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Advertising and Promotion
John Philip Jones
Syracuse University, USA

of their net sales value (NSV). In addition, these manu-

I. The Effects of Advertising and Sales Promotions
facturers spend a sum generally three times as large on
II. Advertising Increases, Immediate Sales, and Profit
sales promotions. The sales generated by incremental
III. Changes in Advertising Elasticity over Time
expenditures on advertising and on sales promotions
IV. A Further Look at Consumer Prices
can be estimated and compared. In general, increased
V. Harmony out of Discord
advertising expenditure generates only a small average
volume of additional sales, but this can often be profit-
able. On the other hand, increased promotional ex-
GLOSSARY penditure is likely to produce large but unprofitable
advertising elasticity The response of a brand’s sales to a change in sales increases.
advertising expenditure; normally calculated by estimating the
percentage increase in sales that results from a 1% increase in
advertising spending (excluding the influence of other sales stimuli).
advertising productivity Econometric calculation of the value of a
brand’s sales during a year that are directly generated by advertising I. THE EFFECTS OF ADVERTISING AND SALES
compared with the cost of the advertising; generally measured in PROMOTIONS
sales per advertising dollar.
advertising to sales (A:S) ratio The percentage of a brand’s net Advertising is capable of three orders of effect: short
sales value that is applied to media advertising. term, medium term, and long term. The short-term
direct costs (or variable costs) A manufacturer’s costs that vary with effect can be positive and occasionally large, and
the quantity of a brand manufactured.
is a precondition for all longer term effects. The
econometrics The use of high-order mathematics to establish the
existence or nonexistence of statistical relationships between medium-term (year-end) effect on the brand’s sales is
variables. the product of not only the positive influence of the
gross rating points (or television ratings) A measure of the size of brand’s own advertising, but also the negative influence
the television audience for a particular show or commercial; 1% of the of the advertising for competitive brands. The medium-
total number of television homes that are switched to a show or term effect is therefore invariably smaller than the
commercial is measured as one GRP. short-term one. The long-term effect, which is the result
indirect costs (or fixed costs) A manufacturer’s overhead costs; a of a gradual strengthening of the advertised brand in
sum the manufacturer must pay no matter how much it produces.
consumers’ minds, is manifested through a year-by-
net profit A residual; the amount of money that remains after
deducting all direct and indirect costs from a brand’s net sales value. year improvement in the size of the medium-term
net sales value A manufacturer’s net receipts from the sales of each effect.
of its brands. Sales promotions are capable of a very strong im-
price elasticity The response of a brand’s sales to a change in mediate effect, but almost without exception, this is
consumer price; normally calculated by estimating the percentage the total extent of their influence. When comparing
increase in sales that results from a 1% price reduction. the effects of advertising and promotions, therefore,
share of market A brand’s share of consumer sales in its product it is only realistic to look at their immediate short-
category; a percentage calculated on the basis either of volume term effects exclusively. But we should remember
bought or of dollars paid by the purchasers.
that advertising—unlike promotions—can lead to a
further sales outcome that can be very beneficial be-

T he advertising expenditures of large manufacturers

of consumer goods represent, on average, about 6%
cause of advertising’s ability to generate long-term
effects.

Encyclopedia of International Media and Communications, Volume 1

ß 2003 John Philip Jones. Published by Elsevier, Inc. All rights reserved. 7
8 Advertising and Promotion

