Introduction .. .. Now that we have outlined the 'nuts and bolts' of the course in Module 1, it is time that we start exploring the various course topics. As I said in Module 1, there will be two streams or themes explored in this course. Peggy will be addressing the history of computing and the Internet, current issues related to the Internet such as privacy and surveillance as well as topics related to community, education and the changing nature of work. I will be focussing my lectures more explicitly on the historical growth and development of urban places, what makes urban places work and the impact that technology has had on the form and function of urban places over time. Again, I want to make it clear that both Peggy and I take an historical approach to this course and our lectures reflect this. We do not believe that you can understand where the city and technology are going if you do not have a clear foundation and understanding of where they have come from. In Module 2, I want to lay some of the groundwork for our discussions. Part 1: Urban Studies, Theoretical Perspectives & Telematics I want to begin our exploration of cities and telematics (the blending of computer and telecommunication technologies) by addressing the notion that what we explore and what we see is very much conditioned by the theoretical perspective that we accept or use. I think that it is useful that we spend a little time discussing the major categories of perspectives that are generally identified in scholarly work dealing with this topic. S. Graham and S. Marvin (1996) "Approaching telecommunications and the city: Competing perspectives" in Telecommunications and the city: Electronic spaces, urban places (London, Routledge, 77-122) identify four broadly defined perspectives that condition our view of the city and filter the way in which we interpret the ‘facts’. You should use these perspectives in your own reading and assessment of materials related to the topic and ask yourself what perspective the author(s) is(are) using and how that affects the author's interpretation of the ‘facts’. Indeed, Peggy and I are also going to give you a little insight into what our perspective is and why it is important to keep our perspective and your own in mind as you work through the various course lectures and materials. Part 1 topics include: Urban Studies, Theoretical Perspectives & Telematics Peggy’s Perspective on Technology and the City Lewis’s Perspective on Technology and the City Understanding Our Perspective on Technology and the City Part 2: An Introduction to Urban Studies In part 2 of this lecture, I want to lay some of the groundwork for our study of urban places. The word urban means very different things to people. I am sure that you have some concept in your own mind about what 'urban' means to you. Well, as a field of study (Urban Studies), there are specific definitions, theories and concepts that help to describe just what urban means. We are going to begin to explore some of these ideas in this lecture to get a clearer understanding of just what urban means and how we should go about studying urban places. Here is where my perspective comes in again. I am an economic geographer and, as such, I see the form and function of urban places as being grounded in economic factors. That is not to say that I do not recognize social and political factors as well. But, in my mind, urban places exist first and foremost for economic reasons. I will explain more about this in this lecture. Part 2 topics include: An Introduction to Urban Studies The Economic Rationale For Cities The Four Properties of Cities The Bid Rent Theory of Urban Land Use ... We have a lot of ground to cover in this lecture so let us get started on -- The Four Theoretical Perspectives .... LAST REVISED 9/16/03 Part 1: Urban Studies, Theoretical Perspectives & Telematics .. Introduction to The Four Theoretical Perspectives S. Graham and S. Marvin (1996) Approaching telecommunications and the city: Competing perspectives’ in Telecommunications and the city: Electronic spaces, urban places (London, Routledge, 77-122) identify the following four perspectives on technology and the city -- Technological Determinism Utopianism (or Futurism) Dystopianism (or the Political Economy viewpoint) SCOT (Social Construction of Technology view point) Let us deal with each one of these perspectives in turn. .. Technological Determinism Part 1 Part2 This perspective examines change in telematics and urban change as a rather simple and straightforward relationship (see diagram above). Change in the city is seen to be a direct result of change in telematics or as a reaction to technological innovation or technological invention. Urban change, given the simplified relationship that is theorized, is seen as being unalterable and inevitable, and I suppose by extension, highly predictable. Change in the physical form of the city -- of its buildings, roads, the layout of its parks and the location of its many activity centres is ‘determined’ by the type of technologies that are used in the city. But, of course the perspective implies much more. It also suggests that changes in the socio-economic structure of the city will be ‘determined’ by technological adoption. The nature of wealthy, intermediate and poor neighbourhoods -- where they are located, how many people live in each respective type of neighbourhood, ethnic or cultural mix, etc. -- are all ‘determined’ by technology. As we explore this a little more we would have to say that social movements and public actions/reactions would also be ‘determined’ by technology. What do you think? Does this make sense? Let us explore some of the technological changes that are taking place now, today and see how they would be interpreted by technological determinists? Friction of Distance Well for one thing the type of telematics that we use today have virtually eliminated ‘friction of distance’ in our cities with regards to the movement of information. And information is what our complex urban economies are becoming more dependent upon. It costs no more to move information to the building next door than it does to move it to the other side of the metropolitan region. Increasingly, this means that people will move information to where they are rather than travel to where the information is located. Marshall McLuhan Technological Determinism: The File Cabinet This has huge implications for the city. A technological determinist would say that this should lead to a city that consists of a widely distributed pattern of low density development that eats away at the city’s countryside as the metropolitan region comes to encompass much of the city’s hinterland. There is a lot of evidence to suggest that this is indeed happening. But is it inevitable? A technological determinist would answer emphatically yes. New forms of teleconferencing are also having a huge impact on the way in which business is conducted -- teleworking -- and indeed the way in which education is delivered -- distance education, e.g., SOSC 1731 CyberCities -- with less face-to-face contact. It certainly implies the possibility of new ways of constructing our cities. Think about parking access at York. Would it not be nice to take many more of your courses as Internet courses? Those that you did take face-to-face would be on a much less crowded campus, with fewer commuters clogging the roads and parking spaces in ample supply. But then again if everyone were staying home would there be sufficient demand for a well-developed public transit system? What about those who cannot operate an automobile for financial or other reasons? Is it inevitable that these changes will occur? Again, a technological determinist would say yes. There is an old expression that I like to use that summarizes the perspective that we have labelled as technological determinism -- Get on the train because it is leaving the station! But are there any problems with this perspective? Is adoption and implementation of new telematics inevitable, or do we have to scratch a little deeper beneath the surface? .. Utopianism (or Futurism) Part 1 Part2 At first glance of the diagram above, utopianism would seem to be very similar to technological determinism. I suppose in a way there are strong similarities. But utopianism, in effect, passes judgment on the nature of the changes that are induced by new telematics adoption and implementation. It sees the resulting changes in the nature of the cities as largely positive in nature. That telematics innovation has made the city a better place to live and work and that we should expect nothing less in the future. The example of the old, dirty, crowded industrial city is often cited here -- ‘Look at what technological progress has done to make the city a better place to live!’ Utopianism does allow for the obvious evidence that is readily apparent that not all changes in the past have resulted in improvements. A viewpoint based in utopianism would respond to such evidence by acknowledging the obvious negative impact(s) -- air pollution from automobile exhaust for example -- but it would be pointed out very quickly that the next technological innovation would very likely take care of the problem -- hydrogen fuel cells perhaps. City development is seen to be a continuous cycle of innovation, city change in response to such innovation, and further tinkering with problem areas. In short, a technological fix for cities, allowing for the occasional glitch, that can be eliminated the next time around. This perspective tends to project the city as an environment where a better life is something that will follow from technological innovation. Urban problems that result from earlier technological adoptions such as: environmental pollution, over crowding, moral degradation, social disintegration, etc., will be taken care of by ‘technological fixes’ down the road. And, in the current context, the broad vision of the city that is projected by proponents of this perspective is that of a physical city that has been replaced by a virtual city. Air pollution from the exhaust of motorized vehicles will disappear to be replaced by people who move around the city in virtual space rather than physical space. Networked corporations; networked shopping; networked communities; networked neighbourhoods; networked schools, colleges and universities; networked social interactions. How realistic do you think that this vision of the city is? What about access to the Internet? Does everyone have equal access? If not what are the consequences from this point of view? It goes without saying that businesses take advantage of new telematics innovations. Let us take for example large, global-scale financial institutions. They were very quick to discover the advantages of telematics innovations that have occurred in the past few decades. In the 1980s when global-scale financial integration became a reality because of the growing sophistication of international telematics networks large banks were quick to adopt, and to profit. But, what about all the layoffs that started to appear by the end of the 1980s -- and which have continued to some degree to the present -- as telematics continued to produce remarkable productivity gains in this sector of the economy? Large numbers of unemployed and underemployed people are not good for our urban economies or for our urban way of life. The reply was usually one rooted in the utopian viewpoint of telematics. It tended to run something like this -- ‘Well yes, there will be the regrettable displacement of some workers, but the higher productivity levels will produce higher profit margins that will encourage new investment in other sectors of the economy, that will lead to new types of employment, and in the end the city, its citizens and its businesses will all be better off as a result.’ Again, when you read/hear interpretations like this ask yourself, who is putting this explanation forward and what might they have to gain from trying to convince you of the validity of such a perspective? General Motors Futurama: New York World's Fair (1939-40) In closing our tour of utopianism, I want to point out to you that in trying to spot this perspective that you should watch for interpretations that are based on ideas that the industrial city with all of its inherent problems will be replaced by a newer, healthier, better sort of place. It is a place that would look remarkably like existing suburbs, without the problems associated with older, more central parts of our large metropolitan complexes. The late-1950s/early-1960s TV family drama “Leave It to Beaver” comes to mind here. Utopianism does not seem to be about creating a different city, but rather fine-tuning our current status quo. Perhaps that is not so surprising given that businesses are eager to project an image of continuous ongoing improvement. Ask yourselves why businesses are so adamant to project this image? Let us move along and explore the dystopianism perspective in some detail. Some answers to this last question should start to emerge. .. Dystopianism (or the Political Economy viewpoint) Part 1 Part2 Part3 As the diagram above indicates, the nature of the dystopian perspective is somewhat more complicated. You should also take note that there is another significant difference between this perspective and the two previous perspectives that we have examined. It will become quite evident with dystopianism that telematics innovation and adoption is very much seen as a social process, as part of our society. It is not something that is separate and distinct from society that acts with its own set of rules that are beyond our reach to control. And of course, given that our society is capitalist, then it stands to reason that telematics is seen to be a tool or instrument of capitalism. This is very different from the previous perspectives and has important implications for our interpretation of the city. Technology is no longer presented as a determinant of urban change or a wonderful solution to difficult problems. Technological innovation is seen as just another way to make money -- to accumulate capital -- provided that you can convince consumers to purchase your product. Changes to the built form and the social fabric of the city are then just ‘consequences’ of the process of capital accumulation. Urban change is not seen as being undertaken to achieve improvement, but only to facilitate the process of capital accumulation. Of course, the consequences can be quite sweeping. Let us return to our example of increasing global interconnections as a result of vast technological improvements in telecommunication technologies in the past 30 years or so. It has certainly led to globalization in many sectors of our economy. We will explore some of the particulars of these changes later on in the course, but for the moment, let it be sufficient to say that a relatively small number of transnational corporations have profited very much from their ability to move and process information at a global scale. And what has this meant for our cities you ask? Well, it has meant increasing global competition and consequent economic specialization in our urban economies. Is this not a good thing you are probably thinking? Yes, ... and no. Yes from the transnational corporation’s point of view and those of their shareholders. But, most others would at least qualify their answer before citing only positive outcomes. Globalization, as the process is known, in producing more international competition has also resulted in horrendous restructuring of whole industries. Real average wages have declined. Urban economies have been destroyed -- look at the auto industry centred on Detroit, Michigan for example. It has been downsized and rationalized to the point that much of Detroit’s traditional automobile manufacturing base has been lost. And as a result metropolitan Detroit is much worse off. A reduced tax-base, less prosperity, increased problems trying to maintain urban infrastructure and to construct new infrastructure, ... well, I think that you get the idea. Motor City Ruins I want you to take a few minutes to explore the following web site: Downtown ruins: http://detroityes.com/index.html then select "Take Classic Tour" This web site is dedicated to the many historic structures in the City of Detroit which have been torn down or are slated to be torn down because they are derelict and condemned by the city. As you view these links think about how incredibly fragile the 'right conditions' are that sustain a prosperous and healthy metropolis and how changing conditions -- technological, economic, social, political -- can quickly reverse the process. Do not get me wrong here. Other cities have benefited tremendously from technology and globalization. Think of the San Francisco Bay area in California, home to Silicon Valley. Talk about prosperity! Much of the globalization of communications has been as a result of the telematics research and development that takes place in this region. But, then again, this prosperity has its own perverse kind of impact on the local urban economies of the region. With high profits extremely high wages have developed in this industry. This has led to housing markets in which the prices of housing has been bid up so high that people who are employed in ‘ordinary occupations’ (e.g., police, teachers, fire workers, nurses, etc.) find it difficult to afford to live in the area. As you can imagine, it makes it very difficult for cities to recruit workers to provide essential services. This has pushed wages and salaries higher trying to attract qualified personnel. What do you suppose has happened to tax rates, which is where the money comes from to pay for many of these services? Point your web browser at http://www.google.ca/ (or your favourite search engine) a tip of the hat for the first accurate posting -- including URLs -- to citytalk@yorku.ca of an analysis of what sorts of prices/rents are standard for homes/condominiums/apartments in the San Francisco/San Jose/Oakland area of California. Now check out metropolitan Detroit. Do a price comparison. So dystopianism sees our cities changing as a result of economic imperatives, with the prime economic imperative being the need to maintain or enhance capital accumulation. In other words, telematics change will occur if there is money in it for the capitalist class, and the resulting changes in the city are merely ‘consequences’. To the extent that the changes are for the better we have to remember that this is purely ‘coincidental’. Ask yourself, is Bill Gates really interested in producing ‘great software’? Really? If there was no profit in it I suspect that he would lose interest pretty fast. He is in it for the money, not because he gets some kind of altruistic ‘buzz’ out of doing his best. .. SCOT (Social Construction of Technology view point) Part 1 Part2 The SCOT perspective also views technology as being part of society, but it differs from dystopianism in that it theorizes that society as a whole, not just the capitalist class, have a role to play in setting the agenda for change (see diagram above). The process of capitalism is recognized as being a part of the process, but only a part. It is based on the idea that individuals, communities and institutions have a role to play in the decisions to implement or reject telematics innovation. Society as a whole has choices to make at each and every step -- adopting some changes, rejecting others. All the while shaping the way in which technology is adopted. This perspective is very much rooted in analyses of the nature of the city that has preceded it -- the historical context which conditions current decision-making. Understanding extant socio-economic and technological processes and how they came to be is important here. The important thing for us to keep in mind is that the SCOT perspective will view the pattern of urban development as reflecting the local social setting. And keep in mind that the social setting should vary from place to place. This means that each urban place is totally unique -- this is not too difficult to accept is it? Each urban society will make different choices resulting in different outcomes, and ultimately, a widely varying pattern of adoption of technological innovation will result. Very different from technological determinism is it not? But, would it not result in a mishmash of different telematics standards? This perspective is usually used as a tool to try to understand the relationships between the social, economic, institutional and political processes that are embedded within any city structure. Urban development is not seen to be occurring within a neutral environment. The city therefore becomes an expression of the dominant social and political beliefs of a society. Point your web browser at http://www.google.ca/ (or your favourite search engine) and do a search on a communication technology that was leading edge about 16-17 years ago. It was called Telidon. What was Telidon? How did it differ from the World Wide Web? What happened to it? Was there anywhere in the world that did adopt Telidon-like technology? Is it still being used today? Did Telidon have a major or lasting impact on the nature of the city? What does all this say about the four perspectives on telematics? A tip of the hat to the first person that posts accurate information -- including URLs -- to citytalk@yorku.ca . The Four Perspectives conclusion .. Well, we have now come full circle. Remember these four perspectives as we explore CyberCities. They will crop up again and again. The key thing to keep in mind is that the perspective that is used by authors will ‘filter’ or ‘condition’ their interpretation of the ‘facts’. Keep this in mind, and also be aware that you are doing exactly the same thing as you synthesize course material. You are filtering the facts -- excluding some, including others, putting your own ‘twist’ (interpretation) on things. The type of twist will depend on the ‘perspective’ that you take. .. So, you may be asking yourself just what perspective Peggy and I fit into. Let us explore this point a little starting with -- Peggy’s Perspective on Technology and the City ... LAST REVISED 9/16/03 Peggy’s Perspective on Technology and the City . . I grew up in Grand Rapids, Michigan. Yes -- 'The Furniture Capital of the World'. Well, that is what the local furniture manufacturers and politicians would like to say. Actually, the various furniture businesses had a long history in the city and were the backbone of the economy. They also had a very prestigious reputation in the US as makers of fine furniture, a source of pride for the city. Now, before I go any further, for those of you who do not know where Grand Rapids is, it is located 605 kilometres (6.5 hours) west of Toronto--the mid-West of the U.S. Actually I didn't grow up in Grand Rapids, but rather in East Grand Rapids (EGR). This is interesting only because it was an early example of a small community that resisted the lure of amalgamation. In the US, both the amalgamator and the amalgamatee have to agree by a vote of the citizens. EGR never voted to amalgamate. Many large cities in the US have this same phenomenon; Los Angeles is made up of tens of small communities -- there is no metropolitan-wide level of government. Neither Metro Toronto nor the MegaCity could be forced upon folks in US cities. EGR might better be called an enclave, since it is nearly totally surrounded by Grand Rapids. Urban Change It is often the case, often enough that it bears investigation, that types of urban structural changes occur first in the U.S. and then later in Canada. If that is indeed the case, let's look at what the city of my childhood was like. You already know that there were a number of smaller municipalities (EGR among them), one larger central city (Grand Rapids itself), all independently governed, each with their own emergency services, libraries, schools, etc. Segregation, although the Emancipation Proclamation, freeing the slaves, was nearly a century old, was a fact of life. The black population of Grand Rapids lived in the central city; there were virtually none in any of the suburban areas or surrounding small municipalities. In EGR, we had one black family; the father was a chauffeur for the Bissell family (yup, the carpet clearner folks) and lived on the Bissell estate in a house built just for them. By the late 1950s and early 1960s, it was obvious that the downtown core of Grand Rapids was on a march towards destruction--businesses were moving outwards, to newly developed suburban shopping malls, white families were 'fleeing' from locations close to the downtown to the suburban areas. Similar events occurred in Toronto, but a couple of decades later. And in some cases, Toronto is, like New York City, an exception. Technology of the Times There were some advances in technology that had lasting impacts: first among them was the introduction of broadcast television. I was in Grade 5 I think when my family got our first TV. Although we were by no means the first in the area to do so, it was still a source of entertainment for guests. And of course, it was black and white only. It is amusing now to look back at the programs that we used to watch: I Love Lucy, The Ed Sullivan Show, The Mickey Mouse Club Show, and so on. Social and Cultural Realities Socially and culturally, the norm was the nuclear family with only one employed parent. Our neighbourhoods were segregated not only by race, but also by income and status. We grew up in areas where the rest of the kids were like us. In high school, very few of us had part-time jobs during the school year--I can't think of anyone that did. Sometimes in the summer we might have had jobs, although these were really only available once we were nearly 18 years old. Many of my friends spent their summers either at their family cottages, or idling away their days at one of the numerous country clubs located nearby. My family had neither a cottage (it got sold during the Depression, when my father lost a considerable sum of money) nor did we belong to a country club, so I always hoped to get invited to go stay with one of my friends. Elvis became a household word when I was in Grade 8; of course the camera shots of him singing on TV were not allowed to show any of his gyrations and thus were restricted to 'from the waist up.' The milieu that I grew up in was privileged, conservative, comfortably well-off, and just as xenophobic as the rest of the U.S. But there were also expectations of our behaviour--that we would attend (and do well at) university, that we would carry on the family traditions (get educated, marry, settle down and raise a family). Probably not much different from the expectations that your family has of you, but we did not have to worry about finding the money for school, we did not have to work part-time, but then we also did not have our own cars, our own telephones, or many of the things that some in the present generation feel are necessities. We did not go to clubs or bars - we couldn't - the legal drinking age was (and still is) 21. So we entertained ourselves at parties at each other's houses. Fast food restaurants were just beginning to be popular. I remember the first Big Boy and McDonald's. I was already driving age by the time they came to the city. This may also be part of the reason why we didn't have part-time jobs; many student jobs are at suburban malls and fast food 'joints'. The malls were just starting and fast food was a handful of places in a city of 1/4 million. No place to work! My childhood years in Grand Rapids were pretty uneventful. I lived in a suburban neighbourhood with large estates that, as a kid, seemed to go on for ever. Not that my family was wealthy, but many families in the neighbourhood were. We were the ones that happened to be living in the modest home on the street. In fact it was a house for the chauffeur of the estate next door. The family still had a chauffeur, but he didn't need the house, so they put it on the market and my parents bought it around 1934 (I hasten to add that this was before, way before, I was born!). The picture below is not of that estate, but of one around the corner. It was terrible on Halloween, the houses were so far apart I hardly ever really got a good haul. I guess that you could say that I was exposed to social stratification at an early age. This is something that would echo in my experiences of social and racial unrest in America in the 1960s and in the death of the downtown cores of cities that I knew quite well like Detroit. Suburban Neighbourhoods I don't think I lived in a typical neighbourhood. There was one secondary school in EGR. Concerns were about dress code, fraternizing in the halls (holding hands was taboo), and how well the football team was doing. Of the 160 in my graduating class, 159 of us went to university. This also points out another difference between US and Canadian cities. Municipal governments in the US have to get permission from the populace to increase taxes. This means that emergency services, education, libraries, ... -- all have to 'ask' the people for money. Education was a high priority with the folks in EGR and it showed in our schools. We had great teachers, good facilities, lots of emphasis on higher education, and what seemed like zillions of tests. It started in primary school and continued through high school. When it came to writing the SAT (the test that's still required by most US universities for admittance) we were all accustomed to sitting in a room for six hours writing away like mad -- with a short break for lunch. University Life before the Age of Aquarius When I went to University (U of Michigan, Ann Arbor), women students were still the minority. To some, university for women was a 'finishing' school, where we could learn how to be good conversationalists and enhance a husband's career opportunities. Yuck! The Beatles became a sensation during my third year at the U of M; one of my roommates was absolutely 'in love'. The Universities themselves acted as 'in loco parentis'. What does that mean? Well, it's something that would certainly make you annoyed. We were not allowed to live in 'private' housing until we reached the age of 21; that means we had to live at home with our parents, in a campus dormitory, or in one of the many sororities or fraternities that existed on campus. And of course there was no co-ed housing. We could not rent an apartment. In any of the on-campus housing locations, we had to observe curfews; on weekdays, we had to be in the dorm or fraternity by 11 p.m. After that, the doors were locked and we did not have keys (of course, this did not preclude climbing up the side of the dorm with the help of a friend 'on the inside'). On weekends, we were allowed to stay out until 12:30 or until 1 a.m. on a couple of special event nights. This is when I learned how to play Bridge. What else was there to do when you couldn't be outside, when you were either finished studying or just couldn't face another minute with your books, and the only phones were 'hall' phones--no chatting away with friends for hours on end? Of course Bridge, was almost my undoing since I played it incessantly, sometimes we were still at it at 5 a.m. Imagine how different your life might be if these were the 'rules' you had to live under. And 'sweet talking' your substitute parents wasn't an option; the housemothers were not known for their 'just this time, dear' or 'Don't worry, you can stay out till 3 a.m. It's not a problem.' By the time I finished my undergraduate years, the times they were already a'changin'. In loco parentis was dying, students started to rent accommodations, the Age of Aquarius and the Viet Nam war protests was upon us. But that did not stop the University from some last vestiges of discrimination against women. In 1968 I got married, both my husband and I were graduate students. He was a 'foreign' student (from the UK) and thus had to pay the big bucks for tuition. I was still assessed a much smaller amount for my tuition - about 1/6th the amount he had to pay. And I had a job as a TA. According to the rules, since I was a TA, a position that paid my tuition for me, I was also entitled to have my spouse's tuition reduced to the current in-state fees, rather than the much higher foreign fees. Ah, but it turned out that because I was a woman (and only because I was a woman) the rule did not apply to me. My spouse's tuition would remain at the larger amount. If it had been the other way around--my husband with the TA and me with the high tuition, then all would have been dandy, and my tuition would have been reduced. I petitioned, I appealed, I ranted and raved--all to no avail. In a time when TAs made less than $1500 for a year's worth of teaching and the average salary of an MBA (someone just finishing a graduate degree in Business) was about $10,000 [this was considered the absolute top of the heap in terms of what a grad student could expect upon complete of a degree--those in Arts or Sciences got considerably less]; and student loans topped out at about $1000; the $2500 tuition for my husband was nearly a killer. Everybody Gets a Car But I digress, back to the cities of that time. Universal automobile ownership became universal two-car ownership, the cities began their sprawl, encroaching on the nearby countryside, with many cars polluting the environment. The U.S. federal highway department was busy building the Interstate Highways (an Eisenhower measure enacted as a cold war precaution so that the country could be mobilized quickly should Russia attack). These same highways bulldozed their way through many cities, separating and dividing neighbourhoods, running roughshod over nearly anything in their way. In most cases, the coming of the Interstate was seen as an opportunity -- an opportunity to clean up the slums - also known as areas where the poor and the blacks lived. It happened in Grand Rapids too. The area under and adjacent to these highways used to have large, but poor, communities. All gone. Destroyed. Without compensation or help in relocation. Eventually, there was such an outcry (most notably in Boston) that governments had to begin helping the people they dislocated; but still nothing for those that had been forcibly removed earlier. In Grand Rapids, many of those who were dispossessed moved into rental accommodations that were being created out of some of the larger houses, located close to the city center, that had been vacated by families moving to the suburbs. But the rents were higher. The Death of Downtowns Eventually, in the 1970s, people began to notice what was happening. Downtowns were dead or dying, the downtown businesses either moved to the suburbs or declared bankruptcy, cultural facilities in downtown areas were having a hard time attracting a clientele, ... Suburban life was where it was at. And the suburbs created are different in one major respect from suburbs of Canadian cities--housing lots are much larger. There are no 40-foot lots in suburban U.S. (well maybe in the inner suburban areas of NYC, but as I said that's an exception). Most folks had 60 or more likely 100 foot wide lots with large front, back and side yards. Suburban planning, housing density rules, were basically unknown. The result was, as one would expect, not only suburban sprawl, but sprawl with a capital S, lots of space consumption. As a result, urban public transportation also faced a horrific challenge. It's difficult enough to service suburban areas where the densities are fairly high - as is true in Ontario cities - but nearly impossible in the low density areas of the US. Public transportation nearly died, in some places it did. In others it was restricted to servicing pretty much the central city; an area almost totally inhabited by the poor and non-whites. These facts exacerbated the ability of central cities to help themselves - the 'white flight' and the loss of businesses meant very large decreases in the tax base of urban cores. Central cities were in the position of desperately needing new initiatives to re-establish themselves, yet they had insufficient money for the basic support of the existing residents. Rejuvenating downtown cores, bringing back public transportation, bringing housing of all types back into the city, became major efforts of most metropolitan areas of the U.S. And the efforts continue to this day. Demographers studying Canadian cities are always on the look-out for data that starts to show similar changes to Canadian cities. We did experience suburban sprawl, but with the differences I noted above. Central cities have lost population, or have grown only minutely over the past several years, businesses have spread to suburban areas, or business malls on the edges of cities. But we still pride ourselves on the vitality of our central cities--will it last? Or are we really in lock-step with the US, just 2 or 3 decades behind? In April of last year, the Ottawa Citizen reported on that city's efforts to stop suburban sprawl. Among the statistics noted in this story (which is unfortunately no longer available online), Ottawa was noted as the only city among the largest 4 in Canada where suburban growth did not outpace central city growth (figures from 1997-present). And still the Ottawa planners are very concerned about the space consumption and servicing needs of suburban growth. They wish to enact legislation that forces developers to work with unused or underutilized urban spaces first. (Reevely, David, April 24, 2002), 'Don't let sprawl 'choke off' growth', The Ottawa Citizen. [thanks to a student from last year who found a copy of this article online]) Back to my personal view of the city. It was only after University (Ann Arbor, near Detroit) that I finally got to travel to Europe; and then after marriage, to much of the Middle East (my husband was an archaeologist and his 'digs' were in Turkey, Iran, Iraq, Libya, Syria and Yemen). My urban reality today is very much what I dreamed about as a child, adjusted somewhat by my later experiences. I live in the country and am connected to my work in the city, my friends all over North America and my research that is everywhere. Cities of the Future I guess you could say that my perspective on technology and urban futures is utopian (I do like the 'toys' and I can see all manner of possibilities that could enhance people's lives) with a large dollop of dystopianism and technological determinism -- a realization of the unpredictable and occasionally evil nature of the things which technologies allow and of the bottom line thinking of those who bankroll them. As for the city itself, we can't afford to tear down our urban infrastructure, although it is deteriorating despite efforts to shore it up. A few years back, estimates of the cost to repair urban infrastructures in the US vastly exceeded the GNP of the country. We also have our problems with deteriorating infrastructure; sewage systems, highways in disrepair, and so on. I see two scenarios: one in which the rich return to the city and rebuild that part of the infrastructure necessary for their lives (the residential-entertainment centre view of the city); or one in which cities are left to those unfortunate enough not to be able to afford to leave, one with a crumbling infrastructure. Entertainment, businesses, power resides outside the city perhaps in gated communities (they're already building such communities in a number of areas of the GTA). Sort of a future view of what happened to many US cities starting in the post-war years and accelerating during the 60s. In fact, I hope that neither of these scenarios actually happens. I would prefer one where individuals have choice and where neither ethnic nor social class enclaves would develop, whether they be in downtown areas, inner suburban areas or in the more rural surrounding countryside. There's that utopian idealism creeping in again. The realist in me says it probably won't happen. . Now check out -- Lewis’s Perspective on Technology and the City . LAST REVISED 9/16/03 Lewis’s Perspective on Technology and the City . . I grew up in a small town in Eastern Ontario called Smiths Falls. It is located about mid-way between Ottawa and Kingston. Yes, the chocolate capital of Canada thanks to the Hershey Plant. When I was growing up, Smiths Falls was an important hub for the transcontinental railways in Canada, particularly the Canadian Pacific Railway (CPR). My father would take me several times a week to see the trains. I had a real sense of far away places and how important the link through Smiths Falls was. My urban experience was that of a very small town. I did get to Ottawa, Toronto, and Montréal on occasion, but much of my world was centered on small town life and my grandparents apple farm in Trenton, Ontario. I guess that you could say that my living space was more rural in character while I was growing up. There was something special about the era in which I grew up, however -- the 1960s Space Age. Everything was space age: what we ate and drank (Tang -- orange juice of the astronauts) what we learned at school -- Space Age Math (SAM for short) -- really, that is what it was called what we wore (new man-made fabrics and then there was my own creation -- an aluminum foil-covered robot costume for Halloween) what we used to build and furnish our homes (new space age materials and designs -- space age plastics were important) how we were connected to the rest of the world (airplanes and advanced telecommunications that allowed us to watch world events in our own living rooms) how we socialized (we could talk with relatives on the other side of the earth just about as easily as our neighbours down the street) We just lived and breathed space age culture! I could sit in front of the television set and watch events around the world as they were happening thanks to Telstar and its successors (the first satellite connecting continents -- North America and Europe). I could be teleported out of Smiths Falls and into the future watching the Jetsons when I was young. And then Star Trek when I outgrew cartoons. And I experienced the future at Expo 67 in Montréal -- still the largest World's Fair ever held. But, the biggest revelation of my childhood came one day when the whole family congregated in front of a TV that had been brought to the cottage from my grandparent's house. I knew that an important event was about to happen because a TV had never been allowed to enter the cottage before. The event -- Neil Armstrong was about to be the first person to ever set foot on the moon. Touching the moon's surface with his left foot, Armstrong said, "that's one small step for man " and with his right foot touching the moon, he added, "one giant leap for mankind." Neil Armstrong: July 21, 1969 Wow, we actually had the technology to propel humans into space; to leave the earth's gravitational pull; to enter into outer space; and to land and set foot on another celestial body. Was that great or what? And what was even better then that? We actually had the technology to watch it on TV Is it little wonder that this would be such a special moment for me and would imprint on my mind what the future of the world would be like. The future had to be space age, boundless and technology-rich. We were on the moon and watching it on TV. Did we need any more proof about the power of technology? As a result, my vision of the future of the city, well at least the city that I would be living in when I grew up, was space age. I was filled with the overwhelming feeling that, hand-in-hand with technology, we could do anything. The key words to describe the future were progress, prosperity, and optimism. The future was something to look forward to because it would bring all kinds of new adventures and boundless possibilities. By wholeheartedly embracing technology, the future would be bright. A true Utopian perspective! I would live in a home in the sky. I would have a robot for a maid. I would drive my nuclear family to school and shopping in my space car. I would vacation with my family on the moon. When I wanted to go long distances, Scotty would beam me there. And I would have great adventures in space as the resident geographer on the Enterprise. Well, OK -- not exactly how my life turned out! Just as well, I really do not like heights. And, even after working several years as an urban planner in the real world, I have to admit that I still see the future of cities through a space age lens. Sometimes this means that I have a more Utopian Perspective of technology and the city, especially the city of the future. I personally like exploring new technologies and see all of the possibilities offered. I would like to believe that the SCOT Perspective will prevail but the realist in me feels that the Political Economy/Dystopian Perspective is the one that will rule the future. What does this mean for technology and the city of the future from my perspective? Well, I think that if there is profit to be made from houses in the sky, space cars, robot maids and vacation resorts on the moon, we will have them -- whether we want them or not. Our cities will be very different looking places for sure, but the overriding reason for having cities will be determined by the economy as it has always been. It may not be all that far off in the future. After all, we do have robot dogs! . Ok, let us wrap up Part 1 of the lecture by turning to -- Understanding Our Perspective on Technology and the City . LAST REVISED 9/16/03 Understanding Our Perspective on Technology and the City . . The point that we are trying to make here is that our perspective is imprinted on our consciousness by the economic, social, and political milieu within which we grow up and live. Technology has no small part to play in the structuring of our individual views. The perspective that we adopt towards technology has a significant impact on how we explore the impact of technology on society and the city. In turn, our perspective will determine how we view the future of society and our cities and the role that technology will play in that future. What is your perspective on technology and the city? .. Ok, now that we have laid the groundwork for understanding our perspectives on technology and the city, let us move on to Part 2 of this lecture -- An Introduction to Urban Studies . LAST REVISED 9/16/03 Part 2: An Introduction to Urban Studies . Introduction In urban studies we are interested in understanding better the cities, towns and villages that surround us. The built environment -- buildings, roads, rail lines, parks, utility networks, water and sewer lines, etc. -- are what we generally think of when we approach urban studies as a topic area. But when we probe deeper, we soon realize that understanding urban places is much more complex than a simple inventory of what is visible. The built environment of an urban place is only the physical expression of a very complex web of interrelated processes. These processes are summarized in the illustration above. The point at which all of these elements come together is the urban place that most of us live in, work in, and experience on a regular basis. It is important to keep in mind that urban places are not only complex, but that they can also be very dynamic -- that is they are more-or-less in a constant state of change. This makes the task of studying urban places challenging, and at the same time, very exciting and intellectually rewarding. Urban Places Smiths Falls (my home town) Toronto México Tokyo New York We live in a very urbanized world! Urban places can take many forms from quite small (e.g., Smiths Falls, Ontario), to more medium sized cities (e.g., Toronto), to very large places (e.g., México, Tokyo, New York). In our world, urban places are the focal point for most of our activities including, and probably most importantly, economic activities. While there are certain types of economic activities that are usually considered to be non-urban -- agriculture, fishing, forestry, mining, etc. (primary economic activities) -- it is in urban places where most manufacturing (secondary economic activities) and service sector firms (tertiary economic activities) concentrate. The Changing Composition of the Economy Questions to Ask Yourself What was the relative importance of the three economic sectors at the beginning of the Industrial Revolution in the USA? What was the relative importance of the three economic sectors in 1920? What is the relative importance of the three economic sectors today? What does this tell us about changes in demand for labour as an economy industrializes? What is the relationship between industrialization and urbanization? The very large urban places, what we generally refer to as cities or metropolises, exert considerable influence over smaller urban places and over surrounding rural areas. The degree of influence is related to the relative size of the urban place in question and to the nature of the economy within which the urban place is situated. The largest urban places, and the most influential (powerful), possess considerable expertise in management and what are usually referred to as control functions. What do we mean by the term urban? . Canadian Census Definition of Urban Toronto areal Let us begin by defining a few terms. What is meant by the term urban? The statistical definition used in Canada has been developed for the Canadian Census (2001). A place that is classified as urban is a continuously built-up area having a population concentration of 1,000 or more people and a population density of 400 or more people per square kilometre. So you can see that, even very small places can be thought of as urban. It goes without saying then that, urban is a term that covers a wide variety of places of very different population sizes -- from 1,000 people to places with populations in excess of 25 million. What then do these widely divergent places have in common? The answer is commerce, the carrying on of business. This is what nearly all urban places have in common. There are some exceptions to this rule, such as cities that are supported because of their special role in an important religion, or the presence of an important educational institution to mention only two examples. Even in these cases, the importance of business transactions, while not the primary reason for the place’s existence, is still an important characteristic of their urban character. We will discuss some of the finer details related to urban functions a little later, but a broad definition at this point should be enough to work from. To fill out our working definition of urban we will build on the Census definition to add that business is carried out in urban places as well. Going back to the Census definition, we should note that there is a measure of population density as well. There is the notion that people are located in relatively close proximity to one another. So an urban place is one that has people located in close contact, implying relatively high levels of interaction with one another, and social closeness, togetherness, and interrelatedness which is not possible in a rural area, should, in theory, develop in an urban area. This, in turn, should lead to higher levels of community development, or at least the opportunity for higher levels of community development. What are cities? Expanding Our Understanding of Urban Places When we put all of the various elements that comprise an urban place together we cannot forget to think in terms of the built environment. Urban places have a distinct look and feel that comes from the closeness and the largeness that is associated with them. Buildings are closer together, bigger and more specialized in urban places of importance than they are in smaller urban areas. Lifestyle also reflects the impact of a very different way of life associated with urban areas. Urban residents do not depend on the land directly to sustain themselves. They rely on rural dwellers to supply food and other natural resources that are essential to the urban way of life. Urban residents pursue activities that are distinctly 'non-primary' in character. Urban places are generally centres of invention and of innovation as well. Technological innovations, economic innovations, social innovations, political innovations, etc. In large part this is related to the close proximity to others who are working at developing solutions to similar or related problems. Another contributing factor is that the cultural environment in cities is generally more open and accepting of new ideas and ways of doing things and tends to encourage innovative change. This means that the process of invention or innovation often finds more active support in urban places, particularly larger urban places. As a result, it is in such an urban environment that we expect to find the first adoption of new transportation or communication technologies (automobiles and freeways), new ways of organizing and conducting business (flexible production methods and just-in-time delivery strategies), social innovations (women joining the labour force in larger numbers), and new forms of governance (the invention of municipal government). The adoption of the new and innovative then is also a well entrenched characteristic of urban places and what it means to be urban. As with most innovation -- which implies the abandonment of some processes and their replacement with the new -- there is always displacement. Most often the displacements are small and incremental, but sometimes they are huge. When the pace of innovation is high and they are large in scale, the results can be equally huge (social and political problems) as people are displaced from their traditional ways of doing things at work and at home. These changes are characterized as ‘revolutionary’. This inevitably results in problems that are identified with urban places as this is where the intensity of change is the highest and tends to produce the greatest friction as we as a society attempt to identify the nature of the resulting problems and to form a consensus on how to react in addressing the problem. So as we become an increasingly urban world, we tend to think of our society’s problems in terms of urban problems. We are undergoing a phase of urban change currently that exhibits many of these characteristics -- high levels of innovation and the resulting displacement of many members of our society. It is creating tremendous strain on our society as a whole and governments, in particular, as we try to deal with the consequences of rapid change associated with the adoption of new information and communication technologies. What will the urban future look like? How can we cope with these problems? There is historical precedent to examine that may help us to understand what is happening around us and what may be in store for us down the road in a decade or two. Although the innovative cycle was different -- or was it? -- there are important lessons to be learned from the Industrial Revolution that began in the United Kingdom (UK) in the mid-eighteenth century. We are going to examine what happened here in greater detail in a subsequent lecture. For the moment, it is sufficient to note that what resulted from innovations in new production technologies -- related to the harnessing of coal as an energy source -- had a huge impact on urban growth, on migration, and ultimately, a shift from a society that had been rural in orientation to one that was very clearly focused on urban places. Today, many people speak of an Information Revolution to describe the nature of the changes that are being ushered in by the new information and communication technologies. There are most certainly tremendous changes going on, but we need to ask ourselves if the direction of our economy, society and political system is being altered to the degree that was apparent two centuries ago. One thing that is similar is that the centres of innovation today, as was the case 250 years ago, are overwhelmingly urban and relatively few in number. Urbanization I want to shift the direction of our discussion slightly here. We now have a working definition of what urban is and what urban places are about. We have a sense that, among other things, they represent change. Let us now turn to an exploration of urban change. We use the term urbanization to describe this change. Urban places are dynamic entities and express changes in all sorts of ways. First, we need to recognize that processes of urbanization are symbiotic, that is they are affected by other processes of urbanization at the same time that they are having an impact on those other processes. We can also think of urbanization processes as producing urban places that are more urban and less rural as time goes by. Urbanization then is a set of interrelated processes that produce urban change in an evolutionary fashion. Each change building upon the foundation that was laid down by the cumulative impact of many previous changes. What is implied by urbanization? From a dispersed to a concentrated population distribution Shift away from primary activities Change in the role of government Change in family organization Change in the organization of trade What sort of changes are implied by urbanization? Let us explore a few examples from the past three centuries of human history. With the Industrial Revolution employment started to concentrate into factories, and factories started to cluster in close proximity to one another. This concentration produced many more large cities than was previously the case. This is still a characteristic of urbanization associated with manufacturing production. Towns and cities were where the economy was producing new jobs in the eighteenth, nineteenth, and twentieth centuries. This resulted in a great migration of population. A massive movement of people from rural areas to urban areas was initiated. Those who were surplus to the needs of the agricultural economy and those who wished to explore other life opportunities moved into the growing towns and cities of the Industrial Revolution. Urbanization also implied growth in areas of the economy that were previously quite minor and inconsequential. Secondary economic activities (manufacturing) came to dominate, while tertiary economic activities (services) expanded as well to provide the sort of support that the secondary sector required to operate efficiently. Primary forms of economic activity continued to grow and expand as a larger urban population required primary support, but the share of the economy devoted to primary economic activity shrank in relative terms in a very dramatic fashion. Note that the need for large numbers of farmers was falling as industrial technologies were applied to agricultural practices, resulting in higher productivity levels, and reduced demand for agricultural labour. The above, of course, relates to the manner in which urbanization produced growth and change in towns and cities situated in what are now the developed economies of the world -- North America (excluding México), Western Europe, Japan, Australia, etc. But what about other parts of the world that are undergoing rapid urbanization today -- Latin America, South Asia (India, Pakistan, Bangladesh), East Asia (China, Taiwan, South Korea, Malaysia etc.). Urbanization in these regions of the world is again associated with higher levels of secondary economic activity, but the role of tertiary activities is much more important in these urban economies than it was during the early phases of urbanization for the developed economies. The nature of the urbanization processes are different and consequently they are creating an urban environment that, in many respects, is quite different from our day-to-day experience in Canada. Another aspect of urbanization is the change in the role of government in societies that are urbanized or urbanizing rapidly. Urban society is sustained by a very complex economy. Coordination and stability are necessarily the cornerstones of the human environment that is required to sustain and nurture a healthy urban economy. As I said above, municipal government as we know it had to be invented as part of the process of urbanization. What existed previously? Well no municipal government was needed because there were no municipal services. We will be exploring this in some detail in the lecture on the Industrial revolution in the early nineteenth century, but for a moment try to imagine what it must have been like to live in a city of the early Industrial Revolution. Think about living in a city of several-hundred-thousand people without the following: a safe water supply (i.e., wells and cisterns); sewers to carry away human excrement; or garbage disposal. Water supply, human waste disposal and garbage disposal all took place in the narrow unpaved streets and alleyways. Pigs and other livestock -- ultimately a supplement to the meager diets of urban factory workers -- were allowed to wander the streets, foraging through whatever they might find that would pass as food, adding their own excrement to what the householders were themselves producing. There was no organized police protection, no fire protection, and no ambulance service as there was no system of hospitals, nor organized public health system for that matter. I could go on, but I think that you get the idea. Eventually, through much pressure, the urban elites came to recognize that it was in their own best interest that certain municipal services should be provided to make cities healthier and safer places. Better places to live and better places to carry on business. Modern forms of municipal government were invented to coordinate delivery of such services and, of course, to raise revenues to cover the costs of provision (e.g., taxes). As urban places have become larger and more complex, services have been added and the scale and complexity of municipal government has necessarily expanded. We tend to take municipal services and municipal government for granted, but it was a vital and often neglected component of the urbanization process. Many cities in the developing world today are trying to cope with the kinds of problems that our society dealt with a century or more ago. However, the scale is much different. In our society, cities (one to two centuries ago) had populations of hundreds-of-thousands or, in rare cases, a million-or-two. Today we are looking at rapidly urbanizing cities and thinking in terms of many millions of people. Indeed, México is estimated to have a population in the order of 25 million people. These cities are undergoing rapid urbanization that is producing changes in the structure of the family. The way in which trade is organized is changing rapidly, which has an impact on the way in which business is conducted at the local scale. This in turn has an impact on the role of local elites and on the quality of the day-to-day lives of the average citizen. As the volume of long-distance trade has increased, the level of local specialization has also increased. We must not forget that there is a technological link here. Remember that I earlier spoke of the symbiotic nature of the processes of urbanization. These changes in the nature of long-distance trade are facilitated by improved information and communication