained obstinate, and Coolgardie in consequence began
to carry out some of those ugly projects hinted at by Dr.
Thurston, it might become our business in an embarrassing
fashion. At any rate, it does not seem quite fair to the new
Commonwealth to start it in life with this grave question,
still unsettled, upon its hands."

S. Low,
Enigmas of Empire
(Nineteenth Century, June, 1900).

AUSTRALIA: New South Wales: A. D. 1894-1895.

Defeat of the Protectionist policy.
Adoption of a liberal tariff.

At the general elections of July, 1894, in New South Wales,

the tariff issue was sharply defined. "'Protection' was
inscribed on the banners of the ministerial party, led by the
then Premier, Sir George Dibbs, while the aggressive
opposition, led by Mr. Reid, … fought under the banner of
'free trade.' The Free Traders won the battle in that
election, as there were 63 Free Traders, 40 Protectionists,
and 22 labor members, mostly with free-trade leanings,
returned. On the reassembling of Parliament, Sir George Dibbs
was confronted with a large majority, and Mr. George H. Reid
was called to form a government on the lines suggested by the
issues of the campaign. The Council or 'upper house,'
consisting of Crown nominees for life, rejected the measures
suggested by Mr. Reid and passed by the Assembly by an
overwhelming majority, and Mr. Reid dissolved Parliament on
July 6, 1895, and appealed to the country. The election was
held on July 24, and again the issues, as set forth in the
measures, were fought out vigorously. The great leader of
protection, Sir George Dibbs, with several of his ablest
followers, was defeated, and the so-called Free Trade party
came back, much stronger than before. Thus, it was claimed
that the mandate of the people, declaring for free trade and
direct taxation, had been reaffirmed, and on the reassembling
of Parliament, on August 13, the same measure, as passed by
the Assembly and rejected by the Council, was again presented
and passed by the Assembly by a majority of 50 to 26, and
again went to the upper house. Again it was met with great
 hostility, but the Government party in that chamber, having
been augmented by ten new appointments, the temper of the
house was softened and the bill was passed with some two
hundred and fifty amendments. As, the Assembly could only
accept some eighty of these without, yielding material points
… a conference was suggested, which, after several days of
discussion, agreed to a modified measure, embracing the
principle of free trade, as interpreted in this colony, and
direct taxation, and the new law goes into effect as above
stated, on January 1, 1896.

"It may be well here to remark that there are a few articles,
notably raw sugar, glucose, molasses, and treacle, upon which
the duty will be removed gradually, so as not to wantonly
disturb vested interests, but, with these exceptions, the
change is a very sweeping one."

United States Consular Reports,

June, 1896, page 299.

AUSTRALIA: New South Wales: A. D. 1896.

Change in the government of Norfolk Island.
Its re-annexation to New South Wales.

A change in the government of Norfolk Island was proclaimed in

November, 1896, by the Governor of New South Wales, who came
to the island, acting under directions from the British
Colonial Office, and announced that "Her Majesty's Government
has decided to appoint a resident magistrate. The object
sought is to secure the impartial administration of justice,
while leaving the local and municipal affairs of the island to
be conducted by a council representing the inhabitants. In
consideration of the fact that the Norfolk Island settlement
originally formed part of the administrative colony of New
South Wales, and that the legal business of the island and the
registration of all land titles and transfers have uniformly
been conducted by the Government departments at Sydney, Her
Majesty's Government has decided to transfer the
administration of the island to the Government of New South
Wales. The Government of New South Wales has accepted the
charge and as soon as the necessary arrangements have been
completed Norfolk Island will be administered by the governor
of New South Wales in council." "It will thus be seen that the
Pitcairn community, which, for more than one hundred years,
has governed itself by its own laws, is now abolished and that
a new era has begun. The governor's legal right to annul the
constitution given by the Queen when the community emigrated
from Pitcairn was questioned. A deputation was appointed to
wait on the governor, but he refused
to discuss the subject further."

United States Consular Reports,

May, 1897, page 37.

AUSTRALIA: A. D. 1897.
Conference of colonial premiers with
 the British Colonial Secretary.

See (in this volume)

ENGLAND: A. D. 1897 (JUNE-JULY).

Map of Australia and Islands of the Pacific.

{31}

AUSTRALIA: A. D. 1900.
Federation of the Australian Colonies.
The steps by which the Union was accomplished.
Passage of the "Commonwealth of Australia Constitution Act" by
the Imperial Parliament.