II. ADVERTISING INCREASES, IMMEDIATE organization specializing in econometric analysis,

SALES, AND PROFIT Media Marketing Assessment (MMA): typical elastici-
ties in the range of 0.06 to 0.09, varying according
The way in which we measure the short-term effect of to the level of advertising investment behind a brand.
increases or decreases in advertising is with a statistical This general experience, together with the author’s
device called an advertising elasticity. Elasticity means usual caution about interpreting statistics, has led
responsiveness (in this case, of sales) to a given stimulus him to concentrate on the lower range of elasticities,
(in this case, advertising). The calculation is carried out with þ0.2 at the top of the range and not the average.
by regression analysis of multiple changes in advertis- The following levels have been examined: þ0.05,
ing expenditure alongside their effect on sales of an þ0.1, þ0.15, and þ0.2. In Table I, these elasticities
individual brand. The end product of the calculation are applied to four hypothetical brands whose NSV is
is an estimate of the percentage rise in sales that results a uniform $100 million. The table examines the imme-
from a 1% increase in advertising expenditure, the diate sales results of a 20% increase in advertising
extra sales having come from advertising alone given expenditure.
that the effect of the other influences on sales has been Each of the brands shows a sales increase in accord-
allowed for. ance with its advertising elasticity. However, Table I
Any estimate along these lines is, of course, predi- tells us nothing about whether or not the sales increases
cated on the basic assumption that the campaign is are economic. We must now see how costs have been
creatively strong enough to produce some degree of affected. There are three separate expenses that must be
short-term effect. Many campaigns do not fulfill this factored into the calculation:
condition.
1. The dollar cost of the extra advertising. The
The complicated calculations of advertising elasticity
amount depends on the advertising:sales (A:S)
have been made with hundreds of brands. In 1984,
ratio for the brand.
three American analysts, Gert Assmus, John U. Farlet,
2. The increase in direct costs (e.g., raw material,
and Donald R. Lehmann, published a summary of the
packaging) for the extra volume of output sold.
advertising elasticities of 128 separate advertising cam-
This depends not only on the amount of extra
paigns. The elasticity varies according to the product
sales but also on the share of a brand’s total cost
category, the brand, and (most of all) the campaign
that is accounted for by direct costs.
itself. The average published figure was þ0.22. If we
3. The increase—if any—in indirect costs.
round this to þ0.2, we see an approximate 5 to 1 rela-
tionship. As such, a 1% increase in advertising pro- Tables II, III, IV, and V use a grid for each of the
duces a 0.2% boost in sales, a 5% lift in advertising four brands. Each table looks at two variables: the
generates 1% extra sales, a 10% advertising increase brand’s A:S ratio and its ratio of direct costs out of total
boosts sales by 2%, and a 20% advertising lift increases NSV. With such relatively small sales increases—1%,
sales by 4%. Increments in advertising are normally in 2%, 3%, and 4% for the four brands—the realistic
minimum amounts of 10%, while 20% is common for assumption is that these will not cause indirect costs
brand restages. A 5 to 1 relationship is not a high to go up. The assumption is made that the firm’s general
response rate, but this article shows that this average overhead has enough slack in it to cover these modest
sales return can sometimes be economic (i.e., the value sales increases. Therefore, only the extra advertising
of the extra sales can exceed the outlay). cost and the additional direct costs are being estimated.
In the author’s own experience, some elasticity cal-
culations are made with a year’s data, meaning that the
TABLE I
results are likely to be diluted because the period will be
Effect of Extra Advertising on Sales: Four Brands with NSV of $100
long enough for the effect of the advertising to be
Million during Advertised Period
contaminated by the influence of competitive activity.
This analysis is, however, confined to short-term Brand EAA Brand EAB Brand EAC Brand EAD
effects, and all of the figures in the tables in this article
Advertising þ0.05 þ0.1 þ0.15 þ0.2
refer to estimated quantities during the relatively short
elasticity
period when the brand is advertised. This period is not
Additional þ20% þ20% þ20% þ20%
necessarily uniform, but in many cases it would be a advertising
month.
Additional þ$1 million þ$2 million þ$3 million þ$4 million
The author has also found that þ0.2 is a rather high sales
figure. This is confirmed by data from a prominent
Advertising and Promotion 9