technologies. At the same time, the changes produce economic growth that, in turn, changes living conditions in the affected urban places. That, in turn, provides a further push for innovation in the technologies to facilitate the changing needs of business. On a societal level, this symbiotic relationship between business innovation, production innovation and technological innovation has produced great changes in socio-political processes. Trade barriers have been relaxed and in many cases eliminated, producing, in some cases, great trading blocs -- e.g., the European Union, the NAFTA trade zone (Canada, USA, México). What about the people who live in the urban places undergoing urbanization? How are they affected by the changes associated with urbanization? Well, for one thing, their quality of life changes. These changes are not always neutral in that some things will improve conditions, while others may have a negative impact. The early stages of the Industrial Revolution produced a very poor living environment. The best that could be said for early-industrial cities was that, when economic times were good, employment opportunities were relatively plentiful. As I have already mentioned, the nature of living conditions was pretty deplorable by current standards, but residents did have employment and entrepreneurial opportunities that far surpassed those that they had left behind in the agricultural hinterland. And, I suppose that, we have to accept that people were ultimately better off than the rural unemployed that they had left behind. Otherwise, they would not have gone to the trouble of uprooting themselves and moving to the manufacturing towns and cities in the first place. In these emerging urban places a significant change in social organization was also apparent in that there was a much finer system of social differentiation apparent. Previously, there had been two distinct classes -- the landed gentry (elite) and the peasant farmers, plus a very small middle class. In manufacturing cities, the social strata included the landed gentry, a very important and growing middle class of merchants and professionals, a distinct working class, and an urban elite of extremely important merchants and financiers. Indeed, within the middle and working classes there was even finer stratification. This pattern of stratification was further enriched by the fact that different ethnic groups and life style communities were often apparent. We need to recognize that prior to the Industrial Revolution that large towns and cities were very rare. In general, the very large cities were administrative, religious or political centres. With increases in industrialization small villages and towns began to grow and thrive. The result over time was the development of a fairly dense network of industrial towns and cities in regions of the world that experienced early industrialization -- Western Europe, then North America, then Japan developed highly urbanized and industrialized economies very rapidly. These changes also resulted in considerable migration. There was a huge movement of people from the rural areas to nearby urban centres. In addition, as transportation and communication improved in efficiency thereby reducing costs, there was a massive migration of people displaced by the new economy. This had a particularly large impact on the European settlement of North American in the nineteenth and early twentieth century. . .. Percentage of the Population Living in Urban Places What major world regions of the world are highly urbanized today? What major world regions are moderately urbanized today? What major world regions are not heavily urbanized today? What does this pattern say about the spread of urbanization at a global scale? Is there a general association between the level of urban population and the relative wealth of countries? Are areas with urban population of less than 50 percent currently ever likely to be heavily urbanized? . . Relative Wealth and Urbanization This graph demonstrates the relationship between the wealth of a country and its level of urbanization. The wealthier a country the more urbanized it tends to be. The association between wealth and urbanization that is illustrated by this graph also indicates that this relationship is stronger or is a better predictor for wealthier countries. This is indicated by the narrower scatter of points around the line of best fit. Poorer countries, on the other hand, display a wide range in the percentages of their populations that are urban. This situation suggests that other processes are at work as well (i.e., foreign aid, foreign technology, the impact of the global economy on poorer nations, etc.). ------------------------------------------------- Source: Adapted from Clark, D. (1996). Urban World/Global City. London: Routledge (20) . .. Percentage of Population That Is Urban for Selected Countries The link between the level of economic development and urbanization is demonstrated by this graph. Advanced post-industrial economies are shown to be highly urbanized throughout the time period. Countries typical of agrarian societies in 1950, urbanized rapidly as they were drawn more and more into the global economy. On the other hand, Saudi Arabia was catapulted into a highly urbanized nation as a result of the enormous wealth it has derived from oil production. ------------------------------------------------- Source: Adapted from Clark, D. (1996). Urban World/Global City. London: Routledge (48) . Let us take a few moments and look explicitly at -- The Economic Rationale For Cities . LAST REVISED 9/16/03 The Economic Rationale For Cities . Introduction Before we go any further, it is important that we reinforce the idea that cities exist primarily for economic reasons. So, we now turn our attention to the economic basis of cities. To do so, I want to explore some key terms/concepts of the economic aspects of cities and their effect on urban form. We have to keep in mind that there is no central planning of the Canadian economy. The fact that we have cities at all, and that there are cities of all different sizes in Canada, indicates that there must be advantages to the locations that are selected. Otherwise, we would anticipate a very dispersed sort of settlement pattern -- either a random scattering of population or a uniform distribution. This is not the case clearly. When we start to examine the economic basis of urban places, we generally identify four types of activity: Manufacturing Any industry that makes products from raw materials by the use of manual labour or machinery and that is usually carried out systematically with a well defined division of labour. In a more limited sense, manufacturing denotes the fabrication or assembly of components into finished products on a fairly large scale. Among the most important manufacturing industries are those that produce aircraft, automobiles, chemicals, clothing, computers, consumer electronics, electrical equipment, furniture, heavy machinery, refined petroleum products, ships, steel, and tools and dies. Source: Encyclopedia Britannica Online Long-distance Trade The selling of merchandise to anyone other than a retail customer. The merchandise may be sold to a retailer, a wholesaler, or to an enterprise that will use it for business, rather than individual, purposes. Wholesaling usually, but not necessarily, involves sales in quantity and at a cost that is significantly lower than the average retail price. Wholesaling became particularly advantageous after the introduction of mass production and mass marketing techniques in the nineteenth century. Without wholesale organizations, large manufacturers would have to market their products to a great many retailers directly and/or consumers at high unit costs, and retailers or consumers would have to deal with a large number of manufacturers at great inconvenience. Source: Encyclopedia Britannica Online Local Trade The selling of merchandise and certain services to the consumer. It ordinarily involves the selling of individual units or small lots to large numbers of customers by a business set up for that specific purpose. In the broadest sense, retailing can be said to have begun the first time one item of value was bartered for another. In the more restricted sense of a specialized, full-time commercial activity, retailing began several thousand years ago when peddlers first began hawking their wares and when the first marketplaces were formed. Source: Encyclopedia Britannica Online Financial Services The financial services industry is categorized in Canada by the acronym FIRE which stands for finance, insurance and real estate. The category includes a wide range of financial service industries including: banks, trust companies, credit unions, insurance companies, stock brokerages, financial management, and real estate agencies. Source: Encyclopedia Britannica Online . . We need to address these four processes in order to understand: why urban places come into being; how urban places grow; and how they are organized. For most urban places, each of the four economic activities are present but their relative importance to the local economy will vary from place to place and through time. Why do we concentrate on the economic orientation of urban places? What are the economic advantages of concentration? From the perspective of the individual, we generally find that income, employment opportunities, entrepreneurial activities, prices of goods and services, and the availability of goods and services usually make urban places distinctly more attractive places for people to live. For business firms, they will generally find that, returns on investments tend to be higher in urban places. Technological innovations also play a role here and tend to be concentrated in urban places as well. In order to understand these advantages we need to briefly examine several key processes: economies of scale economies of agglomeration comparative advantage diseconomies of agglomeration Let us examine each in turn. Economies of Scale Economies of scale are the advantages to an individual firm of locating in an urban place. Price theory would suggest that economies of scale exist if a proportionate change in inputs results in a greater than proportionate change in output. In other words, for one unit of input you derive more than one unit of output. How does this relate to spatial concentration, and hence, the development of urban places? larger market to exploit Firms can afford to make longer production runs thereby decreasing the per unit cost that is often associated with shorter production runs and more frequent retooling of factories. higher profits Leads to investment in new technologies which can further reduce costs by increasing productivity levels. Agglomeration The demand for a particular type of component may vary to a considerable degree from firm to firm over time but, when you have a very large number of firms that all use the same component, then the firm producing the component will have a relatively steady level of demand for its production. In turn, this will create relatively steady employment and the firm’s suppliers will be able to make relatively regular deliveries of inputs. All of this produces greater stability, leading to a tendency to make further investment in processes (often technological) that increase efficiency and result in higher profits. Such a situation favours locations in larger urban places where businesses are more likely to develop in such an advantageous situation. Other outcomes of agglomeration just-in-time (JIT) delivery Delivery of inputs on very closely timed schedules so that businesses no longer have to store large inventories of components required in their manufacturing production. circular and cumulative causation An enlarged concentration of people and economic activity, leads to a higher level of economic interaction, which leads to the increased likelihood of innovative activity, which leads to the development of new processes or product lines and so on. Comparative Advantage What we have spoken about so far has implicitly assumed that resources are uniformly distributed. However, in the real world, this is often not the case. Certain locations will have a comparative advantage over others because of the availability of certain resources. We have to keep in mind that the relative demand for these resources will vary in time and space so that growth related to comparative advantage must be understood within this context. Examples of features of comparative advantage: natural resources Minerals, forest products, agricultural products, fisheries, etc. climate Affects costs through things such as heating, air conditioning, construction, snow complicating transportation and delivery schedules, etc. labour supply Skilled labour force, relative geographic mobility of the labour force except where there are political or cultural barriers. proximity to interurban transportation Terminal locations, flexibility of transportation, etc. amenity resources Highly skilled workers are highly mobile and tend to wish to move to areas which have perceived amenity advantages such as scenic beauty, recreation, easier life style, etc. Diseconomies of Agglomeration These are the economic forces which tend to counter urban concentration. If there were no diseconomies of agglomeration we would end up with a situation of one very large city. This is the other side of the coin from the economies of agglomeration above. Diseconomies of agglomeration can be understood as increases in city size that produce disproportionately larger increases in costs. Examples of diseconomies of agglomeration -- cost of production of goods and services Labour costs increase as a result of increased competition for particular skills. increased costs of living For the labour force associated with living in larger centres. transportation costs Increase related to city size as the time required to move about larger centres tends to be disproportionately high related both to the physical size of the city and to the much higher levels of traffic congestion. higher land costs in larger cities The larger the city, the higher the land cost. This is especially important for businesses activities require large parcels of land. negative aspects of concentrated development Air/water pollution, health costs, regulation and control, pollution abatement programs, urban crime, etc. .. Let us now expand our understanding and definition of urban places by exploring -- The Four Properties of Cities . LAST REVISED 9/16/03 The Four Properties of Cities ... Introductory Comments The following notes are a very brief summary of the course reading P. Filion, T. Bunting and L. Gertler, "Cities and transition: Changing patterns of urban growth and form in Canada" concerning the four properties of cities (html version here). Only the key points are highlighted here. You should read the section of the chapter for yourself to gain a greater understanding of the material that it contains. .. Why Study Cities? Cities are fascinating to study because they are always changing. You can see the past reflected in the built environment; experience the present in the vitality of life in the city; and glimpse the future in the ever changing landscape of the city. Cities are: inherently complex dynamic always in transition very exciting In practical terms we need to know how cities work. Why? Well, if we want to plan them more effectively we have to understand the processes that make them work. Our modern city has resulted from a transition from: industrial society post-industrial society modern lifestyles postmodern lifestyles stratified society polarized society transportation age telecommunications age national economy global economy compact city dispersed urbanization These are some of the themes that we will be exploring throughout the course. .. Why Study Cities? Louis Wirth [Cities are] “large, dense, relatively permanent settlements of socially heterogeneous people.” (Filion, et. al., 2000, 1) Lewis Mumford [Cities are] “hub[s] of civilization, where culture and values evolve in a context of intense interpersonal interaction.” (Filion, et. al., 2000, 2) Think about this for a moment. What do you feel are the essential elements of an urban place? .. The Four Properties of Cities Now let us turn to the core of the course reading: Filion,P., T. Bunting and L. Gertler (2000). "Cities and transition: Changing patterns of urban growth and form in Canada". Canadian Cities in Transition: The Twenty-First Century (2nd edition). Toronto: Oxford University Press. The authors describe what they feel are the ‘four intrinsic properties of cities’ (Filion, et. al., 2000, 1). They are: Proximity Production Capitalization Management Let us look at each one of these properties briefly. .. Proximity proximity audio Quite simply, people and activities group together in cities. Proximity facilitates communication and minimizes costs in time, effort, and monetary expense. People live in cities to be close to work, education, shopping, cultural activities, entertainment, family and friends, medical facilities, etc. Business and industry locate in cities to be close to their market, labour force, and other businesses. We will talk a little bit more about proximity in a moment when we discuss the economic rational of cities. .. Production production audio Production is vital to the health and growth of urban places. Production creates jobs which, in turn, encourages urban growth. Cities produce for a domestic market (i.e., serve the needs of the local market) but they also need to import some goods. In other words, they cannot produce for all of the needs of the city. Cities are not self-sustaining. There is a need for external inputs such as food and raw materials that must be brought in from outside of the city. The city imports from: the immediate hinterland; from the rest of the country; and from international (global) markets. Specialization of production is a result of this process. In developed countries, cities possess highly specialized production economies. Technology has a big role to play here. .. Capitalization capitalization audio Since urban land is a scare commodity, it is heavily capitalized and modified. The urban environment is expensive because proximity makes the land expensive (we will explore this topic further in the discussion of the economic rational of cities). Capitalization also refers to the services that have to be put in place for the land to be developed. Services such as sewers, water mains, roads, electricity, communication cables, etc., are all things that we take for granted but are the necessities of urban land development. A final point about capitalization. Society and urban places are continually in flux. There are new and continually changing needs, conditions, and policies in the city. Quite simply, the city is constantly being rebuilt. This is both a difficult and costly process requiring a great deal of capitalization. I want to stop for a minute here and talk briefly about the problems that arise from the city continually reshaping itself. Often there are clashes with the existing residents when changes take place. Citizen groups often form important and politically potent lobby groups to try and stop change in the city. NIMBY -- not in my back yard -- is a common reaction to change. But, on a very basic level, it is just plain difficult to change the built environment. There is a heavy investment in the existing built environment already both monetarily and symbolically. These two factors are often hard to overcome. The Bottom Line: It Is Costly to Redevelop! Management management audio .. A specialized administration is required to make the city work. Proximity requires control and cooperation and the smooth functioning of cities relies on adequate and well maintained infrastructure, services, and a respected legal system. It is a complex system requiring expertise -- professionals, consultants, and a team of managers -- to direct the city in functioning smoothly. Many different levels of government are involved along with community-based and private-sector organizations. Urban planning is a central function of the management of the city. Born in the nineteenth century public health movement, urban planning is not an entirely unbiased process today. While it tends to favour the wealthy, there is a basic need to address community issues such as the natural environment, quality of life, safety, etc., that are at the root of planning in cities today. . Ok, I have just one more piece of background information that I want to cover in this lecture -- The Bid Rent Theory of Urban Land Use .. LAST REVISED 9/16/03 The Bid Rent Theory of Urban Land Use .. .. Land uses in cities sort themselves out in specific, some would say predictable, ways as this image of Toronto illustrates. Note the concentration of high intensity land use in the major commercial centres with downtown Toronto in the distance and North York City Centre in the foreground. .. Introduction Now that we have some understanding of what the economic forces are that lead to the growth and development of urban places, we are now going to examine how these activities sort themselves out within an urban place? To understand the linkages between the economy of an urban place and the form that the urban place takes, we need to examine the work of William Alonso (1964) (see Knox reading). Alonso based his theory on the idea of a series of different bid-rent curves for different urban land uses. The model that he derived is really quite straightforward and goes a long way to explaining why certain activities locate in particular parts of the city. What does Alonso's model tell us? Quite simply, the model states that those land uses capable of generating the greatest level of location rent will be able to bid the highest amount of rent (money) for the right to occupy the most valuable parcels of land in the city. Land value is based on distance to the CBD. The closer to the CBD that the parcel of land is, the higher its value because of increased accessibility. Certain activities benefit more than others from close proximity to the CBD. The activities that generate the most amount of money can afford to buy/rent the most expensive land. View a slide and audio explanation of the model. Toronto's skyline illustrates Alonso's bid rent curve. Urban Land Use and Alonso's Bid Rent Model Let us take five generalized land uses -- office, retail, manufacturing (industrial), high-density residential and low-density residential -- for example. Alonso's model would look like this -- Office land uses require the most centralized location where accessibility and agglomeration of activities is at its maximum. These activities derive the highest benefits from a centralized location and, as a result, are able and willing to pay for this premier location. Retail land uses also require centralized locations and are very sensitive to transportation accessibility which results in the highest number of potential customers for the given business. Retail activities, therefore, derive the same amount of benefit from these centralized locations as do office land uses but they are not able to pay the same kind of land rents and therefore can only pay to occupy sites that are somewhat removed from the most accessible. Manufacturing land uses are quite different. Much of a manufacturer's output is sold outside the city. Accessibility to the local market, therefore, is not as important as it is for retail land uses. Manufacturing does require a location which is relatively accessible to the labour force, although their range of locational options is much wider than for retail activities. High density residential land uses -- accessibility to the city centre is important in terms of journey to work -- the closer to the centre, the shorter the commuting distance. Residential densities tend to increase as you get closer to the CBD because of the higher land costs which result from competition with manufacturing and retail land uses to occupy the land. Lower density residential land uses -- Some people weigh affordability against travel time and are willing to live at less convenient distances in order to acquire the use of a larger parcel of residential land. That is why the residential land use areas of cities extend much further outwards from the centre of the city. . Let me summarize what we have done in this lecture (Part 1 and part 2) in the -- Conclusion ... LAST REVISED 9/16/03 Conclusion . . Well, we have covered a lot of territory here and have established some important groundwork for our lectures and discussions to follow this year. What are the key points that you should have gotten from this lecture? That there are four perspectives on technology and the city that you need to be able to identify and understand. Technological Determinism Futurism or Utopianism Political Economy or Dystopianism Social Construction of Technology (SCOT) That we are all shaped by our own past and relationship with technology and that this will influence how we view the role of technology in urban growth and development. So, it is important to identify and understand the perspective of others to understand and critically evaluate what they are saying. yourselves your class mates your teachers (Course Directors and Teaching Assistant) the authors of the various readings that you will be assigned this year That urban means many things. urban places of various sizes specialized economic activities population density an urban environment that differs from a rural environment lifestyle invention and innovation historic precedent urban renewal and change That many changes take place with urbanization. influx of people and economic activities new role for government social problems and displacement problems with urban infrastructure That there are four properties of cities. Proximity Production Capitalization Management That there are four key types of economic activities in cities. manufacturing long-distance trade -- wholesaling local trade -- retailing financial services That there are several key economic processes at work in cities. economies of scale economies of agglomeration comparative advantage diseconomies of agglomeration That there is a link between the economy of an urban place and the form that the urban place takes. William Alonso’s bid rent theory . LAST REVISED 9/16/03 Flanagan, W. (1995). The urban dimension and world urbanization. In Urban sociology: Images and structure, 2nd edition. Needham Heights, Massachusetts: Allyn and Bacon, pp. 7-8. The Urban Dimension and World Urbanization William G. Flanagan The limitation of language is one of the difficulties that confronts the social sciences. It is difficult to express adequately the subtle and complex nature of the structures and processes that make up human society. The practical requirements of normal discourse demand that simple words stand for complex realities. When we say that we are going to study "the city," we need to keep in mind that we refer to a matrix of activities that together comprise one of the largest and most complex forms of social organization. Keep in mind as well that the city has no given dimensions or exclusive function, but overall is generally recognized as possessing a peculiar urban quality. Even though it is difficult to identify what the particular attributes of the city are, we recognize that its influences extend far beyond its apparent physical boundaries. The complexities of urban life fascinate us and lure us to study urban sociology. The same complexity makes the physical and sociological object of our study, the city or the urban form, both obvious and difficult to define. The terms city and urban are tantalizingly rich in imagery but have a peculiarly limited precision. What is it we are studying? Despite the imprecision involved, we are bound to use these familiar terms in talking about the conceptually elusive object of our attention. We will refer to the urban form, the urban arena, or simply the urban, leaving the intended meanings to be suggested by the context in which they are used. These may not be the ideal conditions, in terms of definitional clarity, under which to conduct social science, but it will become clear that it is not easy to pinpoint what it is we are studying in an urban sociology. The situation that we, as students of the city, find ourselves in is one where there is still a lot of basic work to be done in understanding and describing the urban form. This is due to a number of problems. First, the nature of cities and urban life varies among societies. In addition to regional differences, the city looks and operates differently within the same society at different periods of its history. We have the ancient cities of the Middle East, China, and Central America, the cities of the Industrial Revolution and centers of European colonial empires; and the modern metropolitan centers of economic activity. It is not surprising that it has proven difficult to formulate a single definition or concept that applies with equal validity, cross-culturally and historically, to all of those places in the world that we would like to recognize as urban. A second substantial problem involves the peculiar nature of the urban form as a sociological entity. The focus of investigation for most of the specializations in sociology has to do with a single organizational unit, whether it be a bureaucracy or a religion. That is, whatever the number of subunits, contradictions, or conflicts that may be contained within the organization, there is still a degree of systemness and closure that allows us to perceive its qualities as a whole. The study of urban places is characterized to a far lesser degree by systemness or closure. True, it may be possible to indicate orderly systems within the city, such as government, and to neatly map these. We may also be able to identify other systematic features of the urban environment, such as ecological and economic patterns. But when we have done this, will we have captured the essential nature of the city, of urban life and experience, and of urban influence on society in general? Will the result be a clear and complete image of the city? The nature of the city is such that, as a form of social organization, it is peculiarly open-ended. Its effect on human experience, attitudes, and behavior has much to do with the disjointedness and the irregular nature of its various parts in relation to one another. Urban environments harbor long-standing conflicts, sudden confrontations, distractions, and discontinuities. This is because the city is less a system of internal coherence than it is an arena, a place in which different things are going on simultaneously, because of or often despite each other. This is what makes the study of the city a slightly different kind of sociology. A final problem in understanding the urban form has to do with defining the limits of the urban arena. Standing in the center of a large city, for example, the central business district, it is easy to see the physical city and to perceive the life around as urban life. But can we indicate the boundaries of that arena? Part of the peculiar openness of the urban form is that its influences defy containment. Although the heights of buildings and the density of structures typically diminish as we move away from central cities, through their suburbs and into the open countryside, we haven't necessarily reached the limits of the urban influence when we can no longer see a city skyline on the horizon. Electronic media, city newspapers, urban life-style, and political and economic domination emanate from built-up population centers. Culturally, politically, and economically, the city has no geographic limits in an urban society. The first lesson of urban sociology is that what we are setting out to discover is all around and therefore difficult to see. It is a part of who we are, just as we are a part of it. We subscribe to an urban style and idea; we are its models and agents, unwittingly spreading the messages of the hybrid urban culture. It may be difficult to see this at first, but that is because, unlike previous generations, we in Western society have so little that is nonurban with which to contrast it. Filion, P., Bunting, T., & Gertler, L. (2000). 'Cities and transition: Changing patterns of urban growth and form in Canada. In T. Bunting & P. Filion (Eds.),Canadian cities in transition: The Twenty-First Century, 2nd edition. Toronto: Oxford University Press, pp 1-6. Cities and Transition: Changing Patterns of Urban Growth and Form in Canada Pierre Filion, Trudi Bunting, and Len Gertler Cities are worthy of our interest because of their inherently complex and dynamic nature. As we move into the twenty-first century major urban transitions are generated by shifts for example, from industrial to post-industrial society, from modern to post-modern lifestyles, from social structures dominated by the middle class to an increasingly polarized society, from transportation to telecommunication, and from national to global economies. The past century witnessed profound urban change. In particular the shift from compact city form to dispersed urbanization, the adverse environmental consequences of which are increasingly felt. We obviously need to understand cities better if we want to plan them more effectively. We could list many more reasons to study cities. As the daily living environment for the vast majority of households and the locale of most production, consumption, and administrative activity, cities play a crucial role in a country's economic and social development. Urban problems such as traffic congestion and housing shortage have a deleterious impact on economic performance and residents' living conditions. This book is about cities –– how and why they work (or don't work), their appearance, evolution, distinctive patterns of change and transition, problems, and the improvements they call for. It singles out the Canadian city as a distinct entity that can be seen as situated between European and United States counterparts, although closer to the latter. Comparatively speaking, Canadian cities share strong commonalities with US cities. Yet there are differences in how cities in Canada are structured, built, managed, and planned for. There is, therefore, great merit to an exclusive focus on Canadian cities. This should not, however, negate the need to understand the universal principles of urbanization that explain the existence of cities since their inception. This first chapter discusses basic parameters of all urban places. Using them as an initial way to understand how Canadian cities are constituted and have evolved. The discussion to follow begins with an exploration of four intrinsic properties of cities. It then describes three periods of urban development in Canada over the last 100 years, concentrating on the influence of shifting economic, cultural, demographic, and political trends on the city's evolving transportation and land-use structure. The brief discussion of twentieth-century intra-urban change highlights the concept of transition that runs throughout the volume. As understood in this volume, transition is about how urban areas generate and respond to technological, economic, and social change. The chapter then reflects on possible urban futures for Canada before closing with a brief overview of the book. Properties of the City Many attempts have been made to capture the urban phenomenon. For example, the urban sociologist Louis Wirth (1938: 8) defined cities as large, dense, relatively permanent settlements of socially heterogeneous people'. Most scholars agree that cities are places of concentrated settlement whose occupants engage in relatively specialized kinds of non-agricultural economic activities. Lewis Mumford, probably this century's most influential North American writer on urban matters, pictured the city as the hub of civilization, where culture and values evolve in a context of intense interpersonal interaction (Mumford, 1961). In this chapter, our aim is to understand the existence, respective importance, and inner structure of cities leads to the identification of four fundamental properties inherent in the very essence of the urban phenomenon: proximity, production, capitalization (of the built environment), and management. These properties are timeless –– they were as influential 4,000 years ago in early Chinese and Mesopotamian settlements as they are in the contemporary Canadian city. Proximity Above all, individuals and activities congregate in cities to be close to each other in order to facilitate communication and minimize the cost (in time, effort, and monetary expense) of interaction. If we probed the reasons why people live in cities, most would place the need to be close to work at the top of their list of answers. This has been and still is the foremost motive for people to move from the country to the city and from city to city. Other explanations would include proximity to educational establishments, shopping opportunities, cultural activities, entertainment, family and friends, medical facilities, etc. People opt for urban living because they either interact or anticipate interacting, frequently with such activities and individuals. Likewise, businesses and institutions locate in cities so they can be close to their market, labour force, and the establishments with which they maintain linkages. By concentrating activities and people and thus creating proximity, the city makes frequent interactions affordable in terms of both, cost and time. In a rural setting, many recurring contacts that are routine in the city would involve prohibitive transportation times and/or costs due to long distances. A by-product of interaction is innovation. Easy interaction is one of the major reasons why cities have been catalysts for social change. It follows that the city can be perceived as comprised of numerous overlapping markets of frequently repeated exchanges. Because cities are fundamentally places of economic enterprise, daily commuting between residences and workplaces is of unparalleled importance in explaining their existence and structure. This pre-eminence is acknowledged by Statistics Canada. Like many other national census agencies, Statistics Canada bases its definition of a metropolitan region (census metropolitan area or CMA) on an urbanized core's commuter shed. Appendix A provides a detailed outline of the current method used to delineate a census metropolitan area. In essence: CMAs are comprised of one or more Census subdivisions (CSDs, that is, municipalities which meet at least one of the following criteria: (1) the CSD falls completely or partly inside the urbanized core; (2) at least 50 per cent of the employed labour force living in the CSD works in the urbanized core; or (3) at least 25 per cent of the employed labour force working in the CSD live in the urbanized core. (Statistics Canada, 1997) But this is by no means the only urban market of frequently repeated exchanges that affects the size and spatial organization of cities. Examples of other markets of this nature include the ones that tie retail facilities to their markets and public services to their clients. Also worth mentioning are the markets that connect cultural and recreational activities to their publics –– the archetypical attraction of the city's 'bright lights'. The inherent importance of proximity has a number of highly visible consequences on urbanization. One obvious repercussion is the high cost of city relative to country land. The appeal of proximity raises demand for space in the city. This, in turn, raises land values. As a result, certain functions that consume large amounts of land, such as farming, are generally ruled out. In this same vein, high land cost prevents functions present in the city from consuming as much space as they would like. Of course, wealthier land users have less need to compromise their space consumption. High-income households can afford substantial amounts of land in the city, although far less so than in country settings. While the very poor are typically, confined to small apartments or rooms if not to hostels and street corners. This disparity is vividly expressed by social status maps (see Chapter 9). They portray the stark discrepancy between the large portion of a metropolitan region taken up by high-income groups and the relatively small share occupied by low-income households. Proximity is conditioned by prevailing transportation systems and activity distribution patterns in a relation that will be reiterated throughout this volume. In the pre-industrial city, which depended on non-mechanized forms of transportation (primarily walking and horse-drawn transport) and where activities were centralized, this principle severely confined the expanse of urbanized territory. Things are different in the contemporary car- truck-oriented and highly decentralized metropolis. In this case, adequate accessibility levels can be maintained over large territories and residents and activities can consume far more land than in the past. But the proximity principle remains influential even in these more dispersed circumstances, as evidenced by the enduring existence of higher densities in cities than in the countryside. Even within cities there is variation in density and other important characteristics, such as building cycle and land-use type around sites of heightened accessibility (functions along transit routes, major arteries, and expressways). Today debate rages as to whether our ability to substitute telecommunication for actual movement holds the potential for an even more dispersed urban form. Production Another fundamental characteristic of the city stems from its need to host production activities. Economic production creates jobs and thus is the main reason for urban growth. Many economic activities, of course, are aimed at the consumption needs of a city's own residents. Catering to local demand does not in itself differentiate the city from other forms of settlement, however. For example, in a self-reliant farming situation, the land a family occupies fulfills virtually all its needs. What most sets urban settlements apart from traditional self-reliant rural economics is the historic inability of the city to satisfy all its consumption requirements and the resulting imperative for it to export goods and services in order to be able to acquire needed products from outside. The quest for proximity rules out the presence within cities of the large surfaces needed to feed their populations. A city must also reach beyond its territory to secure other products and resources essential to sustain its population and economic activity. This includes different forms of staples and energy and, often, water. Research records cities' dependency for their natural resources on a territory (or 'ecological footprint') that far exceeds the urbanized perimeter (Rees and Wackernagel, 1994; Wackernagel and Rees, 1996). In developed countries, cities have become highly specialized economically and trade far more with other cities that with non-urban areas. Cities account for the vast majority of these countries' economic activity as well as for most of their population. For a city to exist it must be in a position to export sufficient goods and services to counterbalance its imports. Exports need not be of a pure market nature. Capital cities, for example, export decisions and derive their monetary returns from tax revenues; in medieval times, it was usual for cities to draw taxes, often in kind, from a hinterland to which they extended military protection. Cities that fail to export decline and may disappear altogether, as illustrated by the fate of resource ghost towns whose staple has run out (see Chapters 4 and 5). Increasingly, goods originate from foreign countries and continents. Likewise, production targets international markets. This opening of national markets has resulted in economic restructuring involving a collapse of metropolitan regions' production in sectors that have become noncompetitive. While activities in areas where they hold comparative advantages on world markets have flourished. Some of Canada's successful export sectors presently include the pharmaceutical, aero-space, automobile, and natural resource industries. The tendency is for developed countries to depend increasingly on knowledge-intensive activities. Establishments that broker knowledge-based services, e.g., the professions, management, and financial services, are among the fastest-growing sectors of the economy. These kinds of establishments are grouped together under the rubric 'advanced service sector'. An economic trend of the last decades has been the growing importance of services in general relative to manufactured goods in the economy. This transition has had a profound effect on urban consumption, as evidenced, for example, by the explosion of restaurants, places of entertainment, and cultural activities. But these changes are also felt, albeit with less intensity, within cities' export sphere. Among services Canadian cities export are engineering and development expertise, culture, and tourism. Capitalization A third fundamental property of cities derives from their concentrated nature. Because urban land is a scarce resource, it has been heavily capitalized and modified. This mean that the urban built environment is not only distinctly expensive, because of the vast resources invested to accommodate agglomerations of businesses, residents, and other activities, but also highly durable and thus long lasting. Almost all urban territory is heavily engineered. This includes buildings, roads, sewers, electrical and communication systems, parks, even 'natural' areas when located in an urban context. The extended time span of built structures calls for control mechanisms to minimize the occurrence of development blunders. Change, especially concerning modes of production or accessibility as brought about by new transportation technologies, demands adjustments of the built environment to new conditions. But a city is not easily retrofitted. This is why it remains difficult to fully accommodate high levels of automotive transportation in the central city. Equally, a future transition from the automobile to some other, hypothetical, mode would be difficult because of the massive financial investment, both public and private, that has been sunk into cars, trucks, and different types of roads. While financial constraints can play a critical role, they are not the only impediment to altering the urban environment. Plenty of developers are interested in redeveloping high-accessibility and amenity-rich sites. But redevelopment of built-up areas (as opposed to development on 'greenfield' sites) often clashes with residents' strong emotional attachment to home and neighbourhood. Citizen organizations have been instrumental in protecting inner-city residential areas from both commercial developments and private or public infill housing. These organizations also played a major part in ending the construction of expressways through built-up areas. Across Canada, NIMBY (Not In My Back Yard) movements carry considerable weight on the municipal scene (see Chapter 24). The sensitivity of elective representatives to such pressures explains their frequent reticence to sanction radical modifications, particularly where residential areas are concerned. Another obstacle to urban environment adaptability is the symbiosis that emerges between patterns of behaviour and built environment. To return to our transportation example, the presence of high-capacity road systems encourages reliance on the automobile and the truck. High rates of car and truck use mean a continued demand for improved and expanded roads. Moreover, once cars and trucks have filled available road space, it becomes nearly impossible to scale down the road system even slightly. A good example is the staunch resistance encountered when attempts are made to remove as little as one metre from an arterial road to create a bicycle lane. One implication of durability is the frequent absence of adaptation between existing built forms and prevailing economic and social conditions. The massive abandonment of inner-city industrial belts illustrates this disconnection. The urban environment has also been blamed for encouraging the persistence of lifestyles not necessarily consistent with contemporary social values and needs. In this respect, feminists have criticized suburbs on the ground that they are not suited to women's new role in the workplace and the family (Hayden, 1984; Werkerle, 1985; see also Chapter 22). Investment in the built environment, whether economic or sentimental, and the patterns of behaviour it supports are on the whole a conservative force that assures continuity by inhibiting rapid change. This conservative aspect of the built environment contrasts with the transformative role of successive modes of production and proximity. As we point out later in the chapter, the entrenchment of low-density, auto-dependent real estate in Canadian cities presents a considerable obstacle to their environmental improvement. Management The final characteristic of the city we discuss here is 'management', for cities have an intrinsic need for specialized administrations to make them work. In itself the principle of proximity calls for distinct management measures. Urban planning can in fact be traced back to nineteenth-century public health interventions intended to reduce the risk of epidemics in densely built environments (Hodge, 199; ch. 4). Proximity requires control and co-operation. The smooth functioning of cities relies on infrastructures (transportation, communication, electricity, water mains, and sewers), services (policing and garbage collection), and a battery of legal measures intended to assure orderly cohabitation for a wide variety of land uses. As suggested in the case of built environments, haphazard development decisions can plunge a city into a state of chaos. For example, without planning controls incompatible land uses such as noisy and polluting industry and high-traffic generators could locate in residential areas and new developments could proceed without heeding infrastructural capacity, thus provoking all sorts of bottlenecks. A pure laissez-faire approach is clearly not suited to the city. Different types of administrations have developed over time to provide urban infrastructures, services, and controls. These administrations can be local or regional, or indeed can be lodged in senior governments, as is the case with provincial ministries of municipal affairs. They generally belong to the public sector, but some urban management responsibilities can be vested in community-based or private-sector organizations. As cities grew, as buildings became bigger and required greater infrastructure (roads, water, sewage), as reliance on mechanized forms of transportation (particularly the automobile) increased, and as the public demanded more and better services, administrations responded by becoming larger and more complex –– so complex and so costly to maintain that the recent trend has been to 'downsize' governments (municipal or otherwise) and to engage in the privatization of public facilities and services. As they provide infrastructure, services, and control mechanisms, local and regional administrations keep an eye on the capacity of their interventions to please the electorate and generate investments (and thus raise tax revenues and employment levels). These concerns assure a measure of congruence between the form urban development takes and society-wide economic and social tendencies. One should take care, however, to dispel any impression that urban management takes place in a fashion that is always fair to all economic and social interests. Research points to a tendency for governments to favour economically powerful interests with the capacity to affect tax revenues and employment levels, as well as those groups that can mobilize the electorate. It follows that businesses and wealthy and well-organized neighbourhoods receive better treatment than low-income areas. This is reflected in observed differences in the amount of green space and recreational facilities and in levels of road and park maintenance accorded to neighbourhoods of different social status. Many have also noted a tendency to concentrate locally undesirable land uses (referred to as LULUS in the planning jargon) in low-income districts (e.g., Joseph and Hall, 1985). Social divisions are in fact mirrored in the very structure of municipal administrations. In most cases, suburban municipalities host a higher-income population and enjoy a healthier assessment base (and thus lower tax rates) than central cities. This explains suburbs' vigorous resistance to any form of metropolitan administration that would entail a sharing of their tax revenues with the central city. In the Greater Toronto Area, for example, pressures from out-of-Metro suburbs (those found within the 905 telephone zone) assured their exclusion from the 1999 administrative reorganization that led to the amalgamation of Metro Toronto boroughs. Limits of present urban management systems are highlighted by difficulties in addressing environmental issues. Some environmental achievements are undeniable. Measures have been taken to prevent soiling the urban nest and threatening residents' health and quality of life. These include emission and effluent controls and the use of zoning to minimize the impact of industries on residential districts. Without such controls, air and water quality within cities as well as urban living conditions would be much poorer than they are now. But the state of the urban environment reflects urban management's limits under present conditions. Because of their interest in maximizing economic development, municipal (as well as senior) governments refrain from imposing environmental policies that firms perceive as too rigid. Likewise, because of their residents' housing and transportation preferences, local governments have steered away from measures to reduce car use and urban sprawl. Knox, P. (1994). The foundations of urban form and land use. In Urbanization: An introduction to urban geography. Englewood Cliffs, N.J.: Prentice Hall, pp. 96-100. Please note: This version is available online only because the course kit is not yet ready. The online version does not contain the footnotes and is not formatted for printing. Land Values, Rent, and Land Use Theory The spatial organization of the CBD points to the importance of accessibility and relative location in understanding patterns of land values and land use. In New York in the mid- 1920s the peak land values were $22,000 per foot of street frontage on Broadway; only half a mile away, land values were less than S3,000 per foot. Comparable gradients could be found in every large city. Figure 4.19 shows a map of land values in San Francisco at the end of the period under review here. At the peak land value intersection (around Market Square and the intersection of Powell and Market Streets), land values were in excess of $7,000 per foot, falling away very rapidly to under $3,000 per foot within a few blocks, and to under $300 per foot within a few more blocks. The other striking feature of Fig. 4.19 is the way that, elsewhere in the city, relatively high land values are restricted to narrow corridors that correspond to major shopping thoroughfares. The point was made in a much-quoted statement by an economist, Robert Hurd, in 1903: Since value depends on economic rent, and rent on location, and location on convenience, and convenience on nearness, we may eliminate the intermediate steps and say that value depends on nearness. Hurd's reference to economic rent (sometimes referred to as "ground rent" or "location rent") requires some elaboration, since the concept has become fundamental to attempts to theorize patterns of urban land use. First, it should be clear that economic rent, or ground rent, does not correspond to the popular usage of "rent" (more properly called "contract rent"). Ground rent is the surplus paid (to land owners, in this instance) above the minimum amount that would be necessary to use the land at all. It is often defined, in practice, as the total revenue that can be generated by a particular activity on a particular parcel of land, less the total production and transportation costs associated with that same parcel of land. (Not all activities are run on business lines. however. Households, for example, along with public agencies, do not evaluate their success in terms of profits but in terms of satisfaction, disposable income, efficiency, or some other criterion. The term utility is, therefore, often used in place of revenue.) It follows that ground rent reflects the utility of a particular site for a particular activity. Furthermore, it is likely that for each site there will be one activity that generates the highest possible economic rent: the highest and best use for that site. Land use should, therefore, respond to land values in predictable fashion. Activities that can derive the greatest utility from a given site should out-bid all other activities for that site. It was on the basis of this logic that William Alonso developed a bid-rent theory of urban land use, using neoclassical economics to elaborate a model of rural land use that had been proposed by von Thünen in 1826. The cornerstone of the approach is the idea that firms and households compete for space in a way that maximizes satisfaction, within budget constraints, for every actor-thus also maximizing the "efficiency" of the urban space economy. Like all neoclassical economic approaches, bid-rent theory begins with some important assumptions. First, it is assumed that the city is located on a flat, featureless plain, so that all parcels of land are uniform apart from their relative distances from one another. Second, transport is assumed to be ubiquitous, with transport costs being a direct function of the linear distance between places. Third, the city is assumed to have a CBD that contains all the employment opportunities and that is located in the geographical center of the city, the single most accessible point. Finally, the city is assumed to be inhabited by "economic man": a rational being whose behavior is geared to maximizing profits, utility, and satisfaction and minimizing effort. This assumption also implies a situation of perfect competition, with no restrictions on land or buildings and no buyers or sellers with sufficient resources to affect the overall state of the market by their own activities. Some of these assumptions are made in order to simplify the initial explication of the theory, but the final assumption, regarding competitive behavior, is central to the whole approach. .. Given these conditions, the argument proceeds as follows: 1. For all types of land use, the most central sites will be the most attractive. They are most attractive for shops because their accessibility enables retailers to tap the largest possible potential market. They are most attractive for manufacturers because their centrality minimizes the aggregate costs of assembling raw materials and distributing finished products. Similarly, they are most attractive for wholesalers because they minimize distribution costs. For householders, they are most attractive because they minimize the costs of commuting. 2. Because of the geometry of the city there are relatively few central sites in relation to the total space available. As a result, competition for central sites will be intense, and the prices offered for them will be higher than those offered for less central sites. The economic rent accruing to each site may thus be seen simply as "a charge for the convenience of accessibility." 3. Different types of land users will place different financial evaluations on the utility of centrality, depending on their particular schedule of expected income and expendi-tures. It is, for example, logical to expect retailers to be able and willing to outbid households for central sites because the extra income accruing to a centrally- located store through increased trade is likely to outweigh the savings in commuting costs obtained at the same site by a household (or even by several households living on the same site). 4. By a similar logic, the utility of progressively less central sites will decline at different rates for different land users, with the marginal losses from decreased accessibility being greater for retailing and commercial users than for residential users. Each type of land user can thus be thought of as having a distinctive bid-rent curve that reflects the prices that that type is prepared to pay for sites at different distances from the CBD (Fig. 4.20). These curves are similar to the indifference curves of neoclassical economics in that each point on the curve represents a location of equal utility for that particular type of land user. Thus, for retailers, lower sales farther from the CBD should be offset by lower rents; while for households the lower rents of peripheral locations are balanced by the higher costs of commuting. 