"The first indication of a plan for united action among the

colonies is to be found in a proposal of Earl Grey in 1850.
The main object of the proposal was to bring about uniformity
in colonial tariffs; but, though partially adopted, it came to
nothing. From 1850 to 1860 the project of federation was
discussed from time to time in several of the colonial
legislatures, and committees on the subject were appointed.
But there seems to have been little general interest in the
question, and up to 1860 all efforts in the direction of
federation met with complete failure. Shortly after, however,
a new form of united action, less ambitious but more likely of
success, was suggested and adopted. From 1863 to 1883
conferences of colonial ministers were held at various times
to discuss certain specified topics, with a view to
introducing identical proposals in the separate colonial
legislatures. Six of these conferences were held at Melbourne
and three at Sydney; and one also was held at Hobart in 1895,
though the period of the real activity of the conference
scheme practically closed in 1883. The scheme proved a
failure, because it was found impossible to carry out the
measures concerted in the conferences. But material events
were doing more than could any public agitation to draw
attention to the advantages of closer union. The colonies were
growing in population and wealth, railroads were building and
commerce was extending. The inconveniences of border customs
duties suggested attempts at something like commercial
reciprocity between two or more colonies. New political
problems also helped to arouse public interest. Heretofore
there had been little fear of foreign aggression and, hence,
no feeling of the need of united action for common defense;
nor had there been any thought of the extension of Australian
power and interests beyond the immediate boundaries of the
different colonies. But the period from 1880 to 1890 witnessed
a change in this respect. It was during this period that much
feeling was aroused against the influx of French criminals,
escaped from the penal settlements in New Caledonia. The
difficulties in regard to New Guinea belong also to this
decade. Suspicion of the designs of Germany upon that part of
the island of New Guinea nearest the Dutch boundary led to the
annexation of its eastern portion by the Queensland
government. This action was disavowed by the British
government under Gladstone, and the fears of the colonists
were ridiculed; but almost immediately after the northern half
of New Guinea was forcibly taken possession of by Germany. The
indignation of Australians was extreme, and the opinion was
freely expressed that the colonies would have to unite to
protect their own interests. Finally, this was the time of the
French designs on the New Hebrides Islands and of German
movements with reference to Samoa. These conditions, economic
and political, affected all the colonies more or less
intimately and resulted in the first real, though loose, form
of federal union. At the instigation of the Honorable James
Service, premier of Victoria, a convention met at Sydney,
November, 1883, composed of delegates from all the colonial
governments. This convention adopted a bill providing for the
establishment of a Federal Council, with power to deal with
certain specified subjects and with such other matters as
might be referred to it by two or more colonies. … New South
Wales and New Zealand refused to agree to the bill, but it was
adopted by the other colonies; and the Imperial Parliament, in
1885, passed an act permitting such a Council to be called
into existence at the request of any three colonies, to be
joined by other colonies as they saw fit. Meetings of the
Council took place in 1886, 1888, 1889 and 1891, but very
little was accomplished. That the Federal Council was a very
weak affair is obvious. … Meanwhile, interest in a more
adequate form of federation was growing. In 1890 Sir Henry
Parkes proposed a plan for federal union of a real and
vigorous sort. At his suggestion, a conference met at
Melbourne, February 6, 1890, to decide on the best method of
getting the question into definite shape for consideration. …
Provision was made … for the calling of a convention to draw
up a constitution. … In accordance with the decision of the
conference, delegates from the several colonies convened at
Sydney, March 2, 1891; and with the work of this convention
began the third and final stage in the federation movement.
The Sydney convention formulated a bill, embodying a draft of
a federal constitution, and then resolved that provision
should be made by the several parliaments to submit it to the
people in such manner as each colony should see fit. … But
there was no sufficient external pressure to bring about an
immediate discussion and an early settlement. … The result was
that nothing was done. … Meanwhile, federation leagues had
been organized in different colonies, and in 1893 delegates
from a number of these leagues met at Bendigo, Victoria. …
After adopting the bill of 1891 as a basis of discussion, the
Bendigo conference resolved to urge the colonial governments
to pass uniform enabling acts for a new convention—its members
to be elected by popular vote—to frame a constitution which
should be submitted to the people for approval. This proposal
met with general favor and resulted in the calling of a
meeting of the premiers of all the colonies at Hobart in
January, 1895. There an enabling bill was drafted which five
premiers agreed to lay before their respective parliaments. …
It took two years to get this machinery into working order. At
length, however, the requisite authority was granted by five
colonies: New South Wales, Victoria, South Australia, Western
Australia and Tasmania, Queensland and New Zealand declining
to participate. On March 22, 1897, the second constitutional
convention assembled at Adelaide. This convention drew up a
new federal constitution, based upon the draft of 1891.
 Between May 5 and September 2 the constitution was discussed
in each of the parliaments. When the convention reassembled at
Sydney on March 2, as many as 75 amendments were reported as
suggested by the different colonies. Many were of an
insignificant character and many were practically identical.
The constitution and proposed amendments were discussed in two
sessions of the convention, which finally adjourned March 16,
1898, its work then being ready to submit to the people.
{32}
In June a popular vote resulted in the acceptance of the
constitution by Victoria, Tasmania, and South Australia; but
the failure of the parent colony, New South Wales, to adopt it
blocked all hope of federal union for the moment. Recently,
however, at a conference of colonial premiers certain
amendments demanded by New South Wales were agreed to in part,
and upon a second vote the constitution, as amended, was
accepted by that colony."