TABLE II TABLE IV
Incremental Costs for Brand EAA (millions of dollars): Advertising Incremental Costs for Brand EAC (millions of dollars): Advertising
Elasticity þ0.05, Incremental Sales $1 Million Elasticity þ0.15, Incremental Sales $3 Million

A:S Ratio A:S Ratio

Direct cost ratio 4% 6% 8% Direct cost ratio 4% 6% 8%

40% A 0.8 A 1.2 A 1.6 40% A 0.8 A 1.2 A 1.6

D 0.4 D 0.4 D 0.4 D 1.2 D 1.2 D 1.2
T 1.2 T 1.6 T 2.0 T 2.0* T 2.4* T 2.8*
50% A 0.8 A.1.2 A 1.6 50% A 0.8 A.1.2 A 1.6
D 0.5 D 0.5 D 0.5 D 1.5 D 1.5 D 1.5
T 1.3 T 1.7 T 2.1 T 2.3* T 2.7* T 3.1
60% A.0.8 A.1.2 A 1.6 60% A.0.8 A.1.2 A 1.6
D 0.6 D 0.6 D 0.6 D 1.8 D 1.8 D 1.8
T 1.4 T 1.8 T 2.2 T 2.6* T 3.0 T 3.4

Note. A, additional advertising; D, extra direct costs; T, total. Note. A, additional advertising; D, extra direct costs; T, total.

In Tables II to V, the additional advertising cost is With 20 positive and 16 negative examples, the odds
signified by A, the extra direct costs by D, and the total are better than even that, in the short term, advertising
of the two by T. In the cases in which the extra adver- expenditure will lift sales and also cause no loss of
tising is profitable (i.e., the value of the incremental profit. With advertising run as a more or less continu-
sales exceeds the extra costs), asterisks (*) appear in ous series of exposure periods, there is a better chance
the cells by the total costs. of it running profitably than if it runs intermittently
Tables II to V contain a total of 36 statistical cells over 12 months. This is because, with the latter alter-
representing varying advertising elasticities, A:S ratios, native, the advertised brand will suffer from the
and proportions of total cost accounted for by directs. marketing activities of competitors. Therefore, con-
In 16 cases, the extra advertising is profitable. In 4 tinuity planning not only will maintain sales at a higher
cases, the extra advertising breaks even. In 16 cases— level than a schedule with interruptions but also is
generally those with the low elasticities—the advertis- likely to be an economic rather than a loss-making
ing does not pay for itself. activity.

TABLE III TABLE V

Incremental Costs for Brand EAB (millions of dollars): Advertising Incremental Costs for Brand EAD (millions of dollars): Advertising
Elasticity þ0.1, Incremental Sales $2 Million Elasticity þ0.2, Incremental Sales $4 Million

A:S Ratio A:S Ratio

Direct cost ratio 4% 6% 8% Direct cost ratio 4% 6% 8%

40% A 0.8 A 1.2 A 1.6 40% A 0.8 A 1.2 A 1.6

D 0.8 D 0.8 D 0.8 D 1.6 D 1.6 D 1.6
T 1.6* T 2.0 T 2.4 T 2.4* T 2.8* T 3.2*
50% A 0.8 A.1.2 A 1.6 50% A 0.8 A 1.2 A 1.6
D 1.0 D 1.0 D 1.0 D 2.0 D 2.0 D 2.0
T 1.8* T 2.2 T 2.6 T 2.8* T 3.2* T 3.6*
60% A.0.8 A.1.2 A 1.6 60% A.0.8 A.1.2 A 1.6
D 1.2 D 1.2 D 1.2 D 2.4 D 2.4 D 2.4
T 2.0 T 2.4 T 2.8 T 3.2* T 3.6* T 4.0

Note. A, additional advertising; D, extra direct costs; T, total. Note. A, additional advertising; D, extra direct costs; T, total.
10 Advertising and Promotion

III. CHANGES IN ADVERTISING ELASTICITY

Sales OVER TIME
$4
Extra sales and costs (in millions)