5. Juxtaposing the bid-rent curves of different users (Fig. 4.21) shows that the users with the steeper curves capture the more central sites, while those with shallower curve s-residential users, in this example-are left with the peripheral sites. This locational equilibrium is reflected in a simple pattern of concentric zones. As Richard Ratcliff put it in a much-quoted observation: In summary one might say that the structure of the city is determined through the dollar evaluation of the importance of convenience. The example depicted in Fig. 4.21 is deliberately oversimplified. A more detailed breakdown of activities would provide a picture of urban structure that would simply have a greater number of concentric rings. But an important issue comes to light if we juxtapose bid-rent curves for households of different income groups: Those with higher incomes will have steeper bid-rent curves and so end up nearer to the city center, while the lowestincome groups will end up on the periphery. This outcome is counterin-tuitive, given what we have seen about the suburbanization of the middle classes. Alonso's major contribution here was to point to the need to make additional assumptions about household behavior. The key assumption is this: Different house-holds will bid for different sized lots in different locations according to their relative preferences for living space versus the utility of accessibility. Residential bid-rent curves are thus seen as a trade-off between living space and commuting costs. Alonso's model is, therefore, sometimes referred to as the "trade-off model" of urban land use. In practice, high-income households are best able to afford the recurring costs of commuting and tend to trade off those costs for extra living space. While this model fits the commonly observed pattern of high-income households consuming relatively large amounts of land on the urban fringe, however, it poses an apparent paradox: Low-income households are left with nothing but the more expensive inner-city sites. This paradox is resolved, however, by the rational behavior of low-income households: forced to consume land in high-cost locations, they minimize household costs by living at higher densities. The apparent paradox of patterns of residential land use having been resolved, some of the more restrictive assumptions of bid-rent theory can be relaxed and new variables introduced. By allowing for secondary centers of employment and shopping and introducing the influence of transit routes, for example, it is possible to obtain a much more realistic projection of urban structure. Figure 4.22 shows the kind of bid-rent curves that would be associated with the pattern of land values in San Francisco, as depicted in Fig. 4.19. With data on actual bid-rents for specific activities, it is possible to construct detailed land use projections that mirror the complexity of the real world. Alternatively, with the appropriate computer software to handle the data, it is possible to incorporate all sorts of complex assumptions to predict patterns of land use under different scenarios-past, present, or future. Thus, for example, it is possible to accommodate the effects of zoning laws, of the existence of different forms of transportation, of local variations in taxes, of different preferences for housing type or tenure, and even of hilly topography and the consequent differential pattern of viewscapes. Limitations Such approaches provide useful ways of developing and testing ideas about the locational behavior of people and firms. But there are some important limitations to the usefulness of bid-rent theory. To begin with, it is by no means clear that the conditions of perfect competition are even approached in the real world. On the demand side and in contrast to the idea of "economic man,' people's behavior is conditioned by habit, convention, deference, ignorance, and, sometimes, downright irrationality. Their search for a place to live or to set up a business is constrained by time as well as money, by imperfect information, and by the effects of monopolistic and monopsonistic elements (big corporate land users like the railway companies in the nineteenth century; big landholders like the speculative developers and the banks). On the supply side, land and property markets are constrained by regulatory and fiscal controls, by the intervention of special interest groups such as preservationists and tenants' associations, and by the actions of key power holders and decision makers such as developers, realtors, and loan officers. More problematic, though, is the lack of any dynamic component to bid-rent theory. The changes associated with urbanization have to be dealt with through comparative statics: the juxtaposition of "snapshots" based on different sets of assumptions. Nor are these different sets of assumptions derived from any dynamic relationships; they are derived either from empirical observations about the past or the present, or from extrapolations or "What if . . . ?" approaches to the future. History of Computers/Computing . Introduction In the first lecture module, we spoke about setting up your computer, and the specifics for participating in this course. Two of the module readings (Bush and Dertouzos) are older articles predicting changes, some of which have happened. We now step back a bit in time, and look at the technologies and inventions that brought us the personal computer and all that follows from it. The development of modern computing/information processing can be divided into four categories: The PreMechanical Age (3000 BCE - 1450 A.D.) The Mechanical Age (1450 - 1840) The Electro-Mechanical Age (1840 - 1940) The Electronic Age (1940 - present) [some information from this and the next few pages is excerpted from Bernie Poole's PowerPoint presentation on the History of Computing, used with permission of the author.] The PreMechanical Age 3000 BCE - 1450 A.D. Before there was mechanical computing, humans used most anything available for keeping track of numerical things: hash marks on walls, bones, counting fingers or pebbles and so on. This facility with numbers sets us apart from other species,or at least we think so. Do other species compute? It’s possible the human facility in math is the most significant difference between us and other species. (There's also the opposable thumb!) The capability is a two-edged sword. We’re able to dream up and implement advances in technology which have led to all kinds of wonderful improvements in our lives. But we’re also the one species that, because of this capability, has the power to destroy our world. The first device was an advancement on setting out pebbles or making notches on a surface--the abacus, appearing around 3-4000 BCE (before common era). Many shopkeepers in the world still use this device in lieu of a cash register. Mechanical Age 1450 - 1840 One of the next inventions that simplified mathematical calculations occurred in the early 1600s when John Napier invented logarithms. Actually it is believed that logarithms were in use in India in the 8th century, but Napier is the one who received the credit. He also is the first to use the decimal point. Following rapidly upon the heels of the use of logs was the invention of the slide rule, which carries out calculations based on logs. When I was majoring in Physics and before hand held calculators were available, we used slide rules for all of our calculations--I'm not sure I can even remember how to use them anymore, but I do have one sitting in a drawer at home. Slide rules came in many shapes--circles, cylinders, but most commonly looked like a ruler on steroids with a sliding section in the middle. A couple of the dogs in this picture have the circular version while the border collie is holding one of the more common 'ruler' types. Slide rules were used in the early days of the American and Russian space programs. Still in the 1600s, Blaise Pascal (1623-1662), a French philosopher and mathematician invented the pascaline, an early model of a calculator, to assist his father, a tax collector. The pascaline could add and subtract by the simple rotation of dials on the machine’s face. Twenty years later, a German, Gottfried Wilhelm Leibniz (1646-1716), made a useful addition to the pascaline. His invention, the Stepped Reckoner, could now multiply and divide. An interesting thing about the Stepped Reckoner is that Leibniz’s design was way ahead of its time. A working model of the machine did not appear till 1791, long after the inventor was dead and gone. An aside: for those of you who are science fiction fans, the first book (Quicksilver) in a new 3-volume series by Neal Stephenson has recently hit bookstore shelves. The series is based during the the Leibniz period of history, and it has received good reviews. From the New York Times: "Instead of inventing dynasties of strange creatures and detailed maps of imagined realms, Mr. Stephenson has constructed his world around these scientific geniuses, thrown in vagabonds and courtiers and woven in England's civil wars, along with detailed genealogies of Europe's intertwined royal houses." The remaining two volumes will be released in 6-month intervals. An invention in the field of weaving was to prove very important to the development of computers--the Jacquard loom. Joseph-Marie Jacquard (1752-1834) was a weaver. He was very familiar with the mechanical music boxes and pianolas, pianos played by punched paper tape, which had been around for some time. One day he got the bright idea of adapting the use of punched cards to control his looms. The picture on the right shows the workers preparing the punched cards for use in the loom. In the picture below, you can see a continuous roll of these cards, each linked to the other, the holes in them punched strategically to control the pattern of the weave in the cloth produced by the loom. All the weaver had to do was work the loom without needing to think about the design of the cloth. Brilliant! Jacquard revolutionized patterned textile weaving. His invention also provided a model for the input and output of data in the electro-mechanical and electronic computing industry. . LAST REVISED 10/2/03 History of Computers/Computing - page two . Father of Computing Charles Babbage (1791-1871) is recognized today as the Father of Computers because his impressive designs for the Difference Engine and Analytical Engine foreshadowed the invention of the modern electronic digital computer. Babbage led a fascinating life, as did all the folks involved in the history of computers. He also invented the cowcatcher, dynamometer, standard railroad gauge, uniform postal rates, signalling lights for lighthouses, Greenwich time signals, the heliograph opthalmoscope, and proposed ‘black box’ recorders for monitoring the conditions preceding railway catastrophes. He also had an interest in cyphers and lock-picking, but abhorred street musicians. The Difference Engine: The precision machine tooling that produced these intricate machines could not have been achieved in an earlier age. Babbage’s inventions were born of the advances in technology that accom-panied the Industrial Revolution. The idea behind the difference engine was to create a device that not only could calculate, but would also print the results, thus eliminating the many errors that occurred in the printing of tables. The Difference Engine was never fully built. Babbage drew up the blueprints for it while still an undergraduate at Cambridge University in England. But while it was in process of being manufactured, he got a better idea and left this work unfinished in favor of the Analytical Engine. The Science Museum in the U.K. built a working model of Babbage's Difference Engine #2. They also set up a race between a Canon notebook version of a 486 computer vs. the Difference Engine #2, calculating 7th order polynomials. The Difference Engine had to be hand-cranked. You'll have to visit the Science Museum in London in order to test it out. The Analytical Engine: This was a far more ambitious and technically demanding project than his earlier Difference Engine. Little of it was ever built and all that survives are a few partially completed mechanical assemblies and test models of small working sections. "Babbage failed to complete the construction of any of his engines. His failures were not failures of principle but of practical accomplish-ment. However, the legend of his work if not its technical detail remained part of the folklore amongst those who pursued the ideal of automated calculation after his death." [Babbage Exhibit, British Science Museum] The designs for the Analytical Engine include almost all the essential logical features of a modern electronic digital computer. The engine was programmable using punched cards. It had a "store" where numbers and intermediate results could be held and a separate "mill" where the arithmetic processing was performed. The separation of the "store" (memory) and "mill" (central processor) is a fundamental feature of the internal organisation of modern computers. [Source] The picture above represents only a portion of the mill section of the analytical engine. Were the entire project ever to have been completed, its size would have been vast and would have required a steam engine to operate it. Ada, Countess of Lovelace Babbage owes a great debt to Lady Augusta Ada, Countess of Lovelace (1815-1852). Daughter of the famous romantic poet, Lord Byron, she was a brilliant mathematician who helped Babbage in his work. Above all, she documented his work, something Babbage never could bother to do. Lady Augusta Ada also wrote programs to be run on Babbage’s machines. For this, she is recognized as the first computer programmer. In fact, she was better at understanding the implications of Babbage's ideas than he was. She never saw her father, and her mother was adamant that she not show 'poetical tendencies', thus her schooling emphasized the scientific. To this day, women computer scientists are in the minority, a sad fact that no amount of encouragements seems to rectify. . LAST REVISED 10/2/03 History of Computers/Computing - page three . The Electro-Mechanical Age 1840-1940 Herman Hollerith (1860-1929) was a statistician working for the U.S. Census Bureau (1880s and 1890s). The 1880 census took seven years to process. The next few years began a period of very high immigration to the U.S. and Hollerith deduced that producing the 1890 census was going to take more than ten years to process. So... he designed and built the Census Counting Machine. Punched cards (cf. Jacquard looms) were used to collect the census data (the origin of the IBM punched cards) and the cards were fed into a sorting machine before being read by the census counting machine which recorded and tabulated the results. Each card was laid on an open grid. A matrix of wires was lowered onto the card and wherever there was a hole in the card, a wire fell through, making an electrical connection which triggered a count on the appropriate dial(s) in the face of the machine. Very simple, very effective. The 1890 census took just three months to process even though quite a bit more data was collected than ever before. A substantial productivity increase! The pictures below show the punch card, a close up of the machine reading the punch card, and a picture of the counting machine itself. Hollerith was the first American associated with the history of computers. As you might expect, he was also the first to make a bunch of money at it. His company, the Tabulating Machine Company, became the Computer Tabulating Recording Company in 1913 after struggling in the market and merging with another company that produced a similar product. The company hired a gentleman named Thomas J. Watson in 1918 who was primarily instrumental in turning the company around. In 1924, the company was renamed International Business machines (IBM) Corporation. The rest, as they say, is history… The Mark I Howard Aiken (1900-1973), while a Ph.D student at Harvard, created (with the assistance of IBM) the Mark I, an early computer using punched tape data input. The Mark I went through several iterations, culminating in the IBM Mark IV computer. The picture below shows a sailor standing in the middle of the input section of the Mark I. Rear Admiral Grace Hopper One of those who worked closely with Aiken was Rear Admiral Grace Hopper (1906-1992); she was a mere Lieutenant when working with Aiken. She used his machine for gunnery and ballistics calculation for the U.S. Bureau of Ordnance’s Computation project. The Mark I was 51 feet long, 8 feet high, 8 feet deep, and had 72 words of storage! Hopper joined the navy in 1944, after receiving a Ph.D in mathematics from Yale. She rose rapidly through the ranks, was discharged at the end of World War II, and went to work at Harvard on the Mark II and III computers. In 1949, she joined a team working on the UNIVAC computer (more about that shortly). Another interesting sideline to Hopper's story is that she was recalled to active duty by the Navy in 1967, finally retiring in 1986, the oldest active duty officer (she was then 80 years old)! But she did not retire even then; she became a consultant for Digital Equipment Corporation (DEC). Working on the Univac computer in 1951, the program she was running gave incorrect results and, upon examination, a moth was found blocking one of the relays. The bug was removed and the program performed to perfection. Since then, a program error in a computer has been called a bug. The conference for women in computing is named after her (Grace Hopper Celebration of Women in Computing). . LAST REVISED 10/2/03 History of Computers/Computing - page four . The Electronic Age 1940-present Although the ENIAC (Electronic Numerical Integrator and Computer) is often thought to be the first electronic computer, in 1972 Honeywell on behalf of Atanasoff successfully sued Sperry-Rand, the company that bought the ENIAC and called it the UNIVAC. So let's look at what Atanasoff did first. But before that, we need to see the groundwork laid by Alan Turing. Alan Turing The story of modern electronic digital computing should start with Alan Turing (1912-1954) who published a paper in 1936, 'On Computable Numbers, with an application to the Entscheidungs-problem'. The paper proved that a machine capable of processing a stream of 1s and 0s according to programmed instructions would be capable of solving any problem that would count as a 'definite method.' As it happens, the set of problems included in this definition is the universe of mechanically solvable problems. Hence, the Turing Machine is also known as the Universal Machine, the theoretical precursor to the electronic digital computer that Atanasoff was soon to invent. Most of you who have taken elementary computer science will have worked problems using the Turing Machine. A Java applet demonstration of the Turing Machine is available. Turing is also well-known for his Enigma code-breaking machine, which broke one of the German U-boat ciphers during World War II and thus saved the 'Battle of the Atlantic' for the Allies. The Enigma cipher machine is shown at the right. The Bombe or sometimes called the Colossus, the machine used to decipher the enigma ciphers, is pictured below. As a homosexual, Turing was arrested and tried in England in 1952. As a result of this conviction he lost his security clearance, (and also rather than go to jail, he accepted treatments with estrogen injections for a year-- to neutralise his libido) and in 1954 committed suicide by cyanide poisoning. Hard to believe that a country could both award Turing an OBE (Order of the British Empire) and then turn around and convict him of homosexuality and exclude him from further work in his chosen field! John Atanasoff Atanasoff (1903-1995) was a professor of Physics at Iowa State University. He was convinced there had to be a way of doing math mechanically and thus save his PhD students from wasting time on math when they could be doing more interesting work in Physics. He was also frustrated by the fact that he was not allowed to 'fix' the leased IBM calculator that he had in his lab. One evening in the winter of 1937, the problem proved particularly taxing for him, so he did what he was accustomed to doing in situations such as this: he got into his car and drove at high speeds for several hours, thus effectively clearing his mind. (Reminds me of stories about Glenn Gould driving around North York in the middle of the night.) Eventually he crossed into the neighboring state of Illinois and stopped at a bar where he ordered a draft of liquid refreshment (bourbon). This had a wondrous effect on his state of mind, enabling him to think with a calm clarity that led step-by-step to coherent conclusions about the design of his electronic digital computer. Back at the lab, in the Spring of 1939, he hired Clifford Berry (1918-1963), a bright electrical engineering student, and together they invented the Atanasoff-Berry Computer, the ABC. Within a year, the basic machine was completed and a paper written documenting its design. The paper was forwarded to the university’s patent lawyer. With World War II well underway, Atanasoff was given leave from the university to join the Naval Ordnance Laboratory (along with Grace Hopper) for defense-related work. Development on the ABC came to a halt. The patent was never filed…. The ABC was a digital computer, so-called because it processed data in discrete, digital units (the digits 1 and 0). It also used the binary (base 2) number system in computation, the results being converted to and from decimal (base 10) for the purposes of human consumption. Being binary, the data could easily be represented electronically since switches naturally have two states--on and off--which lend themselves to representing the numbers or values 1 and 0. The ABC used vacuum tubes, punched cards and a memory device that looked like a drum (shown in the picture as it was located in the working machine). ENIAC J. Presper Eckert (1919-1995) and John Mauchly (1907-1980) were professors in the Moore School of Engineering at the University of Pennsylvania. Mauchly invited himself to Atanasoff’s home for a long weekend in order to check out the ABC. Atanasoff made him welcome, showed him his machine, and gave him a copy of the paper describing the workings of the machine that already had been filed with the Iowa State College’s patent lawyer. Mauchly returned to Pennsylvania and, together with Eckert, designed and built the ENIAC (Electronic Numerical Integrator and Computer) which was commissioned by the U.S. Department of Defense and delivered in 1946. As we can see the ENIAC occupied an entire room; if we had a back view of the machine, we would see the hundreds of vacuum tubes involved in its operation. ENIAC was funded by the U.S. Army, and even with its prodigious size, it could not store its programs. The ENIAC was programmed by rewiring the machine, instruction by instruction; tedious work carried out mostly by women working for the U.S. Ordnance Office. The machine was intended for use in the calculation of ballistics trajectories for the big guns of World War II. It was already a bit late for that, but nonetheless was an immensely significant achievement on Eckert and Mauchly’s part. Eckert and Mauchly successfully filed for the patent as inventors of the electronic digital computer, ignoring Atanasoff’s work. We already know that in 1972, this injustice was rectified when Honeywell (for Atanasoff) successfully challenged Sperry Rand (the company that acquired Eckert and Mauchly’s patent), and Atanasoff and Berry were duly credited as being the inventors of the electronic digital computer. Atanasoff outlived (by one week) both of them. He had the last laugh! Developments proceeded apace -- the Brits and the Americans vying for supremacy. In England, Max Newman at Manchester University designed and built the first electronic computer that stored programs--the Manchester Mark I (1948) . In 1949, Maurice Wilkes at Cambridge University completed the EDSAC (Electronic Delay Storage Automatic Calculator). This computer also stored programs and was two years in general use before Eckert and Mauchly, continuing their work, created the EDVAC (Electronic Discrete Variable Computer). But the first electronic computer for commercial use was the UNIVAC (Universal Automatic Computer) developed by Remington Rand (yup, the typewriter folks). The first one was delivered in 1951 to the U.S. Bureau of the Census. [Nitpickers will point out that the LEO, another electronic computer, was actually in commercial use one month earlier, but it is a mere footnote in computing history.] . LAST REVISED 10/2/03 History of Computers/Computing - page five . Electronic Age continued Digital Computing The digital age of computing can be divided into four generations: 1951-1958 Used vacuum tubes for main logic elements; puched cards and tape for input; rotating magnetic drums for internal storage of data and programs; programs written in machine language and required a compiler 1959-1963 Transistors replaced vacuum tubes; magnetic tapes and disks began to replace punched cards; magnetic cores (smaller doughnut shaped magnets) replaced the magnetic drums; higher level programming languages were used [e.g., FORTRAN and COBOL] 1964-1979 Integrated circuits replaced transistors; only used magnetic tapes and disks; metal-oxide semiconductors (MOS) replaced magnetic cores; more advanced programming languages were developed (e.g., BASIC as well as work (I hesitate to say that word since it's well-known that Gates actually 'borrowed' his beginnings) done by Bill Gates and Microsoft in 1975) 1980- Large and very-large scale integrated circuits (LSIs and VLSIs); microprocessors (CPUs) containing memory, logic and control circuits on single chip [this allowed for the development of personal computers such as the Apple II in 1977, the IBM PC in 1981, and the Apple Mac in 1984]; and fourth-generation programming language software products (Visicalc, Lotus 1-2-3 and dBase for example). [more information on these four generations] The Cost of Computing In 1968, prior to personal computers, a basic computer system cost about $1.8 million (in 1968 dollars -- converting to current dollars, the cost would be over $9 million). Not too many of us would have such equipment sitting in our study! Why is this important? What do we learn from this historical excursion? Well, we can see that the ideas and theoretical underpinnings of modern-day computers have a long history. But ideas are often a dime a dozen, and it's not until manufacturing (as seen by the impact of the Industrial Revolution) catches up that they can be implemented. We also see that the progression, once started seems to accelerate. We now have Moore's Law about the development of CPUs. What's next? What is Moore's Law? When does it stop being true? Which were the most important developments in the history of computing? An actual Turing Machine has never been invented, why? Does it matter? What will the fifth generation of computers be? Why is the U.S. Bureau of the Census and Statistics Canada, for that matter, important? Why important to the development of computers; why to cities? And what does all this have to do with cities anyway? The next major impact on computers is one that uses computers, but does not necessarily develop their innards a great deal more -- this is the development of the Internet, a subject to which we now turn. . LAST REVISED 10/2/03 History of the Internet . The development of computers alone has implications for us (faster processing of data, the existence of ABMs (automated bank machines), robotics in manufacturing are a few examples that come immediately to mind), but it is the Internet that has made the greater, more visible difference to our lives. But of course, the Internet depends upon the existence of computers, they are a sine qua non. A timeline showing some of the major (or interesting) events occurring (1957-2002) as the Internet develops. [excerpted from Hobbes' Internet Timeline] 1957 Sputnik launched. 1958 ARPA (Advanced Research Projects Agency) formed. This group was part of the U.S. military establishment -- Department of Defense) and was instrumental in the development of the Internet. It was also formed to foster scientific development in the U.S. (and beat the Russians). 1969 ARPANET, one of ARPA's projects, ARPANET was to become the Internet. One of the ideas behind its development was to build a fail-safe communications network that the military establishment of the U.S. and allies could rely on in the event of nuclear war. 1972 email. Still extremely restrictive, but the beginnings of the most used application available on the Internet. 1973 England and Norway allowed to join ARPANET 1979 USENET. Newsgroups. 1981 BITNET, CSNET. Smaller networks began to show up, designed for particular subgroups of the then computer using population. BITNET (Because It's Time) and CSNET (Computer Science Network) were among the first of such networks. 1981 was also the year of the French version of Telidon - Minitel. 1982 TCP/IP (Transmission Control Protocol/Internet Protocol). During his tenure from 1976-1982 with the U.S. Department of Defense's Advanced Research Projects Agency (DARPA), and under the leadership of Dr. J.C.R. Licklider, Vinton Cerf played a key role leading to the development of Internet and Internet-related data packet and security technologies, including the design and definition of the TCP/IP set of protocols for the Internet. Thus 1982 is the year the Internet as such was officially born. 1983 MILNET, EARN. ARPANET hives off a second network -- MILNET. This allows military secrets and developments to be protected from the increasing number of 'others' who now are members of ARPANET. In Europe, the academic community forms EARN (European Academic and Research Network). 1984 1000 hosts. Hosts are defined as computers that others can reach over the network. William Gibson writes Neuromancer. The Domain Name System is created (no longer need to know exact numerical address/path to other computers on network) Canada creates NetNorth, an attempt to link universities. NetNorth is connected to BITNET the following year (with a link from Toronto to Ithaca, New York). 1985 The WELL (Whole Earth 'Lectronic Link) is created. The WELL is an offshoot of Stewart Brand's Whole Earth Catalogue and is important as an early and influential network -- we will speak of it later in the course when we look at communities and citizen response to issues affecting the Internet. 1986 NSFNET (National Science Foundation NET); NSF also creates five super-computing centres at universities across the U.S.: JVNC at Princeton, PSC at Pittsburgh, SDSC at UCSD, NCSA at UIUC, and the Theory Center at Cornell. UIUC (University of Illinois-Urbana-Champaign) appears later in the development of the Internet with two programs created there -- NCSA Telnet and Mosaic. NNTP (Network News Transmission Protocol) established -- great help for USENET groups. 1987 10,000 hosts 1988 CERT (Computer Emergency Response Team). Somehow this always seems like Ghostbusters to me. This group, formed at Carnegie-Mellon University, was established to deal with a worm, one of those ugly virus-type creatures that we have spoken of before. In this particular case, the worm affected more than 10% of all the hosts on the still-fledgling network. IRC (Internet Relay Chat) developed. This is the basis for all the current chat clients. Canada connects to NSFNET. HyperText -- the idea is set out in a seminal book by Ted Nelson called Literary Machines. 1989 100,000 hosts 1990 ARPANET dissolved. WorldWideWeb developed by Tim Berners-Lee, working in Switzerland. EFF (Electronic Frontier Foundation) founded by Mitch Kapor and committed to protecting the rights and responsibilities of individuals on networks. We'll read about them later in the course. First ISP (Internet Service Provider) -- world.std.com CA*Net established; the Canadian backbone connection to the Internet. 1991 WorldWideWeb Released WAIS (Wide-area Information servers) Gopher NSFNET T1 and faster T3 lines laid -- the first high-speed connections to the Internet backbone. York's connection is multiple T1 lines, provided through the York ISP - ONet, the Ontario branch of CA*Net. 1992 1,000,000 hosts 1993 Mosaic, software with a GUI interface for browsing the World Wide Web. This software was developed at UIUC; Marc Andreesen was among those working on the project. InterNIC -- created by the NSF to provide registration and directory services Whitehouse online. Clinton and Gore get email addresses. 1994 Netscape. Andreesen left UIUC, and along with financial backing from Jim Clark (Silicon Graphics) founded Netscape. A number of the Mosaic programmers joined the Netscape team. In house the project was known as Mozilla, the Mosaic killer. 137 countries now part of ARPANET. WWW (http) traffic rises to become 2nd most used Internet transfer protocol. First online banking service - First Virtual. 1995 5,000,000 hosts WWW traffic surpasses previous leader, FTP. Real Audio (streaming) developed. Netscape goes 'public' (shares in the company available for purchase). New dial-up services become available (AOL, Compuserve, Prodigy). NSFNET stops being the main conduit for Internet domains and services; reverts back to being a research network, thus paving the way for the tremendous growth in commercial Internet traffic. Canadian Government online 1996 Microsoft joins the browser fray with Internet Explorer, and sets off a rush to add new features to browsers with quarterly releases, and folks eager to be beta testers. Search engines gain prominence. 1997 CA*Net II launched. 1998 CA*Net III launched; an optical network. ICANN formed, thereby privatizing the distribution and sale of domain names 1999 First Internet Bank of Indiana, the first full-service bank available only on the Net. Main Internet backbone upgraded to 2.5GBps (MCI/WorldCom) Free computers are the rage--sign up with an ISP and get a computer. MP3s come on the scene. 2000 WWW size estimates surpass 1 billion indexable web pages. New TLDs (Top Level Domains) proposed and accepted: .aero, .biz, .coop, .info, .museum, .name, .pro Napster is the technology of the year, and the lawsuits begin. 2001 Forwarding email becomes illegal in Australia Two TLDs added to the registry: .biz and .info available for purchase. P2P (peer-to-peer) computing gains popularity - especially with the demise of Napster and the rise of KaZaA. 2002 3 more TLDs start registering: .aero, .name and .coop Global Terrabit Research Network (GTRN) formed. (CA*Net3 and Internet2 [Abilene] are part of the network.) Blogs (web logs) are the 'in' thing. 2003 First official Swiss online election occurs. The SQL Slammer worm takes it toll. Slammer was one of the largest and fastest spreading DDoS (distributed denial of service) attacks ever. It took only 10 minutes to spread worldwide, taking down 5 of the 13 DNS (domain name servers) root servers and thousands of other computers. We will look at some of the more important terms and events over the next few pages. . LAST REVISED 10/2/03 Internet - Important Terms and Concepts . Protocols What's a protocol? Well, the Queen of England has an entire office devoted to protocols. For them, it's procedures and manners. It's really all about expectations. Let’s consider the protocol for ordering a Big Mac. If you walk into McDonald's and sit down at a table waiting for someone to take your order, you will likely go hungry, or get kicked out for taking up space and not purchasing anything. The protocol is that you go to the counter and order your food there. Both sides of a communication or exchange have to be using the same set of protocols. In the McDonald’s case, you, the one in need of food, and the server behind the counter dance to a set routine, a protocol. You go to the counter, you order, the server puts together your order, and you pay. Then you go sit down and eat (of course all this changes if you use the drive-through window - don't confuse me). TCP/IP Transmission Control Protocol/Internet Protocol. This is the protocol without which there would not be an Internet as we know it. It provides a common way for communication and the exchange of information (text, graphics, interactivity, etc.). Without it, we would not have the World Wide Web; email would still be contained within local area networks; and bridging the gap to other networks would still be a difficult task. With TCP/IP, as long as the builder of a computer adhered to the protocols, any computer could communicate with any other computer. Of course, there’s more to it than that; but TCP/IP is the absolutely essential and fundamental building block for our interconnectivity. By the way the Internet as a name actually stands for 'internetworked computers' or a network of networks. Groups of machines all using TCP/IP that can communicate with one another across some sort of communications link. Other Protocols There are literally hundreds of transfer protocols; most of us use (knowingly) only a few: FTP, NNTP, Gopher, SMTP, telnet and HTTP are perhaps the most common. FTP (File transfer protocol) is still frequently used as the way we upload and download files. NNTP is the transfer protocol for Network News. Newsreaders are the client software that allow us to look at the thousands of available newsgroups online. Gopher is a now outdated protocol that allowed for the textual display of information in the days just before the development of the World Wide Web. It was named Gopher because it was developed at the University of Minnesota where the school mascot is the gopher. At the time, those of us using the Internet and relying mostly on FTP thought that Gopher was the bee's knees. SMTP, or simple mail transfer protocol, allows us to send email to recipients across the world and next door. Telnet (developed at the UIUC super-computing center) is a way to establish a terminal connection with a server. Whoa there, what does that mean? If we use a telnet client, we can connect to a server and then using a command line interface, instruct the server to perform operations for us. Our $2000 computer has just morphed itself into a $50 terminal. Why on earth would we do this? Well, one very handy email software package that runs on most large UNIX email servers is PINE. Before the development of webmail, and especially if we wish a speedy email client, we can use telnet, invoke PINE, and then read our email. All of the processing takes place on the large server; all we see are the textual characters comprising messages that are sent to be displayed on our 'terminal'. The graphics load of webpages is unnecessary and in fact, not possible, and we can browse through hundreds of messages quite quickly, even with dial-up connections. HTTP (HyperText Transfer Protocol) is perhaps the transfer protocol with which you are most familiar. It is the protocol that makes possible the transmission and display of web pages. HTTP is now the most used protocol on the Internet. Until 1996, FTP was the champion of protocols. Software programs exist that specialize in each of the protocols. For example, there are many ftp clients in existence. Windows has a basic one built into the system, but you might have heard of Cute FTP or WS_FTP. On the Mac side, Fetch is probably the most common of the ftp clients. Newsreaders, specializing in NNTP protocol, similarly exist for all computer platforms. Telnet clients are often built into operating systems. Even really old computers, with small hard drives, and minimal memory, and even less speed can run telnet applications. The interface is command line driven; that is, only text commands are accepted, there are relatively few commands available to you, and the syntax of the command has to be followed exactly. The host computer does all the heavy lifting, all the work that you ask of it, and then provides the results back to you. Typically the results are pretty brief (unlike me trying to explain it). Telnet connections often allow you to request that specific programs be run on the host computer and then you are allowed to give additional commands specific to that program. I mentioned Pine above, but there are numerous other programs. Usually in telnet programs, the mouse is a totally useless appendage--everything occurs because you type in a command using your keyboard. And last, but certainly not least, web browsers are the applications created specifically to deal with the http protocol. As they have evolved, many browsers have added the capability to cope with additional protocols: ftp, gopher, telnet, mail, etc. Sometimes, this ability is contained within the browser software itself, sometimes it’s because an additional application is invoked, one that you have specified in the browser preferences. Telnet is one of these additional applications. The browser 'understands' your request for a telnet connection, but in order to fulfill your request it has to have help from another piece of software, a telnet client. Packet Switching Networks One other development aided in ARPA's desire to create a disaster proof network, and that is packet data switching. Two major types of networks existed: ethernet and token ring. Ethernet became the connectivity of choice for the Internet. Ethernet is more than the cable that carries the transmission. It, combined with the method of 'chunking' bits of information for the transfer, makes the transmission 'just work'. Information is divided into smaller pieces, called packets. These packets are sent from one computer en route to some other place/computer. There are lots of bits added to the beginning and the end of each packet that identify it: what packet is this, who sent it, how many packets are there in all, where does this particular packet fit in the totality of packets, where is the end of the packet, and so on. When the information arrives at its destination, the receiving computer sorts all of these packets of data into a whole, and then produces a message, a picture, a command, whatever it is that has been sent. The packets need not all take the same route from origin to destination. As long as all of the packets actually arrive at the destination, the receiving computer can piece them together. Sometimes when we don’t receive all of a web page, or there is a garbled message, or error message, it’s because the receiving computer just didn’t get all the packets and the information has to be resent (or in the case of the webpage, we need to ask for it again). Data packets are also part and parcel of the notion that the Internet won’t 'go down' if one of the transmission hubs falters, or is removed from the path. The data packet will just find another, perhaps longer, route to reach its destination. There are traceroute programs which you can run; these programs will provide the path that data takes to reach a computer. It’s as though you send out a message asking something like "are you there?". The traceroute program will show you the hops (and the IP addresses of the locations) the packet travels to on its route. Usually data traffic from York hops through a few York IP addresses, then hops to the U of T, then continues, frequently to Chicago (a major Internet routing area) and then moves along its way to its destination, making several other hops along the way. We have seen several instances of the robust nature of the Internet. From the events of 9/11 to the massive power outage this summer, from attempts to mount denial of service attacks (bombarding machines with data packets in hopes of crashing the machine) to programmer errors on the main domain name servers -- these events may slow Internet traffic down, but it just keeps on ticking (shades of the Eveready Bunny). IP Addresses Each computer connected to the Internet needs to have a unique address. Without such uniqueness, routers would get confused (which one of those IP addresses do you really want?), and we would never be able to ensure that our messages and files went to the correct place. The Internet Protocol part of TCP/IP involves the designation of IP addresses. Currently, these addresses are four sets of three-digit numbers. Examples might be 164.31.163.1 or 120.34.239.41 None of the numbers can exceed 254. Servers, or machines that need to have an address that always remains the same, so that others know where to reach it, use static IP addresses. When you dial up using your ISP, you may be assigned a 'temporary' IP address, called a dynamic address. You have this particular IP address but only for the duration of your present connection to the Internet. Someone else 'could' reach your computer (if you allowed connections) only if you called them on the phone or sent them a message indicating your current IP address. And then, if your computer crashed or your connection went down, you'd have to dial in again, and chances are you would be given a different dynamic IP address and the process would start over again. So, in order for you to browse the web, you need an IP address. You enter a URL (Uniform Resource Locator) in the Address line of your browser. The machine holding the webpage you are interested in has to know where to send it so that you can actually view the page. It needs your IP address. Your browser passes that information along to the webserver housing the page you're interested in. But there's a problem. The explosive growth of the Internet and the number of connected computers means that we are running out of IP addresses. Institutions, like York, have to find ways around this (York uses some 'internal' IP addresses that connect to a server that allows the traffic to go outside of York and lets users view pages, but not operate as servers). In a way this is sort of like creating another level in the process of using the Internet. But this will not be sufficient in the near future. What to do? For the past several years, several folks have been actively involved in establishing another IP protocol, called IPv6. The widespread adoption of this protocol, expected in the next couple of years, should vastly increase the number of available IP addresses, but systems, routers, all the bits of the network will have to be adjusted to understand and use the new protocol. Much of the work on IPv6 occurs in North America and other countries of the world have charged North Americans with dragging their feet. The largest blocks of IP addresses were assigned early on, before the Internet's explosive growth. This leaves other countries, China for example, at a serious disadvantage. Switching protocols is a complicated process that will cost millions of dollar in new IPv6-compliant network hardware. Domain Names But hang on a minute there, you say. You never (or rarely) enter the IP address for a webpage. You use alphabetic characters, often actually forming words. You are correct. The IP addresses are also coordinated with what are known as domain names. Domain names were established early on in the development of the Internet. The top level domains or TLDs (as originally set) are: .mil (military; after all the Internet was a project of the military) .edu (education; originally restricted to 4 year institutions of higher education in the U.S.) .org (organization; non-profit organizations only) .com (commercial; originally very restricted, but now the most common TLD) .net (network; generally for the providers of connectivity) .gov (restricted to the Federal government of the U.S.) and a myriad of two-letter country codes for all other places in the world (examples: .ca for Canada; .uk for the United Kingdom; .ch for Canton Helvetica - which is where?; .de for Germany (Deutschland); .cn for China; and so on. A page listing all the country codes. What's unusual about the TLD? It's the last part of any domain address. There are fewer restrictions on what comes before the TLD, but the commonly accepted form is as follows: name of the computer name of a department within an organization name of the organization or company TLD An example: odysseus.calumet.yorku.ca odysseus is the machine name calumet is the department yorku is the organization ca is the TLD 130.63.231.39 is the actual IP address of this computer; which is easier to remember? Ok maybe this isn't a good example, you probably have trouble remembering how to spell odysseus. URLs Uniform Resource Locators. When we wish to reach a particular webpage on a particular machine, we use a URL. The first part of the URL is the domain name. It is followed by the path to the page we wish to view. The general form of a URL is the following: transfer protocol://domain name/directory/subdirectory/filename.filetype Some of these bits are optional. For example, if we are using a web browser, the http protocol is 'understood', so we do not need to type 'http://'. There may not be a subdirectory. Sometimes there isn't even a directory that needs to be specified. This is often the case with corporate sites where merely entering the domain name provides us with a page. But how can this be, we haven't specified a particular page? Most web servers have a special page 'name' that can be used for files and that become the default page that is provided to the computer requesting access. This special name is most frequently 'index.html or index.htm' or it might be home.html or home.htm. What's the difference between pages that end in html and those ending in htm? This is a holdover from the days when Windows could only save files with three-digit extensions (html was the preferred or accepted designation, but htm was also accepted). And do beware, there is a difference between pages ending in the two different forms. Try reaching a page with the extension .html by typing only .htm or vice versa. You won't get a page unless it's a page describing a 404 error - Page Not Found. Translate the following URLs (what is the transfer protocol, the domain name, any directories, the name and type of file): http://milton.mse.jhu.edu:8001/research/education/url.html ftp://milton.mse.jhu.edu http://www.microsoft.com http://www.cnet.com/Content/Gadgets/Guides/Pilot/?dd.cn ftp://milton.mse.jhu.edu/pub/research.txt http://www.seas.upenn.edu/~mengwong/netsurf/contents.html gopher://milton.mse.jhu.edu/databases What does that 8001 in the first example mean? Why the ? in the 4th example? And what does that squiggly line before mengwong in the 5th example stand for? Let's investigate the development of the World Wide Web a bit further. It is what many equate to the Internet, but you know better. It's just one of many protocols available on the Internet. . LAST REVISED 10/2/03 The World Wide Web (WWW) . Tim Berners-Lee Tim Berners-Lee was a computer scientist, working at CERN (a particle Physics lab) in Switzerland in a fairly lowly department -- computing support. The physicists themselves were scattered around Europe. They used FTP (file transfer protocol) in order to share their documents and work-in-progress. Of course, diagrams and any other graphic information had to be transferred separately. It was quite awkward. Berners-Lee, in searching for a simpler way for the physicists to share working documents, created a language and an internet protocol: HTML and HTTP respectively. HTML stands for HyperText Markup Language, a subset of SGML (Standard Generalized Markup Language). This language allowed for a textual document to contain structural information (sections, paragraphs, the inclusion of tables, etc) and for a document to make references (or links) to graphics files. In a way, this new protocol did the same thing as FTP before had done, the difference was that the markup language allowed the document to be reassembled in its original form (browsers very quickly developed the ability to display the graphics inserted in their proper places) without any action being taken by the recipient of the document. The two pictures below show (on the left) the HTML tag source of a webpage; and onn the right, what the page looks like in a web browser. HyperText was an idea forwarded by Ted Nelson in his book, Literary Machines (1981). He had presented the concept much earlier (1965) when, as a 28-year old graduate student he gave a presentation to the ACM (Association of Computing Machinery), entitled, 'A File Structure for the Complex, the Changing, and the Indeterminate.' He had been inspired by an article published in the Atlantic Monthly, 'As We May Think' by Vannevar Bush (1945). Bush writes theoretically about the Memex, a concept in which we can see the germ of the world wide web. Below is a representation of what a Memex machine might look like. Do today's computers perform like a Memex? Memex in the form of a desk would instantly bring files and material on any subject to the operator's fingertips. Slanting translucent viewing screens magnify supermicrofilm filed by code numbers. At the left is a mechanism which automatically photographs longhand notes, picutres and letters, then files them in the desk for future reference. [LIFE, 19(11), p.123] Bush’s article, which is a required reading in this module, inspired many others in the fledgling field of computer science. For example, Douglas Engelbart, a much unheralded researcher, working away in the San Francisco area, developed 5 very notable technologies -- all of them ahead of his time: he pioneered distributed email and email lists 5 and 7 years respectively before ARPANET; he implemented word processing a decade before it began to appear in offices; he designed the first mouse as an input device 16 years before Apple introduced it; he created a windowing environment for personal computers 20 years before Microsoft; he envisioned hypertext as linked documents in a distributed environment a quarter of a century before CERN and Mosaic. Berners-Lee also created the server software that would serve the pages marked up with HTML to all the physicists. It was called httpd. And the browser software so that the pages served could be viewed -- Berners-Lee's browser was created in NEXTstep, using NEXT computers (elegant, but expensive), created by Steve Jobs after he was ousted from Apple in a 1985 boardroom coup. Lee issued a plea over the Internet for others to join in and write browsers for other computers. He had made all the code for what he had done so far, 'open-source'. One group of those heeding the plea were the students at UIUC, where within short order they developed the graphical browser, Mosaic, and made it available for a number of different computing platforms. Xerox - PARC Another group of researchers, working as part of Xerox’s Research and Development team in Palo Alto, California, was also greatly affected by 'As We May Think' and like Engelbart they developed a number of significant technologies. The disconnect between the commercial arm of Xerox and its R&D department meant that it was left to others (or to some of the researchers who defected Xerox and went elsewhere) to bring these technologies to the marketplace. Some examples: Charles Simonyi (a Xerox defector) joined Microsoft and using many of the ideas and technologies developed at Xerox-PARC, was the co-developer of Microsoft Word. In 1972, the first personal computer to include a mouse, graphic icons and a windowed environment, was built at Xerox-PARC. It was called the Alto. It took another decade for these designs and ideas to go commercial - and it wasn’t Xerox who patented them. This was left to a group of rather anarchist characters who formed the Homebrew Computer Club. Two of the members of this group were Steve Wozniak and Steve Jobs. They had a tour of Xerox-PARC, and using Wozniak’s technical expertise, and Jobs’ marketing genius, they created the first commercially available personal computer, the Apple. Eventually Apple released a powerful (for the time) computer with a mouse, graphical interface and a windowed environment. It was the $10,000 Lisa. But it was expensive and within a year outdated by the introduction of the original Macintosh. This 128K Mac was introduced in January, 1984 with much fanfare and a memorable advertisement appearing on TV during the SuperBowl. This ad (directed by Ridley Scott of Bladerunner fame) is considered one of the best of the 20th century. Watch it in one of 4 sizes. Information about these early days is available in many locations, but one that looks at Silicon Valley as a breeding ground of technologies is a PhD dissertation by Nathan S. Newman (1998) 'Net Loss: Government Technology and the Political Economy of Community in the Age of the Internet.' San Francisco: University of California, Berekeley. http://ist-socrates.berkeley.edu/~newman/ See Chapter 3, in particular, for a discussion covering this particular era. HTML & HyperText HTML was originally a structural language; that is, the language constructed documents based on their structure, not their layout. Consider that this was all developed for sharing scientific documents. So, what’s important in a scientific paper? Text, most likely quite straightforwardly presented, with the thesis statement, the methodology, the data collected, the tests performed, and the results--all the parts displaying graphics and/or tables where appropriate. The scientists were not concerned about fancy fonts, absolutely precise placement of images (as long as they were near their first reference in the text), and so forth. It was only later, when commercial entities were given unfettered access to the Internet that document layout became important, very important. Many of the additions to HTML have occurred because advertisers and others commercial folks wanted pages to look exactly like they created them. Originally the viewer of a web page had considerable control over its appearance in the browser on his/her computer. Much of that control has been wrested from the user’s hands, and can now be set out by the author/creator of the web page. You can imagine the concern of companies and their advertising agencies--they were very accustomed to be concerned with exact placement, high resolution graphics, special fonts, sometimes overlapping images, etc. After all advertising firms charge companies a lot for their layout and creative expertise. And in order for them to reproduce this on the web, they had to have more control over how the page could be viewed. So, for those of you with some webpage creation background, many of the developments in HTML have been added to accommodate these needs--cascading style sheets, javascript--to some extent, Flash, new markup tags for image placement and alignment, and so on. Although educational institutions were among the first to use the Internet and the Web, their need for some sort of Math Markup Language--to display mathematical equations--has languished, so that the rest of us can view heavily animated pages that only sometimes contain useful information (whoops, is my bias showing?) The BBC recently ran an interview with Tim Berners-Lee in which he spoke about the beginnings of the WWW and about his current project—the Semantic Web. It’s a short article. Have a glance. What is Ted Nelson’s latest project? How does a markup language work? What are tags? What browser is currently 'top of the heap' with more users than any other? When did it arrive on the Internet? Internet Growth The next few pages are heavily graphic - they display the growth of the Internet in tables, graphs, and charts - for your viewing pleasure. This section, because of its heavy graphic use, is not included in the print version of the lecture. . LAST REVISED 10/1/03 The Explosive Growth of the Internet . Connectivity by Country 1991-2002 Small Version We all know that the Internet has grown over the past couple of decades, most explosively in the last few years. One such measure of growth is connectivity by country. Larry Landweber and the Internet Society collaborated to create a series of such maps spanning the time period from 1991-1997. [Source: http://www.cs.wisc.edu/~lhl/maps/]. I have provided these maps in a couple of different formats. Below are links to a couple of movies which show the progression through the 12 maps - actually 13 - I created a map for 2002. Select the smaller movie if your bandwidth is like mine, and wait for some of it to pre-load before starting the movie. For those of you with high-speed connections, you might try the larger movie. The countries with no Internet connection of any kind are colored yellow; those with email only are green; watch the growth of purple (full connectivity occurred in September, 2002 when Antarctica was the last country to connect to the Internet). Additionally, below the movies is a link to a page which provides the actual images that the movie is based upon. Prefer the Higher Bandwidth Version? Click here. An index of thumbnail pictures used in the animation, linked to the larger images, is also provided. . LAST REVISED 10/2/03 Internet Growth - Host Computers and Domain Names . Host Computers Remember that host computers are those computers that are reachable over the Internet.We can break down these host computers and look at individual portions of the world. All of the following images are from www.matrix.net (they provide only a small portion of their vast number of maps, charts and graphs in a size that makes them readable, so our coverage will necessarily be somewhat spotty). We do, however, have reasonable maps of the following countries/areas of the world: (the country names are linked to individual webpages displaying the relevant maps). Canada Africa West Asia the Russian Federation India and South Asia SE Asia China . LAST REVISED 10/2/03 Internet Hosts . Canada There are 3 maps of Canada.The first (even though its size renders it difficult to see rather more precise locations of hosts) because it is in the same format as the ones for other areas of the world that follow. The second shows Internet usage in Canada (the colours corresponding to increasing numbers of users go from left to right, row by row; that is, the light pink/purple has the highest number of users). The third shows Internet hosts per capita (same type of colour progression). All images are from www.matrix.net . LAST REVISED 10/7/02 Internet Growth . Countries and Languages The Internet was a U.S. development; its language until fairly recently was almost exclusively English. In only the past few years have other languages started to gain substantially on English. Web designers are now starting to consider multilingual websites; translation services exist on the web (some are free, and of course the results can be quite hilarious). Similarly early users of the Internet were based in North America with a smattering of users in Western Europe. The first chart shows where Internet users are located (ca. 1996; source no longer online); the second displays the language of Internet users (2001). As we can see, the dominance of English is diminishing; and Asian languages are growing rapidly. [Source: http://www.global-reach.biz/globstats/index.php3] The same company has traced the evolution of non-English groups on the Internet for the past several years and made projections to the year 2005. [Source: http://global-reach.biz/globstats/evol.html] What we now know is that growth occurred first in North America and Europe, followed by the rest of the world. And currently it is the rest of the world that is growing rapidly. The Chinese are now the second largest group of Internet users (although Chinese users are a small fraction of the total population of China--lots of room for more growth). There are also implications for English as the lingua franca of the 'Net. Let's turn our attention to the characteristics of individual users, with the caveat that most of the available data refers to those in North America (the U.S. in particular) with some information available from Western Europe. . LAST REVISED 10/1/03 Internet User Demographics . Surveying the Digital Future There are many issues surrounding the growth and use of the Internet. Most researchers, as we have seen, highlight the spectacular growth curve of Internet use; others worry about the Digital Divide; some about Internet addiction and its effects on individuals and society in general. The Digital Divide controversy is really many-pronged: a divide between rich and poor, a divide between the English-speaking world and everybody else, a divide between those with high bandwidth connections and those without, and so on. One of the most recent reputable studies on Internet use are the reports of the UCLA Center for Communication Policy. This group is committed to carrying out several longitudinal studies over the next few years and should, in time, provide us with a good picture of the changes brought about by the Internet. The report assigned for this module is an analysis of the third year of the study and is a snapshot of users surveyed in 2002. It should be noted that all respondents to the survey resided in the U.S. You need to read some sections of the report [the introduction (pp. 13-15) and the conclusions (pp. 77-83)]; browse through description of each of the 5 subject areas: Internet Users and Non-Users; Media Use and Trust; Consumer Behavior; Communications Patterns; and Social Effects (pp. 17-75). The data is presented in graphic forms and you can pause longer in areas of interest to you. I will refer to some specific graphs from these