W. G. Beach,
The Australian Federal Constitution
(Political Science Quarterly, December, 1899).

In August, 1899, the draft of a Constitution thus agreed upon

was transmitted to England, with addresses from the provincial
legislatures, praying that it be passed into law by the
Imperial Parliament. Early in the following year delegates
from the several colonies were sent to England to discuss with
the Colonial Office certain questions that had arisen, and to
assist in procuring the passage by Parliament of the necessary
Act. Looked at from the Imperial standpoint, a number of
objections to the draft Constitution were found, but all of
them were finally waived excepting one. That one related to a
provision touching appeals from the High Court of the
Australian Commonwealth to the Queen in Council. As framed and
adopted in Australia, the provision in question was as
follows:
"74. No appeal shall be permitted to the Queen in Council in
any matter involving the interpretation of this Constitution
or of the Constitution of a State, unless the public interests
of some part of Her Majesty's Dominions, other than the
Commonwealth or a State, are involved. Except as provided in
this section, this Constitution shall not impair any right
which the Queen may be pleased to exercise, by virtue of Her
Royal Prerogative, to grant special leave of appeal from the
High Court to Her Majesty in Council. But The Parliament may
make laws limiting the matters in which such leave may be
asked."

This was objected to on several grounds, but mainly for the

reasons thus stated by Mr. Chamberlain: "Proposals are under
consideration for securing a permanent and effective
representation of the great Colonies on the Judicial
Committee, and for amalgamating the Judicial Committee with
the House of Lords, so as to constitute a Court of Appeal from
the whole British Empire. It would be very unfortunate if
Australia should choose this moment to take from the Imperial
Tribunal the cognizance of the class of cases of greatest
importance, and often of greatest difficulty. Article 74
proposes to withdraw from the Queen in Council matters
involving the interpretation of the Constitution. It is
precisely on questions of this kind that the Queen in Council
has been able to render most valuable service to the
administration of law in the Colonies, and questions of this
kind, which may sometimes involve a good deal of local
feeling, are the last that should be withdrawn from a Tribunal
of appeal with regard to which there could not be even a
suspicion of prepossession. Questions as to the constitution
of the Commonwealth or of a State may be such as to raise a
great deal of public excitement as to the definition of the
boundaries between the powers of the Commonwealth Parliament
and the powers of the State Parliaments. It can hardly be
satisfactory to the people of Australia that in such cases,
however important and far-reaching in their consequences, the
 decision of the High Court should be absolutely final. Before
long the necessity for altering the Constitution in this
respect would be felt, and it is better that the Constitution
should be enacted in such a form as to render unnecessary the
somewhat elaborate proceedings which would be required to
amend it."

Great Britain, Parliamentary Publications

(Papers by Command, April and May, 1900,
Australia—Cd. 124 and 158).

In reply, the Australian delegates maintained that they had no

authority to amend, in any particular, the instrument which
the people of the several colonies had ratified by their
votes; but the Imperial authorities were inflexible, and the
article 74 was modified in the Act which passed Parliament, on
the 7th of July, 1900, "to constitute the Commonwealth of
Australia," as may be seen by reference to the text, published
elsewhere.

See (in this volume)

CONSTITUTION OF AUSTRALIA.

AUSTRALIA: A. D. 1900.
The question of the Federal Capital.