Evidence exists from a small number of brands that an

Costs individual brand’s advertising elasticity—measured re-
Profit
$3 peatedly and accurately with econometric techniques at
the state of the art—can go up and down year by year.
The problem is that the data cannot be published for
reasons of confidentiality.
$2
These annual variations rise and fall in response in
changes in campaign; thus, they provide a valuable
Loss
measure of each campaign’s medium-term effect. The
$1 changes in the actual numbers are not very large, and
small variations above and below the average do not
necessarily indicate any long-term effects from adver-
tising. However, in the examples that illustrate consist-
0.05 0.1 0.15 0.2
ent (albeit small) annual improvements, long-term
Advertising elasticity
effects are making themselves felt. Most important,
progressively rising figures can be extrapolated to pro-
FIGURE 1 Extra sales and extra costs for brands with different
advertising elasticities. A:S ratio 6%; direct cost proportion 50%.
vide year-by-year estimates of increases in profit (or
reductions in loss) from measured doses of advertising,
as shown in Figure 2. The value of an increasing adver-
tising elasticity is its ability to provide another advertis-
Figure 1 concentrates on the average brand, with the ing-related measure of a gradual strengthening of the
middle A:S ratio (6%) and the middle proportion of brand.
direct costs (50%). It plots the incremental income– We need not feel totally frustrated by the lack
incremental cost relationship for the four different of statistical material on the elasticities of specific
levels of advertising elasticity. brands that we are free to publish. Cases are available
As an extension of Figure 1, the profit or loss for each to demonstrate how advertising’s productivity can be
level of advertising for the average brand is plotted in shown to increase over time, although these cases
Figure 2. This diagram also suggests that advertising fall short of providing specific profit and loss estimates
produces an incremental long-term effect, and that one of this long-term effect. Two of them are described
way of evaluating this is by measuring increases over next.
time in the brand’s advertising elasticity.
A progressive increase in advertising elasticity during
subsequent years is a signal of advertising’s ability to
generate measurable long-term effects. The increase
may be partly due to the extra lagged effect on buying
behavior that follows the initial sales increase. The
$1
Profit and loss (in millions)

effect may, to some extent, be coming from increased

purchase frequency from the new consumers triggered
by the initial advertising stimulus. There is a well-
known published example of this process, which de-
0
scribes the leading British brand of toilet tissue, Andrex,
which had a short-term advertising elasticity of þ0.06
and a boosted elasticity of þ0.15 when the added effect
of repeat purchase was included in the calculation. Long-term
−$1 effects of
But although the idea of measuring the long-term advertising
effects of advertising by monitoring increasing adver-
tising elasticity is a persuasive concept, how practicable 0.05 0.1 0.15 0.2
is it not only to measure the elasticity for a single period Advertising elasticity
but also to repeat the difficult calculations year after FIGURE 2 Profit and loss for brands with different advertising elas-
year? ticities. A:S ratio 6%; direct cost proportion 50%.
Advertising and Promotion 11