pages as we proceed. Some sections will also be useful for future modules: Children (pp. 65-68), E-commerce (pp. 39-53); Internet Use at Work (pp. 72-75). UCLA Center for Communication Policy 'Surveying the Digital Future, Year Three' . LAST REVISED 10/1/03 Internet User Demographics . Historical Context The UCLA Report gives us a snapshot of Internet users and their attitudes and behaviour. But, it doesn't really provide the longer view; that is, the usage of the Internet over the past 10 years and how it has changed. In this section, I will, to the extent possible, provide some older demographics so that you can compare them to the more recent data. Many of the surveys cited are approximate at best, but they are just about the only information available to us that is publicly available. Internet usage statistics are gathered by many research firms, but are sold to commercial enterprises that are hoping to target their activities and turn a profit. We will look specifically at older information on gender age SES (socio-economic status indicators) location of connection what individuals "do" online what Internet usage replaces . LAST REVISED 10/2/03 Internet User Demographics . Gender As we know, the Internet has its beginnings about 20 years ago with the adoption of TCP/IP, and was used mainly by those involved in the US military and educational institutions as a strategic and research tool. It was a bastion of those in computer science research--a field still dominated by males. Thus it is not surprising that early users of the Internet, and even the WWW, were highly educated (and usually with substantial income) males. This bias persisted for many years. The diagram below shows the gender distribution ca. 1996 (unfortunately, this graph is no longer available online, so I can't provide the URL). Compare this chart with that provided on p. 21 of the UCLA report to see the changes in the past 7 years. Age Following along in this vein, Internet users were usually middle-aged, or were university students under 30 years old. Another chart from the same source as the above graph shows this fact quite clearly--again the section of the UCLA report starting on p. 21 provides comparative information. . LAST REVISED 10/1/03 Internet User Demographics . Socio-Economic Status Variables - Income and Education Social-economic status (SES) indicators include variables such as income, occupation, education. In line with the previous information about age and gender, SES in the earlier days of the Web showed upper middle class wealth (except for students who would sometimes report their income (meager) and sometimes that of their parents), and occupations favouring the professions or education-related. The income chart is from the FIND/SVP survey used earlier, while the occupation chart is from an unknown source (caveat emptor). The UCLA Study does not look at income in year three of the study; however, they did in year two. The graph below shows that chart. Note the large increase in high income users. Education is another of the socio-economic variables. Again, only in year two of the UCLA study was the education of Internet users reported. While the percentage of users with less than high school graduation increased, so too did those with advanced degrees. What do these graphs tell us about the Digital Divide in the US? Socio-Economic Status Variables - Occupation Ethnicity Interestingly, the UCLA study does not refer to the ethnic status of users (actually, it's usually a combination of race and ethnicity that is reported; viz. whites, blacks, hispanics, etc.). They obviously collected this information since the study methodology indicates that they tested for sample representativeness by comparing it to US Census data on several characteristics, ethnicity among them. We do, however, have some information about the US from a slightly earlier period. The FIND/SVP study shows a large majority of white Internet users in the US (ca.1996). Other more recent press releases (see http://www.nua.ie/) have reported rapidly growing numbers of blacks and hispanics among Internet users in the US. What was reported in year two of the study is the language used by the US respondents. Obviously, the primary language would be English, but the graph shows the other languages used. The chart shows the predominance of Spanish, but a surprising amount and French and German. We can compare this chart with the one displayed earlier. . LAST REVISED 10/2/03 Internet User Demographics . Where Do Users Connect From? The UCLA report indicates that users connect from home, work and school. In September, 2002, it was widely reported in the news that home Internet use had now reached more than 50% of US households. Later on in the report, there is an indication that heavy users frequently have multiple computers, and although the possibility of home networks was not investigated, the use of broadband modem/satellite connections raises this as a likely possibility. Historically Internet users have preferred to 'dial in' from home; the proportion of home vs. business is relatively stable. Perhaps it just means that along with increasing numbers of individual Internet users, businesses have increasingly come online as well. [Source: the FIND/SVP study referenced before.] Pages 25-27 of the report provide some comparable data. . LAST REVISED 10/1/03 Internet User Demographics . Where Do Users Connect From? The UCLA report indicates that users connect from home, work and school. In September, 2002, it was widely reported in the news that home Internet use had now reached more than 50% of US households. Later on in the report, there is an indication that heavy users frequently have multiple computers, and although the possibility of home networks was not investigated, the use of broadband modem/satellite connections raises this as a likely possibility. Historically Internet users have preferred to 'dial in' from home; the proportion of home vs. business is relatively stable. Perhaps it just means that along with increasing numbers of individual Internet users, businesses have increasingly come online as well. [Source: the FIND/SVP study referenced before.] Pages 25-27 of the report provide some comparable data. . LAST REVISED 10/1/03 Internet User Demographics . What Do Users Do Online? The Internet, as reported in the UCLA study, is an important source of information for users. Email continues to be probably the single most important service provided over the Internet. High percentage of Americans have email addresses, and the majority read their email frequently. Although the categories are different, and the data is not separated by gender, the following chart shows what individuals reported as their usage of the Internet back in 1996. Forrester (one of those research consultant companies) undertook a study in 2000 and produced a graph of what users do online. Note the continuing and high frequency of email use. (Aside: last year was the 30th anniversary of the 'invention' of email. There is a short article that interviews Ray Tomlinson, the "father of email". ) [Source: Reprinted in Economist Magazine, Oct. 7, 2000; and retrieved from a University of California-Berkeley study on information overload (http://www.sims.berkeley.edu/research/projects/how-much-info/charts/online-use.gif)] . Back in 1996, users indicated what they thought the Internet might be used for in the future. Source: FIND/SVP Compare these charts with those provided on pp. 19, 25, 55-60 of the UCLA report to see the changes in the past 7 years. Attitudes about the Internet are discussed on pp. 38, 64, 69-70, 77-78. . LAST REVISED 10/1/03 Internet User Demographics . What Does Internet Use Replace? Internet users are very similar to non-users in their use of different media. The charts on p. 33 indicate that the major difference is that Internet users do not watch as much TV as nonusers, noticeably so among those who are longer-term users of the Internet. Similar findings were reported in the FIND/SVP survey of '96. [Source: FIND/SVP] The UCLA study goes on to investigate the usage of the Internet by children, concerns over privacy, the validity of information available online, etc. I have no 'real' comparative data in these areas; although I would venture to say that while most do not seem to be concerned with the validity of data, examples of public gullibility abound (we may get around to these later when we discuss the process of evaluating the content of webpages). Read the section on Issues and Trends (pp. 77-83) for a sense of how the UCLA researchers see the future. . LAST REVISED 10/1/03 Things to Ponder . We have now read about the development of computing and computers -- the 'tool' of the Internet; about the development and spectacular growth of the Internet -- the medium of exchange; and about the characteristics of current (and recent) Internet users. We need to ask ourselves what are the implications of these changes. Chou En-lai (1898-1976), when interviewed several years ago, was asked what he thought were the lasting effects of the French Revolution (1789). His response: "It's too soon to tell." We are likely in that same position when trying to define and explain the impact of the Internet on the world. But that's not going to stop up from trying! We are constantly trying to understand, to plan for and around, the impacts of a very new phenomenon. Internet time is fast, seemingly covering ground and changing more rapidly than we can either measure or process. It sometimes feel that one cannot blink, or risk missing yet another important 'event'. There seems to be little time to reflect; businessmen and governments just have to react--and their reactions are often not clearly thought through, the technologies not really understood. We see a great deal of evidence of this 'shoot from the hip' mentality in a number of bills (laws) that passed through the legislatures in the last two or three years--bills responding to taxation, pornography, music file sharing, the list goes on (we will cover a few of these issues in greater detail later in the course). And of course, the dot com boom and bust is another example of not really understanding the technology, the milieu, and quite possibly reflecting a 'join the bandwagon type' of greed. The hype that surrounded the IPOs (initial public offerings--when stock is first sold in a company) may be connected to some of the more egregious accounting practices of firms involved in the technology and investment businesses. The collapse (perhaps that's too strong a word), but certainly the decline in the stock market is most assuredly related to the dot com bust. Nortel, Canada's poster child for technology, hit rock bottom during the dot bust. Examples of Impact Regardless, it seems certain that new technologies and the Internet have a strong impact on our lives. I can think of a few examples. Physicians are increasingly using email to check up on their patients; answer straightforward queries from patients; occasionally to prescribe medication Voters in far-flung parts of the world (Australia and the U.S. Western states, for example) experiment with online voting. Will online voting increase the abysmal voter turn-out percentages for all levels of government--from municipal to federal? Municipal governments in some U.S. cities now regularly publish photos of 'johns' (men arrested, charged and convicted for seeking to procure the services of prostitutes), and of perpetrators of other so-called victimless crimes E-tail (electronic commerce) continues to grow as a viable option for consumer and business purchases MP3s are a type of file now known extremely well world-wide, and increasingly in the news. Copyright owners rush to sue their current and future customers over the digital copying of music. We will look at this issue later in the course. Psychologists worry about Internet addiction Citizens are concerned about personal privacy and easy access by others to very personal information about us. Parents worry about the prevalence of online pornography, or of online stalking. Internet users have access to vast amounts of information. Some educators are concerned that we now need to focus on the evaluation of that information What is the role of censorship on the Internet? Are existing laws sufficient to 'protect' us against slander, to eliminate websites espousing racial or ethnic hatred, to prevent terrorism? Given the ability to conduct business and do work anywhere, anytime - do we need large office buildings anymore? And if not, what happens to central cities and to suburban business parks? We will investigate some of these changes in greater detail later in the course. In the meantime, the module reading by Blais investigates the changes for cities in depth. What other examples can you add to the list? . LAST REVISED 10/2/03 J U L Y 1 9 4 5 by Vannevar Bush As Director of the Office of Scientific Research and Development, Dr. Vannevar Bush has coordinated the activities of some six thousand leading American scientists in the application of science to warfare. In this significant article he holds up an incentive for scientists when the fighting has ceased. He urges that men of science should then turn to the massive task of making more accessible our bewildering store of knowledge. For years inventions have extended man's physical powers rather than the powers of his mind. Trip hammers that multiply the fists, microscopes that sharpen the eye, and engines of destruction and detection are new results, but not the end results, of modern science. Now, says Dr. Bush, instruments are at hand which, if properly developed, will give man access to and command over the inherited knowledge of the ages. The perfection of these pacific instruments should be the first objective of our scientists as they emerge from their war work. Like Emerson's famous address of 1837 on "The American Scholar," this paper by Dr. Bush calls for a new relationship between thinking man and the sum of our knowledge. --THE EDITOR This has not been a scientist's war; it has been a war in which all have had a part. The scientists, burying their old professional competition in the demand of a common cause, have shared greatly and learned much. It has been exhilarating to work in effective partnership. Now, for many, this appears to be approaching an end. What are the scientists to do next? Return to "Flashback: Prophets of the Computer Age" For the biologists, and particularly for the medical scientists, there can be little indecision, for their war has hardly required them to leave the old paths. Many indeed have been able to carry on their war research in their familiar peacetime laboratories. Their objectives remain much the same. It is the physicists who have been thrown most violently off stride, who have left academic pursuits for the making of strange destructive gadgets, who have had to devise new methods for their unanticipated assignments. They have done their part on the devices that made it possible to turn back the enemy, have worked in combined effort with the physicists of our allies. They have felt within themselves the stir of achievement. They have been part of a great team. Now, as peace approaches, one asks where they will find objectives worthy of their best. 1 Of what lasting benefit has been man's use of science and of the new instruments which his research brought into existence? First, they have increased his control of his material environment. They have improved his food, his clothing, his shelter; they have increased his security and released him partly from the bondage of bare existence. They have given him increased knowledge of his own biological processes so that he has had a progressive freedom from disease and an increased span of life. They are illuminating the interactions of his physiological and psychological functions, giving the promise of an improved mental health. Science has provided the swiftest communication between individuals; it has provided a record of ideas and has enabled man to manipulate and to make extracts from that record so that knowledge evolves and endures throughout the life of a race rather than that of an individual. There is a growing mountain of research. But there is increased evidence that we are being bogged down today as specialization extends. The investigator is staggered by the findings and conclusions of thousands of other workers -- conclusions which he cannot find time to grasp, much less to remember, as they appear. Yet specialization becomes increasingly necessary for progress, and the effort to bridge between disciplines is correspondingly superficial. Professionally our methods of transmitting and reviewing the results of research are generations old and by now are totally inadequate for their purpose. If the aggregate time spent in writing scholarly works and in reading them could be evaluated, the ratio between these amounts of time might well be startling. Those who conscientiously attempt to keep abreast of current thought, even in restricted fields, by close and continuous reading might well shy away from an examination calculated to show how much of the previous month's efforts could be produced on call. Mendel's concept of the laws of genetics was lost to the world for a generation because his publication did not reach the few who were capable of grasping and extending it; and this sort of catastrophe is undoubtedly being repeated all about us, as truly significant attainments become lost in the mass of the inconsequential. The difficulty seems to be, not so much that we publish unduly in view of the extent and variety of present day interests, but rather that publication has been extended far beyond our present ability to make real use of the record. The summation of human experience is being expanded at a prodigious rate, and the means we use for threading through the consequent maze to the momentarily important item is the same as was used in the days of square-rigged ships. But there are signs of a change as new and powerful instrumentalities come into use. Photocells capable of seeing things in a physical sense, advanced photography which can record what is seen or even what is not, thermionic tubes capable of controlling potent forces under the guidance of less power than a mosquito uses to vibrate his wings, cathode ray tubes rendering visible an occurrence so brief that by comparison a microsecond is a long time, relay combinations which will carry out involved sequences of movements more reliably than any human operator and thousands of times as fast -- there are plenty of mechanical aids with which to effect a transformation in scientific records. Two centuries ago Leibnitz invented a calculating machine which embodied most of the essential features of recent keyboard devices, but it could not then come into use. The economics of the situation were against it: the labor involved in constructing it, before the days of mass production, exceeded the labor to be saved by its use, since all it could accomplish could be duplicated by sufficient use of pencil and paper. Moreover, it would have been subject to frequent breakdown, so that it could not have been depended upon; for at that time and long after, complexity and unreliability were synonymous. Babbage, even with remarkably generous support for his time, could not produce his great arithmetical machine. His idea was sound enough, but construction and maintenance costs were then too heavy. Had a Pharaoh been given detailed and explicit designs of an automobile, and had he understood them completely, it would have taxed the resources of his kingdom to have fashioned the thousands of parts for a single car, and that car would have broken down on the first trip to Giza. Machines with interchangeable parts can now be constructed with great economy of effort. In spite of much complexity, they perform reliably. Witness the humble typewriter, or the movie camera, or the automobile. Electrical contacts have ceased to stick when thoroughly understood. Note the automatic telephone exchange, which has hundreds of thousands of such contacts, and yet is reliable. A spider web of metal, sealed in a thin glass container, a wire heated to brilliant glow, in short, the thermionic tube of radio sets, is made by the hundred million, tossed about in packages, plugged into sockets -- and it works! Its gossamer parts, the precise location and alignment involved in its construction, would have occupied a master craftsman of the guild for months; now it is built for thirty cents. The world has arrived at an age of cheap complex devices of great reliability; and something is bound to come of it. 2 A record if it is to be useful to science, must be continuously extended, it must be stored, and above all it must be consulted. Today we make the record conventionally by writing and photography, followed by printing; but we also record on film, on wax disks, and on magnetic wires. Even if utterly new recording procedures do not appear, these present ones are certainly in the process of modification and extension. Certainly progress in photography is not going to stop. Faster material and lenses, more automatic cameras, finer-grained sensitive compounds to allow an extension of the minicamera idea, are all imminent. Let us project this trend ahead to a logical, if not inevitable, outcome. The camera hound of the future wears on his forehead a lump a little larger than a walnut. It takes pictures 3 millimeters square, later to be projected or enlarged, which after all involves only a factor of 10 beyond present practice. The lens is of universal focus, down to any distance accommodated by the unaided eye, simply because it is of short focal length. There is a built-in photocell on the walnut such as we now have on at least one camera, which automatically adjusts exposure for a wide range of illumination. There is film in the walnut for a hundred exposures, and the spring for operating its shutter and shifting its film is wound once for all when the film clip is inserted. It produces its result in full color. It may well be stereoscopic, and record with two spaced glass eyes, for striking improvements in stereoscopic technique are just around the corner. The cord which trips its shutter may reach down a man's sleeve within easy reach of his fingers. A quick squeeze, and the picture is taken. On a pair of ordinary glasses is a square of fine lines near the top of one lens, where it is out of the way of ordinary vision. When an object appears in that square, it is lined up for its picture. As the scientist of the future moves about the laboratory or the field, every time he looks at something worthy of the record, he trips the shutter and in it goes, without even an audible click. Is this all fantastic? The only fantastic thing about it is the idea of making as many pictures as would result from its use. Will there be dry photography? It is already here in two forms. When Brady made his Civil War pictures, the plate had to be wet at the time of exposure. Now it has to be wet during development instead. In the future perhaps it need not be wetted at all. There have long been films impregnated with diazo dyes which form a picture without development, so that it is already there as soon as the camera has been operated. An exposure to ammonia gas destroys the unexposed dye, and the picture can then be taken out into the light and examined. The process is now slow, but someone may speed it up, and it has no grain difficulties such as now keep photographic researchers busy. Often it would be advantageous to be able to snap the camera and to look at the picture immediately. Another process now in use is also slow, and more or less clumsy. For fifty years impregnated papers have been used which turn dark at every point where an electrical contact touches them, by reason of the chemical change thus produced in an iodine compound included in the paper. They have been used to make records, for a pointer moving across them can leave a trail behind. If the electrical potential on the pointer is varied as it moves, the line becomes light or dark in accordance with the potential. This scheme is now used in facsimile transmission. The pointer draws a set of closely spaced lines across the paper one after another. As it moves, its potential is varied in accordance with a varying current received over wires from a distant station, where these variations are produced by a photocell which is similarly scanning a picture. At every instant the darkness of the line being drawn is made equal to the darkness of the point on the picture being observed by the photocell. Thus, when the whole picture has been covered, a replica appears at the receiving end. A scene itself can be just as well looked over line by line by the photocell in this way as can a photograph of the scene. This whole apparatus constitutes a camera, with the added feature, which can be dispensed with if desired, of making its picture at a distance. It is slow, and the picture is poor in detail. Still, it does give another process of dry photography, in which the picture is finished as soon as it is taken. It would be a brave man who would predict that such a process will always remain clumsy, slow, and faulty in detail. Television equipment today transmits sixteen reasonably good pictures a second, and it involves only two essential differences from the process described above. For one, the record is made by a moving beam of electrons rather than a moving pointer, for the reason that an electron beam can sweep across the picture very rapidly indeed. The other difference involves merely the use of a screen which glows momentarily when the electrons hit, rather than a chemically treated paper or film which is permanently altered. This speed is necessary in television, for motion pictures rather than stills are the object. Use chemically treated film in place of the glowing screen, allow the apparatus to transmit one picture only rather than a succession, and a rapid camera for dry photography results. The treated film needs to be far faster in action than present examples, but it probably could be. More serious is the objection that this scheme would involve putting the film inside a vacuum chamber, for electron beams behave normally only in such a rarefied environment. This difficulty could be avoided by allowing the electron beam to play on one side of a partition, and by pressing the film against the other side, if this partition were such as to allow the electrons to go through perpendicular to its surface, and to prevent them from spreading out sideways. Such partitions, in crude form, could certainly be constructed, and they will hardly hold up the general development. Like dry photography, microphotography still has a long way to go. The basic scheme of reducing the size of the record, and examining it by projection rather than directly, has possibilities too great to be ignored. The combination of optical projection and photographic reduction is already producing some results in microfilm for scholarly purposes, and the potentialities are highly suggestive. Today, with microfilm, reductions by a linear factor of 20 can be employed and still produce full clarity when the material is re-enlarged for examination. The limits are set by the graininess of the film, the excellence of the optical system, and the efficiency of the light sources employed. All of these are rapidly improving. Assume a linear ratio of 100 for future use. Consider film of the same thickness as paper, although thinner film will certainly be usable. Even under these conditions there would be a total factor of 10,000 between the bulk of the ordinary record on books, and its microfilm replica. The Encyclopoedia Britannica could be reduced to the volume of a matchbox. A library of a million volumes could be compressed into one end of a desk. If the human race has produced since the invention of movable type a total record, in the form of magazines, newspapers, books, tracts, advertising blurbs, correspondence, having a volume corresponding to a billion books, the whole affair, assembled and compressed, could be lugged off in a moving van. Mere compression, of course, is not enough; one needs not only to make and store a record but also be able to consult it, and this aspect of the matter comes later. Even the modern great library is not generally consulted; it is nibbled at by a few. Compression is important, however, when it comes to costs. The material for the microfilm Britannica would cost a nickel, and it could be mailed anywhere for a cent. What would it cost to print a million copies? To print a sheet of newspaper, in a large edition, costs a small fraction of a cent. The entire material of the Britannica in reduced microfilm form would go on a sheet eight and one-half by eleven inches. Once it is available, with the photographic reproduction methods of the future, duplicates in large quantities could probably be turned out for a cent apiece beyond the cost of materials. The preparation of the original copy? That introduces the next aspect of the subject. 3 To make the record, we now push a pencil or tap a typewriter. Then comes the process of digestion and correction, followed by an intricate process of typesetting, printing, and distribution. To consider the first stage of the procedure, will the author of the future cease writing by hand or typewriter and talk directly to the record? He does so indirectly, by talking to a stenographer or a wax cylinder; but the elements are all present if he wishes to have his talk directly produce a typed record. All he needs to do is to take advantage of existing mechanisms and to alter his language. At a recent World Fair a machine called a Voder was shown. A girl stroked its keys and it emitted recognizable speech. No human vocal chords entered into the procedure at any point; the keys simply combined some electrically produced vibrations and passed these on to a loud-speaker. In the Bell Laboratories there is the converse of this machine, called a Vocoder. The loudspeaker is replaced by a microphone, which picks up sound. Speak to it, and the corresponding keys move. This may be one element of the postulated system. The other element is found in the stenotype, that somewhat disconcerting device encountered usually at public meetings. A girl strokes its keys languidly and looks about the room and sometimes at the speaker with a disquieting gaze. From it emerges a typed strip which records in a phonetically simplified language a record of what the speaker is supposed to have said. Later this strip is retyped into ordinary language, for in its nascent form it is intelligible only to the initiated. Combine these two elements, let the Vocoder run the stenotype, and the result is a machine which types when talked to. Our present languages are not especially adapted to this sort of mechanization, it is true. It is strange that the inventors of universal languages have not seized upon the idea of producing one which better fitted the technique for transmitting and recording speech. Mechanization may yet force the issue, especially in the scientific field; whereupon scientific jargon would become still less intelligible to the layman. One can now picture a future investigator in his laboratory. His hands are free, and he is not anchored. As he moves about and observes, he photographs and comments. Time is automatically recorded to tie the two records together. If he goes into the field, he may be connected by radio to his recorder. As he ponders over his notes in the evening, he again talks his comments into the record. His typed record, as well as his photographs, may both be in miniature, so that he projects them for examination. Much needs to occur, however, between the collection of data and observations, the extraction of parallel material from the existing record, and the final insertion of new material into the general body of the common record. For mature thought there is no mechanical substitute. But creative thought and essentially repetitive thought are very different things. For the latter there are, and may be, powerful mechanical aids. Adding a column of figures is a repetitive thought process, and it was long ago properly relegated to the machine. True, the machine is sometimes controlled by a keyboard, and thought of a sort enters in reading the figures and poking the corresponding keys, but even this is avoidable. Machines have been made which will read typed figures by photocells and then depress the corresponding keys; these are combinations of photocells for scanning the type, electric circuits for sorting the consequent variations, and relay circuits for interpreting the result into the action of solenoids to pull the keys down. All this complication is needed because of the clumsy way in which we have learned to write figures. If we recorded them positionally, simply by the configuration of a set of dots on a card, the automatic reading mechanism would become comparatively simple. In fact if the dots are holes, we have the punched-card machine long ago produced by Hollorith for the purposes of the census, and now used throughout business. Some types of complex businesses could hardly operate without these machines. Adding is only one operation. To perform arithmetical computation involves also subtraction, multiplication, and division, and in addition some method for temporary storage of results, removal from storage for further manipulation, and recording of final results by printing. Machines for these purposes are now of two types: keyboard machines for accounting and the like, manually controlled for the insertion of data, and usually automatically controlled as far as the sequence of operations is concerned; and punched-card machines in which separate operations are usually delegated to a series of machines, and the cards then transferred bodily from one to another. Both forms are very useful; but as far as complex computations are concerned, both are still in embryo. Rapid electrical counting appeared soon after the physicists found it desirable to count cosmic rays. For their own purposes the physicists promptly constructed thermionic-tube equipment capable of counting electrical impulses at the rate of 100,000 a second. The advanced arithmetical machines of the future will be electrical in nature, and they will perform at 100 times present speeds, or more. Moreover, they will be far more versatile than present commercial machines, so that they may readily be adapted for a wide variety of operations. They will be controlled by a control card or film, they will select their own data and manipulate it in accordance with the instructions thus inserted, they will perform complex arithmetical computations at exceedingly high speeds, and they will record results in such form as to be readily available for distribution or for later further manipulation. Such machines will have enormous appetites. One of them will take instructions and data from a whole roomful of girls armed with simple key board punches, and will deliver sheets of computed results every few minutes. There will always be plenty of things to compute in the detailed affairs of millions of people doing complicated things. 4 The repetitive processes of thought are not confined however, to matters of arithmetic and statistics. In fact, every time one combines and records facts in accordance with established logical processes, the creative aspect of thinking is concerned only with the selection of the data and the process to be employed and the manipulation thereafter is repetitive in nature and hence a fit matter to be relegated to the machine. Not so much has been done along these lines,beyond the bounds of arithmetic, as might be done, primarily because of the economics of the situation. The needs of business and the extensive market obviously waiting, assured the advent of mass-produced arithmetical machines just as soon as production methods were sufficiently advanced. With machines for advanced analysis no such situation existed; for there was and is no extensive market; the users of advanced methods of manipulating data are a very small part of the population. There are, however, machines for solving differential equations -- and functional and integral equations, for that matter. There are many special machines, such as the harmonic synthesizer which predicts the tides. There will be many more, appearing certainly first in the hands of the scientist and in small numbers. If scientific reasoning were limited to the logical processes of arithmetic, we should not get far in our understanding of the physical world. One might as well attempt to grasp the game of poker entirely by the use of the mathematics of probability. The abacus, with its beads strung on parallel wires, led the Arabs to positional numeration and the concept of zero many centuries before the rest of the world; and it was a useful tool -- so useful that it still exists. It is a far cry from the abacus to the modern keyboard accounting machine. It will be an equal step to the arithmetical machine of the future. But even this new machine will not take the scientist where he needs to go. Relief must be secured from laborious detailed manipulation of higher mathematics as well, if the users of it are to free their brains for something more than repetitive detailed transformations in accordance with established rules. A mathematician is not a man who can readily manipulate figures; often he cannot. He is not even a man who can readily perform the transformations of equations by the use of calculus. He is primarily an individual who is skilled in the use of symbolic logic on a high plane, and especially he is a man of intuitive judgment in the choice of the manipulative processes he employs. All else he should be able to turn over to his mechanism, just as confidently as he turns over the propelling of his car to the intricate mechanism under the hood. Only then will mathematics be practically effective in bringing the growing knowledge of atomistics to the useful solution of the advanced problems of chemistry, metallurgy, and biology. For this reason there still come more machines to handle advanced mathematics for the scientist. Some of them will be sufficiently bizarre to suit the most fastidious connoisseur of the present artifacts of civilization. 5 The scientist, however, is not the only person who manipulates data and examines the world about him by the use of logical processes, although he sometimes preserves this appearance by adopting into the fold anyone who becomes logical, much in the manner in which a British labor leader is elevated to knighthood. Whenever logical processes of thought are employed -- that is, whenever thought for a time runs along an accepted groove -- there is an opportunity for the machine. Formal logic used to be a keen instrument in the hands of the teacher in his trying of students' souls. It is readily possible to construct a machine which will manipulate premises in accordance with formal logic, simply by the clever use of relay circuits. Put a set of premises into such a device and turn the crank, and it will readily pass out conclusion after conclusion, all in accordance with logical law, and with no more slips than would be expected of a keyboard adding machine. Logic can become enormously difficult, and it would undoubtedly be well to produce more assurance in its use. The machines for higher analysis have usually been equation solvers. Ideas are beginning to appear for equation transformers, which will rearrange the relationship expressed by an equation in accordance with strict and rather advanced logic. Progress is inhibited by the exceedingly crude way in which mathematicians express their relationships. They employ a symbolism which grew like Topsy and has little consistency; a strange fact in that most logical field. A new symbolism, probably positional, must apparently precede the reduction of mathematical transformations to machine processes. Then, on beyond the strict logic of the mathematician, lies the application of logic in everyday affairs. We may some day click off arguments on a machine with the same assurance that we now enter sales on a cash register. But the machine of logic will not look like a cash register, even of the streamlined model. So much for the manipulation of ideas and their insertion into the record. Thus far we seem to be worse off than before -- for we can enormously extend the record; yet even in its present bulk we can hardly consult it. This is a much larger matter than merely the extraction of data for the purposes of scientific research; it involves the entire process by which man profits by his inheritance of acquired knowledge. The prime action of use is selection, and here we are halting indeed. There may be millions of fine thoughts, and the account of the experience on which they are based, all encased within stone walls of acceptable architectural form; but if the scholar can get at only one a week by diligent search, his syntheses are not likely to keep up with the current scene. Selection, in this broad sense, is a stone adze in the hands of a cabinetmaker. Yet, in a narrow sense and in other areas, something has already been done mechanically on selection. The personnel officer of a factory drops a stack of a few thousand employee cards into a selecting machine, sets a code in accordance with an established convention, and produces in a short time a list of all employees who live in Trenton and know Spanish. Even such devices are much too slow when it comes, for example, to matching a set of fingerprints with one of five million on file. Selection devices of this sort will soon be speeded up from their present rate of reviewing data at a few hundred a minute. By the use of photocells and microfilm they will survey items at the rate of a thousand a second, and will print out duplicates of those selected. This process, however, is simple selection: it proceeds by examining in turn every one of a large set of items, and by picking out those which have certain specified characteristics. There is another form of selection best illustrated by the automatic telephone exchange. You dial a number and the machine selects and connects just one of a million possible stations. It does not run over them all. It pays attention only to a class given by a first digit, then only to a subclass of this given by the second digit, and so on; and thus proceeds rapidly and almost unerringly to the selected station. It requires a few seconds to make the selection, although the process could be speeded up if increased speed were economically warranted. If necessary, it could be made extremely fast by substituting thermionic-tube switching for mechanical switching, so that the full selection could be made in one one-hundredth of a second. No one would wish to spend the money necessary to make this change in the telephone system, but the general idea is applicable elsewhere. Take the prosaic problem of the great department store. Every time a charge sale is made, there are a number of things to be done. The inventory needs to be revised, the salesman needs to be given credit for the sale, the general accounts need an entry, and, most important, the customer needs to be charged. A central records device has been developed in which much of this work is done conveniently. The salesman places on a stand the customer's identification card, his own card, and the card taken from the article sold -- all punched cards. When he pulls a lever, contacts are made through the holes, machinery at a central point makes the necessary computations and entries, and the proper receipt is printed for the salesman to pass to the customer. But there may be ten thousand charge customers doing business with the store, and before the full operation can be completed someone has to select the right card and insert it at the central office. Now rapid selection can slide just the proper card into position in an instant or two, and return it afterward. Another difficulty occurs, however. Someone must read a total on the card, so that the machine can add its computed item to it. Conceivably the cards might be of the dry photography type I have described. Existing totals could then be read by photocell, and the new total entered by an electron beam. The cards may be in miniature, so that they occupy little space. They must move quickly. They need not be transferred far, but merely into position so that the photocell and recorder can operate on them. Positional dots can enter the data. At the end of the month a machine can readily be made to read these and to print an ordinary bill. With tube selection, in which no mechanical parts are involved in the switches, little time need be occupied in bringing the correct card into use -- a second should suffice for the entire operation. The whole record on the card may be made by magnetic dots on a steel sheet if desired, instead of dots to be observed optically, following the scheme by which Poulsen long ago put speech on a magnetic wire. This method has the advantage of simplicity and ease of erasure. By using photography, however one can arrange to project the record in enlarged form and at a distance by using the process common in television equipment. One can consider rapid selection of this form, and distant projection for other purposes. To be able to key one sheet of a million before an operator in a second or two, with the possibility of then adding notes thereto, is suggestive in many ways. It might even be of use in libraries, but that is another story. At any rate, there are now some interesting combinations possible. One might, for example, speak to a microphone, in the manner described in connection with the speech controlled typewriter, and thus make his selections. It would certainly beat the usual file clerk. 6 The real heart of the matter of selection, however, goes deeper than a lag in the adoption of mechanisms by libraries, or a lack of development of devices for their use. Our ineptitude in getting at the record is largely caused by the artificiality of systems of indexing. When data of any sort are placed in storage, they are filed alphabetically or numerically, and information is found (when it is) by tracing it down from subclass to subclass. It can be in only one place, unless duplicates are used; one has to have rules as to which path will locate it, and the rules are cumbersome. Having found one item, moreover, one has to emerge from the system and re-enter on a new path. The human mind does not work that way. It operates by association. With one item in its grasp, it snaps instantly to the next that is suggested by the association of thoughts, in accordance with some intricate web of trails carried by the cells of the brain. It has other characteristics, of course; trails that are not frequently followed are prone to fade, items are not fully permanent, memory is transitory. Yet the speed of action, the intricacy of trails, the detail of mental pictures, is awe-inspiring beyond all else in nature. Man cannot hope fully to duplicate this mental process artificially, but he certainly ought to be able to learn from it. In minor ways he may even improve, for his records have relative permanency. The first idea, however, to be drawn from the analogy concerns selection. Selection by association, rather than indexing, may yet be mechanized. One cannot hope thus to equal the speed and flexibility with which the mind follows an associative trail, but it should be possible to beat the mind decisively in regard to the permanence and clarity of the items resurrected from storage. Consider a future device for individual use, which is a sort of mechanized private file and library. It needs a name, and, to coin one at random, "memex" will do. A memex is a device in which an individual stores all his books, records, and communications, and which is mechanized so that it may be consulted with exceeding speed and flexibility. It is an enlarged intimate supplement to his memory. It consists of a desk, and while it can presumably be operated from a distance, it is primarily the piece of furniture at which he works. On the top are slanting translucent screens, on which material can be projected for convenient reading. There is a keyboard, and sets of buttons and levers. Otherwise it looks like an ordinary desk. In one end is the stored material. The matter of bulk is well taken care of by improved microfilm. Only a small part of the interior of the memex is devoted to storage, the rest to mechanism. Yet if the user inserted 5000 pages of material a day it would take him hundreds of years to fill the repository, so he can be profligate and enter material freely. Most of the memex contents are purchased on microfilm ready for insertion. Books of all sorts, pictures, current periodicals, newspapers, are thus obtained and dropped into place. Business correspondence takes the same path. And there is provision for direct entry. On the top of the memex is a transparent platen. On this are placed longhand notes, photographs, memoranda, all sorts of things. When one is in place, the depression of a lever causes it to be photographed onto the next blank space in a section of the memex film, dry photography being employed. There is, of course, provision for consultation of the record by the usual scheme of indexing. If the user wishes to consult a certain book, he taps its code on the keyboard, and the title page of the book promptly appears before him, projected onto one of his viewing positions. Frequently-used codes are mnemonic, so that he seldom consults his code book; but when he does, a single tap of a key projects it for his use. Moreover, he has supplemental levers. On deflecting one of these levers to the right he runs through the book before him, each page in turn being projected at a speed which just allows a recognizing glance at each. If he deflects it further to the right, he steps through the book 10 pages at a time; still further at 100 pages at a time. Deflection to the left gives him the same control backwards. A special button transfers him immediately to the first page of the index. Any given book of his library can thus be called up and consulted with far greater facility than if it were taken from a shelf. As he has several projection positions, he can leave one item in position while he calls up another. He can add marginal notes and comments, taking advantage of one possible type of dry photography, and it could even be arranged so that he can do this by a stylus scheme, such as is now employed in the telautograph seen in railroad waiting rooms, just as though he had the physical page before him. 7 All this is conventional, except for the projection forward of present-day mechanisms and gadgetry. It affords an immediate step, however, to associative indexing, the basic idea of which is a provision whereby any item may be caused at will to select immediately and automatically another. This is the essential feature of the memex. The process of tying two items together is the important thing. When the user is building a trail, he names it, inserts the name in his code book, and taps it out on his keyboard. Before him are the two items to be joined, projected onto adjacent viewing positions. At the bottom of each there are a number of blank code spaces, and a pointer is set to indicate one of these on each item. The user taps a single key, and the items are permanently joined. In each code space appears the code word. Out of view, but also in the code space, is inserted a set of dots for photocell viewing; and on each item these dots by their positions designate the index number of the other item. Thereafter, at any time, when one of these items is in view, the other can be instantly recalled merely by tapping a button below the corresponding code space. Moreover, when numerous items have been thus joined together to form a trail, they can be reviewed in turn, rapidly or slowly, by deflecting a lever like that used for turning the pages of a book. It is exactly as though the physical items had been gathered together from widely separated sources and bound together to form a new book. It is more than this, for any item can be joined into numerous trails. The owner of the memex, let us say, is interested in the origin and properties of the bow and arrow. Specifically he is studying why the short Turkish bow was apparently superior to the English long bow in the skirmishes of the Crusades. He has dozens of possibly pertinent books and articles in his memex. First he runs through an encyclopedia, finds an interesting but sketchy article, leaves it projected. Next, in a history, he finds another pertinent item, and ties the two together. Thus he goes, building a trail of many items. Occasionally he inserts a comment of his own, either linking it into the main trail or joining it by a side trail to a particular item. When it becomes evident that the elastic properties of available materials had a great deal to do with the bow, he branches off on a side trail which takes him through textbooks on elasticity and tables of physical constants. He inserts a page of longhand analysis of his own. Thus he builds a trail of his interest through the maze of materials available to him. And his trails do not fade. Several years later, his talk with a friend turns to the queer ways in which a people resist innovations, even of vital interest. He has an example, in the fact that the outraged Europeans still failed to adopt the Turkish bow. In fact he has a trail on it. A touch brings up the code book. Tapping a few keys projects the head of the trail. A lever runs through it at will, stopping at interesting items, going off on side excursions. It is an interesting trail, pertinent to the discussion. So he sets a reproducer in action, photographs the whole trail out, and passes it to his friend for insertion in his own memex, there to be linked into the more general trail. 