By the Constitution of the Commonwealth, it is required that

the seat of government "shall be determined by the Parliament,
and shall be within territory which shall have been granted to
or acquired by the Commonwealth, and shall be vested in and
belong to the Commonwealth, and shall be in the State of New
South Wales, and be distant not less than one hundred miles
from Sydney;" and "such territory shall contain an area of not
less than one hundred square miles." "New South Wales," says a
correspondent, writing from Sydney, "is naturally anxious to
get the question decided as quickly as possible; but Victoria
will equally be inclined to procrastinate, and the new
 Parliament—which cannot be more comfortable than it will be
at Melbourne—will not be in a hurry to shift. The necessity
for a new and artificial capital arises entirely out of our
provincial jealousies, and it would have been a great saving
of initial expense and a great diminution of inconvenience if
we could have used one of the old capitals for a quarter of a
century." To remove preliminary difficulties and avoid delay,
the government of New South Wales appointed a commissioner to
visit and report on the most likely places. The report of this
commissioner, made early in October, "reduces the possible
positions to three—one near Bombala in the south-east corner
of the colony at the foot of the Australian Alps, one near
Yass on the line of the railway between Sydney and Melbourne,
and one near Orange on our western line. On the whole he gives
the preference to the first named."

AUSTRALIA: New South Wales: A. D. 1900.

Old-Age Pension Act.

A letter from Sydney, November 29, 1900, announced: "The

question of the establishment of an old age pension system,
similar to that now in successful operation in New Zealand
[see (in this volume) NEW ZEALAND: A. D. 1899], has been
agitating New South Wales for several months, and to-day the
bill for that purpose became a law. There has been a desire on
the part of some members of the Legislature to hold over the
bill until the convening of the Federal Parliament, in the
hope that the measure would become universal throughout the
continent, but the majority, including the Premier, wished the
bill to be pushed through without loss of time. There is no
opposition worth mentioning. … At a mass meeting in favor of
the bill representatives of every political party, of every
Church and of every profession and trade in the community were
present.
{33}
The sentiment of the colony has never been more unanimous. …
The estimated cost of the scheme is something like £250,000 or
£300,000 a year, but this does not take into consideration the
amount which will be saved by doing away with the charitable
institutions now draining the pockets alike of the state and
of the individual. Private contributions alone amount to
£600,000 a year; all this will be saved, together with a part
of the Government's annual expenditure—about £400,000—for
public institutions. Not all pauper institutions can be
abolished, for many of the aged and friendless poor are ailing
or slightly feeble minded, and will continue to need medical
attention."

AUSTRALIA: A. D. 1900 (March).

New Zealand looking toward federation with the Australian
Commonwealth.

See (in this volume)

NEW ZEALAND: A. D. 1900 (MARCH).

AUSTRALIA: West Australia: A. D. 1900 (August).

Vote to join the Commonwealth.

The question of union with the other colonies in the

Commonwealth, from which the West Australians had previously
held aloof, was submitted to them in August (women voting for
the first time), and decided affirmatively by 44,704 against
19,691. Adding the West Australian totals to the aggregate
vote at the decisive referendum in each of the other
federating colonies, the following is the reported result:

For federation. 422,647

Against federation. 161,024

Majority. 261,623

AUSTRALIA: A. D. 1900 (September-December).

The Queen's Proclamation of the Australian Commonwealth.
Contemplated visit of the Duke and Duchess of York
to open the first session of the Federal Parliament.
Appointment of Lord Hopetoun to be Governor-General.
The first Federal Cabinet.

On the 17th of September the following proclamation of the

Australian Commonwealth was issued by the Queen:

"Whereas by an Act of Parliament passed in the sixty-third and

sixty-fourth years of Our reign, intituled 'An Act to
constitute the Commonwealth of Australia,' it is enacted that
it shall be lawful for the Queen, with the advice of the Privy
Council, to declare by Proclamation that, on and after a day
therein appointed, not being later than one year after the
passing of this Act, the people of New South Wales, Victoria,
South Australia, Queensland, and Tasmania, and also, if Her
Majesty is satisfied that the people of Western Australia have
agreed thereto, of Western Australia, shall be united in a
Federal Commonwealth, under the name of the Commonwealth of
Australia. And whereas We are satisfied that the people of
Western Australia have agreed thereto accordingly. We
therefore, by and with the advice of Our Privy Council, have
thought fit to issue this Our Royal Proclamation, and We do
hereby declare that on and after the first day of January, one
thousand nine hundred and one, the people of New South Wales,
Victoria, South Australia, Queensland, Tasmania, and Western
Australia shall be united in a Federal Commonwealth under the
name of the Commonwealth of Australia. Given at Our Court at
Balmoral, this seventeenth day of September, in the year of
our Lord one thousand nine hundred, and in the sixty-fourth
year of Our reign. God save the Queen."

At the same time, the following announcement, which caused

extreme delight in Australia, was published officially from
the Colonial Office:

"Her Majesty the Queen has been graciously pleased to assent,

on the recommendation of the Marquis of Salisbury, to the