A. The Orkin Exterminating Company The USMC advertising plays an important role in
stimulating recruitment. It does two jobs:
Orkin is an organization in the business of protecting
homes from termites and roaches, an activity concen- 1. Works directly to generate leads that eventually
trated in the warmer parts of the United States, where encourage a potential candidate to visit a recruit-
infestation is the greatest problem. The information ing office (a task carried out by a large volume of
that follows dates from the 1980s. At that time, Orkin direct mail literature)
was the market leader (as it is today), and it provides a 2. Works indirectly to stimulate and nurture aware-
premium service in quality and price. At the time, the ness of the ethos and spirit of the corps (a job
company treated about 17% of the 16 million Ameri- carried out by skillfully crafted television adver-
can homes that used the services of professional exter- tisements).
minators every year.
The strategy of the USMC campaign has not changed
The total market was declining. The most important
for decades, and there is also strong continuity in the
reason for this was that, although the total housing
creative execution of this strategy.
stock increased slightly every year, the houses that had
The way to evaluate the productivity of the USMC
been treated for insect infestation removed themselves
advertising is to compare its yield with that of the
from the market because the protection lasts for a
advertising for the other branches of the armed ser-
number of years. Therefore, of the total housing stock,
vices—the army, navy, and air force. The proportion
the proportion of protected homes rose year by year,
of young men indicating a propensity to join the USMC
and the proportion of unprotected ones fell.
increased steadily from 30 to 35% over the period from
Orkin’s advertising followed an unchanging strategy,
1976 to 1986. This was almost certainly proof of the
and there was also much continuity in the creative
long-term effectiveness of the television campaign. The
expression. The campaign had always worked rela-
marines’ improvement was specifically at the expense
tively directly to generate a stream of inquiries. Adver-
of the navy and air force and was accomplished with an
tising was in fact an important driving force for the
average advertising budget significantly lower that that
whole business. During the 1980s, the number of in-
for any other branch of the armed services. The USMC
quiries every year showed no signs of decline; in fact,
signed on 14% of all military recruits in the United
the opposite was true, with a general buoyancy and
States with the support of an advertising budget for
frequent increases in the number of leads that came in.
recruitment that was, on a continuous basis, only
With no significantly increased media investment
12% of the total for all the armed services.
behind the Orkin campaign, the maintenance and even
We can conclude from these facts that not only was
improvement in the response to the advertising among a
the USMC advertising more productive, dollar for
shrinking total target audience provided clear evidence
dollar, than that of the other armed services, but the
every year of progressive improvement in the medium-
USMC advertising also had done a progressively more
term response of advertising to uniform media pressure.
efficient job. The advertising campaign was generating
Another way of saying this is that there was, at that
more responses per dollar, year by year, which is another
time, a gradually increasing advertising elasticity.
way of saying that it was producing an increasing elasti-
city of response from a constant advertising investment.
B. The U.S. Marine Corps
C. Other Cases
The facts from this case also date from the 1980s. As
It would be very surprising if there were not many more
with Orkin, the U.S. Marine Corps (USMC) recruit-
cases showing similar effects to those produced by Or-
ment advertising was addressing a declining target
kin and the USMC. However, it is not sufficient merely
population. This was partly because of a shrinkage in
to demonstrate increasing sales year after year. The
the number of young men aged 16 to 21 years, at whom
cases must (as with these two examples) have the
the campaign was directed, a shrinkage caused by
following characteristics:
population trends and reductions in some years in the
propensity to join any branch of the armed services as a 1. There must be no change in the campaign during
result of the competition from civilian job opportun- the period being examined—the same creativity
ities. The ‘‘propensity to join’’ is measured by regularly and approximately the same media expenditure.
repeated research among a large sample of potential 2. There must be clear evidence of a direct influence
recruits. The data accurately predict the actual number of the campaign on sales in the short and medium
of recruits that join shortly afterward. term.
12 Advertising and Promotion