8 Wholly new forms of encyclopedias will appear, ready made with a mesh of associative trails running through them, ready to be dropped into the memex and there amplified. The lawyer has at his touch the associated opinions and decisions of his whole experience, and of the experience of friends and authorities. The patent attorney has on call the millions of issued patents, with familiar trails to every point of his client's interest. The physician, puzzled by a patient's reactions, strikes the trail established in studying an earlier similar case, and runs rapidly through analogous case histories, with side references to the classics for the pertinent anatomy and histology. The chemist, struggling with the synthesis of an organic compound, has all the chemical literature before him in his laboratory, with trails following the analogies of compounds, and side trails to their physical and chemical behavior. The historian, with a vast chronological account of a people, parallels it with a skip trail which stops only on the salient items, and can follow at any time contemporary trails which lead him all over civilization at a particular epoch. There is a new profession of trail blazers, those who find delight in the task of establishing useful trails through the enormous mass of the common record. The inheritance from the master becomes, not only his additions to the world's record, but for his disciples the entire scaffolding by which they were erected. Thus science may implement the ways in which man produces, stores, and consults the record of the race. It might be striking to outline the instrumentalities of the future more spectacularly, rather than to stick closely to methods and elements now known and undergoing rapid development, as has been done here. Technical difficulties of all sorts have been ignored, certainly, but also ignored are means as yet unknown which may come any day to accelerate technical progress as violently as did the advent of the thermionic tube. In order that the picture may not be too commonplace, by reason of sticking to present-day patterns, it may be well to mention one such possibility, not to prophesy but merely to suggest, for prophecy based on extension of the known has substance, while prophecy founded on the unknown is only a doubly involved guess. All our steps in creating or absorbing material of the record proceed through one of the senses -- the tactile when we touch keys, the oral when we speak or listen, the visual when we read. Is it not possible that some day the path may be established more directly? We know that when the eye sees, all the consequent information is transmitted to the brain by means of electrical vibrations in the channel of the optic nerve. This is an exact analogy with the electrical vibrations which occur in the cable of a television set: they convey the picture from the photocells which see it to the radio transmitter from which it is broadcast. We know further that if we can approach that cable with the proper instruments, we do not need to touch it; we can pick up those vibrations by electrical induction and thus discover and reproduce the scene which is being transmitted, just as a telephone wire may be tapped for its message. The impulses which flow in the arm nerves of a typist convey to her fingers the translated information which reaches her eye or ear, in order that the fingers may be caused to strike the proper keys. Might not these currents be intercepted, either in the original form in which information is conveyed to the brain, or in the marvelously metamorphosed form in which they then proceed to the hand? By bone conduction we already introduce sounds: into the nerve channels of the deaf in order that they may hear. Is it not possible that we may learn to introduce them without the present cumbersomeness of first transforming electrical vibrations to mechanical ones, which the human mechanism promptly transforms back to the electrical form? With a couple of electrodes on the skull the encephalograph now produces pen-and-ink traces which bear some relation to the electrical phenomena going on in the brain itself. True, the record is unintelligible, except as it points out certain gross misfunctioning of the cerebral mechanism; but who would now place bounds on where such a thing may lead? In the outside world, all forms of intelligence whether of sound or sight, have been reduced to the form of varying currents in an electric circuit in order that they may be transmitted. Inside the human frame exactly the same sort of process occurs. Must we always transform to mechanical movements in order to proceed from one electrical phenomenon to another? It is a suggestive thought, but it hardly warrants prediction without losing touch with reality and immediateness. Presumably man's spirit should be elevated if he can better review his shady past and analyze more completely and objectively his present problems. He has built a civilization so complex that he needs to mechanize his records more fully if he is to push his experiment to its logical conclusion and not merely become bogged down part way there by overtaxing his limited memory. His excursions may be more enjoyable if he can reacquire the privilege of forgetting the manifold things he does not need to have immediately at hand, with some assurance that he can find them again if they prove important. The applications of science have built man a well-supplied house, and are teaching him to live healthily therein. They have enabled him to throw masses of people against one another with cruel weapons. They may yet allow him truly to encompass the great record and to grow in the wisdom of race experience. He may perish in conflict before he learns to wield that record for his true good. Yet, in the application of science to the needs and desires of man, it would seem to be a singularly unfortunate stage at which to terminate the process, or to lose hope as to the outcome. -------------------------------------------------------------------------------- Copyright © 1945 by Vannevar Bush. All rights reserved. The Atlantic Monthly; July, 1945; As We May Think; Volume 176, No. 1; pages 101-108. Advertisement: Travel Guides Guide to Hotels Complete Hotels INFORMATION MARKETPLACE Michael L. Dertouzos Professor and Director Laboratory for Computer Science Massachusetts Institute of Technology Cambridge, Massachusetts (as published in ELECTRONIC MAIL AND MESSAGE SYSTEMS Technical and Policy Perspectives1981, copyright 1980, Michael L. Dertouzos) Introduction By Information Marketplace I mean the collection of people, computers, communications, software and services that will be engaged in the intra-organizational and inter-personal informational transactions of the future. These transactions will involve the processing and communication of information under the same economic motives that drive today's traditional marketplace for material goods and services. The Information Marketplace already exists in embryonic form. I expect it to grow at a rapid rate and to affect us as importantly as have the products and processes of the industrial revolution To sharpen up these abstractions, let us try to imagine the makeup of the Information Marketplace from a point of view that is 20 years ahead: Large organizations of the year 2000 have been using computers and communications since the late 1980's to communicate business data, electronic memos and still images among their own plants. Automated inter-organizational transactions have grown substantially in the early 1990's, and the toy personal computers of the early 1980's have become useful and powerful machines owned by small businesses and by many individuals. Office automation has come of age and has led to increased productivity, and to reductions in the use of paper and travel for certain routine activities. A wealth of private and public networks interconnect all of the machines which number in the ten millions. Entrepreneurs and a new breed of information companies offer a variety of legal, financial, medical, recreational, educational and governmental information services for a fee. Many traditional ways of doing business have changed: For example, advertising is done in reverse, by a service that responds to consumer inquiries with products and services that match. An informational labor force supplies, and many people and organizations consume, all of these services from remote rural, or inner city locations. This paper summarizes the reasons that will lead us to the Information Marketplace, the underlying technology that makes it possible, some of the future services that the Information Marketplace will support, and certain legal and socio-economic consequences that are likely to follow. Electronic mail and message systems will play a central role in their own right, and perhaps a major supporting role, in a host of other services that can be envisioned. The approach taken in this paper, while based on a recent book and on current trends, is ultimately the product of the author's imagination and personal bias. The Driving Force The main force driving us toward the Information Marketplace is the ongoing relentless improvement of some 30% per year in performance/cost and size/cost of primary solid-state memories and processor components. This improvement which has been going on for some twelve years is expected to continue well into 1980's and early 1990's. By the end of this century a 256-fold improvement is likely relative to today, leading to a cost of perhaps $50 (1980 dollars) for storing one million characters in a computer memory. This means, for example, that a personal information base equivalent to 100 books may be stored for the price of an automobile. The far more ambitious undertaking of storing the world's written knowledge would still be very expensive but not prohibitive at about one half billion dollars per LOC. These expected hardware improvements are so huge that were they to happen in the field of personal transportation, they would promise by analogy a future price of $10 for today's cars or a future fuel efficiency of 5,000 miles/gallon at today's car prices. The incredible socio-economic impact of such an absurd transportation revolution is, by the same analogy, indicative of the socio-economic consequences of the Information Marketplace. The second important technological force behind the Information Marketplace is the ongoing evolution of communications technology: Satellite communication makes possible the transmission of data between any two points on earth at affordable and progressively decreasing real costs. Local-network technology makes possible the communication of information among a few tens or hundreds of interconnected machines the same building. Glass fibers promise substantial increases in speed and decreases in the cost of land-line communications. Mixed-media packet network techniques have already evolved to a level that makes possible the transmission of voice, computer data and images in digital form, hence with increased noise immunity and with the ability to easily mix and process such data by machine. The above two major trends in computer hardware and communications have already caused a marked growth in the creation of new companies and a substantial change in the strategies adopted by existing organizations. The picture, however, is not all that rosy! Unlike the hardware with its spectacular and predictable trends, the software needed to make the hardware useful continues to be very expensive. Two reasons can be identified for this imbalance between hardware and software cost trends. The first is generic to the computer field where there are no "natural laws" and few formal ways to design effectively new programs. This weakness is evident in teaching programming--there is little that a master programmer can explicitly teach to an aspiring youth. Apprenticeship, talent and other intangibles seem to distinguish a programming athlete from a plodding programmer, with staggering productivity differences of 10 to 1 or more. The second reason for the high cost of software stems from the historic desire of individual users to tailor programs to their varying needs rather than to conform their needs to a standard product. Improvement in this area is already visible with the advent of standard application programs for the small user who can now afford the hardware but not the older tailor-fitting software. Software costs, however, are likely to continue to be high and will undoubtedly be the main tempering factor in the growth of the Information Marketplace. Geographically Distributed Systems Historically, the computer has been a centralized resource. Because of its very high cost in the early days of its development, the computer was shared either through different programs on a batch basis (waiting for your turn to put in your cards and get your answers), or on a time-shared basis (spreading computer power in round robin fashion to several people so fast that each thinks he has the computer to himself). Both of these approaches which form over 90% of today's computer systems involve a centralized hardware and software structure which "knows" all that it must about different users, different programs, and different data stores. Such a centralized structure, because of inherent complexity limitations has an upper bound on the number of people that it can simultaneously serve. Today, this bound is somewhere in the vicinity of 50 to 100 users. This limitation is comparable to a human being's inability to cope simultaneously with more than a few tasks. With the continuously decreasing hardware costs and communications advances discussed in the preceding Section, it is now possible to interconnect many different machines so that in effect data is sent from one centralized installation to the other over a satellite or local network. This trend toward decentralization can extend quite rapidly to the extreme where each computer serves one user and all such computers are interconnected. The Xerox Palo Alto Research Center has demonstrated this principle with some 700 interconnected single-user computers. The Information Marketplace that we envision will be a mixture of predominantly single-user, as well as multiple-user computers, all interconnected through a variety of paths, as in today's world-wide telephone network. The reasons leading to such interconnections are economic. First, large corporations with distributed plants and offices will seek such interconnections among their own locations in order to make their business more efficient-this we discuss further in the section below on Office Automation. Later, perhaps in the early 1990's, different businesses will seek connections with each other to improve the effectiveness of automatically handling communications and transactions on an inter-organizational basis. Somewhere in this time frame, individuals may seek interconnections to certain data banks and to each other for a variety of reasons discussed in the section on Home Computers. However, while the future evolution of inter- and intra-company interconnections appears fairly certain today, the interpersonal development is not as clear at this time. Indeed it may exhibit an avalanche effect, as was the case in CB radio--if enough people and organizations are interconnected then the resultant Information Marketplace will be more useful, leading to more people seeking interconnection. In conclusion, the technological infrastructure of the Information Marketplace lies in these geographically distributed and decentralized systems which are needed simply because people, hence the collection, processing, and use of information, are geographically distributed in the first place. Intelligent Programs and Service Automation Intelligent Programs are expected to play an important role in the Information Marketplace. Today's research programs that are characterized as "intelligent" exhibit expertise in such diverse fields as clinical decision making, mathematics and circuit design. Take for example a recent program developed at the MIT Laboratory for Computer Science that tries to behave like an expert physician in the administration of the drug Digitalis. Given the patient's history and symptoms, this program recommends appropriate dosage amounts. The program contains within it a good deal of knowledge about Digitalis, much like a book on that subject. Unlike a book, however, the program can respond to a non-specialist physicians questions. Matching human queries to machine explanations is one of several features that distinguish such intelligent programs from specialist texts. Features such as the above, along with other capabilities and on-going improvements suggest the future use of intelligent programs for the automation of services. Indeed it is not far fetched to extend the behavior of early research experiments to recreational, financial, governmental and business service applications. The automation of certain services by computer further suggests as a major potential advantage the tailoring of services to individual needs. Even if the development of intelligent services is slow, we will still see a progressively greater automation of services, albeit with more traditional schemes. We have several examples today of companies that provide library or legal services by searching a data bank to find cases that match a pattern specified by their clients. Such a recently established company grew from zero to some sixty million dollars in sales over a three-year period, suggesting an existing pent up demand for the automation of informational services. Office Automation The automation of certain office functions is likely to be the first major and rapidly growing application of the Information Marketplace. The reason lies in the coincidence of strong supply and demand forces for a new office technology. On the demand side, office workers continue to be under-capitalized and to rely on minor improvements in capital equipment. At the same time, they are confronted with increasingly complex information management requirements and rising productivity expectations. On the supply side, the technical trends discussed in the preceding sections form a cost effective technological foundation for growth of a new office technology. This technology is likely to lead (in order of increasing difficulty) from (1) word processing and text formatting; to (2) low-cost transmission of mail and messages (data, voice and still images); (3) automated intra-company office procedures; (4) automated inter-company business transactions; and (5) sophisticated filing and retrieval of information. The first two of the above developments are self explanatory. lntra-companyoffice automation includes electronic mail within the organization, calendar management, forms management, the automatic processing of messages and the formalization of certain office procedures. Inter company office automation is organizationally and technically more difficult than its intra-company equivalent because it involves interaction among a number of different and autonomous organizations: The organizational problems involve such issues as the need for common inter-company communication conventions and business transaction standards. The technical problems are associated with the interconnection of thousands, and later perhaps hundreds of thousands if not millions, of cooperating computer ports such as terminals, small personal computers, and larger communal machines. Moreover these aggregates must have at minimum the functionality of today's centralized systems even though they will be necessarily decentralized. Accordingly, we do not yet know how technically difficult or easy will be their effective inter-connection. To get a better idea of the applications that are possible in an office environment, consider as an example some of the ad hoc and casually developed programs that I use for my own office transactions: 1. A calendar program that keeps track of my time commitments, prints a daily card of appointments and a daily lookahead calendar for the next ten weeks. A history file where calendar appointments end up automatically after they have happened. I have used this history file often along with a retrieval system to cost account for my time. For example, I can rapidly assess how much time was spent during the year for any recurring task. 2. A people file that lists addresses, phone numbers and other data of some 2,000 people that are my business contacts. This file is updated and printed as my personal directory every quarter. It is accessed on-line several times a day for making phone calls. This file can also be searched for patterns, e.g. for all people I know in city X or company Y. 3. A mail and message system through which I can send, receive, copy, annotate, and file messages to people within my organization and outside (via the ARPANET). 4. A travel program that tells me what to pack for an n-day trip and keeps track of itinerary and related information. 5. A to do list that keeps track of the things I must do, as well as of the tasks that I have delegated to others (with deadlines and interim comments). A recent elaboration of this program permits me to manage tasks with an "accounting" approach. That is, I enter new work in a journal and then "post" entries to individual "accounts", i.e. to the people to whom work is delegated, with appropriate comments. These people in turn receive such assignments on their terminals by electronic mail. At any time I can request a "balance sheet" which lists my "work assets" and "liabilities", i.e. work owed me, as well as work owed by me to others -- together with related comments and deadlines. 6. Means for accessing communal data bases such as the organizational calendar of events, the organizational directory, budget, and expenditures. 7. A text-editor (rarely used by me in the office, but frequently used from my home). I have been using most of the above programs and files for several years and find them indispensable to the running of my own office. We turn next to the prospects for more sophisticated filing and retrieval of information. In spite of much recent fanfare surrounding data bases and data base languages, the problems of filing and retrieving information effectively continue to be substantial. One common problem is the aging of data and the progressive inconsistencies that plague current data bases. A far more serious problem, however, is the limitation of today's data bases to answering only fixed-format keyword-based queries that were anticipated by the data base designers. The far more useful prospect of organizing incoming data in such a way that it can be retrieved when a relevant, but unknown-at-filing- time query arrives is still largely unsolved -- for example, asking for footwear manufactures and getting a list not only of those manufacturers that have the word footwear in their product description, but also shoe, stocking, sock, nylons etc. The prospects for more sophisticated filing and retrieval systems are not clear at this time. The problem is technically difficult because it necessitates automated "understanding" of the query -- something that is currently in the forefront of current research. Such sophisticated filing, however, is needed and will certainly revolutionize office technology if and when it arrives. Home Computers We can buy today toy computers, generally without intercommunication capabilities that are somewhat beyond the level of a desk calculator and typically offer entertaining games and a few simple applications. It is likely that these machines are the awkward predecessors of tomorrow's widely used home computers. Such home computers are expected to provide educational, recreational, medical, financial and other services primarily through their interconnection with the Information Marketplace, and secondarily through packaged locally contained programs. These machines are also expected to maintain a wealth of personal information, make possible electronic mail, and link the office to the home. In my case, I find the home computer (which is connected to my office) most helpful for checking my office calendar; sending a last minute memo to someone or to my secretary on Sunday evening, when I know that I will be on travel during the week; reaching other people on the system with quick message exchanges; and using it exactly as I use it in the office when I work at home. In addition, both the children and I enjoy playing games, most of which are addictive and some of which are quite educational. One such deceptively entertaining yet cryptically educational word game involves several players in remote locations who are confronted through their terminals with 10 randomly chosen English letters. The goal is to make, within 3 minutes, the largest number of longest possible valid English words, using part or all of the given letters. As a player composes a successful word, that word appears simultaneously (under his name) on all the player's screens and belongs to him -- that is, no one else can make and get credit for that word. If a player tries to form a nonsense word, the computer rejects it on the basis of a 40,000 word built-in dictionary. While this game is wildly competitive and is accompanied by fast keystrokes and nerves on edge, it has a beneficial educational side effect. Specifically, players will experiment by trying to make what they think are valid words using known words and a trial and error approach. If such a proposed "word" is accepted by the computer, then the player automatically learns that this is indeed a legitimate English word that may be used to win future games. Another program gives the meaning of any requested word, thereby closing the learning cycle -- otherwise, a player may learn and remember new English words without knowing their meaning. I have personally observed my daughter increase her vocabulary substantially and painlessly by playing this game since age 11. Some Socio-Economic Consequences First, human displacement by automated services is likely, yet at a slow rate and over a period of several generations. To start with, there are some human tasks for which machines are better suited, such as highly repetitive jobs that are certainly not contributing to our humanization -- these are likely to be gradually taken over by machines. Regardless, however, of the types of jobs that will be replaced by machines, we should feel no more and no less threatened by such events than by the earlier displacement of people from certain jobs as a consequence of the Industrial Revolution. If such a transition is slow; if it replaces lower-level functions and if it spans several human generations, as seems to be the case here, then at least a segment of the human labor force is redistributed over more challenging and less mundane activities. Offsetting this negative effect on employment are the increased opportunities for employing the handicapped, the rural population and people that are confined at home because of children or other reasons. This potentially productive force can be utilized through the Information Marketplace --terminals or singleuser computers at remote sites can offer informational employment opportunities such as managing accounts, editing text, processing forms, writing manuals and reports, even participating in joint informational activities with workers at other remote sites. In effect, the Information Marketplace can be used as a vehicle that distributes geographically the demand for and supply of informational work. A second consequence concerns the prospect of our eventual dehumanization by excessive use of machines. We often hear about such a potential dehumanization, without stopping to consider that we have been already considerably dehumanized through the Industrial Revolution. Gone are the artisans and craftsmen of the pre-industrial era with their tailor-fitting hand-signed products and services. The low-cost, mass-produced goods and services of today have reduced us to affordable uniformity and impersonal numerical identities. To my thinking, the much feared computerization of our society may indeed, if not reverse, at least balance some of these de-humanizing trends-in particular, the Information Marketplace, may make possible through service- and office-automation the tailoring of services at affordable cost to the most variable of demand centers, ourselves! Emergence of this mass individualized service industry may turn out be one of the most important consequences of the Information Revolution. A third consequence of the Information Marketplace may involve some mental atrophy as, and if, intelligent programs become more capable and effective. Such atrophy has already started in arithmetic with the advent of the inexpensive calculator. This is clearly an area which we should watch with caution and try to anticipate by monitoring our educational system. Another socio-economic consequence involves the possibility of undue trust placed on machines by people who are either unaware of a machine's capabilities or who purposefully wish to influence the opinions of others. While such cases will undoubtedly arise, it is my belief that they will not be frequent, since people will seek to comprehend and question the results of computing machines as they have done for other complex systems in the past. Beyond the above consequences that cast a negative shadow, we can look forward to some more positive consequences such as (1) increased productivity through the benefits of automation; (2) reduced energy dependence through selective replacement of energy consuming travel by relatively inexpensive data communications; (3) information filtering, i.e. selection by machine of information important to us and the screening away of the informational junk that bombards us at an increasing rate; and (4) improving our way of life through increased convenience, and through the availability of useful services. Some Legal Consequences One of the first such issues that comes to mind concerns the placement of responsibility and liability for programs that have been written by many programmers over a long time and which may be incomprehensible by a single person. I cannot conceive of a physician who will install and use a program on digitalis therapy without comprehending how that program works and without identifying a human organization that is accountable for the programâs actions. This situation is no different than the issue of liability in the context of other complex systems such as a jumbo aircraft where many human designers are involved and where it is equally difficult to argue that any one person understands the entire system in detail. In short, the traditional issues of liability that focus on a responsible individual should apply without change in the Information Marketplace. The most important concern that I have about the legal consequences of computers involves the prospects of reduced privacy and related computer crimes. This issue, in turn, is linked to the future decentralization of the management and control of computer resources. Where such resources are centralized, it is inevitable that information pertaining to us will be aggregated, correlated and ultimately misused. Even if a benign organization has centralized control of such information, the information may eventually come into the wrong hands at the wrong moment. Consider for example the imaginary case of a political leader who asks for a program that "wakes up" whenever 10 or more left-wingers meet in any U.S. city. Such a task cannot be easily pursued today, simply because the information needed by the program is either unknown or distributed among many independent organizations in the form of airline manifests, credit cards, hotel registration forms and so forth. If all of these data bases, however, were controlled by one central authority, then they could be easily searched by computer. It is this last factor of easily reachable information by machine that makes privacy and computer crime such dominant issues in the Information Marketplace. While in the U.S. and other democratic societies, centralization of information is unlikely, the opposite holds true for autocratic political systems, which, by their very nature, are likely to make sizable investments in centralized installations and control techniques. Fortunately, the pluralistic and heterarchical Information Marketplace that we forecast is no more centrally controlled than the marketplace for goods and services -- a bright prospect for the future of privacy in democratic societies. In this area, it is the obligation of the citizenry and of the government to maintain active vigilance toward potential privacy violations and to provide safeguards for avoiding such violations in the first place. In spite of the reassuring decentralized aspects of our envisioned Information Marketplace, a major problem remains: It concerns the possibility for surreptitious and explorations over the interconnected machines that make up this marketplace. For example, a "malicious" program may be sent to several machines, where after invading them it searches for sensitive information, finds it, copies it, and removes all traces of its presence. Auxiliary "safe-cracker" programs may be used to patiently try a huge number of possibilities in order to break down the (usually cryptographic) defenses of a given installation. Such activities may be pursued for financial gain, for terrorizing, and for industrial or political espionage. To avoid such potential problems, we must insure that no data bank or user can join the Information Marketplace unless they meet certain safeguards, which naturally increase with the sensitivity of the information that they control. Such an approach, although technically possible, may be difficult in a climate where governmental regulation is viewed with suspicion and business reasons dictate whether two data bases should become interconnected. To my thinking, this is a very important area that will eventually require new laws and new regulatory means. If, in fact, we do not tackle these questions at an early stage, we may find ourselves in trouble after a good part of the Information Marketplace is established, at which time there may be little back-tracking that we can do. The safeguarding of data involves the technology of insuring (1) privacy, i.e. the transmission of information from A to B, or the storing of information in a file without it being detected by others; and (2) authentication, i.e. the verification that the purported signatory of a message in the Information Marketplace is not an impostor and that no one has tampered with the message. Several techniques, based on cryptography, are currently available for insuring the privacy and authentication of data. However, since such techniques are critical to our governmental security and to the current charter of the National Security Agency (NSA), there is a built-in conflict between secret governmental and open civilian uses. It is, unlikely that this conflict will be resolved by NSA, which has obligations toward the governmental uses, and it may indeed be necessary for Congress to consider either changing the charter of NSA or involving new, or other existing, agencies such as the FCC to worry about the civilian side of the question. Ultimately, the Congress and the President will have to become knowledgeable and concerned about this subject so as to pursue the necessary checks and balances for the overall national good. Going beyond privacy, the Information Marketplace will bring into prominence the notion of information in a new context which will undoubtedly require re-thinking of traditional values and meanings, and the formation of related new laws and institutions: Consider for example the extent to which computer programs should or should not be protected from unauthorized copying. Programs have the unique characteristic that they are not clearly "material embodiments" hence patentable, nor are they clearly "writings", hence copyrightable. Instead, they seem to be somewhere in between. To be sure there can be as much creativity and novel art involved in forming a new program as there is in creating a new device. Yet, copying a program is considerably easier than copying a device, and somewhat easier than copying a music record. If the Information Marketplace is to be effective, new means must be provided for protecting the entrepreneurs who invest effort and funds in creating unique data bases and informational services. Another legal issue concerns the extent to which information should be treated like or unlike tangible goods and products. We have a tendency to think of information as a "second-class citizen" to goods. For example, we are frequently asked by government and others to fill lengthy forms at zero cost, while no one in his right mind sends us a furniture kit, asks us to assemble it for free and send it back! Yet respectable work is involved in both cases. Yet another legal issue associated with the Information Marketplace concerns the development of criteria for the kind of information that should or should not be stored in machines and if stored for how long. Should there be cases of mandatory machine forgetfulness, or should machines be constrained to remember everything forever? Then there is the issue of computer crime -- its discovery, and its judicial treatment. Should there be, for example, mandatory audit trails whenever anybody or any program tampers with a particular sensitive computer in the Information Marketplace. Also, are there computer crimes and fraud that may parade now or in the future as computer "mistakes"? The above sample consequences are by no means a comprehensive summary of the problems that arise when information processing and communications become a dominant factor of our socio-economic infrastructure. They are instead indicative of the potential for trouble if we do not take the time now to identify and confront the nature of information and its relationship to us in the forthcoming Information Marketplace. Footnotes: 1. M. L. Dertouzos and J. Moses, The Computer Age: A Twenty-Year View, MIT Press, 1979. Return 2 The LOC (for Library of Congress) unit of memory was established half jokingly, half seriously by the author to represent large amounts of information. It is 100 trillion characters. Return 3. Dr. Peter Szolovits and his research group. Return Introduction . . There are two basic scales of analysis that urbanists typically use to explore the nature of cities -- urban systems and urban places. The scale of analysis that you choose as an urban specialist is another reflection of your perspective on urban issues. I am an urban systems specialist. I explore urban issues on a broad national and global scale. I look for how cities are interlinked with one another and how the global economy and technology shape the pattern and growth of urban places as systems of cities rather than as individual stand alone cities. But, I have an academic background in the internal structure of urban places as well and have always incorporated this understanding into my work. So, in Module 4, I want to explore both scales of analysis as a background for our understanding of urban places. . Part 1: Urban Systems The first scale of analysis that we will explore is the study of cities as they relate to one another as part of an urban system (city system). Cities do not function in isolation from one another. There is a complex network of interrelationships, connections and interactions between cities at regional, national and global scales. While in CyberCities Peggy and I will be focussing on the urban place scale of analysis primarily, it is important to understand how urban places function as an interdependent system of cities. This is particularly important for establishing an historical background for the study of the North American city and for placing global issues in context with the world system of cities. Part 1 topics include: What is an Urban System? The Canadian Urban System The Historical Development of the North American Urban System The Five Stages of the Mercantile Model . Part 2: Urban Places Cities can be examined in relative isolation from one another (as stand-alone entities) as well. As urbanists, we study urban places individually to understand both their uniqueness as well as the characteristics that they share in common with other urban places. This scale of analysis is usually referred to as the study of the internal structure of cities. Central to this type of analysis is the exploration of the interrelationships between social, economic and political characteristics within the urban place chosen for study. We will explore urban places at this scale of analysis throughout the year placing emphasis on the impact that technology has had on the historical evolution of urban places. In Module 4, we will begin this exploration of the city in the period prior to the Industrial Revolution. Part 2 topics include: The Historical Evolution of Urban Places The Pre-Industrial/ Commercial City The Transitional City . LAST REVISED 10/17/03 Part 1: The Study of Urban Systems What is an Urban System? . Introduction We need to first develop a general definition of what an urban system is before we start to develop an understanding of its dimensions and the processes that form and continue to shape urban systems. Allan Pred (1977, pp. 13-14) gives us a general description of what an urban system is. The term ‘system of cities', as used here, encompasses all those individual urban units -- however defined -- in a country or large region which are economically linked to one or more other individual urban units in the same country or large region. More precisely, a system of cities is defined as a national or regional set of cities which are interdependent in such a way that any significant change in the economic activities, occupational structure, total income or population of one member city will directly or indirectly bring about some modification in the economic activities, occupational structure, total income, or population of one or more other set members (cf. Berry 1964; Wärneryd 1968; Bourne 1974, 1975). A system of cities may be regarded as a particular example of a 'complex social system'. As such it is an open system, i.e., some of the units belonging to the system interact directly with units outside the system (cities in other countries or regions) and the system as a whole may be affected by events occurring elsewhere. As a 'complex social system' a system of cities can be expected also to have a structural pattern of interdependencies and information linkages between its units that becomes increasingly intricate with the passage of time (Buckley 1967). In so far as growth and development processes are concerned, perhaps the two most important attributes of any national or regional set of cities are the extent and structural composition of its internal interdependencies and its degree of openness or closure. The economic interdependence of cities always has an interactional counterpart. That is, in order for economic change in one city to call forth economic change in another urban centre there must be some form of interaction between the two places. Such interaction may take the form of goods shipments, service provision, capital movements, or the flow of specialized information. (Flows of specialized information are always involved when cities are interdependent, for the movement of goods, services and capital between places cannot occur without some exchange of information (Pred 1973a).) When the internal interaction, or interdependence, and closure characteristics of a national or regional set of cities are jointly considered, the principal growth determinants of individual urban units within the set can be grossly generalized. Source: Pred, A. (1977). City systems in advanced economies: past growth, present processes and future development options. London: Hutchinson. . . Pred's definition of urban systems talks about individual urban units. We should think here in terms of the typical names that we apply to these entities -- metropolises, cities, towns, villages, hamlets, and so forth. It is also implied that these units are defined in different ways in different parts of the world and further implies that their definition is arbitrary. It also indicates that these urban places are economically linked to one another and that they comprise the total set of such places within a well defined region or national territory. These linkages represent a complex network of interdependencies. We have to understand that this network structure means that economic change in one urban place will have a corresponding, but not necessarily direct, impact on economic activity in other urban places within the urban system. While the use of the term 'system' suggests that it operates in isolation, in reality it is not isolated at all. There has to be a recognition that the system is open to contact from outside of the region or national territory and that economic changes that are external to the urban system can and do have a significant impact on the nature of interdependencies within the urban system. Pred also expresses that, as economic activities become increasingly more complex, the network of interdependencies itself becomes increasingly more intricate. Much is implied here about the importance of the movement of goods, the movement of people, the movement of information and the movement of financial capital. These interactions form both the glue that holds the system together and the means by which change is transmitted to the different parts of the network -- the urban system. It is through these linkages that impulses of economic growth -- or of economic contraction -- are transmitted. An Example of Interdependence Urban places in the modern world cannot exist in isolation from one another They are interdependent. To illustrate the point of interdependence, for a moment, think of the nature of the economy in southern Ontario. We do not produce all types of manufactured goods. Our economy has specialized in those things that we manufacture most efficiently. In other words, we have exploited our comparative advantage in certain areas of the manufacturing economy. One thing that we do very well is the manufacture automobiles and automobile parts. A great deal of our economic wealth is derived from this industry. We produce far more automobiles and automobile parts than we could possibly consume in southern Ontario. We export the rest. In turn, there are many functions that our economy does not perform very well -- the manufacture of colour television sets for example. As a consequence, we import many goods. The same general situation applies to most sectors of the economy. We are 'interdependent' with other urban economies -- they depend on us to perform certain functions for them and we are dependent on them to perform certain functions for us. As a result of such interdependencies, urban economies cannot exist in isolation and urban places cannot exist in isolation. If they did, it would represent a situation of great economic inefficiency, diminished output, and a much lower standard of living would be the case in general. Rationality in Organization Take a look at this image of the distribution of urban places in the Canadian prairies. You can see the string of linkages between the various urban places and the concentration of urban development around key urban nodes. Smaller urban places radiate out from the larger urban places and urban development along the transportation lines connecting the larger urban centres is clearly visible. The study of urban systems is also dependent upon the idea that there is a degree of rationality in the organization of the urban places being studied (Robson 1973, p. 16) and that the nature of the relationships between, and interdependencies among, the individual urban places is something that is ultimately explainable at some level. By extension, the study of urban systems recognizes that, within certain limits, urban places operate within an environment in which the economic, political, and social processes are understood, in at least a general fashion, and that they operate in a manner which is somewhat predictable. This is not to say that an urban system's environment operates in a way which makes all urban places equal players, but rather that, there is a degree of rationality behind the organization of the urban system under study which, if properly analyzed, can be understood. The problem then becomes one of identifying those indicators which are most significant for detailed study and then obtaining sufficiently detailed and well organized data sets with which to undertake such an analysis. . . Check out this web site: World Urban Growth in the Twentieth Century It is an animated map of the world showing the distribution and growth of urban places in the twentieth century. You can also explore the largest cities and urban growth rates throughout the twentieth century by clicking on the designated arrows under the map. Now, let us move on and take a closer look at: The Canadian Urban System . References Champion, A. G. (1991). Counterurbanization: The changing pace and nature of population deconcentration. London: Edward Arnold. Pred, A. (1977). City systems in advanced economies: Past growth, present processes and future development options. London: Hutchinson. Robson, B. T. (1973). Urban growth: An approach. London: Methuen. Shaw, R. P. (1985). Intermetropolitan migration in Canada: Changing determinants over three decades. Toronto/Ottawa: NC Press/Statistics Canada. Yeates, M. (1997). The North American City, 5th edition. New York: Longman. . LAST REVISED 10/18/03 Part 1: The Study of Urban Systems The Canadian Urban System . Introduction large version An urban system is most easily understood in terms of its regional setting. The term locality is here used to identify urban places or systematically derived agglomerations of urban places -- agglomerations being defined as groups of urban places that are closely spaced and where there is a high level of social and economic interaction between the individual urban places. They can be thought of as being part of the same urban unit or agglomeration. It is within this context that I want to explore very briefly the Canadian urban system. Take a moment and test yourself. Do you know the top ten urban places in Canada? Check the answer here. The largest urban centres in Canada are preeminently important in terms of population size and consequently preeminently important in terms of economic and political clout. In 2001 -- the last year that we have census statistics for -- the Canadian urban system consisted of 46 large urban places with populations in excess of 60,000 people. However, the 32 largest centres (100,000+ population) accounted for nearly 95 percent of the total population of the urban system. In fact, the six largest centres (750,000+ population) -- Toronto, Montréal, Vancouver, Ottawa-Hull, Edmonton, and Calgary -- accounted for over 62 percent of the urban system's population. What does this all mean? Well, quite simply, the population of Canada is highly concentrated into a hand full of urban places. Take a look at this image of the distribution of urban places in southern Ontario and southern Quebec. Another measure of the overriding importance of the largest urban centres nationally is the fact that Toronto and Montréal (the two largest urban places in Canada) represented nearly 39 percent of the total population of the Canadian urban system and 27 percent of the country's total population (urban and nonurban). Now, consider that these population percentages do not include the spin-off effect of the concentration of urban places in southern Ontario and southern Quebec as a whole. Economic Processes of Growth Most urbanists recognize that the vast majority of urban economies rely on various combinations of four essential economic activities to sustain their economies -- local trade, long-distance trade, manufacturing, and financial services (see Module 2). This is not to say that there are not other important facets to these economies -- personal services and community services for example -- but these latter sectors do not initiate growth, rather they are a product of the activities of the four identified sectors. It is important to keep in mind that most city economies specialize in two or three dominant economic activities -- resource processing, manufacturing, government administration, local trade, long-distance trade, education, recreation, etc. There are regional biases in growth implied by the different types of specialization that are apparent. Growth impulses differ in different parts of the country and for different historical periods. For example -- 1970s Oil and natural gas exploration and production resulted in strong growth in Western Canada (British Columbia, Alberta, Saskatchewan). 1980s A reinvigorated North American automotive sector produced strong growth in Central Canada (Ontario and Québec). 1990s Just as central Canada benefited inordinately from the growth of the late-1980s economic boom, it was hit very hard by the severe economic recession of the early-1990s. Impulses of economic contraction were very much apparent in central Canada (layoffs, downsizing, high levels of unemployment, etc.); economic exports were strong in western Canada (British Columbia and Alberta) producing significant growth; Atlantic Canada experienced little growth outside of the largest centres; Canada as a whole experienced slow growth with government cutbacks and a sluggish manufacturing sector. But, by the late-1990s, growth, much of it tied to the booming US economy, resulted in a booming manufacturing and service economy in central Canada. This trend continued past the end of the decade. All of this goes to say that differing levels of economic activity are apparent in different regions covered by an urban system and that this relationship can change through time. In turn, this can produce an uneven distribution of spending power within an urban system and result in different rates of urban growth within the system. Demographic Processes of Growth Relative population growth can come from two sources: natural increase -- births minus deaths in a specified population -- or from net migration -- in-migration minus out-migration. Today migration is the most powerful component of urban population change in most industrialized societies. Urban growth, as a result of migration, is associated with strong local or regional economic growth. Quite simply, people tend to move toward available jobs and entrepreneurial opportunities. International migration tends to favour the largest centres such as Toronto and Vancouver. In Canada, Montréal represents something of an anomaly here, having received relatively low levels of international migration in recent years. This can be explained by relatively low rates of economic growth as a result of instability associated with the ongoing political turbulence associated with Québec nationalism and the recurrent threat of political separation. Language can also act as a barrier to out-migration from a centre where economic performance is sluggish. Again, in Montréal, there is little opportunity for the French-speaking unemployed or under-employed to seek better opportunities elsewhere through out-migration. The normal adjustment would likely result in significant migration to more economically dynamic centres, which in the case of the last two decades would mean English-speaking centres in southern Ontario or western Canada (Shaw 1985). Today, the importance of rural and urban life-styles is emerging as an important source of differential growth with the Canadian urban system. Urban places that are perceived as representing a different, and for some a more desirable life style, have experienced considerable growth as a result of in-migration. In the 1970s, for the first time in the twentieth century, we observed that rural areas and smaller urban centres, on average, grew faster than did large centres, reversing a long standing and very stable trend of higher growth rates in larger urban centres known as metropolitanization (Yeates 1997). This process is known as counterurbanization (Champion 1991). I want to turn now to: The Historical Development of the North American Urban System . References Champion, A. G. (1991). Counterurbanization: The changing pace and nature of population deconcentration. London: Edward Arnold. Pred, A. (1977). City systems in advanced economies: Past growth, present processes and future development options. London: Hutchinson. Robson, B. T. (1973). Urban growth: An approach. London: Methuen. Shaw, R. P. (1985). Intermetropolitan migration in Canada: Changing determinants over three decades. Toronto/Ottawa: NC Press/Statistics Canada. Yeates, M. (1997). The North American City, 5th edition. New York: Longman. .... LAST REVISED 10/18/03 Part 1: The Study of Urban Systems The Historical Development of the North American Urban System .. Introduction Let us now turn our attention to the development of the North American urban system to illustrate the relationships between an evolving economy, technological change and processes of urbanization. These processes of urbanization are best summarized by the economic activities known as -- long-distance trade. James E. Vance, Jr., developed a model of urban development based on the long-distance trade function that he called the 'mercantile model' (1970). This model, like any theoretical construct, represents an abstraction of reality. Such a theoretical construct is designed as a tool to enhance our understanding of a complex area of academic inquiry. It does so by excluding factors understood to be extraneous by the researcher, so that a clearer observation can be made of the factors considered to be of central concern. As such, it is important to keep in mind that, it is only a theoretical generalization of the real world. There is seldom a perfect fit between a theoretical model and the real world that it is attempting to better understand Vance's Mercantile Model Vance's mercantile model is presented as stages and is a model of settlement and urban growth that was developed for a pre-industrial economic setting. I should caution you that we have to be careful in the interpretation of stage theories. We have to keep in mind at all times that, even though the time period covered by this model is summarized in five distinct stages, in reality the North American urban system changed relatively slowly, in an evolutionary fashion. Also, it should be kept in mind that not all parts of the North American urban system went through these changes at the same time or pace. The imperial networks of European economic acquisition form the backdrop to events affecting the development of the urban system in North America. The impulses for economic and urban growth were exogenous to North America. That is, the driving force for urban settlement was external to North America. It should also be noted that the economic theory during this period that was implicitly accepted in constructing the economic empires of the rapidly expanding European nation states was that of mercantilism. Rempel, G. (2000) provides a good definition of mercantilism as follows: Definition of Mercantilism The following ideas, then, lumped together, may be called mercantilism. (1) Bullionism was the belief that the economic health of a nation could be measured by the amount of precious metal, gold, or silver, which it possessed. The rise of a money economy, the stimulation produced by the influx of bullion from America, the fact that taxes were collected in money, all seemed to support the view that hard money was the source of prosperity, prestige, and strength. (2) Bullionism dictated a favorable balance of trade. That is, for a nation to have gold on hand at he end of the year, it must export more than it imports. Exports were later defined to include money spent on freight, or insurance, or travel. (3) Each nation tried to achieve economic self-sufficiency. Those who founded new industries should be rewarded by the state. (4) Thriving agriculture should be carefully encouraged. Domestic production not only precluded imports of food, but farmers also provided a base for taxation. (5) Regulated commerce could produce a favorable balance of trade. In general, tariffs should be high on imported manufactured goods and low on imported raw material. (6) Sea power was necessary to control foreign markets. A powerful merchant fleet would obviate the necessity of using the ships of another nation and becoming dependent on foreign assistance. In addition, a fleet in being could add to a nation's prestige and military power. (7) Colonies could provide captive markets for manufactured goods and sources of raw material. (8) A large population was needed to provide a domestic labor force to people colonies. (9) Luxury items were to be avoided because they took money out of the economy unnecessarily. (10) State action was needed to regulate and enforce the above policies. One might add that there was nothing logical or consistent about mercantilism, and that it displayed, in fact, enormous variation. Source: Rempel, G. (2000). Mercantilism. http://mars.wnec.edu/~grempel/courses/wc2/lectures/mercantilism.html (October 5, 2001). European expansion provided the stimulus for urban growth in North America. It is at the end of the so-called mercantile era, with the rapid onset of industrialization in the early-nineteenth century, that this era comes to a close. Technologically speaking, things were very simple by modern standards. We begin with hand-crafted artisanal production, sailing ships, pack animals, and stage coaches on rough and uncertain roads, and communication overwhelmingly carried out by face-to-face contact. By the close of the pre-industrial period in North America in the early-nineteenth century, the Industrial Revolution was well established in Europe and tremendous technological progress had been achieved in North America. Steam-powered-highly-mechanized production had become increasingly common, there was steam powered transportation -- both rail and water borne -- and virtually instantaneous electronic communications via the telegraph. Vance relied on data sources that reflected the types of occupations that were representative of the wholesaling industry. Such occupations would include: wholesale merchants; customs officials; carters and teamsters; telegraphers; warehouse labourers; shipping agents; insurance agents; bankers; agents of credit bureaus; port workers; and railway workers to mention only the most obvious of occupations involved in this type of industry. Vance noted the locations of concentration of such activities -- usually in urban places --- and also areas where there was little indicated wholesaling activity. From this evidence, and from a solid understanding of both the historical development of the US urban system and the fundamentals of how the wholesaling process worked, he was able to develop his 'mercantile model' of urban development. Learn more about the wholesale system, ca 1880. The web pages listed below provide a summary of the key characteristics of each of the five distinctive stages that Vance identified in his ‘mercantile model.’ While you are reading these web pages, you should keep two things in mind: (1) The physical landscape of the North America continent -- the physical barriers that were to be overcome by the technology of the day in the spread of settlement across the continent. This landscape posed both opportunities and acted as a hindrance to the spread of settlement and trade. The process of exploring and then settling the North American continent was a slow and technology-dependent one. (2) The technology that was available during the period that is being discussed. The ability to engage in long-distance trade, exploitation of the natural resources of North America, the spread of settlement, and the building of a new economy was highly dependent upon the knowledge, innovation, and technology. . . Let us now examine: The Five Stages of the Mercantile Model Stage 1: Exploration Stage 2: Harvesting of Natural Resources Stage 3: Emergence of Farm-based Staple Production Stage 4: Establishment of Interior Depot Centres Stage 5: Economic Maturity and Central Place Infilling . Reference Vance, J.E., Jr (1970). The merchant's world: The geography of wholesaling. Englewood Cliffs: Prentice-Hall. ... LAST REVISED 10/18/03 The Mercantile Model Stage 1: Exploration .. .. . Columbus in the New World .Liverpool, UK In stage 1 of the Mercantile Model, the mother country (Europe) is the base for expeditions to explore for new lands (North America). We have all heard of Christopher Columbus, John Cabot, Jacques Cartier, Henry Hudson, etc. and their early explorations of North America. They were a part of this first stage of the model. Of course, they were not out to just find a new world, they were looking for trade goods that would be of value to the mother country. The expeditions were basically fact-finding missions. The goal -- bring back information about the stock of natural resources and suitability of the new land for settlement. The explorers set out in their sailing ships to see what they could find. That was not an easy task. They did not have maps to guide them to where they were going or a Geographic Positioning System (GPS) to confirm their location. They relied on the stars and rudimentary navigational instruments to point them in the right direction and, of course, favourable winds to carry them there. Stage 2: Harvesting of Natural Resources ..... LAST REVISED 10/17/03 The Mercantile Model Stage 2: Harvesting of Natural Resources .. .. .. In stage 2 of the Mercantile Model, Europe begins to capitalize on the information brought back from the exploration stage, exploiting the natural resources of the new land. In North America, the cod fisheries off Newfoundland's Grand Banks were a major source of early activity. This was followed by the harvesting of beaver pelts and timber. There was some rudimentary settlement at this point but it was mostly seasonal in nature -- fisherman coming over in the spring to fish and then returning back to Europe in the fall. The new land was not thought of as a place for permanent settlement at this point. The small villages and towns that were established in North America were centres of control in the collection, coordination, and shipping of the natural resources to Europe. They were only secondarily thought of as places of permanent settlement. The focus was on Europe unquestionably and the economic activity that was stimulated by the activities of European merchants. .. .. Learn more about resource exploitation in North America, 1645-1785. .. .. While the Mercantile Model is based on wholesale trade and is concerned with the economic activities taking place during each stage, there is an implicit technological undercurrent for all of these activities. The manner in which the seasonal exploration of the fisheries in Newfoundland took place illustrates the nature of this link between technology and the stages of the Mercantile Model. .. .. Learn more about the early Newfoundland fisheries. .. .. How does this all relate to technology? The ships came to North America for one purpose, to gather natural resources that could be marketed in Europe. This seems quite a simple endeavour. Not so, however, given the technology of the day. First, one had to get to North America. As explained in stage 1 of the model, this was not an easy or predictable task. A voyage of approximately 6 weeks would probably land you somewhere in North America but you could not always be certain just where. Hopefully, it would be Newfoundland where the most productive fisheries were located but this may take a few days to several weeks to accomplish. Then you had to set up an encampment with basic tools of construction using mostly local materials and the few supplies that you brought with you. Next, you set up docks, a rudimentary cleaning, salting, and drying facility, some storage facilities, etc. Below are two examples of seasonal fishing communities in Newfoundland. Plaisance, 1713 Trois Isles, 1785 large version (source: Historical Atlas of Canada, Volume 1, C. Harris (ed). Toronto: University of Toronto Press.) Then you go about the business that you came for in the first place -- fishing. The resource is plentiful and easy to harvest but there is one catch -- you do not have refrigeration. How do you harvest and store the fish all summer and then ship the cargo to market (remember the 6 week voyage)? That is where the salting and drying comes in -- the technology of the day. .. . Salt cod drying .. .. L'Anse aux Meadows in Newfoundland is a good example of a very early site of resource exploitation in Canada. Check out the Parks Canada videos and photos of L'Anse aux Meadows. .... .... Stage 3: Emergence of Farm-based Staple Production ... LAST REVISED 10/18/03 The Mercantile Model Stage 3: Emergence of Farm-based Staple Production .. . . . . . In Stage 3 of the Mercantile Model, permanent settlements are formed and increase in numbers in North America. There is more and more forest cleared and farms and plantations are now established. The natural resources of North America are still exploited and shipped back to Europe but the new settlements also start to export agricultural products that they have grown such as grain, salted meat, indigo, tobacco, and cotton. There was not only the exploitation of the resources of North America taking place, but also the production of goods for the European market. This marks an important watershed for the development of North America -- "the full flowering of the economic philosophy known as mercantilism ... the view that ... it is the responsibility of the new land (i.e., the colonies) to provide the old land (i.e., the mother country) with food stuffs and other raw or partly processed materials, etc." (Marshall 1989, 281-282). As the trade of goods from North America flourishes, so too do the urban centres in Europe that benefit from this trade and the economic stimulus that it brings. . Transatlantic trade was still the key to settlement in North America. Seaports were important collection points and centres of long distance trade with Europe. Wholesale merchants controlled the trade. The small seaports and points of entry (points of attachment) to the colonies continued to grow in importance and were often fortified to protect their territory and trading interests. The Fortress of Louisbourg, Nova Scotia (the key centre of the French empire in the new world) was one of the largest and most important ports and trading centres in North America in the eighteenth century. Check out the Parks Canada videos and photos of the Fortress of Louisbourg. . Halifax, Nova Scotia (one of the centres of the English empire in the new world) is another good example of an early fortified coastal trading centre. Check out the Parks Canada videos and photos of Halifax Citadel and waterfront . . A few key nodes or collection points were also established in the interior along major waterways. They too were fortified to protect their primary function -- the coordination, collection and shipment of natural resources from the interior to European markets. Québec City, Québec is an excellent example of an important interior collection point. Check out the Parks Canada videos and photos of Québec City. Learn more about exports from Quebec, 1736. . . Smaller agricultural settlements grew with their primary purpose the collection and shipment of agricultural products to Europe. These settlements only secondarily developed a role of servicing the local population. Port Royal in Nova Scotia is a good example of an early site of resource exploitation, settlement and farming community in Canada. Check out the Parks Canada videos and photos of Port Royal. . . The technology was still highly dependent on nature -- natural resources, the potential of the natural environment for the growth of agricultural products, and the will of nature to provide favourable conditions for the transportation of the goods to the European market. The level of technology in tool making, communication, and transportation were all important elements in the harvesting, production, and marketing of goods. . . find out more about Le Fier, 1725 Stage 4: Establishment of Interior Depot Centres ... Reference Marshall, JU (1989). The structure of urban systems. Toronto: University of Toronto Press. ... LAST REVISED 10/18/03 The Mercantile Model Stage 4: Establishment of Interior Depot Centres .. .. .. In stage 4 of the Mercantile Model, there was an increase in the population in North America and a continuing growth in demand for staple exports from North America to Europe. This drew more settlers to North America who penetrated further and further into the interior of the continent (see maps of North America in the 1770s). The means of transportation was very basic (foot, ox drawn carts, small boats, rafts, etc.) and the terrain that the settlers faced was rugged and unyielding. Nothing in the European experience could possibly have prepared them for the journey. In most cases, there were no roads or other forged routes into the interior, no settlements to travel to and take comfort and supplies at, and little knowledge of what lay ahead or what they might be faced along the way. ... The obvious routes into the interior were along or on waterways as well as Indian trails. These became vital links in the long-distance trading network that was penetrating into the interior of the continent. These routes also became the focal points for settlement in the interior. Towns were established at strategic locations and became "depots of staple collection." The waterways also become a vital source of power to be harnessed in the production of goods for export. Inland towns were first and foremost instruments of long-distance trade and served the European market rather than a local population. They were wholesale collection points, some established well before significant rural settlement and the development of prosperous agricultural economies. Sometimes they were merely clearings in the woods with a few buildings, not what we think of as villages and towns today. Lower Fort Garry (a part of the Hudson Bay Company empire) was an interior collection point on the edge of the prairies. The Hudson Bay Company was responsible for the early exploration and exploitation of much of the territory that was later to become Canada. Check out the Parks Canada videos and photos of Lower Fort Garry. .. On the coast of North America, the initial "points of attachment" in the new world grew and became even more important focal points for the long distance trade between North America and Europe. Small scale manufacturing was established in North America in these coastal cities initially. These towns had a decided economic advantage -- the largest domestic markets, a significant labour supply and, perhaps most importantly, ready access to new technical information coming from Europe. Lunenburg is an excellent example of British colonial town planning and has been designated as a UNESCO World Heritage site. Check out the Parks Canada videos and photos of Lunenburg. .. .. The urban system of North America started to exhibit some production of manufactured goods that were oriented to other urban markets in North America with trade amongst the villages, towns, and cities beginning in a small, rudimentary way. The overwhelming preponderance of trade was still with Europe as the mercantile pull of the mother country was still dominant. v .. find out more about La Marie-Joseph, 1736 find out more about La Revanche, 1737 Stage 5: Economic Maturity and Central Place Infilling .... LAST REVISED 10/19/03 The Mercantile Model Stage 5: Economic Maturity and Central Place Infilling .. .. ... ... Toronto, 1854 ... ... Stage 5 of the Mercantile Model represented the economic maturity and independence of the North American urban system. The growth of urban centres in North America and the settlement of the interior provided a substantial and growing domestic market for the manufactured goods produced in the new land. The manufacturing sector in North America grew accordingly and the urban markets in North America were no longer dependent on many types of European made goods. This is not to say that trade between North America and Europe ceased. Indeed, the opposite was true but the flow of goods from North America increasingly included manufactured goods as well as natural resources. ... ... ... ... As for the North American urban system, the agricultural settlements that once served as collection points for natural resources to be shipped to Europe, came to service a local, agriculturally sustained population. Permanent agricultural settlement caught up with the network of interior depots and other small urban places functioning as collection and distribution centres filled in the urban system. Replacing the network of staples collection points strung out along the major transportation routes was a more complex and integrated network of urban centres that supported local markets, production (manufacturing), as well as long-distance trade. ... ... ... ... ... ... Learn more about settlement in North America ... ... The large seaboard centres and major interior centres that were once the key North American nodes in the mercantile system evolved into the key centres of national trade exerting considerable control functions. These 'points of attachment' grew, building on their initial advantage -- the economic and urban infrastructure that was already in place. These centres dominated a local region or hinterland, long distance trade and, consequently, the national urban system. ... ... New York, USA ... ... St. Louis, USA ... ... A vital component of the growth and maturity of the North American urban system was the technology of the day -- most importantly in the area of transportation (see Transportation Routes in Canada, 1851). Transportation was what linked the urban system together and made both local trade and long distance trade possible. It also helped to initiate the settlement of new regions and the establishment and growth of new urban centres. The network of rail lines, roadways, waterways, and canal systems became the framework of settlement and industry. ... ... ... ... ... ... The systems of rail lines, waterways and canal systems become important focal points for settlement and industry. ... ... Learn more about BOSNYWASH. Please note the various descriptions on the map. You should take note of such things as what is said about transportation, routes to the interior and manufacturing. I want to conclude part 1 of this module with a brief slide show of life, settlement, and resource exploitation in Canada to bring some life to all of the models and constructs that have been used to describe the exploration and settlement of North America and the development of its cities. Now that we have a better understanding of how and why the urban places of North America were established and grew over time, let us move on to part 2 of this lecture -- The Study of Urban Places ...... LAST REVISED 10/18/03 Part 2: The Study of Urban Places The Historical Evolution of Urban Places .. . Toronto Skyline 1950 Toronto Skyline 1990s Look for the Royal York Hotel (the large central building with the peaked roof line in the 1950 picture) in both pictures to see how dramatically the Toronto skyline has evolved. . . The internal structure of urban places is organized and reorganized through a series of economic, social, and political processes. The impact of these processes varies in temporal terms. It also varies in terms of the relative impact that they have on the form and function of an urban place. The city of today is an expression of these processes. It is important to recognize and examine the evolution of urban places because decisions of the past determine much of the form and function of a city in the present context. All of these processes have to be placed in the context of the historical evolution of urban places. Just as we explored the growth and development of the system of urban places in North America, we are now going to use this same historical framework to explore how the internal structure of urban places changes over time and how this is tied to economic, social, political, and technological processes. We cannot understand the city of today if we do not understand the city of the past. We are now going to turn our focus to the internal structure of cities. Central to an understanding of the growth and development of urban places is the acknowledgment that land uses within cities are influenced by economic, social and political processes. The key factor here is economic processes as they are the reason that urban places exist in the first place. Social and political processes tend to respond to the economic forces in urban places. Technology has a role to play here as well as a key element in economic development and a force for economic, social, and political change (keep in mind the four perspectives here). . . The original settlement on the site of what is now Toronto was Fort York a military outpost along a strategic waterway in the interior of the continent (stages 3 and 4 of the mercantile model). Check out the Parks Canada videos and photos of Fort York. Check out these slide shows that illustrate how the urban environment of Toronto has changed over time. The Evolution of the Toronto Urban Landscape The Evolution of Yonge Street . . I cannot emphasize enough that each phase of development builds upon the urban form of the past. While each phase of development has placed its own stamp on the urban form of the city, it has had to do so within the context of what already exists. Some gentrification and redevelopment does occur in older, built up parts of the city, but established urban places are not entirely redeveloped from the ground up each time there is a major economic or technological change. Once in place, the urban infrastructure is difficult (expensive) to change (keep in mind the four properties of cities here). This does not mean that it is impossible to change but it does mean that there are often very strong economic, social, and political forces that make it very hard to change. There has to a powerful impetus for change. For example, land values need to increase to the point at which it is financially feasible to tear down what is there and rebuild a new structure. Other forces can include natural catastrophes such as fires, earthquakes, etc., that can devastate cities that then need to be rebuilt. Often there is social and political opposition to significant change, as well, with vigorous attempts to preserve the local built environment. . . The Toronto City Hall Site . ... It is important to view the city, therefore, from a perspective that is always mindful of the economic, social, and political processes of the past. Many of our urban successes and urban problems are a legacy of this past. If we do not understand where we came from we cannot understand the present fully or properly plan for the future. Your Knox (1994) reading outlines the development of urban places from the Commercial City to the Transitional City to the Industrial City. The current global economy has ushered in a new phase of urban development -- the Post-Industrial City. We will be looking at each of these phases of city development in some detail this term and next with particular emphasis on the role that technology has played during each of these phases. In this module, we are going to look at the Pre-Industrial/Commercial City and the Transitional City. I will discuss the Industrial Revolution and the Industrial City in modules 6 and 7. Let us start with the -- Pre-Industrial/Commercial City ... LAST REVISED 10/19/03 Part 2: The Study of Urban Places The Pre-Industrial/Commercial City .. Introduction . . We are now going to turn our attention to theoretical models that examine how the land uses of urban places are differentiated. The particular focus of these models is the socio-economic character of the residential areas of the urban place. These areas have important implications for the identification of distinctive neighbourhoods within the city and have an explanatory role to play in our understanding of the growth and development of urban places over time. Central to this understanding is the important role that technology has played in helping shaping the urban places of each period of urbanization. To begin with, we need to examine the various eras of urban development in order to understand the foundation upon which our modern city is built. To do so, we will begin with the Pre-Industrial or Commercial City, also know as "walking cities" and "pedestrian cities" (see Knox 1994 reading). I should make one cautionary note here. Knox (1994) places discrete dates on the various eras of urban development but these dates are not directly applicable to the Canadian experience. The development of Canadian urban places took place at a later date than those in the US, especially for the earlier periods of development. It was not until well into the twentieth century that Canadian cities began to keep pace with changes that were taking place in their US counterparts. It is important to keep this difference in mind as you read through this material. . . Pottsville, Pennsylvania, USA, 1833 . . Toronto, 1842 . .. Hamilton 1859 . . Montréal, 1867 . . To understand the form of the Pre-industrial City you really only have to understand one thing -- the city was based on very rudimentary forms of transportation with face-to-face communication the major means of communication. The transportation technology of the day was such that most people had to walk everywhere. There really was no other way of getting around. Only the rich could afford horses and carriages but these were not exactly comfortable or convenient given the dirt roads of the day and the need for facilities and staff at both home and the destination to care for the horses. So, people walked everywhere within the city. . .. . . What does this mean with regard to the urban form of the Pre-Industrial City/Commercial City? . . Compact geographically very compact Pedestrian-oriented you could easily walk to any point in the city Goods transportation was very basic by hand cart or horse cart Close relationship between home and workplace little separation, if any, between home and workplace No physical separation of the classes because of the compact nature of the city, the rich and poor lived in close proximity to one another Sjoberg's Model of the Pre-Industrial City Gideon Sjoberg (1960) developed a model of the Pre-Industrial City in an attempt to understand the urban land uses of this early city type. He examined social stratification and differentiation in a city which was relatively small in scale and where movement was primarily pedestrian-oriented. Movement over long distances within the Pre-Industrial City was quite a difficult process and one to be avoided if at all possible. . .. . . What Sjoberg found was that the social stratification of the Pre-Industrial City was quite well defined: elite; lower class; and outcasts. Most business and administrative functions were carried out at the centre or core of the city owing to the importance of face-to-face communication in business. As a result, accessibility to this centre was considered to be very important. The elite, as with all elites, could afford to live at what was considered to be the best location in the city. In the case of the Pre-Industrial City, the best location was the centre of the city where accessibility was the highest and information sources were the most plentiful. Then, somewhat more distant from the centre, there was the lower class district with the outcasts forced to live on the outskirts of the city. The social gradient of the city was clearly defined by distance from the centre of the city. That is, the relative status of individuals and households markedly declined with increasing distance from the centre of the city. . . . . John Radford, a Professor in the Department of Geography here at York University, tested this model for Charleston, South Carolina, U.S.A. for the pre-Civil War period. He found that the model did indeed provide an adequate explanation for empirically derived observations of social status and confirmed the validity of Soberg's model in understanding the Pre-Industrial City. . . This map of Charleston, South Carolina, USA, 1788 illustrates the compact nature of the Commercial City. . . Now, let us look at -- The Transitional City ..... LAST REVISED 11/7/03 Part 2: The Study of Urban Places The Transitional City .. . . . The Transitional City was just that -- a city form that was transitional between the Pre-Industrial City and the Industrial City (see Knox 1994 reading). As such, elements of both cities are to be found in the urban form of the Transitional City. What is important to recognize here is that the Industrial Revolution did not change the urban scene over-night. As industrialization took root and slowly grew, the urban form of cities slowly began to respond to the new economic, social and political environment. But, this was not a quick process nor was it uniformly distributed throughout the entire urban system of North America. . . . . Braudel (1984, p. 557) discusses this point in the context of the Industrial Revolution itself when he states:. .. the industrial revolution which was to throw first Britain then the whole world into upheaval, was never at any stage in its career a neatly-definable phenomenon, a combination of given problems occurring in a given area at a given time. This period of great volatility was marked by three important characteristics: . . changes in the mode of production - specialized industry - mass production - large labour requirements changes in society - employment now highly concentrated in urban places - influx of workers to the city - new social strata (middle class) - little change in urban form intense land competition - competition for the best and most accessible sites for business - social status associated with particular residential locations in the city . . In brief, the whole form of the city was being turned upside down. This was neither an easy nor a quick process. There was also one major stumbling block to the whole transition -- transportation. While cities were growing rapidly with industrialization, innovations in transportation had not kept pace. Walking was still the primary means for getting around the city and this was becoming less convenient as the city grew larger and larger. Horse cars and railroads helped to push urbanization and the growth of the city into what we would now define as suburban and exurban spaces. . . Note that this map of Wauwatosa and the Western Suburbs of Milwaukee, Wisconsin, USA, was drafted in 1892. Note the use of the term 'suburbs' to express the expansion of residential areas into the fringes of the urban region. The city is in transition, pushing outward from the compact urban form of the Pre-Industrial City. Well, we have covered enough territory in this module so let us move on to the -- Conclusion . Reference Braudel, Fernand (1984). The Industrial Revolution and Growth, in Civilization and Capitalism, 15th-18th Century, Volume 3. The Perspective of the World, Sian Reynolds (trans). London: Fontana. .... LAST REVISED 11/7/03 Conclusion .. .. What are the key points that you should have gotten from this lecture? There are two basic scales of analysis that urbanists typically use to explore the nature of cities. - the study of urban systems - the study of urban places What an urban system is. - national or regional set of cities which are interdependent - urban places within the system are economically linked to one another - an example of a 'complex social system' - there is a complex network of interdependencies at work - not a closed system - there is a degree of rationality and predictability in an urban system - there is a structural pattern of interdependencies and information linkages between its units - change in one part of the system will have a reciprocal effect on all elements of the system - growth is not necessarily evenly distributed within a system - the definition of urban places and urban systems differ globally The Canadian urban system. - the largest urban centres in Canada are preeminently important - importance measured in terms of population size as well as economic and political clout - the top ten largest cities in Canada - the percentage of the urban population of Canada represented by the largest cities in the urban system - the four essential economic activities - parameters of population growth: natural increase and migration and their impact on urban systems Vance's mercantile model. - stage theory - definition of mercantilism - the context within which the model was developed - the context within which the evolution of the North American urban system took place - the five stages of the mercantile model: name; primary activities; relationship between the new world and the mother country; economic activities; urban development; and technology - key terms: exogenous growth; mercantilism; bullionism; long-distance trade; points of attachment; and depots of staple collection The study of urban places. - urban places are organized and reorganized through a series of economic, social, and political processes - economic processes predominate and social and political processes follow - there is a role that technology plays here as well - there are temporal parameters of growth and development of urban places - the form and function of urban places is altered over time - we cannot understand the city of today if we do not understand the city of the past - each phase of development builds upon the urban form of the past The Pre-Industrial/Commercial City. - also know as "walking cities" and "pedestrian cities" - based on rudimentary forms of transportation: walking, oxen, horse and carriages - face-to-face communication - the five constructs of the urban form of the Pre-Industrial City - social gradient and social differentiation of the Pre-Industrial City - the relationship between social gradient and distance from the centre of the city - the importance of the centre of the city and why this was so The Transitional City. - transition between the Pre-Industrial City and the Industrial City - the nature of change brought about by the Industrial Revolution - the three important characteristics of this period .... LAST REVISED 11/14/03 Communities: Past, Present, Future Part 1: Communities - Classification and Characteristics . Introduction In this portion of module 5, we need to look at communities in general; at attempts to define and classify them; in short, some of the history of communities. None of your readings really provide this information. What is a Community? Part of the human condition is that throughout history we have tended to live in groups. None of us is capable of living totally alone. We depend upon others, for at least some of the physical, material and spiritual necessities of life. If these things are true, then we must all live in a community. But if we asked every person to define his/her community we would likely discover a large number of different definitions. Do these definitions have anything in common? Most of them are motherhood or apple pie statements: community makes us feel good, it's desirable, it has virtue. Effrat provides a few of these definitions in her introductory essay to a book of readings. They include community as the primary dimension of human interaction community as the location and sphere of influence for communal solidarity institutions; characterized by informal primary relationships community as characterized by emotional cohesion, depth, fullness community as a group of people who share a range of institutions (such institutions could be economic, political or social) community as a group of people who share some familiar social category (such as race, ethnicity, occupation, life style, residential location) What are the common elements, if any, of these definitions? Earlier, Hillery (1955) came up with 94 definitions for community arising from the literature, much of it from rural sociology. Of these 94 definitions, 73 included area as one of the major defining characteristics of a community. [Sources: Effrat, Marcia Pelly (1974), "Approaches to Community: Conflicts and Complementarities", The Community: Approaches and Applications. New York: The Free Press, pp. 1-34. and Hillery, George A., Jr. (1955), "Definitions of Community: Areas of Agreement," Rural Sociology 20 (June): 111-23.] At first blush, it may seem as though communities have territory in common. That is, every community has some physical space. But that really doesn't tell the whole story; for example, we hear academics talk about the community of scholars. Perhaps the unifying feature is that the people that consider themselves part of a community have some type of social interaction or relationship with others in that same community. Does this move us any closer to a definition? Communities are spatial and people in communities interact with one another. Hmmm. Can we imagine a community that does not fulfill both of these conditions? spatial or territorial interactivity Well, our community of scholars is not territorial. So perhaps territoriality is a sufficient but not a necessary condition for a community? Then again, just because people live next to one another in a spatial sense, is that sufficient for them to belong to a community? We can see this type of 'community' in newly built housing developments. Is 'Greenfields Estates' or whatever other name the developers come up with, a community? Does it ever develop into a community? So that leaves us with the fact that territory is neither sufficient nor necessary for community? What about interactivity? Are there communities that have no interactivity? We can imagine a territorial unit where the individuals have little interaction with one another. Could it be that they have no interaction? Unlikely, mere proximity means that there is most probably going to be some interaction. So perhaps interactivity is a necessary condition for community. Is it a sufficient condition? Let's take as a working definition that a community is a group of individuals who interact with one another and may or may not live in proximity to one another. What is interaction? When I go to the grocery store, am I interacting with anyone? Of course I am. The check-out person, the person whose buggy I inadvertently bang into, even, however remotely, the person who stocked the shelves, the farmers who grew the food, and so on. But this seems to be a very functional type of interaction--I'm hungry and I need food, so I go to the grocery store. Interaction, then, can occur for a multitude of reasons. We need something physical--food, shoes, a place to live, or we need something less tangible, social or spiritual if you will--conversation, a sense of connectedness, a feeling of value or worth--solidary notions. Interaction is functional. This means that perhaps we need to amend our two conditions. Let's call them variables, and change them to territorial grounding functions In this case, function means the actions and interactions that people have available within communities. The extent to which they utilize the available functions may be a measure of their attachment to the community. How do you define community? Do you belong to a community? to several communities? . LAST REVISED 10/31/03 Part 1: Communities - Classification and Characteristics . Classification Scheme for Communities If we take the notion of the two variables (territory and functions), we can construct a matrix showing all possibilities. Effrat has done this in her introductory essay. By looking at community studies, she isolated 4 major research traditions and shows them in the table below. We see that there are communities with a spatial dimension, and those without. Territorial Grounding is a dichotomous variable. As for functions, the differences are one of degree rather than black and white. Functions always exist, but they can range from very few to very many and all points in between. Functions is a continuous variable. Take a look at the table, and then we will look at each of the cells in turn. Community: The Four Major Research Traditions Number of Functions provided by the Community Territorial Grounding Many Few Necessary I. The Compleat Territorial Community Holistic examination of villages, small towns, even cities Research on municipal power structures II. The Community of Limited Liability Studies of small-scale neighborhood and the process of neighboring Holistic studies of larger-scale urban subareas Social area analysis Not Necessary III. Community as Society Research on minority groups (ethnic, deviant, sexual) Research on common-interest groups (occupational, professional, life style) IV. Personal Community Research on communal institutions Studies of voluntary organization membership and participation Social network analysis [Source: Effrat, Marcia Pelly (1974), "Approaches to Community: Conflicts and Complementarities", The Community: Approaches and Applications. New York: The Free Press, pp. 1-34.] Although Effrat is using this matrix to order and characterize the types of research that have been carried out on communities, we can also use it to help us achieve a better sense of the types of communities that exist. We can also ask ourselves whether we know or can imagine any communities that exist 'outside of the box'. Let's look at each of the entries in this matrix and see if we can figure out where the communities that we know about would 'fit'. In each case, I provide only one example. You should be able to think of others. Type I: The Compleat Territorial Community First, let's look at communities that possess territoriality. There are two subgroups of this type of community: those with many functions and those with few functions. Compleat Territorial Communities seem to have it all; territory and many functions. Type I communities are territorial, and have many functions Can you think of an area of Toronto that is spatially defined (has territory) and where the inhabitants interact with one another in many different ways (the community provides lots of functions)? One that comes to my mind is Little Italy. The area of Little Italy is well defined (even the street signs indicate 'where' one is). The people living in Little Italy interact in a variety of different ways. There are a wide variety of shops catering to a specific group -- people of Italian descent. There are local churches that are attended by the same group. There are banks, real estate agents, any number of services that are located in the area and provide services for the inhabitants. The area could be called an enclave. It's an ethnic area. (As an aside, what is the definition that Statistics Canada uses in order to declare that an area is 'ethnic'?). In many ways it's a compleat community. Individuals could live, work, and socialize in the area without going elsewhere. In truth, the Little Italy of twenty years ago was really more of a compleat community. Many of the original inhabitants have moved away; however the shops and services have remained, but now have a greater market area--those original inhabitants still return to Little Italy for at least some of their shopping and service requirements. At some point, the original Little Italy will be so changed that only (some of) the buildings ill remain, inhabited by a totally different population group, with businesses serving a non-Italian clientele. When we try to consider other communities of this same type we frequently name areas that are ethnic in character, or are more rural, small town areas. One of the important words in that last sentence was the word, name. Most communities of this type have names. They are not ephemeral or nebulous areas. Not only do the people living in the area name it, the rest of us also recognize the name. Type I communities are often those for which we have nostalgia. Small rural towns with their strong sense of belonging (studied by rural sociologists); people who 'know' one another (strong primary relationships - more about this later); camaraderie; these are the communities that are viewed against more modern communities, that are found lacking in warmth, congeniality, connectedness. Type I communities are those that scholars and others thought we had lost in the 20th century. Maybe we have. What has replaced them? Type II: The Community of Limited Liability Type II communities are territorial, but with few functions Here we need to think of a community that is spatial, but one in which people living in the community do not interact a great deal, or interact in only a few ways or for a few purposes with others in the community. It would seem that there are many areas of the city that could qualify as this type of community. Take a look at the real estate section of the newspaper. The larger advertisements for new housing talk about, and encourage you to buy a house in these new developments. These developments have a name, are sometimes quite large in territory (particularly when a fair number of developers have joined together to provide housing over a good-sized area), and frequently tout the sense of community or belonging that is supposed to be part and parcel of the new community. Often the ads talk about nostalgia for a happier, simpler time (those Type I Communities above). Well, these areas have the first of our conditions for community--territory. They purport to provide a 'sense of community', or our second condition--interactivity. Is the interactivity the same as that available in the compleat territorial community? Most likely not. What's missing? Are there jobs in these communities? Are there shops and services available to the residents? So, these communities may have a name, have territory, but provide few functions for the residents. There are schools, perhaps churches, shops for some of the basics--food, clothing, gasoline, and so on. But higher order goods and services are not really available within the community. And jobs are few and limited generally to service jobs in the few businesses that are located there. How well do the residents know one another? What are the purposes of their interactivity? It is often the case that residents join together in times of crisis; for example, when there is an external threat to their area such as a new housing development, social housing, ... -- an offshoot of the NIMBY syndrome. The non-territorial communities are probably going to be more difficult to define. Let's start with those that have many functions. What groups of people interact with one another in many ways, but don't share a common spatial location? Type III: Community as Society Type III communities are aspatial, but have many functions Is the medical community one of these? Individuals that are part of the medical community do not necessarily live close to one another, they interact as a part of their work, they quite likely interact socially, the community has services available for its members--research initiatives, insurance, standard setting bodies, etc. Although there is certainly a community, and there are a number of functions provided by or available within this community, and members of the community can interact a great deal only with others in the same community, the members still have to live somewhere, and some of the functions needed for life are likely provided in the area they live. So this type of community is not quite as self-sufficient as the compleat territorial community. But it is a strong community; it provides a sense of belonging for its members. It has a name (although you note that in this case, the name isn't capitalized, it's not a proper noun, but is rather based on an occupation). What other socio-economic or demographic variables might give rise to communities? What other occupational groupings are there? Do they have a sufficient number of functions to be classified as a Type III community? Type IV: Personal Community Type IV communities are aspatial, but have few functions The differences between this community and the other non-territorial communities may be one of degree, and thus more difficult to separate from one another. Where does one draw the line? How many functions, how much interactivity places a community in the the Community as Society type? Or the Personal Community Type? The two ends of the spectrum are easier to define; it gets a bit muddled in the middle. Let's try. This type of community is one most likely based on a single or perhaps a couple of characteristics of the members, and provides a small number or a very specific subset of functions for the individuals in the community. Perhaps it is based on occupation, say a particular labour union. Perhaps it is based on ethnicity, Germans in Toronto, for example. Maybe it is based on age, retirees as an example. None of these just-mentioned groups is located in a specific territory. Each of the groups provides some level of interactivity, or functionality. The labour union may have socializing as part of its core, along with the employment conditions of its members. Germans in Toronto do not live in a particular area, but are known as one of the most institutionally complete communities. What does that mean? There are German newspapers, German banks, German shops,… Maybe this community belongs in Type III? We would have to investigate further to determine that. What about the retirees? There are many communities available to people in this category, from the national to the local level. What are the functions? Much is based on socializing. But there are also financial services, travel opportunities, and so on. Wellman refers to Personal Communities as the community of today, a loose-knit, loosely-bounded community based on the social networks of individuals. Each individual is seen as belonging to several personal communities, many with only one function. These communities become very purposeful--they achieve certain goals or fulfill particular needs for the individual. And because individuals have many needs, each individual belongs to several communities. It is important to realize that these are not exclusive categories - exhaustive, but not exclusive. By this I mean that a person may belong to multiple communities (much less likely for those in Type I) and these communities may be of different types. What have we accomplished here? We have created a typology of communities. We have attempted to locate communities that we are aware of into the four categories. Can you locate the following communities? Gays, Rosedale, punks, police, Somalis, …? But there are lots of questions remaining. When does a community move from one type into another? What are the dividing lines? Does everybody belong to at least one of these communities? Does this really help us understand urban areas any better? Let's focus on that last question for a moment. Very early cities probably had only a couple of communities. We looked at these when we considered pre-industrial cities. Society was divided into two groups of people, based on their occupation or class--the elite, few in number, and everybody else. Well, there were a few others, sometimes called the outcastes, the untouchables. We discovered the patterns of land use associated with each of these groups. The division into the two groups helps us understand how the pre-industrial was shaped, how it functioned as a city. What about industrial cities? Again, although the number of communities increased greatly, the typology can help us discover those with influence over the shape and direction of the city. We can begin to understand how industrial cities worked. In both these cases, communities were territorial. There were few non-territorial communities. Why? We can place communities into many of the models of urban structure and urban growth, and this can help us understand why cities grew the way they did, and in some sense predict future growth. This leads us to look at what might be called the post-industrial city--cities of today (in many parts of the world). We no longer require territoriality as a prerequisite of community. Does this affect the physical shape of the city, or its growth? Why do we no longer need territoriality? What has changed? Do our models of urban structure still pertain to post-industrial cities? The next couple of modules will help develop these ideas, and answer any hypotheses you might advance at this point. They may also raise more questions. What communities do you belong to? What types of communities are they? . LAST REVISED 10/31/03 Part 1: Communities - Classification and Characteristics . Another View (or two) At the height of the concern over the loss of community, several sociologists and philosophers wrote about how to regain our past innocence, our previous communities. They also had prescriptions for change. One of them, Lawrence Haworth, wrote The Good City (1963). In this book, he argued that cities had two essential ingredients: opportunity and community. Opportunities are provided, depending on your political stripes, either by the state or by other institutions. For most, city opportunities involved economic advancement - jobs - that became available as we industrialized. All cities have opportunities, or at least more opportunities than the alternatives. They were the beacon that enticed people from rural areas to migrate to cities in large numbers; they are still that beacon today in the less developed nations of the world. Because urban life is specialized it is diverse; the person confronts an unprecedented wealth of opportunities to act, to express himself, to develop his potentialities. What specialization removes from life is community. By promoting a plurality of individual worlds, specialization dissolves the continuity of persons, their sense of living a common life and having common concerns. The problem is that of restoring community to the city in such a way that the distinctive contribution of city life, the wealth of opportunity it offers, is not lost. [Source: Lawrence Haworth (1963). The Good City.] But what about community? Do cities provide the necessary supportive environments in which individuals can live meaningful lives? Do we find a place to live that is a supportive community? Are we happy with the other institutions available in cities? Education? Security? Governments? And are the economic opportunities all that great? A community is often seen as a moral context for opportunity. Given the recent spate of executive misdeeds, we might begin to wonder about the strength of community and morals. Robert Bellah, another sociologist who wrote Habits of the Heart (1985) and The Good Society (1991), also addresses the moral failings of community. He decries the new suburban housing development communities; he terms them lifestyle enclaves. To Bellah, "Members are homogeneous, expressing their identity through shared appearance, consumption and leisure activities. These are the kinds of places that allow marketers to figure out people's cereal preferences by their zip codes." [Source: Robert Bellah (1994), “Strong Institutions, Good City” originally published in The Christian Century, June 15-22, 1994 , pp. 604-607.] He wonders what community 'looks' like in the modern city. We are still having trouble moving from our Type I community stereotype - which is also the Gemeinschaft notion of earlier German sociologists. But small towns and rural areas could also be stifling, oppressive, and resistant to differences or change. This nostalgic, feel-good community is probably not particularly relevant in today's society. In such communities the members shared values, goals, social norms - shared them to a very high degree. In the city today, such consensus is not likely achievable, and perhaps not even particularly necessary to form 'good' communities. But there is a strong individualistic streak among us. Many believe that if only we could all be provided with opportunities (somehow) we will develop our own individual sense of the 'common good'. To these same folks, if each of us follows our own sense and understanding of this 'common good', the whole will be a society that provides both opportunity and community each with the 'proper' attributes. This is shades of Adam Smith and the notion that if each person seeks to act in a way that benefits them (economically) individually, the result will be the optimum for all. Juergen Habermas (German social philosopher) speaks about this individualistic notion as creating a world of individuals and systems (the economic and administrative systems that provide the opportunities), but not a 'lifeworld'. The 'lifeworld' is the place where we communicate with others, where we discuss ideas and concerns and come to agreements about standards and norms - all community forming notions. To the critics, the idea that individually we will find the 'common good' is both inadequate and misleading. There is a need to develop communities as a group process, an often difficult and fractious process, but one that is defensible, and yields strong but flexible communities. Are our communities morally deficient? What are some examples of community norms? . LAST REVISED 10/31/03 Part 1: Communities - Classification and Characteristics . Community History viewed through a technological lens [Note: Much of what I've written below is generalizations and simplifications. There are always exceptions.] Pre-Industrial Communities In earlier cities, we lived within walking distance of the people with whom we interacted. The information available to us came to us by talking or listening. Our memory was the limiting factor. We know that the brain can store immense amounts of information--we just can't always retrieve that information. [Remember this when you write your exams. The best way to store information so that it is more easily retrievable is to review recently received information within 24-48 hours after you first heard/read/saw it. That means that you need to go over your reading notes within a day or so of first writing them. This first review process doesn't have to be long, just sufficient to remind yourself.] Back to the early cities. We knew our 'place' in these cities. Life was precarious enough so that change was frequently seen as a bad thing. The status quo was desirable. We lived in the same area, perhaps even the same house as our parents, our ancestors. We probably even had the same occupation. Urban structure was fairly stable, the cities did not usually grow rapidly and life went on. We socialized and interacted with those who lived near us. Only cataclysmic events brought about change. Famine and natural disasters meant that new people migrated to the cities; war could obliterate cities, etc. Industrial Communities With the technological changes that pre-dated and accompanied the Industrial Revolution our cities and communities also changed. Cities became larger. [Note: there were some large pre-industrial cities--the size of early Baghdad, for example, has been estimated at about one million people.] As the cities grew, the number of different communities also increased. Our society became subdivided into additional classes of people, each of which tended to locate in what we now see as fairly predictable areas. (Is this just an example of ex-post-facto (after the fact) rationalization or were there real forces determining location?). Remember to think about communities in modules 6 and 7 when we look at the Industrial Revolution. Some of our models of urban structure deal with industrial cities. These models will be presented in module 9. Some are time and place bound; e.g., Burgess's concentric zone model of 1920s and 30s Chicago. New classes of people--the middle class for example--emerged. While the elite of society, the upper class, did not change substantially--it was still small, and still basically a very conservative group--the elite's place in society, at least to some degree depended on the fact that others recognized its existence, did not seek to change it. Many in the middle class attempted to ape various aspects and behaviours of the elite; however, a true elite is born to the position, and does not entertain newcomers warmly. The elite's position is ascribed, not achieved; that is, it is a condition of birth and cannot be earned through hard work, superior intellect, pots of money,... If wealth were the only characteristic of eliteness, then the 'nouveau riche' would be part of this small upper class elite group. But class is more than money--it's history, and ancestry as well. Back to the city structure. We now see more divisions in the city--pre-industrial cities had an elite area and everyone else was organized into ethnic or occupational areas. Some early cities had many such areas. In some ways the industrial cities had both more and fewer divisions. While the cities were larger and had many more individual communities, the defining characteristics of these communities were fewer and the distinctions more muddled. We still had an upper class elite. Not all cities had/have a true upper class, some had a middle class who assumed or won positions of power in the cities and then 'acted' like an elite. We now have a large middle class, sometimes further sub-divided into lower middle class, middle class, and upper middle class. Further, the lower class subdivided into a working class and the rest. The elite group (or in some cases, the pretend elite) located in the most desirable areas of the cities. (What are considered desirable areas? Is there a set of characteristics that defines an area as desirable?) The middle class, trying to maintain its position close to the elite, located nearby, and the lower classes got what was left. Generally the middle class areas acted as a buffer zone between the elite and lower class areas. We will see the role of class structure in the models developed in module 9. Our communities were locationally based. We interacted with those who lived near us. They were like us. We probably had similar jobs, similar monetary and property holdings, similar values and mores. Post-Industrial Communities What happens today, in the post-industrial city? To some extent, we still don't know; it's too early to tell. Our built environment will not change rapidly. We can see two conflicting movement trends: back to the city out to exurban areas Who moves back to the city? The industrial city frequently had lower classes living near the urban core (a change from the pre-industrial city) near much of the manufacturing heart; that is, they lived in rather undesirable areas. As cities lose their manufacturing or it moves to suburban or offshore locations, buildings are converted or razed and rebuilt with upper middle class individuals in mind. Why? What other changes accompany this influx of people into central cities? [Hint: central cities have continued to lose in total population numbers over recent decades.] On the other hand, we notice that areas at the more extreme edges of cities are growing, metropolitan areas increase in total physical size (e.g., the GTA). Who moves to the edge? Why? Is it a class-based move, or is it based on occupation, on age, on what? What does it mean for our communities? We've heard about bedroom communities. Are we heading towards a society made up of Type II Communities of Limited Liability? Wellman argues that communities continue to thrive in this environment. He also investigates (in other articles that are not required readings) a smaller group of individuals--the neighbourhood. As a sociologist, and specifically interested in social networks, his approach to communities falls under Type III-Personal Communities in our typology. He has also noted (again, in some of his other recent writings) the confusion over and conflation of communities and neighbourhoods. But, for him, the confusion is inconsequential, his studies are focused at the individual level, and the community is defined by the person him/herself. What does this mean for communities? How do social network analysts study community? We will continue to discuss aspects of the post-industrial city as we move through the course. Keep the thoughts about community, networks, and urban structure in mind as we attempt to explain what's happening in cities and where it will take us in the near future. We will also continue to look at the role of transportation and transportation substitutes in some instances (i.e., telework or essentially taking/transporting the work to the people rather than transporting people to the work.) We will look at the changing nature of work itself and its impact on community and urban structure. . LAST REVISED 10/31/03 Part 1: Communities - Classification and Characteristics . Communities and the Information Revolution The first question that one might ask about the Information Revolution is whether it is indeed a revolution? But regardless, whether it's a revolution or an evolution, or whether it will be a historical footnote, it certainly seems as though it is making a difference to most of us--to the way and the places in which we live. (For the sake of sanity if nothing else, I will continue to call it an Information Revolution, but understand that since it's an open question, this is merely a convenience.) The Information Revolution is a communications revolution. It's not mere chance that communication and community have the same root word. We saw earlier that communities require interactivity, or in other words, communication. The changes brought about by the Information Revolution, changes in the ability to communicate widely and in new, additional ways have the potential to change the shape, structure and functions of our cities. Why? What are the changes in the nature of communication wrought by technology? We can place the changes in four categories: Scope Speed Method Content Let's look at each of these in turn. Scope We already know that until recently most communication was face-to-face. There were also many examples of written communication--stone tablets, letters delivered by a Wells Fargo type of courier service, monkish scrolls, and so on. But many people could not read so the distribution of such messages was fairly limited. In industrial cities, literacy improved, regular mail deliveries were established, telephones, televisions and fax machines were introduced. But still the number of people who could be reached continued to be somewhat limited. Some methods had a greater stretch; e.g., television, but most were aimed at smaller audiences. With the introduction of the widespread use of electronic communication - email and webpages - individuals, not just broadcasters, publishers or advertisers had the ability to reach millions with a single, simple (or complex) message. Every person is a communicator. Historically, our thoughts and words reached only a few people, but now every person has the potential to send their message to many thousands if not millions of others. We have all become publishers. Speed Face-to-face communication is immediate. The participants to the exchange are all located in the same place at the same time. Innovations occurred that allowed rapid communication between people not at the same location -- the telegram, the fax, and so on.The Post Office and mail couriers provide less immediate, but usually fairly quick communication, particularly the latter. Television frequently provides us with live, as it happens, coverage of events. Electronic communication is also usually immediate (or very close to it, barring a breakdown in the technology involved). What we seem to have is a sizeable variety of methods of communicating, many of them instantaneous or nearly so. What's the difference in the post-industrial city? Speed alone is not the single, distinguishing factor. It is, however, necessary. Method Communication can be face-to-face, written, televised... All of us engage in face-to-face communication, some of us in written communication, and very few of us in televised communication. The difference today is that more of us can be involved in the latter two methods. While we may not be televised, our image (along with our words) can be delivered via the Web. Small video cameras (web cams) have been around for awhile, and although many of the applications of the technology have been trivial (the camera shooting images of the state of the coffee machine in the staff lounge in one the labs at MIT for example), the potential is there for any of us to become a reporter on location, a lecturer, and so on. Content Content is the 'other' part of the Information Revolution. We live in a world of information overload. Take a look at the first results from a study at the University of California-Berkeley about estimates of the amount of information that is available, and the forms that the information takes. [Skim the executive summary; try the SoundBytes, and take a quick gander at the charts, and anything else of interest to you.] Most of this information is recent; much of it is repetitive. How do we know what to read or when to read it? How do we find the information we need, when we need it? [Note: A couple of the skills that we work on in this course are useful here---searching, skimming, etc.] Technology not only creates the information (using data mining techniques - we discuss this later in the course), it also provides methods for locating, sorting and sifting the information. Some of these techniques are still in their infancy. We don't have a universal set of identifiers for the information content, our searching techniques are really still very rudimentary (remember they're really only about a decade or so old, although they're based on mathematical algorithms that have existed much longer). What we could really use is a personal information agent to whom we can pose questions and who will find, read and return to us the information we need, already summarized for our use. There are a number of current experiments with intelligent agents that can begin to undertake this sort of task for us. But the languages of human communication are very difficult to codify for the use of these agents. We don't always say what we mean, some of us write better than others, we write in many different languages, and sometimes we only talk, we don't write. In these cases we also talk with our bodies, not just our words. Can an intelligent agent understand when we speak an obvious untruth--for effect? Innovations and advances in communications technology increase the amount of information and our ability to find the relevant bits of this information. Does any of this make a difference to our communities? Well, it certainly has the potential to make a difference. How? Where We Live With Whom We Socialize What Job We Do and Where We Do that Job How we Spend our Leisure and/or Retirement time We will continue to investigate these, and other, aspects of cities and urban life throughout the course. We have already seen some changes to leisure time activities brought about by the growing use of computers and the Internet. We will soon turn our attention to the economy and the changing nature of work. As always, nothing is ever neat and tidy--it is difficult to consider any of these questions in isolation. They are interrelated and 'the whole is greater than the sum of its parts'. [Source: Lyman, Peter, Varian, Hal R., et al (2000). "How Much Information". Berkeley: University of California. Available online (http://www.sims.berkeley.edu/research/projects/how-much-info/index.html) Last accessed: November 4, 2002.] . LAST REVISED 10/31/03 Part 2: Virtual Communities . Virtual Communities In this section, we investigate virtual or online communities. We begin by adding some additional information to our previous work on communities and then investigate the various forms of online communities. We ask the question: Are they really communities? We conclude by looking at the future possibilities. Loss of Community? Louis Wirth Previously we learned that some authors decried the loss of community, while others noted that the community was not dead--it was merely altered. Rumours of the death of community began back in the 30s with the publishing of a seminal work in Sociology by the Chicago sociologist, Louis Wirth, entitled "Urbanism as a Way of Life". In this work, Wirth set out to demonstrate that with increasing size density and heterogeneity cities and their residents were losing much. In particular, there was a loss of community, a decrease in primary relationships, and an increasing sense of anomie. Let's try to decode these last few sentences. First of all, heterogeneity is the opposite of homogeneity (think of homogenized milk--milk that has been mixed so that the cream and the rest of the milk are mixed so thoroughly that the cream never rises to the top; that is, all the particles of homo milk are the same). So heterogeneous must mean that the particles are different. Applied to a city this means that the people are different. Remember that Wirth was writing in Chicago in the early part of the last century. That was a time of tremendous immigration to Chicago. Chicago was changing; new nationalities and ethnic areas of the city were being developed. It was a time of rapid change. The old 'rules' no longer seemed to apply. What does Wirth mean by a decrease in primary relationships? Let's consider that we have two types of relationships in our lives: primary and secondary. In primary relationships, we have close ties to each other; we know more about the other individual--they are a whole person. A secondary relationship is, on the other hand, one in which we interact with an individual on one plane. Most of our relationships are secondary. We purchase items from a clerk in a retail store. We discuss the purchase with the clerk, we interact with the clerk, but we know very little about the clerk, other than his/her knowledge of the item that we are about to purchase. This is a secondary relationship. Now consider the interaction that we might have with a close friend or a relative. While a particular exchange may highlight only one aspect of that relationship, our knowledge of the person goes far beyond that single instance. In some cases, we are pretty good at predicting responses. We say that we 'know' the person. So Wirth bemoans the fact that primary relationships are decreasing. Increasing anomie--what is that? Anomie is a sociological term (coined by another very famous sociologist, Emile Durkheim, in 1893 in his book, The Division of Labour in Society) meaning a sense of isolation, being divorced from society with few, if any, support structures; powerless, helpless. According to Durkheim, it was a sense of normlessness, and a precursor to depression and suicide. Putting all this together, what Wirth is saying is that society, particularly urban society, was moving inexorably towards a time of increasing crime and deviance, a time in which the norms of society were being lost, a time when communities and the cities in which they existed were on a downhill slide. Now, that's an extreme view of Wirth. What he was trying to establish was that we, as a society and those involved in the planning and support of the urban condition needed to consider these 'facts' in attempting to understand the dynamics of urban life. His essay was not all gloom and doom. He stressed the capacity of cities for fostering individual actualization and great heights of cultural innovation and expression. But it was a warning! The film Brazil, directed by Terry