3. There must be a trend, year-by-year, showing the for consumer advertising because of its ability to publi-
following: cize Brand A’s functional excellence and to create and
. very strong share growth in a rising total category build the brand’s added values in the minds of con-
. or increasing sales in a stable category (hence an sumers. Advertising can be seen, then, as a device not
increasing share of market) only to boost demand but also to impede substitution,
. or stable sales in a declining category (which which means that it reduces the price elasticity of
also means increasing share of market). demand for the brand advertised.
The elasticity of demand is worth studying, and in
1988, an American academic, Gerard J. Tellis, pub-
IV. A FURTHER LOOK AT CONSUMER PRICES lished a summary of the price elasticities of 367 differ-
ent brands. The calculation was made for each brand
There is good general evidence that the largest by averaging the response of sales to changes in price on
brands—those that are generally strong because they a number of occasions. Tellis’s average figure was
have benefited from a positive long-term advertising 1.76, which shows a vastly greater raw response of
heritage—can command significantly higher consumer sales to reductions in price than to increases in adver-
prices than can the average brands in their categories. tising. (The phrase ‘‘raw response’’ is used deliberately
The rather obvious reason is that the largest brands because the effect of price reductions on the profitabil-
represent greater subjective value to the consumer, ity of brands is a different story, which is described later
who will therefore pay the premium price. in this article.)
A measurement exists to quantify this subjective Sales promotions are essentially devices to reduce
value—a device well established in the field of micro- temporarily the prices charged by manufacturers to
economics. It is a parallel concept to advertising elasti- the retail trade and the end consumer. The high average
city, discussed earlier in this article. The measure is price elasticity provides a powerful reason why promo-
price elasticity—a quantification of the responsiveness tions are so popular with manufacturers. Manufactur-
of a brand’s sales to changes in consumer price, specif- ers are, however, less conscious of what promotions
ically the measured response of sales to a 1% price cost them in forgone profit.
reduction. Because the relationship between price and Tables VI and VII describe the sales increases
sales is reciprocal (the first down, the second up), a generated by 5% and 10% price reductions, respect-
price elasticity in nearly all circumstances is preceded ively, for four hypothetical brands, each of which has
by a minus symbol. a different price elasticity clustered around Tellis’s
If Brand A has a high price elasticity—if a reduction average.
in its price will greatly increase its sales and if an in- As with advertising elasticity, we can fully judge the
crease in its price will substantially reduce its sales— effect of price reductions only by estimating the influ-
then there is direct substitution between closely com- ence of the price reduction on a manufacturer’s profit
petitive brands within the category. If A’s price goes because its costs will also go up when it sells more
down, then consumers will buy more of A and less of merchandise. Various alternatives are worked out in
B and C. If A’s price goes up, then the opposite will Tables VIII and IX. The cost estimates have been
happen. rounded to the nearest whole numbers. Asterisks indi-
Manufacturers naturally like to price high so as to cate the alternatives in which profit is increased.
maximize profit. To do this, they need to block the Tables VIII and IX do not paint an optimistic picture
substitution of competitive brands. This is a prime role of the value of price reductions. It is only at the lowest

TABLE VI
Effect of 5% Price Reduction on Sales

Brand FAA Brand FAB Brand FAC Brand FAD

Price elasticity 1.6 1.8 2.0 2.2

Initial volume (millions of units) 100 100 100 100
Initial NSV $100 million $100 million $100 million $100 million
Volume from price reduction (millions of units) 108 109 110 111
NSV from price reduction $103 million $104 million $105 million $105 million
Advertising and Promotion 13

TABLE VII
Effect of 10% Price Reduction on Sales

Brand FAA Brand FAB Brand FAC Brand FAD

Price elasticity 1.6 1.8 2.0 2.2

Initial volume (millions of units) 100 100 100 100
Initial NSV $100 million $100 million $100 million $100 million
Volume from price reduction (millions of units) 116 118 120 122
NSV from price reduction $104 million $106 million $108 million $110 million

TABLE VIII
Profit and Loss from 5% Price Reduction

Brand FAA Brand FAB Brand FAC Brand FAD

Price elasticity 1.6 1.8 2.0 2.2

Extra NSV from price reduction þ$3 million þ$4 million þ$5 million þ$5 million
Extra costs at different ratios of direct:
40% þ$3 million þ$4 million þ$4 million* þ$4 million*
50% þ$5 million þ$5 million þ$6 million þ$6 million
60% þ$6 million þ$7 million þ$7 million þ$7 million