Gilliam, takes the same premise and presents a sardonic, yet dystopian view of the future. Community Changes Contemporary urban theorists still refer to Wirth, are still concerned with the loss of primary relationships and community. But as we have read in Wellman, others point not to a loss, but rather to a different form of community. Wellman would have us investigate communities as personal networked forms. From this viewpoint, communities have become not fewer or less coherent, but in a way, more--more in number, and more specific. Whereas we could theorize that early communities were supports for the entire person, providing a variety of functions to satisfy all of our needs, modern networked communities are more splintered. Individuals 'belong' to a number of such communities, each one supporting or relating to specific needs of the individual. We can look at a rather simplistic view of a social network and then consider that each of us have a multitude of such networks, many of them with little or no overlap in people. Thus, according to Wellman, we live and interact in a plethora of networked personal communities, many of them not bound by place. The image below shows a social network of students in campus buildings. In an earlier age, while we might have had contacts and relationships with others living at a distance, we probably tended to rely more on those that were near to us. We satisfied our needs. Let's talk about human needs for a moment. Perhaps this helps us understand why we are in a position that allows us to depend increasingly on remote or virtual communities. Maslow and Human Needs In 1943, Abraham Maslow, a psychologist, wrote about a theory that has become another classic. In his work, he described a hierarchy of needs applicable to all humans. ("A Theory of Human Motivation," Psychological Review, 50, 372-3). He described his theory using a pyramid structure of human needs. The first four levels of the pyramid might collectively be referred to as deficiency needs, while the pinnacle of the pyramid could be considered a being need. [Source: http://www.abacon.com/dia/socio/p18.html] For Maslow, the first level of the pyramid is basic human life needs; food, water, sex (but only for procreation, not love). Once we can sustain life, the next level involves the search for security and safety (a continuation of life). Generally one thinks of having a dwelling at this point--a place to defend. Once these basic needs are met, we look for a sense of belonging, and the search for love begins. We need a community, however small. The next step is a longing for approval, for self-esteem. These steps in the pyramid are all simultaneous. It's not as though we satisfy all our physiological needs and then seek to fulfill our safety requirements, and so on. But to Maslow, we have to fulfill at some level all of the deficiency needs before we can stretch toward self-actualization, or performing to one's full potential. He spoke specifically about creative people, but one can fulfill one's potential in a number of areas--we can bake the 'near'-perfect cake, assemble from parts our own 'near'-perfect computer; in other words, we establish our own goals and seek to achieve them. And the achievement of our goals is satisfying and helps us define ourselves. Maslow was a proponent of encounter therapy. The drive for self-actualization among many was achieved through encounter sessions. This therapy enjoyed a heyday during the 60s. Perhaps we, having satisfied most of our deficiency needs, seek to self-actualize by establishing ourselves in more purpose-driven communities. This does not mean that local place communities are dead, rather that they are augmented by a multitude of other non-place communities or networks. Consider some stereotypes: a homeless person, a drug addict, a recently out-of-work coal miner from Nova Scotia, etc. How/where do they fit in Maslow's hierarchy? What do you presume their communities to be like? Community and Neighbourhood Our local community may be more like a neighbourhood, satisfying immediate needs. What we might refer to as higher order needs could be met through our belonging to other networks, other virtual or online communities. Are our neighbourhoods the important local community? What is the distinction between a neighbourhood and a community? We noted before that neighbourhoods always had one condition that only sometimes applied to communities--a territory. Just as for communities, there are many views of the neighbourhood. [Source: adapted from "What Neighborhood?" G. Mercer, 1976. New Society, 33, 694 (January, 22), 154-55.] . LAST REVISED 10/31/03 Part 2: Virtual Communities . Types and Methods of Creating Online Communities In this section of the module we review a number of possible types (or perhaps more appropriately methods of creation) for online communities. We will discuss, in turn, the following methods, following essentially an historical approach. Discussion Lists & Bulletin Boards News groups & Chat Graphic interfaces or content MUDs, MOOs, ... Video Conferencing Virtual versions of 'real' cities Virtual realities Discussion Lists and Bulletin Boards Online communities, much like the Internet itself, began with academics. Government agencies may have been interested, but the bureaucratic and sometime secretive nature of government communication probably doomed any fledgling interest in the area. Originally, academic communities allowed those with similar disciplinary interests to gather together to discuss ideas of common interest. They were probably outgrowths of a desire to keep in touch after meeting at a conference. The groups grew, the creators allowed others to join. Eventually we’ve reached a point of thousands of such groups; most of them held together by a discussion list (much like citytalk or our cyber## groups). Historically, these lists were created during the early stages of Internet growth, while there were still quite separate networks, not yet joined into the 'grand' Internet. Academics were part of a network called BITNET (sometimes the acronym is decoded as Because It's Time Network). There is a large list of most academic discussions (http://www.mailbase.ac.uk/kovacs/ ), one produced just for discussion lists run with the listserv software (http://www.lsoft.com/catalist.html) and a couple of different indices to most public discussion lists (http://www.liszt.com) and (http://www.tile.net/lists). Take a look at one of these and see if there are any lists with topics of interest to you. Remember, only lists that are considered public are listed; in some cases new members still have to be "approved" by the existing membership or the 'owner' of the list before they are allowed to join. But discussion lists were not the only method for keeping in contact, or meeting new people. Bulletin boards also grew. In the early days, BBSes (bulletin board services) were reachable by modem. The person wishing to communicate called a specific phone number and logged into the BBS. Some of these bulletin boards were a way of 'sharing' software, required a membership fee, and were generally quite small. For each simultaneous user another phone line was required. I knew students who ran BBSes for the occult, for warez (the term used for illegal software sharing), for computer programming. But perhaps the most famous BBS of all was/is the WELL (Whole Earth 'Lectronic Link). Named after the Stewart Brand book, The Whole Earth Electronic Catalog, the WELL attracted academics, the literati and entertainment personalities. They carried on discussions on a wide range of topics. (We will talk later in the course about the role of the WELL in a very famous pornography case covered by Time magazine.) Howard Rheingold was one of the original founding members of the WELL. He coined the term 'virtual community'. In the introduction to his book by the same name (required reading for this module), he speaks about the WELL. It became a multi-faceted community, one that was text-based and depended on the then current technology--pretty slow telephone modems. Subscribers lived mostly in the Bay Area of California; after all, to participate one had to call a phone number that was in San Francisco. This restricted the community to those in the area, or those who could afford the long-distance charges that accompanied usage. There is a well-documented study of the near self-destruction of the WELL which occurred when a heated, long-lasting argument among the members took place. Many left the WELL in anger and hurt. But the WELL persisted, and grew, and the number of different discussions multiplied. [optional: read about life in the early days on the WELL- http://www.wired.com:80/wired/archive/5.05/ff_well.html] But then, the web was born. And now there was another challenge to the WELL (and all other BBSes as well). Some died. Others modified and persisted. The WELL is one of those that changed and continued to live, although not as such a unique experience, nor one that had such a famous membership list. You can visit the WELL. Some of the content is available to all visitors; most is restricted to fee-paying members. The bulletin board metaphor continues. Specific software was developed to mimic the bulletin board in a web browser. Bulletin boards or forums are now very common. Many news services allow readers to comment on particular editorials or stories. Individual responses are posted and the determined viewer can read all the postings on a particular subject. The interface is kludgy; it’s one message at a time. It also looks a bit like another technology that existed pre-web: the newsgroup. (more about them later). But are these web bulletin boards communities? Yes and no. It is possible for a person to set up a free bulletin board and restrict membership to invitees. So, one might set up a discussion area for members of one’s extended family, or to graduates of a particular high school, or whatever ... The academic discussion lists--originally hosted by academic servers and running fairly robust discussion list software (like listserv--used by York, or majordomo or listproc) also flourished. Less robust software is used by Yahoo, Topica and other companies that provide 'free' discussion lists for those who apply. Typically a discussion list is managed by one person or a small group of people, sometimes called moderators or list-owners. The responsibilities for owners/moderators often include facilitating and managing the discussion. List owners are often responsible for dealing with spammers, abusive list members, subscription issues, and so on. Some discussion lists are extremely active; others lie dormant for quite a while, until an issue ignites discussion. Most lists proceed through a life cycle. Life Cycle of a Discussion List Every list seems to go through the same cycle: Stage 1 Initial enthusiasm people introduce themselves, and gush a lot about how wonderful it is to find kindred souls Stage 2 Evangelism people moan about how few folks are posting to the list, and brainstorm recruitment strategies Stage 3 Growth more and more people join, more and more lengthy threads develop, occasional off-topic threads pop up Stage 4 Community lots of threads, some more relevant than others; lots of information and advice is exchanged; experts help other experts as well as less experienced colleagues; friendships develop; people tease each other; newcomers are welcomed with generosity and patience; everyone -- newbie and expert alike -- feels comfortable asking questions, suggesting answers, and sharing opinions Stage 5 Discomfort with diversity the number of messages increases dramatically; not every thread is fascinating to every reader; people start complaining about the signal-to-noise ratio; person 1 threatens to quit if *other* people don't limit discussion to person 1's pet topic; person 2 agrees with person 1; person 3 tells 1 & 2 to lighten up; more bandwidth is wasted complaining about off-topic threads than is used for the threads themselves; everyone gets annoyed Stage 6 A Smug complacency and stagnation the purists flame everyone who asks an 'old' question or responds with humor to a serious post; newbies are rebuffed; traffic drops to a doze-producing level of a few minor issues; all interesting discussions happen by private email and are limited to a few participants; the purists spend lots of time self-righteously congratulating each other on keeping off-topic threads off the list or Stage 6 B Maturity a few people quit in a huff; the rest of the participants stay near stage 4, with stage 5 popping up briefly every few weeks; many people wear out their second or third 'delete' key, but the list lives contentedly ever after [Source: Kat Nagel, "The Natural Life Cycle of Mailing Lists", May, 1996, as reprinted by John Suler, http://www.rider.edu/users/suler/psycyber/lifelist.html.] Where are our course discussion lists in this cycle? Does the cycle apply at all? Gender and Discussion Lists Discussion lists (a form of computer-mediated communication) have been studied on a number of occasions. Many researchers have investigated gender issues. Examples of early reports of gender online are: Susan Herring, (1994) "Gender Differences in Computer-Mediated Communication: Bringing Familiar Baggage to the New Frontier" Leslie Regan Shade (1993), "Gender Issues in Computer Networking" Amy S. Bruckman (1993), "Gender-swapping on the Internet" Stacey Horn, a long-time member of the WELL, established an East Coast 'area' within the WELL, and called it ECHO (East Coast Hang Out). She wrote a book about her experiences, Cyberville. The New York Times carried a review (“Echoids”) of the book back in 1998. (Only the first few words exist any longer on the NYT site, but earlier I kept a copy--the link is to that copy). See Herring's report on this research (optional) “Gender Differences in Computer-Mediated Communication: Bringing Familiar Baggage to the New Frontier” or the more broadly based “Gender Issues in Computer Networking”. There’s also the report of a male participant in a MUD who pretended to be female “Gender-swapping on the Internet” What is your experience online? Been hassled, hustled, courted, lied to, whatever...? Do you think that it's different today? After all, these articles are old now. Goal-directed community memberships Let’s look at an example of a goal-directed community membership. You’re thinking about buying a car. You join a discussion list or bulletin board forum for owners of the car(s) you’re interested in. You read and lurk for a while and then start asking questions (carefully worded so as not to insult existing discussion members). One of the worst things a new member to a discussion list can do is to join, and then immediately post a note saying something like, so what’s this list about? It’s a real social faux pas. In a face-to-face context you would get, at best, the fish eye stare and told to get lost. It’s little different in cyberspace: manners and politeness demand that you wait for awhile, until several messages have been posted and you get a sense of the level and tone of the discussion, and the types of questions/topics that are discussed, and if at all possible look at the archives of the list, before posting your question(s). Back to your chosen car discussion list--you decide not to buy this particular type of car and drop the list. Was this a community? I suspect one would be hard-pressed to consider it one--rather it might be just another way of gathering information, of conducting 'research'. Now, if you did buy the car, and remained a member of the list, you might develop online friendships with other members who own the same car as you. Then, we could reconsider the community nature of the discussion list/bulletin board. . LAST REVISED 10/31/03 Part 2: Virtual Communities . Types and Methods of Creating Online Communities: Newsgroups I promised that we’d get to newsgroups. Like bulletin boards, newsgroups existed pre-web. There are thousands of newsgroups on topics as varied as discussion list topics. In many ways discussion lists and newsgroups are very similar. However the underlying technology and the process of reading messages is different. One type might be considered 'push' and the other 'pull' technologies. Now, what do I mean by that? Discussion lists, as we know, distribute all list messages to each member of the group, as email messages in their inbox, that we then read using an email client. Newsgroups hold all messages on a central server and one needs to use newsreader software in order to have access to the group. Thousands of newsgroups are open to any and all comers. There is no subscription. This has meant that newsgroups were among the first to get 'spammed'. Since anybody can read and send messages that are posted to the newsgroup, many did just that. Newsgroups are often referred to by the name originally given to them--Usenet. Let’s take a look at a newsgroup. Open your web browser. Well, you may wish to read the directions given below first. You may open any newsgroups you wish; in the pictures below I am working with the newsgroup sci.fractal. Disclaimer: These screenshots and directions were written about a year ago with the Netscape and Internet Explorer processes that existed then. They were also created using a Macintosh. Current versions are likely slightly different; and the locations of the commands may be elsewhere in the menu structure, but the basic procedures remain the same. Additional note: The term subscribe is used when talking about newsgroups; however, this is not a subscription in the same sense that it is used for discussion lists. For lists, to subscribe means that you are known as a member of a group - at least to the moderator of the list, and sometimes to all the other members. For newsgroups, to subscribe is merely a way of getting the particular newsgroup available to you for reading. No one approves your subscription; no one really knows that you are 'subscribed'. If you already know how to access newsgroups and are comfortable viewing messages in them, feel free to skip the setup instructions and go here. Internet Explorer Let’s set the preferences so that we can access York’s news server. (Aside: there are hundreds of news servers in existence. They keep in touch with one another, making sure that each server has an up-to-date list of messages and that new groups are added as needed. In order to create a newsgroup, one has to be sponsored, or the creation of the group has to be approved by other news group readers who 'vote'. For example, a newsgroup that was considered to be hate-based has been defeated several times in the past and has so far never been allowed; it keeps coming back for another try though.) First you will need the address of York’s news server. It’s newshub.ccs.yorku.ca IE defaults to Outlook Express as the newsreader. You can also download specific news reading software (Free Agent for Windows, and Newswatcher for Macintosh - see http://www.yorku.ca/ccsweb/computing/internet/usenetreader.html for downloads). You will need to create an account in Outlook Express for the York news server— Microsoft’s News server is probably already listed. Your ISP may also maintain a news server and it too may be listed. To create an account, go to Tools-->Accounts. Click on the news tab and select new. Enter the information about York’s news server. Then return to Outlook, double click on your newly created account - I called mine York News. The York News server is now listed in the Folders area of Outlook. The complete list of all newsgroups will be loaded - there are 14,189 groups at the moment. York does not provide access to all the newsgroups that exist. That would number around 100,000 currently. But many of these groups are specific to certain universities, businesses, whatever, and not really relevant to most users at York. If you know about a particular newsgroup that is not on York's list, you can apply to have it added to York’s server. The first thing you’ll notice about this alpha list of newsgroups is that the first set of them all start with alt. (stands for alternative--this was one of the original newsgroup hierarchies established in 1979. The others are biz., comp. news., rec., sci., soc., and talk. But, you say, you see others in the list: for example, bit. (Because It’s Time network - one of the original educational networks and the bit. newsgroups mirror many of the discussion lists that first made their appearance on BITNET. You’ll also find newsgroups from the U of T, Carleton, McMaster, Waterloo, and of course, York.) Pick a newsgroup and investigate some of the messages. Chances are that you’ll see messages that are apparently on the topic of the group, but also likely some spam. Messages expire in newsgroups. My recollection is that York keeps messages around for as little as two days--in the hyperactive binaries groups, and as much as a month in course-related newsgroups. Once they’re gone, they’re gone - there is no archive, no way to retrieve them. This is a major difference between newsgroups and discussion lists. Well, I just checked out alt.binaries.pictures.fractals (fractals are mathematical equations that can be displayed as very intricate pictures that one can zoom into ad infinitum. There were 9 messages, and not a single one of them had anything to do with fractals. I had better luck with sci.fractals. There are 45 messages (actually more). Note the small arrows on the left of some of the messages. Click once on the arrow, and other messages on the same topic (threads) are shown. When I expand all the threads, there are 122 messages. There are newsgroups on rather unusual subjects (for example, the alt.barney.dinosaur.die.die.die newsgroup really seems to have outlived its usefulness, if it ever had any). Netscape: First you need to set up the york news server. Under Edit-->Preferences-->Mail--> Newsgroups. You'll note that in this case the Microsoft news server is not listed, but my ISP (Sympatico) also maintains a news server and it is listed. Click the Add... button and enter the information for York's news server. York's server is now in your Folder List. Under the Communicator menu, select Newsgroups Then double-click on the York newsserver in the folder list. The York news server will be queried and all the newsgroups will be returned. The process is much the same as for IE, except that the organization is somewhat easier to cope with. At least all the groups with the same beginning (alt., biz., etc) are grouped together rather than displayed in a neverending list. Each newsgroup listing also shows the number of messages, very helpful so that you don’t mistakenly open that newsgroup with over 6000 messages. In order to view the messages in any of the groups, in Netscape you must 'subscribe'. Check the box following the name of the newsgroup you wish to view. All this does is place the name of the newsgroup under the York news server in your folders list. When you double click on the name of the newsgroup at this location, the message window will display the headers for all the news group messages on the topic (or off the topic as the case may be). Netscape displays an icon of a spool of thread when there is a discussion thread. Expanding the message threads: OK, now that you’ve tried it, what are the differences between newsgroups and discussion lists? Take a look at the york hierarchy. Note that very few of the newsgroups have any messages. Perhaps this says something about the usefulness of newsgroups in an academic setting? Chat And then of course, there’s chat and instant messaging. Chat began as an application called IRC (Internet Relay Chat). This application worked much like channels on citizen-band radios. If you knew the name of the channel, you could connect to it. If others were also connected, text-based chat could ensue. For academic purposes, chat is often maligned. York's provision of IRC was disbanded about five years ago. Even then, it was not run by CNS; rather it existed as part of the Computer Science program. Although not much is said about why it was 'cut off', it is likely that it degenerated into something that was no longer academic, and that abuses overwhelmed those who were in charge of it. Much chat is not exactly intellectual discussion; frequently there is no way to archive the discussion for later review; it doesn’t scale up very easily (imagine all 200 of us trying to talk at the same time), it requires people to be logged in and chatting in real-time (also known as synchronous communication). However, for smaller informal groups, it acts much like a conference call, and can be very useful for collaborating on group research, forming study groups, etc. With the development of the web, chat took on new life. AOL and other ISPs provided chat facilities, often with competing technologies that did not 'play well together'. So, for example, we know that people have AOL chat (AIM), Microsoft chat (MSN Messenger), iChat (Apple's version that does work with AIM), Yahoo's Messenger and so on. Accounts on these chat servers do not have exactly memorable names, so folks get an address book of their chat friends. Most chat occurs among individuals aged 35 and under, although a number of businesses have started a limited use of chat services as part of their communication strategies. The only graphical element to most chats is the ability to have an icon, or a picture of yourself (or somebody else that you’d like to be) as part of your log on identity. One exception to this is an earlier version of Microsoft's: Comic Chat. Using this particular application, every person chatting was part of a comic strip with their 'chat' enclosed in bubbles - much like cartoon strip characters. Although the software used, MS Chat, is still available online, it is no longer listed among Microsoft's products. If you are interested, try a keyword search on Microsoft's download page (www.microsoft.com/downloads). You will also need to find a place running the server version. One that I discovered is www.irccomicchat.net [update-Oct 31: no longer functioning- try IRCX-City instead.]. This site also has a link for downloading the software. I'm sure there are others. Try a google search to find coloured avatars, backgrounds and sound files. Below is an example screen from a 2-person chat (black and white -- the original Comic Chat was released in 1996, before many folks had broadband connections, adding colour to the program was possible, but costly in terms of download speed). Note that each person has an avatar, the conversation occurs in bubbles, including one that is a 'thought' bubble. The interface allows a few facial expressions to denote emotion. Comic chat was fun, but became very difficult to follow as additional people joined the fray. I tried it in '96 and even on York's network at that time, loading the new screens to the comic strip was pretty time consuming and disconcerting to maintaining the quick repartee usually present in online chats. [Source] Recently, chat has grown beyond its usual age demographic, and is being used in the workplace, particularly by workgroups or teams of employees working on a project. However, many IT managers resist the requests for deploying chat applications in the workplace. Why? Because it's seen as frivolous? Because it has security 'holes'? Regardless, chat use in businesses more than doubled over the year (September, 2000 - September, 2001), from 2.3 B minutes to 4.9 B minutes/month. The number of unique business users also grew and numbered some 13.4 M in September, 2001. For comparison, the number of home users of chat at that time was 53.8 M, and these users spent 13.6 B minutes chatting. In this survey, conducted by Jupiter Media Metrix, AIM was the most popular instant messaging client. [Source: Rick Perera, (Nov, 2001) "Instant messaging at work jumps 110 per cent", Network World Fusion.] Do chatters form communities? Not according to an article in USA Today. The article is short and very pertinent to our discussion of online communities. Read it here. What are your experiences with chat and messaging? For what purposes is it useful? Does it replace/augment the telephone? What are the differences between email, discussion lists, bulletin boards, newsgroups and Internet messaging (chat)? . LAST REVISED 10/31/03 Part 2: Virtual Communities . Types and Methods of Creating Online Communities: Graphic Interfaces: MUDs Another type of 'community' developed, based on the role-playing game of Dungeons and Dragons. The Multi-User Dungeon (MUD) was originally text based and allowed people to play multi-person games online. Educational uses also exist and are often based on a metaphor of a university, with buildings for discussion, for particular subject areas, for library research, and so on. Many variants on the original MUD theme exist. There are MOOs, MUSHes, MUCKs and WOOs. All the acronyms relate to MUDs with some additional information; example, MOO=MUD Object-Oriented. Perhaps not as popular now as they were (the behind-the-scenes creation process is lengthy and involved), other multi-person online games exist and other ways for students to engage in research and discussion also exist. An academic MOO that you can visit is Diversity University. DU was started in 1993 and is still considered one of the largest, if not the largest, educational MUD. A listing of other academic MUDs. There's also a compilation of many (most?) of the gaming MUDs available. You will note that most are some variation of a role-playing game, and decidedly not academic. Online game playing is yet another fun time-waster. Lots of games allow users to play against each other online. There is a concern expressed by some about online bullies (called 'griefers'), who work together to defeat (as quickly as possible) newcomers to the game, to steal their weapons, to make sarcastic remarks about their abilities. Not much different than schoolyard bullies, they tend to make an exploratory excursion into online gaming a difficult experience for some. South Koreans are the most active online game players in the world. It is also no accident that South Korea has the highest percentage of broadband users. Online gaming is expected to grow and create considerable wealth. Note the expected growth indicated in the chart below; also the size of the Asian market. [Source: eMarketer Daily, (2002), "Massive Multiplayer Gaming Gains Mega Revenue", eMarketer Daily, (October 10, 2002), no longer freely available online.] [Other sources: Alex Pham, (2002), "Online bullies give grief to gamers, companies", Nando Times. (October 8, 2002); "Young bullies becoming techno terrors?", Reuters, (April 15, 2002).] Online games have changed much over the years. The current versions are called 'Massive Multi-Player Online Role Playing Games'. The image below shows this progression - from 'Alone in the Dark' to Ultima Online to 2 shots from Neocron. Video conferencing Video conferencing is not really a community, since few can participate simultaneously, but it could be seen to maintain relationships and allow for other types of interaction, even if remotely. I remember seeing a PacBell video created some 15 years ago in which they envisioned video phones, display walls in houses, interacting with other family members in real time, in living colour. The example they used was of a couple, about to be grandparents, with a pregnant daughter miles away. The grandmother flew to be near the daughter, while grandfather and son remained at home viewing what was happening on the wall of their living room. Well, not everything, but conversations with the new mother, the grandmother, the son-in-law-- all real-time, in color. The same technology was used in Afghanistan at the beginning of the war and less frequently in the Iraq War, when no TV transmission was possible; reporters used videophones.(an earlier version is pictured below). Video conferencing has the disbenefit (like online chat) that all members must be present at the same time, although not necessarily in the same place. One of York’s researchers is part of an international research consortium that meets - via video conferencing - once a month. This professor, the only York participant, books the video conferencing suite at York for a Saturday, and spends usually at least three hours in conversation with the other researchers around the world. They show each other results, (there’s a type of scanner [called a document scanner] that can project images of text or other objects online). This setup also requires the use of a technician for the entire period. While it’s less expensive that flying to a central meeting place, the set up of a video conferencing facility is not cheap, and of course there’s the ongoing cost to staff such a centre. The quality is very good. This particular room is hard wired so that the speed is also much better than most other places on campus. (aside: the faculty member has to apply for external grants to be able to afford to hire both the room and the technician for academic research.) Shortly after Calumet College opened in 1991, we participated in an experiment that was later rolled out to folks who bought houses in a new wired community located in Newmarket (StoneHaven). As part of this experiment students were provided with special switches in their suites and the software necessary to participate in videophone type messaging. At one point, we were able to connect 7 different people to a single conversation, but the graphics started to deteriorate; the video became choppy and frames were dropped--actually not very different to what happens using something like Real Player or Quicktime or Windows Multimedia Player when accessing streamed content over the Internet. Companies can use videoconferencing to connect their employees at disparate locations for meetings, consultations, etc. The room can actually be set up so that it looks as though the folks in another location are sitting on the other side of the table. In the wake of the 9/11 NYC disaster, there was considerable discussion about replacing business trips with video conferences. Stock in companies providing such solutions rose. It is likely that there will be a rise in the amount of video conferencing, but of course, it won’t replace all of the f2f meetings. Why? Below I show two examples of video conferences. The first shows a classroom experience. Two lecturers are at the front (by the way, the device that looks somewhat like an overhead projector is a document scanner). The people at another location are displayed on the screen at the front. In order to speak, a participant must go to a microphone, and will only be visible onscreen if there is a person operating the camera, otherwise the scene is set in a single position. There is frequently a second screen for the display of other information--scans from the document scanner, PowerPoint presentations from the lecturers, and so on. [Source] The second example shows a different type of video conferencing, where there are few participants and each of them is displayed in a separate window on the conferencing interface on a computer. This is more similar to the Calumet experiment, and is useful when a small team is working on a project. [Source] What about video applications for communities or cities? Let's look at that next. . LAST REVISED 10/31/03 Part 2: Virtual Communities . Types and Methods of Creating Online Communities: Graphic Interfaces: Virtual Versions of 'Real Cities' Place type communities have also tried to establish virtual presences. One of the first was the Blacksburg, Virginia community network. Blacksburg is the home of Virginia Tech University. Researchers at the university established the Blacksburg Electronic Village (BEV) in the early days of increasing online usage. Citizens could talk to city officials, to other citizens, find out about a variety of services, etc. But with increasing usage of the web, BEV tried to rediscover itself--there was considerable discussion about what BEV should be, who it should serve. Manchester was another city that created 'Virtual Manchester'. More recently the folks organizing this site have added some interactivity In the Netherlands, the Digitale Stad was created. Called the 'mother of digital cities', there is little information in English anymore. The city boasts 50,000 residents. Some information about the Digitale Stad is available in English. (Additional information (optional): a directory of profiled virtual cities.) Martin Dodge, a researcher at the Centre for Advanced Spatial Analysis, co-authored an article in which he wrote about the types of virtual cities available on the web. The authors categorized web-available virtual cities into four types: Type of Virtual City Description web lists web sites that describe themselves as virtual cities, but in reality are merely on-line guides, menus and listings. They are often created solely for advertising purposes, particularly for tourism promotion and make no attempt to represent the built form of cities. 'flat' maps of cities or buildings used as an interface to further information. A nice example is Virtual Bologna which uses a stylised town map of familiar landmarks and buildings as a graphical interface to detailed online information 3D use virtual reality technologies to model the built form of cities, to varying degrees of accuracy and realism 'true' an effective digital equivalent of real cities, providing people with a genuine sense of walking around an urban place. To fulfil this demanding criteria a true virtual city must have a sufficiently realistic built form interface, a rich diversity of services, functions and information content, and crucially, the ability to support social interaction with other people. [Source: Dodge, Martin, Andy Smith & Simon Doyle (1997), "Virtual Cities on the World-Wide Web", Center for Advanced Spatial Analysis, University College, London.] Take a look at BEV and Virtual Manchester now. Are they online communities? Or just another way to communicate within an existing community? Does the interactivity added to Virtual Manchester change your opinion? Using the 4 categories given by Dodge et al, in what category do these two cities belong? Do 'true' virtual cities exist on the web? Virtual Realities But we want more than text, or connections to information sources. In the last few years a number of virtual reality communities have sprung up. One of the first forays into a graphic interface for text-based discussion was The Palace. Last year it was in danger of folding, but users kept it alive. Try visiting the Mansion to get a feeling of a Palace virtual reality. You need to download the Palace client software. You can try out your software at the Practice Palace, and then go to The Palace's front door to find other palaces. The Digitale Stad has two palaces as well: a cybercafe and a park. The picture below shows the gateway to the Mansion: 'newbies' get smilie faces for avatars; the oldtimers can choose or create their own. You can add accessories to your avatar. From the gateway you can proceed to any one of a large number of rooms. At the time this screenshot was taken there were nearly 100 people moving around and chatting in the various rooms. [Notes: 1) if you are using a computer in one of the campus labs, it is unlikely that you will be able to install software on the machine. 2) the observant among you may notice that the URLs for palace sites are different; for example, the URL for the Digitale Stad's cybercafe is palace://cafe.dds.nl/ What is the appropriate term for palace in this URL?] Take a look at Cybertown. It’s a fairly large 3D Sci-Fi city with smaller communities, community and city officials, the opportunity to make citycash, buy and furnish a house. Membership is free. You’ll need a VRML plug-in in order to view. A tour (no VRML plug-in necessary; however, it uses Flash) is also available. If you have the VRML plugin take a look at Virtual Glasgow. The link is to a page listing all the currently available versions--the latest covers a 25 sq.km. area of Glasgow. Is Cybertown a virtual city? What, if any, characteristics of cities or communities is it missing? How does a resident 'buy' things in Cybertown? . LAST REVISED 10/31/03 Part 2: Virtual Communities . Becoming a Member of a Virtual Community What are the benefits of an online community? Do we meet new people with like interests? There are many examples of individuals who have met online, who continued to carry on a more private online discussion and eventually met f2f and sometimes even got married. Do we really know who we’re talking to? [Source: The New Yorker, Vol 69, no. 20 (July 5, 1993). For academic purposes only.] I often use the example of one of my son’s friends, who started up a conversation with a 'young woman', the conversation went on for some days and weeks. Eventually she sent a picture of herself and asked him for one. Then it was let’s get together. He got really cold feet. Who was this person? Was she really who she said she was? He stopped using all chat services, wouldn’t respond to her email, and essentially shut himself down. Of course, he had misrepresented himself, so he assumed that she had done likewise. We read examples of pedophiles using the Internet to lure young children to meet them. They might pretend to be someone near the age of the child, or of a friendly uncle. We don’t really know with whom we are dealing. Do your research. Try to find out about the other person. There are usually clues. There are all manner of hoaxes carried out online (as there are in non-online life). People can pretend to be whomever they please. It’s the gullible or the young who are taken in on such scams. We were probably told by our parents not to take candy from strangers, not to go in a car with somebody we didn’t know, etc. The Internet is no different. We, unfortunately, have to remain skeptical about new friendships. We are much more likely to continue a friendship with a person who has been introduced to us, introduced by someone else that we know and more or less trust. The person who comes up to us in a club and wants to start talking, and then asking for more is likely to get a rather cold shoulder, unless that person is a friend of a friend, and so on. But we’re adults and more savvy to the ways of the world. It’s the young children with access to the Internet who are more likely to get caught up in a secret friend type of discussion. (optional) Read about life in one of the original MOOs (a variant of a MUD), called 'A Rape in Cyberspace'. Other extreme examples also exist. Recently a man, most likely schizophrenic, was the butt of a 'joke' by some of his friends. They sent him many email messages, messages that were job-related and eventually resulted in him making a business trip to India. When he discovered the hoax, it sent him ‘round the bend'. Upon his return home, he, for reasons unknown, killed his daughter. Now, usually hoaxes do not have such disastrous outcomes, and the man was certainly unbalanced before the hoax. It just pushed him over the edge, with a very sad result. In any case, it's usually easy to join an online group. The conversation can be very seductive (not in a sexy sense, but rather more that we can be drawn into continued and deeper discussions with individuals). Psychologists worry about internet addiction, or the possibility that the online, virtual world becomes more important than the real one. Most recent studies have shown that compulsive behaviour exists both on and offline, and that, in fact, most Internet users are more sociable both on and offline than their non-Internet using contemporaries. (see Wellman et al--required reading for this module). A recent article about IAD (Internet Addiction Disorder) is available. It also has a link to an online survey to discover your own personal addiction level. Although the survey period ended on August 27, 2002, the questionnaire still seems to be available and should be functioning. What we've discovered so far is that although video versions of games, chat, conferencing, altered realities exist, with the exception of online gaming, they seem to be languishing at the moment. If that's the case, what are the impediments to acceptance? We turn to that topic next. . LAST REVISED 10/31/03 Part 2: Virtual Communities . Impediments to Virtual Community - Infrastructure Text-based communities use little bandwidth, and can be carried on over the Internet fairly easily, using a variety of text-based methods: email, chat, MUDs, online forums, bulletin boards, etc. When we add real-time video to the mix, things get more complicated. We are still waiting for the Internet 'pipes' to catch up to our desires (increased bandwidth also allows us to have what many thought the internet was all about once the web came about--interactive video (video on demand)--the notion was that we could ask for (pay for) and have delivered to us via the Internet pretty much any movie, sporting event, TV show that we wanted, when we wanted it, where we wanted it, and it would all be done with very little effort. Pilot projects were undertaken by Time-Warner (that media giant), but they flopped miserably. They were still tied to one’s computer, or in the case of the pilot, a set-top box). Some recent information shows that the pipes are now pretty much in place, but the subscribers are not. The percentage of Canadian broadband users is higher than the percentage for U.S. users, but it's still pretty low. Why a greater percentage of Canadians? Why are people not subscribing? Well, what about now? Widespread broadband access (that maintains the high speed necessary for true real-time video) is still a pipedream for most. Those of us (like me) who live in areas where no high speed access is available are one category of non-subscribers. Who else? Well, many of the surveys of users (including the one you read for Module 3) indicate that people do not see a need for the service, nor do they want to pay for it -- generally it's about twice as expensive as dial-up connectivity. However, these same surveys show that broadband users are heavier users of the Internet; they're online more hours/week than their dial-up counterparts. Perhaps it's because they're still entranced by the available video content? Higher speed Internet access is part of a research trial among government and academics (called the Internet 2, and more recently Internet 3--they are reprises of the original Internet), but most people are using the regular Internet, a lower speed alternative. Again this is restricted to governments and a handful of educational institutions. York has access to Internet2 & 3, but it really only 'kicks in' when connecting to another Canadian university. The first hop on these connections goes through a gateway at the University of Toronto. I used to have a large C-band satellite dish, and paid mega-money to subscribe to a variety of satellite services. Where I live, there is no cable, and the TV I receive by regular tower-type antenna is rather limited, to say the least. A steady fare of the New VR can really push one over the edge. When the CBC stopped their C-band service (and incidentally cut off most of northern Canada in the process), and some of the US networks would no longer deliver service via C-band, I finally decided to get the pizza-pie type satellite - in my case Bell ExPress Vu. Because I have a rather good audio system and since, for some reason, I convinced myself that I would save money in the long run (actually the subscription costs are considerably less), I bought one of the higher end receivers. It includes a personal video recorder (PVR). The receiver itself has a 30GB hard drive and allows me to record programs--much like a VCR. It has some other added benefits. Because it is recording all the time, there is the ability to 'rewind' any program currently being watched--sort of like instant replay--there’s about a 15 minute rewind capability. (what actually is happening is that a certain proportion of the hard drive is constantly in use, recording whatever is being viewed; the rest of the hard drive is available for recording viewer-selected programming, like what one used to do with a VCR.). And of course, one can catch up, usually during the ads. However, there’s no digital out jack--otherwise one could copy any of the movies to DVD and have a perfect copy of pay-per-view or other movies. It’s that old copyright thing again. However, there’s really little cost incentive here anyway. DVD blank disks cost about $2; and one would have to disassemble the receiver, remove the hard drive and put it into a computer in order to make it work. To say nothing about having a computer with a DVD burner! For little more than $20, one could go buy the movie (along with the additional DVD content) at the store. So, no worries that I’d be copying. Of course, I could make a VHS copy (with its considerable loss of quality - even with S-Video outputs) and play it over and over again, to my heart’s content. I can even play interactive games. And for 50¢/month I can receive interactive weather--if I really must have a detailed weather report for Cancun at my TV viewing fingertips. What I’m trying to say here is that there are digital technologies available, at considerably less cost, that come close to achieving what the earlier trials (at much greater cost) tried to provide. TiVO is another example. Of course, I can’t order my groceries through my TV, or balance my chequebook--but frankly when I’m watching TV, it’s because I don’t want to be doing those things. I don’t want to have to read detailed text on the TV screen; I want to veg. I want to be entertained. And when I’m working on the computer, that’s what I’m doing--working. I’m really not interested in watching movies on my computer--even though I have decent quality speakers for the computer, they can’t hold a candle to the sound system downstairs. So, for me at least, at the moment just regular high speed would be sufficient. I can certainly foresee a time when I would download bandwidth intensive movies, music, and so on --but I would probably want to view it on my TV, rather than my computer screen. I don’t really want them to merge--at least not yet. There was a recent outcry about PVRs from the movie/TV industry. They claimed that the ability to fast-forward through ads was tantamount to stealing content. Although these particular comments have died down, I'm sure that we can expect them to surface again. We will discuss the entertainment industry and its attempts to deal with issues of ownership, copyright, fair use and so on in Module 8. Do the rest of us want the TV to be a digital hub? A place where we can work and play? I’m not so sure that others want such a thing either. If money were no object, the 4 members of my household would each have their own computer, we’d be networked wirelessly (that’s my next project), and we’d have a DSL (or other high speed connection). Since I can’t get DSL or cable, my other option is to use DirecPC or a variation on it - satellite modem. Unfortunately, satellite service, for the time being, is one way (download only - in Canada anyway). Posting these lecture modules would still have to be done over the phone lines. And, more critically, the satellite modem works ONLY with a PC. Well, I do have a PC, headless at the moment. But I’d have to turn it into an Internet server and it would have to run all the time. Nobody in the house currently uses the machine, so it could happen, but we’d still have to have a 'regular' ISP, and use the phone line (one at a time) for requesting webpages, uploading files, sending mail, etc. Grrr! Not my idea of a great solution. Two-way satellite modems do exist. Hughes in the US has them. But Canadian providers are a bit slow on the uptake--surprising, since Canada has always been at the forefront of adopting new technologies. Apparently it's a certification issue. Sympatico, for example, suggests that 2-way modems will finally be deployed--soon! So I can only hope that my wait will be over soon--maybe DSL modems will arrive here before then--and of course, hell might freeze over too. There are a couple of companies providing 2-way service--at a price. The satellite modem costs from $1400-$5000 (depends on where you are, what your needs are, etc), and the monthly subscription is $150. And it’s PC-based. Three strikes as far as I’m concerned. I’ll just keep complaining and whining--maybe I’ll win the lottery (pretty difficult since I never buy any tickets, but I probably have as much chance as the next guy - you know you’re much more likely to be struck by lightning than win the lottery - but that’s a subject for another day). George Lucas, a couple of years ago, wanted to set up an online distribution service to movie theatres. The theatres could receive new releases digitally and then screen them immediately. It would avoid all the hassles of couriers, packaging, the need for security surrounding new releases, etc. But it would also require really good high speed access, and the theatres would have to be equipped with equipment that could show the digital movies. He did in fact offer to give theatres that agreed to show the digital version of Star Wars a free digital projector. It does not appear that many took him up on the offer. There was a catch -- the theatre also had to have a certified THS sound system (also invented by Lucas). The Toronto Star recently ran an article about digital projection in theaters across the country--still not widely available. Will it happen someday? When? We all seem to want to be able to see the people with whom we interact. If we get involved in a relationship online, we want pictures of the other person. We often feel that we can't trust one another unless we can see him/her. The videophone or video conference is one alternative. But it's pretty darned expensive. If we could just have better bandwidth, and better small digital cameras (web cams) maybe we could communicate both textually and visually with those in our online communities. Is this a likely outcome? So, we could say that the impediments fall into two categories: equipment or infrastructure desire and/or available content Let's turn now to a short discussion of future prospects, and a glance at a twenty-year old video of a possible future. . LAST REVISED 10/31/03 Part 2: Virtual Communities . Conclusion and Prospects Are these online entities that we view, or enter, truly communities? Well, we’ve now looked at a number of different styles of communication that frequently 'advertise' themselves as virtual communities, virtual cities, etc. Are they really communities? Well, what are the acid tests of a community? We know that there is no physical place for these communities (except for those that mirror existing cities and provide for communication among urban residents (virtual Manchester, Amsterdam, and so on). So we need to look at the functions they perform. Do they provide for relationships and interactivity? Do they give support to their members? Do they provide any other functions that we might normally expect from a community? If they aren’t really communities, is it just a matter of time? Is it a function of Internet users becoming aware of their existence, or perhaps of increasing bandwidth, or increasing computer literacy/competency among the population? After all, having to download special software, install and run it just to interact in a community is something that not everybody wishes to do. The technologies will continue to develop, connectivity infrastructure will similarly continue to develop, although after the dot.com bust and the well-publicised fall from grace of WorldCom, the pace of development has well and truly slowed down. It's just started to pick up again in the last quarter. But so far there is no compelling reason for many to participate. Other innovations will appear that will most likely connect to your TV (some of Sony's recent introductions, particularly in the gaming area bear this out). Microsoft has its set-top box. But we're not all lining up at the stores ready to hand over our hard-earned cash. As we know, the most used and most frequently used application on the Internet is email. We want/need to communicate. Until video enhances that communication substantially (with no huge overhead of expensive equipment or connections) the majority of folks in the world will continue to muddle along with text-based communication. For those of you with high-speed connections, what have you done or viewed that is different from when your connection was dial-up? Is the cost of the connection worth it? Would you give up something else in order to continue your high-speed connection? And now for something ... completely different In the mid-1980s, Apple Computer developed a couple of videos about the future of computing: one was for academic audiences, the other for a business audience. A small online version of the academic video exists (QuickTime). This version is in two parts - called navigator and rainforest, but at least a couple of important scenes are missing so also take a look at the smaller version available locally. [alternate (local and slightly smaller-sized, but complete) link] Watch it - it’s fairly short, and if you have reasonably high speed access, the wait won’t take forever. This is an internally produced movie of what Apple thought the computer world was headed for - back in about 1984. It was not only a vision for the future, but also a blueprint for future Apple designs. Which of the technologies evident in the video already exist today? Remember this was a vision piece - now almost twenty years old - pre-Web. Is there anything that occurs in the video that we can’t do with today’s available technologies? . LAST REVISED 10/31/03 the electronic version of The Virtual Community by Howard Rheingold "When you think of a title for a book, you are forced to think of something short and evocative, like, well, 'The Virtual Community,' even though a more accurate title might be: 'People who use computers to communicate, form friendships that sometimes form the basis of communities, but you have to be careful to not mistake the tool for the task and think that just writing words on a screen is the same thing as real community.'" - HLR Introduction Chapter One: The Heart of the WELL Chapter Two: Daily Life in Cyberspace: How the Computerized Counterculture Built a New Kind of Place Chapter Three: Visionaries and Convergences: The Accidental History of the Net Chapter Four: Grassroots Groupminds Chapter Five: Multi-user Dungeons and Alternate Identities Chapter Six: Real-time Tribes Chapter Seven: Japan and the Net Chapter Eight: Telematique and Messageries Rose: A Tale of Two Virtual Communities Chapter Nine: Electronic Frontiers and Online Activists Chapter Ten: Disinformocracy Bibliography We know the rules of community; we know the healing effect of community in terms of individual lives. If we could somehow find a way across the bridge of our knowledge, would not these same rules have a healing effect upon our world? We human beings have often been referred to as social animals. But we are not yet community creatures. We are impelled to relate with each other for our survival. But we do not yet relate with the inclusivity, realism, self-awareness, vulnerability, commitment, openness, freedom, equality, and love of genuine community. It is clearly no longer enough to be simply social animals, babbling together at cocktail parties and brawling with each other in business and over boundaries. It is our task--our essential, central, crucial task--to transform ourselves from mere social creatures into community creatures. It is the only way that human evolution will be able to proceed. M. Scott Peck The Different Drum: Community-Making and Peace Introduction "Daddy is saying `Holy moly!' to his computer again!" Those words have become a family code for the way my virtual community has infiltrated our real world. My seven-year-old daughter knows that her father congregates with a family of invisible friends who seem to gather in his computer. Sometimes he talks to them, even if nobody else can see them. And she knows that these invisible friends sometimes show up in the flesh, materializing from the next block or the other side of the planet. Since the summer of 1985, for an average of two hours a day, seven days a week, I've been plugging my personal computer into my telephone and making contact with the WELL (Whole Earth 'Lectronic Link)--a computer conferencing system that enables people around the world to carry on public conversations and exchange private electronic mail (e-mail). The idea of a community accessible only via my computer screen sounded cold to me at first, but I learned quickly that people can feel passionately about e-mail and computer conferences. I've become one of them. I care about these people I met through my computer, and I care deeply about the future of the medium that enables us to assemble. I'm not alone in this emotional attachment to an apparently bloodless technological ritual. Millions of people on every continent also participate in the computer-mediated social groups known as virtual communities, and this population is growing fast. Finding the WELL was like discovering a cozy little world that had been flourishing without me, hidden within the walls of my house; an entire cast of characters welcomed me to the troupe with great merriment as soon as I found the secret door. Like others who fell into the WELL, I soon discovered that I was audience, performer, and scriptwriter, along with my companions, in an ongoing improvisation. A full-scale subculture was growing on the other side of my telephone jack, and they invited me to help create something new. The virtual village of a few hundred people I stumbled upon in 1985 grew to eight thousand by 1993. It became clear to me during the first months of that history that I was participating in the self-design of a new kind of culture. I watched the community's social contracts stretch and change as the people who discovered and started building the WELL in its first year or two were joined by so many others. Norms were established, challenged, changed, reestablished, rechallenged, in a kind of speeded-up social evolution. The WELL felt like an authentic community to me from the start because it was grounded in my everyday physical world. WELLites who don't live within driving distance of the San Francisco Bay area are constrained in their ability to participate in the local networks of face-to-face acquaintances. By now, I've attended real-life WELL marriages, WELL births, and even a WELL funeral. (The phrase "in real life" pops up so often in virtual communities that regulars abbreviate it to IRL.) I can't count the parties and outings where the invisible personae who first acted out their parts in the debates and melodramas on my computer screen later manifested in front of me in the physical world in the form of real people, with faces, bodies, and voices. I remember the first time I walked into a room full of people IRL who knew many intimate details of my history and whose own stories I knew very well. Three months after I joined, I went to my first WELL party at the home of one of the WELL's online moderators. I looked around at the room full of strangers when I walked in. It was one of the oddest sensations of my life. I had contended with these people, shot the invisible breeze around the electronic watercooler, shared alliances and formed bonds, fallen off my chair laughing with them, become livid with anger at some of them. But there wasn't a recognizable face in the house. I had never seen them before. My flesh-and-blood family long ago grew accustomed to the way I sit in my home office early in the morning and late at night, chuckling and cursing, sometimes crying, about words I read on the computer screen. It might have looked to my daughter as if I were alone at my desk the night she caught me chortling online, but from my point of view I was in living contact with old and new friends, strangers and colleagues: I was in the Parenting conference on the WELL, participating in an informational and emotional support group for a friend who just learned his son was diagnosed with leukemia. I was in MicroMUSE, a role-playing fantasy game of the twenty-fourth century (and science education medium in disguise), interacting with students and professors who know me only as "Pollenator." I was in TWICS, a bicultural community in Tokyo; CIX, a community in London; CalvaCom, a community in Paris; and Usenet, a collection of hundreds of different discussions that travel around the world via electronic mail to millions of participants in dozens of countries. I was browsing through Supreme Court decisions, in search of information that could help me debunk an opponent's claims in a political debate elsewhere on the Net, or I was retrieving this morning's satellite images of weather over the Pacific. I was following an eyewitness report from Moscow during the coup attempt, or China during the Tiananmen Square incident, or Israel and Kuwait during the Gulf War, passed directly from citizen to citizen through an ad hoc network patched together from cheap computers and ordinary telephone lines, cutting across normal geographic and political boundaries by piggybacking on the global communications infrastructure. I was monitoring a rambling real-time dialogue among people whose bodies were scattered across three continents, a global bull session that seems to blend wit and sophomore locker-room talk via Internet Relay Chat (IRC), a medium that combines the features of conversation and writing. IRC has accumulated an obsessive subculture of its own among undergraduates by the thousands from Adelaide to Arabia. People in virtual communities use words on screens to exchange pleasantries and argue, engage in intellectual discourse, conduct commerce, exchange knowledge, share emotional support, make plans, brainstorm, gossip, feud, fall in love, find friends and lose them, play games, flirt, create a little high art and a lot if idle talk. People in virtual communities do just about everything people do in real life, but we leave our bodies behind. You can't kiss anybody and nobody can punch you in the nose, but a lot can happen within those boundaries. To the millions who have been drawn into it, the richness and vitality of computer-linked cultures is attractive, even addictive. There is no such thing as a single, monolithic, online subculture; it's more like an ecosystem of subcultures, some frivolous, others serious. The cutting edge of scientific discourse is migrating to virtual communities, where you can read the electronic pre-preprinted reports of molecular biologists and cognitive scientists. At the same time, activists and educational reformers are using the same medium as a political tool. You can use virtual communities to find a date, sell a lawnmower, publish a novel, conduct a meeting. Some people use virtual communities as a form of psychotherapy. Others, such as the most addicted players of Minitel in France or Multi-User Dungeons (MUDs) on the international networks, spend eighty hours a week or more pretending they are someone else, living a life that does not exist outside a computer. Because MUDs not only are susceptible to pathologically obsessive use by some people but also create a strain on computer and communication resources, MUDding has been banned at universities such as Amherst and on the entire continent of Australia. Scientists, students, librarians, artists, organizers, and escapists aren't the only people who have taken to the new medium. The U.S. senator who campaigned for years for the construction of a National Research and Education Network that could host the virtual communities of the future is now vice president of the United States. As of June 1993, the White House and Congress have e-mail addresses. Most people who get their news from conventional media have been unaware of the wildly varied assortment of new cultures that have evolved in the world's computer networks over the past ten years. Most people who have not yet used these new media remain unaware of how profoundly the social, political, and scientific experiments under way today via computer networks could change all our lives in the near future. I have written this book to help inform a wider population about the potential importance of cyberspace to political liberties and the ways virtual communities are likely to change our experience of the real world, as individuals and communities. Although I am enthusiastic about the liberating potentials of computer-mediated communications, I try to keep my eyes open for the pitfalls of mixing technology and human relationships. I hope my reports from the outposts and headquarters of this new kind of social habitation, and the stories of the people I've met in cyberspace, will bring to life the cultural, political, and ethical implications of virtual communities both for my fellow explorers of cyberspace and for those who never heard of it before. The technology that makes virtual communities possible has the potential to bring enormous leverage to ordinary citizens at relatively little cost--intellectual leverage, social leverage, commercial leverage, and most important, political leverage. But the technology will not in itself fulfill that potential; this latent technical power must be used intelligently and deliberately by an informed population. More people must learn about that leverage and learn to use it, while we still have the freedom to do so, if it is to live up to its potential. The odds are always good that big power and big money will find a way to control access to virtual communities; big power and big money always found ways to control new communications media when they emerged in the past. The Net is still out of control in fundamental ways, but it might not stay that way for long. What we know and do now is important because it is still possible for people around the world to make sure this new sphere of vital human discourse remains open to the citizens of the planet before the political and economic big boys seize it, censor it, meter it, and sell it back to us. The potential social leverage comes from the power that ordinary citizens gain when they know how to connect two previously independent, mature, highly decentralized technologies: It took billions of dollars and decades to develop cheap personal computers. It took billions of dollars and more than a century to wire up the worldwide telecommunication network. With the right knowledge, and not too much of it, a ten-year-old kid today can plug these two vast, powerful, expensively developed technologies together for a few hundred dollars and instantly obtain a bully pulpit, the Library of Congress, and a world full of potential coconspirators. Computers and the switched telecommunication networks that also carry our telephone calls constitute the technical foundation of computer-mediated communications (CMC). The technicalities of CMC, how bits of computer data move over wires and are reassembled as computer files at their destinations, are invisible and irrelevant to most people who use it, except when the technicalities restrict their access to CMC services. The important thing to keep in mind is that the worldwide, interconnected telecommunication network that we use to make telephone calls in Manhattan and Madagascar can also be used to connect computers together at a distance, and you don't have to be an engineer to do it. The Net is an informal term for the loosely interconnected computer networks that use CMC technology to link people around the world into public discussions. Virtual communities are social aggregations that emerge from the Net when enough people carry on those public discussions long enough, with sufficient human feeling, to form webs of personal relationships in cyberspace. Cyberspace, originally a term from William Gibson's science-fiction novel Neuromancer, is the name some people use for the conceptual space where words, human relationships, data, wealth, and power are manifested by people using CMC technology. Although spatial imagery and a sense of place help convey the experience of dwelling in a virtual community, biological imagery is often more appropriate to describe the way cyberculture changes. In terms of the way the whole system is propagating and evolving, think of cyberspace as a social petri dish, the Net as the agar medium, and virtual communities, in all their diversity, as the colonies of microorganisms that grow in petri dishes. Each of the small colonies of microorganisms--the communities on the Net--is a social experiment that nobody planned but that is happening nevertheless. We now know something about the ways previous generations of communications technologies changed the way people lived. We need to understand why and how so many social experiments are coevolving today with the prototypes of the newest communications technologies. My direct observations of online behavior around the world over the past ten years have led me to conclude that whenever CMC technology becomes available to people anywhere, they inevitably build virtual communities with it, just as microorganisms inevitably create colonies. I suspect that one of the explanations for this phenomenon is the hunger for community that grows in the breasts of people around the world as more and more informal public spaces disappear from our real lives. I also suspect that these new media attract colonies of enthusiasts because CMC enables people to do things with each other in new ways, and to do altogether new kinds of things--just as telegraphs, telephones, and televisions did. Because of its potential influence on so many people's beliefs and perceptions, the future of the Net is connected to the future of community, democracy, education, science, and intellectual life--some of the human institutions people hold most dear, whether or not they know or care about the future of computer technology. The future of the Net has become too important to leave to specialists and special interests. As it influences the lives of a growing number of people, more and more citizens must contribute to the dialogue about the way public funds are applied to the development of the Net, and we must join our voices to the debate about the way it should be administered. We need a clear citizens' vision of the way the Net ought to grow, a firm idea of the kind of media environment we would like to see in the future. If we do not develop such a vision for ourselves, the future will be shaped for us by large commercial and political powerholders. The Net is so widespread and anarchic today because of the way its main sources converged in the 1980s, after years of independent, apparently unrelated development, using different technologies and involving different populations of participants. The technical and social convergences were fated, but not widely foreseen, by the late 1970s. The wide-area CMC networks that span continents and join together thousands of smaller networks are a spinoff of American military research. The first computer network, ARPANET, was created in the 1970s so that Department of Defense-sponsored researchers could operate different computers at a distance; computer data, not person-to-person messages, were the intended content of the network, which handily happened to serve just as easily as a conduit for words. The fundamental technical idea on which ARPANET was based came from RAND, the think tank in Santa Monica that did a lot of work with top-secret thermonuclear war scenarios; ARPANET grew out of an older RAND scheme for a communication, command, and control network that could survive nuclear attack by having no central control. Closed World? Computer conferencing emerged, also somewhat unexpectedly, as a tool for using the communication capacities of the networks to build social relationships across barriers of space and time. A continuing theme throughout the history of CMC is the way people adapt technologies designed for one purpose to suit their own, very different, communication needs. And the most profound technological changes have come from the fringes and subcultures, not the orthodoxy of the computer industry or academic computer science. The programmers who created the first computer network installed electronic mail features; electronic mail wasn't the reason ARPANET was designed, but it was an easy thing to include once ARPANET existed. Then, in a similar, ad hoc, do-it-yourself manner, computer conferencing grew out of the needs of U.S. policymakers to develop a communications medium for dispersed decision making. Although the first computer conferencing experiments were precipitated by the U.S. government's wage-price freeze of the 1970s and the consequent need to disseminate up-to-date information from a large number of geographically dispersed local headquarters, computer conferencing was quickly adapted to commercial, scientific, and social discourse. The hobbyists who interconnect personal computers via telephone lines to make computer bulletin-board systems, known as BBSs, have home-grown their part of the Net, a true grassroots use of technology. Hundreds of thousands of people around the world piggyback legally on the telecom network via personal computers and ordinary telephone lines. The most important technical attribute of networked BBSs is that it is an extremely hard network to kill--just as the RAND planners had hoped. Information can take so many alternative routes when one of the nodes of the network is removed that the Net is almost immortally flexible. It is this flexibility that CMC telecom pioneer John Gilmore referred to when he said, "The Net interprets censorship as damage and routes around it." This way of passing information and communication around a network as a distributed resource with no central control manifested in the rapid growth of the anarchic global conversation known as Usenet. This invention of distributed conversation that flows around obstacles--a grassroots adaptation of a technology originally designed as a doomsday weapon--might turn out to be as important in the long run as the hardware and software inventions that made it possible. The big hardwired networks spend a lot more money to create high-speed information conduits between high-capacity computing nodes. Internet, today's U.S. government-sponsored successor to ARPANET, is growing in every dimension at an astonishing pace. These "data superhighways" use special telecommunication lines and other equipment to send very large amounts of information throughout the network at very high speeds. ARPANET started around twenty years ago with roughly one thousand users, and now Internet is approaching ten million users. The portable computer on my desk is hundreds of times less expensive and thousands of times more powerful than ARPANET's first nodes. The fiber-optic backbone of the current Internet communicates information millions of times faster than the first ARPANET. Everything about Internet has grown like a bacterial colony--the raw technical capacity to send information, the different ways people use it, and the number of users. The Internet population has grown by 15 percent a month for the past several years. John Quarterman, whose book The Matrix is a thick guide to the world's computer networks, estimates that there are nine hundred different networks worldwide today, not counting the more than ten thousand networks already linked by the Internet "network of networks." Real grassroots, the kind that grow in the ground, are a self-similar branching structure, a network of networks. Each grass seed grows a branching set of roots, and then many more smaller roots grow off those; the roots of each grass plant interconnect physically with the roots of adjacent plants, as any gardener who has tried to uproot a lawn has learned. There is a grassroots element to the Net that was not, until very recently, involved with all the high-tech, top-secret doings that led to ARPANET--the BBSers. The population of the grassroots part of the Net, the citizen-operated BBSs, has been growing explosively as a self-financed movement of enthusiasts, without the benefit of Department of Defense funding. A BBS is the simplest, cheapest infrastructure for CMC: you run special software, often available inexpensively, on a personal computer, and use a device known as a modem to plug the computer into your regular telephone line. The modem converts computer-readable information into audible beeps and boops that can travel over the same telephone wires that carry your voice; another modem at the other end decodes the beeps and boops into computer-readable bits and bytes. The BBS turns the bits and bytes into human-readable text. Other people use their computers to call your BBS, leave and retrieve messages stored in your personal computer, and you have a virtual community growing in your bedroom. As the system operator (sysop) of the BBS, you contribute part of your computer's memory and make sure your computer is plugged into the telephone; the participants pay for their own communication costs. Boardwatch magazine estimates that sixty thousand BBSs operated in the United States alone in 1993, fourteen years after the first BBSs opened in Chicago and California. Each BBS supports a population of a dozen to several hundred, or even thousands, of individual participants. There are religious BBSs of every denomination, sex BBSs of every proclivity, political BBSs from all parts of the spectrum, outlaw BBSs, law enforcement BBSs, BBSs for the disabled, for educators, for kids, for cults, for nonprofit organizations--a list of the different flavors of special-interest BBSs is dozens of pages long. The BBS culture has spread from the United States to Japan, Europe, Central and South America. Each BBS started out as a small island community of a few people who dialed into a number in their area code; by their nature, like a small-wattage radio station, BBSs are localized. But that's changing, too. Just as several different technologies converged over the past ten years to create CMC--a new medium with properties of its own--several different online social structures are in the process of converging and creating a kind of international culture with properties of its own. Technical bridges are connecting the grassroots part of the network with the military-industrial parts of the network. The programmers who built the Net in the first place, the scholars who have been using it to exchange knowledge, the scientists who have been using it for research, are being joined by all those hobbyists with their bedroom and garage BBSs. Special "gateway" computers can link entire networks by automatically translating communications from the mechanical languages used in one network to the languages (known as protocols) used in another network. In recent years, the heretofore separate groups of Internet and BBS pioneers worked together to gateway the more than ten thousand computers of the worldwide FidoNet, the first network of small, private BBSs, with Internet's millions of people and tens of thousands of more powerful computers. The Net and computer conferencing systems are converging too, as medium-size computer conferencing communities like the WELL join Internet. When the WELL upgraded to a high-speed connection to Internet, it became not just a community-in-progress but a gateway to a wider realm, the worldwide Net-at-large. Suddenly, the isolated archipelagos of a few hundred or a few thousand people are becoming part of an integrated entity. The small virtual communities still exist, like yeast in a rapidly rising loaf, but increasingly they are part of an overarching culture, similar to the way the United States became an overarching culture after the telegraph and telephone linked the states. The WELL is a small town, but now there is a doorway in that town that opens onto the blooming, buzzing confusion of the Net, an entity with properties altogether different from the virtual villages of a few years ago. I have good friends now all over the world who I never would have met without the mediation of the Net. A large circle of Net acquaintances can make an enormous difference in your experience when you travel to a foreign culture. Wherever I've traveled physically in recent years, I've found ready-made communities that I met online months before I traveled; our mutual enthusiasm for virtual communities served as a bridge, time and again, to people whose language and customs differ significantly from those I know well in California. I routinely meet people and get to know them months or years before I see them--one of the ways my world today is a different world, with different friends and different concerns, from the world I experienced in premodem days. The places I visit in my mind, and the people I communicate with from one moment to the next, are entirely different from the content of my thoughts or the state of my circle of friends before I started dabbling in virtual communities. One minute I'm involved in the minutiae of local matters such as planning next week's bridge game, and the next minute I'm part of a debate raging in seven countries. Not only do I inhabit my virtual communities; to the degree that I carry around their conversations in my head and begin to mix it up with them in real life, my virtual communities also inhabit my life. I've been colonized; my sense of family at the most fundamental level has been virtualized. I've seen variations of the same virtualization of community that happened to me hitting other virtual groups of a few hundred or a few thousand, in Paris and London and Tokyo. Entire cities are coming online. Santa Monica, California, and Cleveland, Ohio, were among the first of a growing number of American cities that have initiated municipal CMC systems. Santa Monica's system has an active conference to discuss the problems of the city's homeless that involves heavy input from homeless Santa Monica citizens who use public terminals. This system has an electronic link with COARA, a similar regional system in a remote province of Japan. Biwa-Net, in the Kyoto area, is gatewayed to a sister city in Pennsylvania. The Net is only beginning to wake up to itself. Watching a particular virtual community change over a period of time has something of the intellectual thrill of do-it-yourself anthropology, and some of the garden-variety voyeurism of eavesdropping on an endless amateur soap opera where there is no boundary separating the audience from the cast. For the price of a telephone call, you can take part in any kind of vicarious melodrama you can dream of; as a form of escape entertainment, the Minitel addicts in Paris and the MUDders of Internet and the obsessive IRC participants on college campuses everywhere have proved that CMC has a future as a serious marketplace for meterable interactive fantasies. CMC might become the next great escape medium, in the tradition of radio serials, Saturday matinees, soap operas--which means that the new medium will be in some way a conduit for and reflector of our cultural codes, our social subconscious, our images of who "we" might be, just as previous media have been. There are other serious reasons that ordinary nontechnical citizens need to know something about this new medium and its social impact. Something big is afoot, and the final shape has not been determined. In the United States, the Clinton administration is taking measures to amplify the Net's technical capabilities and availability manyfold via the National Research and Education Network. France, with the world's largest national information utility, Minitel, and Japan, with its stake in future telecommunications industries, have their own visions of the future. Albert Gore's 1991 bill, the High Performance Computing Act, signed into law by President Bush, outlined Gore's vision for "highways of the mind" to be stimulated by federal research-and-development expenditures as a national intellectual resource and carried to the citizens by private enterprise. The Clinton-Gore administration has used the example of the ARPA (Advanced Research Projects Agency) venture of the 1960s and 1970s that produced the Net and the foundations of personal computing as an example of the way they see government and the private sector interacting in regard to future communications technologies. In the private sector, telecommunication companies, television networks, computer companies, cable companies, and newspapers in the United States, Europe, and Japan are jockeying for position in the nascent "home interactive information services industry." Corporations are investing hundreds of millions of dollars in the infrastructure for new media they hope will make them billions of dollars. Every flavor of technological futurist, from Alvin Toffler and John Naisbitt to Peter Drucker and George Gilder, base utopian hopes on "the information age" as a techno-fix for social problems. Yet little is known about the impact these newest media might have on our daily lives, our minds, our families, even the future of democracy. CMC has the potential to change our lives on three different, but strongly interinfluential, levels. First, as individual human beings, we have perceptions, thoughts, and personalities (already shaped by other communications technologies) that are affected by the ways we use the medium and the ways it uses us. At this fundamental level, CMC appeals to us as mortal organisms with certain intellectual, physical, and emotional needs. Young people around the world have different communication proclivities from their pre-McLuhanized elders. MTV, for example, caters to an aesthetic sensibility that is closely tuned to the vocabulary of television's fast cuts, visually arresting images, and special effects. Now, some of those people around the world who were born in the television era and grew up in the cellular telephone era are beginning to migrate to CMC spaces that better fit their new ways of experiencing the world. There is a vocabulary to CMC, too, now emerging from millions and millions of individual online interactions. That vocabulary reflects something about the ways human personalities are changing in the age of media saturation. The second level of possible CMC-triggered change is the level of person-to-person interaction where relationships, friendships, and communities happen. CMC technology offers a new capability of "many to many" communication, but the way such a capability will or will not be used in the future might depend on the way we, the first people who are using it, succeed or fail in applying it to our lives. Those of us who are brought into contact with each other by means of CMC technology find ourselves challenged by this many-to-many capability--challenged to consider whether it is possible for us to build some kind of community together. The question of community is central to realms beyond the abstract networks of CMC technology. Some commentators, such as Bellah et al. (Habits of the Heart, The Good Society), have focused on the need for rebuilding community in the face of America's loss of a sense of a social commons. Social psychologists, sociologists, and historians have developed useful tools for asking questions about human group interaction. Different communities of interpretation, from anthropology to economics, have different criteria for studying whether a group of people is a community. In trying to apply traditional analysis of community behavior to the kinds of interactions emerging from the Net, I have adopted a schema proposed by Marc Smith, a graduate student in sociology at the University of California at Los Angeles, who has been doing his fieldwork in the WELL and the Net. Smith focuses on the concept of "collective goods." Every cooperative group of people exists in the face of a competitive world because that group of people recognizes there is something valuable that they can gain only by banding together. Looking for a group's collective goods is a way of looking for the elements that bind isolated individuals into a community. The three kinds of collective goods that Smith proposes as the social glue that binds the WELL into something resembling a community are social network capital, knowledge capital, and communion. Social network capital is what happened when I found a ready-made community in Tokyo, even though I had never been there in the flesh. Knowledge capital is what I found in the WELL when I asked questions of the community as an online brain trust representing a highly varied accumulation of expertise. And communion is what we found in the Parenting conference, when Phil's and Jay's children were sick, and the rest of us used our words to support them. The third level of possible change in our lives, the political, derives from the middle, social level, for politics is always a combination of communications and physical power, and the role of communications media among the citizenry is particularly important in the politics of democratic societies. The idea of modern representative democracy as it was first conceived by Enlightenment philosophers included a recognition of a living web of citizen-to-citizen communications known as civil society or the public sphere. Although elections are the most visible fundamental characteristics of democratic societies, those elections are assumed to be supported by discussions among citizens at all levels of society about issues of importance to the nation. If a government is to rule according to the consent of the governed, the effectiveness of that government is heavily influenced by how much the governed know about the issues that affect them. The mass-media-dominated public sphere today is where the governed now get knowledge; the problem is that commercial mass media, led by broadcast television, have polluted with barrages of flashy, phony, often violent imagery a public sphere that once included a large component of reading, writing, and rational discourse. For the early centuries of American history, until the telegraph made it possible to create what we know as news and sell the readers of newspapers to advertisers, the public sphere did rely on an astonishingly literate population. Neil Postman, in his book about the way television has changed the nature of public discourse, Amusing Ourselves to Death, notes that Thomas Paine's Common Sense sold three hundred thousand copies in five months in 1775. Contemporary observers have documented and analyzed the way mass media ("one to many" media) have "commoditized" the public sphere, substituting slick public relations for genuine debate and packaging both issues and candidates like other consumer products. The political significance of CMC lies in its capacity to challenge the existing political hierarchy's monopoly on powerful communications media, and perhaps thus revitalize citizen-based democracy. The way image-rich, sound-bite-based commercial media have co-opted political discourse among citizens is part of a political problem that communications technologies have posed for democracy for decades. The way the number of owners or telecommunication channels is narrowing to a tiny elite, while the reach and power of the media they own expand, is a converging threat to citizens. Which scenario seems more conducive to democracy, which to totalitarian rule: a world in which a few people control communications technology that can be used to manipulate the beliefs of billions, or a world in which every citizen can broadcast to every other citizen? Ben Bagdikian's often-quoted prediction from The Media Monopoly is that by the turn of the century "five to ten corporate giants will control most of the world's important newspapers, magazines, books, broadcast stations, movies, recordings and videocassettes." These new media lords possess immense power to determine which information most people receive about the world, and I suspect they are not likely to encourage their privately owned and controlled networks to be the willing conduits for all the kinds of information that unfettered citizens and nongovernmental organizations tend to disseminate. The activist solution to this dilemma has been to use CMC to create alternative planetary information networks. The distributed nature of the telecommunications network, coupled with the availability of affordable computers, makes it possible to piggyback alternate networks on the mainstream infrastructure. We temporarily have access to a tool that could bring conviviality and understanding into our lives and might help revitalize the public sphere. The same tool, improperly controlled and wielded, could become an instrument of tyranny. The vision of a citizen-designed, citizen-controlled worldwide communications network is a version of technological utopianism that could be called the vision of "the electronic agora." In the original democracy, Athens, the agora was the marketplace, and more--it was where citizens met to talk, gossip, argue, size each other up, find the weak spots in political ideas by debating about them. But another kind of vision could apply to the use of the Net in the wrong ways, a shadow vision of a less utopian kind of place--the Panopticon. Panopticon was the name for an ultimately effective prison, seriously proposed in eighteenth-century Britain by Jeremy Bentham. A combination of architecture and optics makes it possible in Bentham's scheme for a single guard to see every prisoner, and for no prisoner to see anything else; the effect is that all prisoners act as if they were under surveillance at all times. Contemporary social critic Michel Foucault, in Discipline and Punish, claimed that the machinery of the worldwide communications network constitutes a kind of camouflaged Panopticon; citizens of the world brought into their homes, along with each other, the prying ears of the state. The cables that bring information into our homes today are technically capable of bringing information out of our homes, instantly transmitted to interested others. Tomorrow's version of Panoptic machinery could make very effective use of the same communications infrastructure that enables one-room schoolhouses in Montana to communicate with MIT professors, and enables citizens to disseminate news and organize resistance to totalitarian rule. With so much of our intimate data and more and more of our private behavior moving into cyberspace, the potential for totalitarian abuse of that information web is significant and the cautions of the critics are worth a careful hearing. The wise revolutionary keeps an eye on the dark side of the changes he or she would initiate. Enthusiasts who believe in the humanitarian potential of virtual communities, especially those of us who speak of electronic democracy as a potential application of the medium, are well advised to consider the shadow potential of the same media. We should not forget that intellectuals and journalists of the 1950s hailed the advent of the greatest educational medium in history--television. Because of its potential to change us as humans, as communities, as democracies, we need to try to understand the nature of CMC, cyberspace, and virtual communities in every important context--politically, economically, socially, cognitively. Each different perspective reveals something that the other perspectives do not reveal. Each different discipline fails to see something that another discipline sees very well. We need to think together here, across boundaries of academic discipline, industrial affiliation, nation, if we hope to understand and thus perhaps regain control of the way human communities are being transformed by communications technologies. We can't do this solely as dispassionate observers, although there is certainly a strong need for the detached assessment of social science. Community is a matter of emotions as well as a thing of reason and data. Some of the most important learning will always have to be done by jumping into one corner or another of cyberspace, living there, and getting up to your elbows in the problems that virtual communities face. I care about what happens in cyberspace, and to our freedoms in cyberspace, because I dwell there part of the time. The author's voice as a citizen and veteran of virtual community-building is one of the points of view presented in this book: I'm part of the story I'm describing, speaking as both native informant and as uncredentialed social scientist. Because of the paucity of first-person source material describing the way it feels to live in cyberspace, I believe it is valuable to include my perspective as participant as well as observer. In some places, like the WELL, I speak from extensive experience; in many of the places we need to examine in order to understand the Net, I am almost as new to the territory as those who never heard about cyberspace before. Ultimately, if you want to form your own opinions, you need to pick up a good beginner's guidebook and plunge into the Net for yourself. It is possible, however, to paint a kind of word-picture, necessarily somewhat sketchy, of the varieties of life to be found on the Net. Much of this book is a tour of widening circles of virtual communities as they exist today. I believe that most citizens of democratic societies, given access to clearly presented information about the state of the Net, will make wise decisions about how the Net ought to be governed. But it is important to look in more than one corner and see through more than one set of lenses. Before we can discuss in any depth the way CMC technology is changing us as human beings, as communities, and as democracies, we need to know something about the people and places that make the Net what it is. Our journey through the raucous immensity of Usenet, the subcultures of the MUDs and IRC channels, the BBSs, mailing lists, and e-journals, starts with a glimpse over my shoulder at the WELL, the place where cyberspace started for me. The ways I've witnessed people in the virtual community I know best build value, help each other through hard times, solve (and fail to solve) vexing interpersonal problems together, offer a model--undoubtedly not an infallible one--of the kinds of social changes that virtual communities can make in real lives on a modestly local scale. Some knowledge of how people in a small virtual community behave will help prevent vertigo and give you tools for comparison when we zoom out to the larger metropolitan areas of cyberspace. Some aspects of life in a small community have to be abandoned when you move to an online metropolis; the fundamentals of human nature, however, always scale up. read on to Chapter One: The Heart of the WELL Return to rheingold's brainstorms Articles BUILDING VIRTUAL WORLDS: A CITY PLANNING PERSPECTIVE A Paper by Rob Ingram Department of Computer Science University of Nottingham Nottingham NG7 2RD Tel: (0115) 951 4225 Fax: (0115) 951 4254 e-mail: r.ingram@cs.nott.ac.uk Computing, networking and virtual reality technologies are gradually approaching the level of maturity where large scale multi-user virtual environments will be possible. This will inevitably lead to the development of large scale spaces for the on-line community to meet, socialise and carry out business. We might consider these environments to be virtual towns or, eventually, virtual cities which contain many of the features, and problems of their real world counterparts. This paper draws on literature from the disciplines city planning and architecture to raise some of the issues which may be important in the design, development and administration of these environments in order to make them pleasant, usable and manageable. Introduction The relentless expansion of computing technology into our workplaces and homes in the past 15-20 years is plain to see and widely acknowledged. What distinguishes the growth of the past 2-3 years is the uptake of networking technology which has been prompted largely by the development and popularity of the World Wide Web, allowing companies and individuals to create multimedia presentations of information and make them available to a potentially world wide market. In addition the advantages of e-mail and electronic file transfer are becoming more widely accepted leading both to wider connection to the internet and the application of internet technologies in private company intranets. The obvious result of these technological advances is a large number of people using powerful computers which are connected to world wide networks. One aspect of this networking is that it provides the possibility of communication with large numbers of people with similar interests. This has already been seen in the use of USENET News and similar systems which were first utilised by the academic community, where the networking facilities were widely available some years ago, and which are now more widely available due to the expansion internet access. However, systems such as News are limited in that they are asynchronous. Further developments have allowed for real time text communication and even limited video conferencing. The most recent developments have established multi-user three dimensional environments, or Collaborative Virtual Environments (CVEs,) which allow a number of people to interact with others in a simulated 3D space. However, most current CVEs are limited to relatively small numbers of users and usually do not support audio communication, resorting instead to separate text based conferencing. Looking to the future, we can anticipate that computing and networking power will continue to increase, and that this will allow CVEs to mature until it is possible to have large numbers of users inhabiting distributed virtual environments and interacting with each other using voice communication and other means such as gesture and possibly even facial and bodily expressions. One issue then is the development of the virtual environments systems to facilitate this and so we must consider areas such as computer graphics, interface technologies user embodiment and networking. However, alongside this there is the matter of the design of the environment where the interaction takes place. Given that we envision a large number of users, the environment must cater for their needs by first providing enough space but also considering what they need from that space, whether they are using the environment for business or leisure. In this way the virtual space can be considered to be a virtual town or city in that it has a number of inhabitants who may want their own real estate as the base for their use of the space but who also want to engage in social or business activities in more appropriate, often shared, areas. So to look at the design of such spaces we can look at the way cities are designed in the real world through the literature of city planning. This paper will continue by looking briefly at the parallels and differences between virtual and real cities. Section 3 will look at city planning on the large scale and section 4 at smaller scale issues. Section 5 will detail some considerations for the government and management of virtual cities in design and operation. Real and Virtual Cities Designers of virtual cities will have an opportunity that rarely arises in city planning - to build their space from scratch. This provides an opportunity to extract the best from a variety of city planning theories and apply it to the design of virtual cities. To do this well it is important to recognise the similarities and differences between the real and virtual branches of city design. The main concern of city planners in both cases is to produce and manage a large and complex environment so that in some sense it works for its large number of inhabitants. By this we mean that it provides the facilities that those users require for the activities they choose to participate in, whether alone or as a group. The inhabitants should be able to access these facilities easily and doing so should be a pleasant experience. This means that users should be able to have a private space which they can make their own, which implies that some customisation of the environment should be possible, and also that this should be managed so as not to infringe on the needs of other inhabitants. The city should also support multi-user areas for work and leisure. Examples of these might be parks, office buildings, theatres, conference facilities and sports stadiums. To allow access to these facilities the city should provide an efficient transportation infrastructure. In reality designing a city environment is a complex task of balancing these requirements and the possibly competing needs of elements such as industry, retail, business, residence, transport and leisure. The virtual city does not have to adhere to the physical constraints of the real world and so may be able to overcome some of the complexities of city design. Also, many of the physical artefacts which exist in a real city will either not be required or will not be an issue in the virtual world. For example, the issue of pollution from any industry which exists in a virtual world will exist so it will not be a requirement that it is sited away from residential areas. It is not necessary to worry about issues such as parking, as cars will either not exist or will be available on demand. However, one concern must be how far we can stretch away from the metaphor of the city in designing our virtual environment and still have a usable space. As an example, it will not be necessary in a virtual world to produce a city on a plane, as is essentially the case in reality, but before we do we must ask if the users will be able to effectively navigate and maintain orientation in a highly three dimensional space. This problem has already been highlighted with respect to information visualisation (Chalmers, 1993) and could equally be an issue for virtual cities. Large Scale Design We can look at the design of virtual cities on two levels: large scale design which deals with the overall layout of the space, the positioning and proportions of different areas and the smaller scale design issues deal with the look and content of different areas, architecture, and provision of facilities for the inhabitants. The first concern when designing the virtual city on a large scale is the structure which is to be given to the environment. Here it is necessary to consider the variety of different functional areas which will be demanded by the inhabitants, and therefore the range of activities in which those inhabitants will wish to engage. Many of these have been mentioned above, but to recap some of the most obvious, we might consider: meeting other people for social discussion or business meetings, which may each require a different functionality for the facilities they provide; recreational uses of the space such as viewing performances and sports, or simply walking through pleasant environments as we would in a park (providing great potential for artistic design within the virtual world on a scale which would be impossible in the real world;) retail, as with the WWW it will be possible to produce displays of products using images and graphics and even provide on-line ordering facilities; and industry, where other businesses may provide contact facilities within the city - this may be include those providing services for the users of the space such as space design for personal or business areas. City planning over many years has developed a variety of approaches to the problem of producing effective layouts for cities. We will describe two contrasting theories and then try to define an approach which may be suitable for virtual environments. The Swiss architect Charles-Edouard Jeanneret, who adopted the pseudonym Le Corbusier, developed a theory of city planning in the 1920s which has been very influential throughout the remainder of the century. The most striking element of Le Corbusiers approach is its strict adherence to geometric form, regularity and standardisation. In his description of "a contemporary city of three million inhabitants" (LeCorbusier, 1929) he states: The city of to-day is a dying thing because it is not geometrical¼ The result of a true geometrical lay-out is repetition, The result of repetition is a standard, the perfect form. (original emphasis) The result of this vision, a proposal for a large scale redevelopment of a large area of Paris, is a city based on a strict grid pattern with cells containing his (in)famous "skyscrapers in the park," large high-rise developments within areas of open space, creating a high population density in the centre of the city. At the very core of the space is the main station which is sited at the intersection of main North-South and East-West roads and is the centre of the urban and national rail links as well as the focal point for "aero-taxis." The road system itself is segregated depending on the type of traffic, with freight running underground. Perhaps, for us, the most important point from Le Corbusiers design is the way that the rest of the city is layed out. Each element in the city has a defined location: the huge central station surrounded but huge skyscrapers for business, whose lower floors house restaurants, theatres and similar establishments; an area for municipal buildings, universities and museums; the park, which may be eaten into by the city if necessary; on the other side of the city is the industrial quarter, near to the main road artery; residential quarters contain blocks of flats; and the whole city is surrounded by a "protected zone" separating it from the suburban garden cities. The main point to emphasise is that everything has its place and is strictly segregated. Le Corbusier states that unless we replace our current (for the time) haphazard arrangements "there is no salvation." A contemporary of Le Corbusier was a famous American architect, Frank Lloyd Wright. In 1935 he published a plan for city design which in many ways can be seen as almost the direct opposite of the theory mentioned above (Wright, 1935). Indeed, in his introduction he states: All regimentation is a form of death which may sometimes serve life but more often imposes upon it. Wrights ideas went beyond the design of cities to propose radical change in the way that people live and are governed. This stemmed from advances in technology which were becoming widespread at the time, and which also echo some of the debate surrounding modern telecommunications. Wrights ideas were that the increasing ubiquity of the automobile and developments in electronic communication could lead to an effective dissolution of the city in favour of more widespread, decentralised communities. He proposed that all families should be allocated a plot of land of a minimum size of one acre. Each family would own at least one car and most houses would contain some sort of laboratory or workshop, making working from home commonplace. The large number of individually owned purpose built houses and small plots of land would produce an environment containing a large amount of variety, but at the same time the area would be overseen by the county architect. Wright thought that this would produce a distinct character underlying the individual designs at the county level but would also produce a large variety of architecture across the country. A major part of Wrights model is that large scale government is largely eliminated in favour of the county government, which would own and manage all of the essential services for the area. In proposing this Wright claims that it will lead to a greater sense of responsibility for these services within the community as the ownership is close-by and accountable. Indeed, the underlying model of Wrights plan is the development of a uniform spread of small communities across the country, which raises issues of size that we will return to later in the paper. All needs and services such as food, power and education would be produced and consumed locally. However, despite the differences between these ideas of individual space and organic community development and Le Corbusiers intense, standardised, high rise developments there are some similarities in the plans, such as the way in which they both focus to a large extent on the provision of high speed integrated road networks, and also in the division of the space into designated areas, although there are great differences in the scale of the sections. In these two theories we have quite contrasting views of the development of city planning and, although both have were developed relatively early in the century both have been influential. We must consider from this how the ideas might apply to a virtual world. The highly centralised and structured model of Le Corbusier has the potential to provide an environment which is easy to navigate through, especially once the model on which the layout is based is known. On the other hand this was developed in the context of a highly centralised mode of the use of cities, with major businesses erecting their headquarters in skyscrapers at the centre of the city while residents moved to the suburban outskirts. In the virtual city we are freed from many of the constraints of the real world and there is no established model of city use. It may be that the balance of social to business use of the virtual environment will be significantly different from that of the real city. It is here that the individualist model of Wright is more appropriate. There is nothing to stop us allocating spatial resources to individuals and businesses and watching the city grow organically. Other theories from city planning also make important contributions to this argument. The first comes from the noted architect Christopher Alexander. In his 1965 paper "A City Is Not a Tree" (Alexander, 1965) he argues that modern cities which have been designed from scratch along highly structured lines, having well defined and nested areas for particular uses (the tree of the title,) are in many cases seen by their inhabitants as being sterile and uninteresting places to live. However, older cities which have developed gradually, and where the boundaries between different areas are more blurred, are perceived to be more interesting and vibrant environments. What underlies this is the way that the latter situation encourages the inhabitants to interact with different environments and the people who move within them. This broadening of experience helps to make the space a more pleasant place to live. Despite this we must also consider the important contributions that well defined districts can make in the city. In his seminal book "The Image of the City" Kevin Lynch (Lynch, 1960) recognises districts which have a distinct character as being one of the major features which we use when forming a mental map of the layout of a city. We must also ask what chaos might ensue if our city has an almost random scattering of different types of buildings and spaces. What seems to emerge from this debate is a requirement for a balance between complete freedom to build anything, anywhere and the creation of a pleasant space, and the need to produce an understandable and relatively well ordered environment. This points then to an intelligent and considered policy for the management of the virtual city, but also raises the question of who would perform this management function, which we will look in section 5. Small Scale Design Design of the city on the small scale is concerned more directly with the production of a pleasant environment. The most obvious part of this is the visual appeal of the space and is concerned with design and architecture. Here variety may also be a key point to produce a city which is stimulating as well as being attractive. However, making parts of the city pleasant to inhabit may go beyond the production of good looking buildings and into more functional domains. Some evidence to support this comes from a study carried out by and American sociologist William Whyte (1988.) The purpose of this was to look at the reasons why some of the parks and plazas in New York were more widely used than others. The plazas had been developed as a result of incentive bonuses which the city of New York had paid to developers to encourage them to build open spaces at the same time as they built each new office building. Whyte formulated a number of hypotheses as to why some plazas were more popular than others and tested them by filming the patterns of use of a number of areas. Some of these hypotheses were shown to be correct but some of the most obvious seemed to show no correlation to the number of people using the plaza and even some of those in what would seem to be the best locations were under used. Whyte looked at factors such as the size and shape of the plaza, the aesthetics and the amount of sunlight without finding a significant correlation. Finally he found that a strong factor in the use of a plaza was the amount of space available for the users to sit down. What with hindsight seems like an obvious factor was far from being the first to be considered. Obviously, there is not likely to be a direct application of this to virtual worlds, where sitting may not be an option for some time, yet there is a lesson to be learned that the design of a good space may not depend entirely on what immediately springs to mind. In her book "The Death and Life of Great American Cities" (Jacobs, 1961) the writer and neighbourhood activist Jane Jacobs looked at the way in which small streets can make their inhabitants feel safe. Again, it is difficult to apply this directly to virtual city streets, where physical safety will not be an issue, but a feeling of safety could be an important contributing factor to a feeling of contentment which should be attainable in virtual spaces by borrowing some of the cues from real streets. Jacobs argues that fear comes from deserted streets and from strangers. She also claims that the main enforcement of security on a street comes not from the police or other authorities but from the actions, or mere presence, of concerned inhabitants of that street. She lists three qualities that must exist for people to feel safe on a street: a clear boundary between public and private spaces, knowledge that the inhabitants of the street are observing the environment and the presence of other people making legitimate use of the street. What this leads to is that for a space to be seen as safe, and therefore as a large part of that space been seen to be pleasant, there should be evidence that the environment is being used and that there will always be other people around to observe and to observe you. This feeling can be reinforced if there is a familiarity to the activity and to the people themselves which comes from routine. In the next section we will combine this with the elements of civic responsibility discussed by Wright to suggest a model for a pleasant virtual city environment. Government and Management The issue of government is an important one if any lessons which have been learned from city planning are to be applied in an effective and consistent manner. In the case of virtual cities it is also possible to consider management on two levels, the city itself, its buildings, zones and architecture, and the underlying computer systems which drive the world and may themselves be distributed in nature. The relationship between these levels, if any, must also be taken into account. The authorities of real cities have to carry out a very complex task. They will be responsible for managing growth of the city so that new developments, for example, are properly sited, are in keeping with the character of their surroundings, do not destroy existing features which should be retained and do not adversely affect traffic flow. They are also responsible for the provision of a variety of essential services such as street lighting, law and order and waste disposal. They must manage the city to keep it affluent by encouraging local businesses and attracting new ones into the area, possibly against stiff competition from other cities. All these tasks must be carried out in the face of pressures from interested parties such as businesses, residents groups and minorities groups. So how will these problems map to the virtual city? The problem of managing the development and growth of the space will remain. The administration will want to encourage new people to join the community which, as can be seen from WWW growth, will lead to companies wanting to be represented within the environment too. We can guess that individuals will initially be drawn by the social aspects of the space, to meet and interact with other people with similar interest. Businesses (and other institutions, such as universities) will be drawn by advertising opportunities and, if the right facilities are provided, the chance to carry out activities such as meetings and attendance at trade shows, which in reality may require a large travel budget, without leaving their offices. Both of these types of user will have some desire to have their own individualised presence in the space, an equivalent of the WWW home page. The nature of this presence should be representative of the type of user to avoid misleading other inhabitants. Also, the location will be important. This indicates that some executive control and policy should be applied to applications for new space allocations. In effect this means planning and zoning laws. Many of the services required in real cities will not be required in the virtual space. There will be no garbage to collect and lighting will either be a global phenomenon or very easily managed on a more local scale. Services such as the maintenance of law and order will be required but in a very different way to what is seen in real cities, probably being concerned mainly with dealing with abuse of the system, unsolicited and unwanted contact and possibly some control of content where data access is allowed. Finally, there will be a separate set of services based on the infrastructure of the world such as maintaining the accessibility of the system, audio communication, other interaction methods such as billboards and asynchronous communication etc. This again raises the issue of the different levels of management in the environment. It is obvious that underlying the virtual city is a highly complex computer system. To manage such a thing on any sort of useful scale it is probable that we will be dealing with a complex network of inter-linked and distributed