ratio of direct costs and at the highest levels of price increase in cost. Price reductions also encourage com-
elasticity that they break even or yield a profit. The petitive retaliation, and they often have a negative influ-
reason is that price reductions take a large bite out of ence on consumers’ image of the brand.
a brand’s NSV. Added to this, the substantial increase in Of greatest concern here is the long-term influence
volume sold has to be paid for in direct costs, perhaps of a brand’s advertising on its responsiveness to price
also by an increase in indirect costs, given that the changes. The most interesting type of response is to
volume increase is so much larger than that brought price increases.
about by an increase in advertising expenditure. (This Table X describes three brands that cover a rather
possibility has not been factored into these calcula- extreme range of price elasticities. Each has an NSV of
tions.) $100 million and a 40% ratio of direct costs. As can be
Remember also that price reductions have only a seen, a 5% price increase causes a slight reduction in
temporary effect; there is generally no hope of a further NSV despite the increased price per unit. But direct
lagged effect to generate more revenue to balance the costs are also slightly increased.

TABLE IX
Profit and Loss from 10% Price Reduction

Brand FAA Brand FAB Brand FAC Brand FAD

Price elasticity 1.6 1.8 2.0 2.2

Extra NSV from price reduction þ$4 million þ$6 million þ$8 million þ$10 million
Extra costs at different ratios of direct:
40% þ$6 million þ$7 million þ$8 million þ$9 million*
50% þ$8 million þ$9 million þ$10 million þ$11 million
60% þ$10 million þ$11 million þ$12 million þ$13 million
14 Advertising and Promotion

TABLE X TABLE XII

Price Increase and Profit: Price +5%, Direct Cost Ratio 40% ‘‘Safe’’ Underinvestment (SOV below SOM)

Brand FAZ Brand FAY Brand FAX SOM ‘‘Safe’’ underinvestment

Price elasticity 1.4 1.8 2.2 Percentage Percentage

Original NSV $100 million $100 million $100 million Group of brands points Index points Index
New NSV $98 million $96 million $93 million Alpha 42 (rounded) 100 24 57
New direct and $97 million $96 million $96 million Beta 20 100 5 25
indirect cost
Gamma 17 100 3 18
Change in net profit + $1 million No change $3 million
Delta 13 100 3 23

Note. SOM, share of market; SOV, share of voice.

The important point about this analysis is that the

profit picture improves with reductions in the brand’s 1. Advertising elasticity tends to be low. Despite this,
price elasticity. The reason is that brands with a low advertising can often be profitable in the short term,
elasticity are not easily substituted. Following a price although it produces a generally small average return in
increase, therefore, they hang onto their sales to a sales. (On the other hand, advertising is rarely profit-
greater degree than is the case with brands with a high able in the medium term—over the course of a year—
price elasticity. although in the medium term it can also produce at
Successful advertising, by its ability to reinforce a least some increase in volume.)
brand’s uniqueness in the minds of its users, impedes 2. One of the important long-term outcomes of ef-
substitution and thereby reduces the brand’s price elas- fective advertising is that it gradually increases its own
ticity. Data from 18 typical brands analyzed by elasticity. Advertising over time becomes increasingly
MMA—data confirmed by other MMA databases— responsive to the amount of money spent on it. A large
confirm that brands with high advertising expenditure strong brand—one that has benefited from the long-
have a lower price elasticity than do brands that spend term effects of previous advertising—is more respon-
less (see Table XI). sive to advertising than is a small weak brand. A large
We can therefore conclude that successful advertis- strong brand, therefore, can underspend on advertis-
ing, by its ability to reduce a brand’s price elasticity, ing, in contrast to a small weak brand, which must
restricts the amount of substitution if the brand’s price overspend. This point is confirmed in Table XII. This
is increased, and this progressively enables the brand to table summarizes the share of voice (SOV)/share of
profit from price increases despite the reduction in sales market (SOM) relationship among four separate
volume that results. groups of large brands. The SOV is consistently and
safely below SOM; the brands analyzed managed to
maintain and sometimes even boost their shares of
V. HARMONY OUT OF DISCORD market despite the significant degree to which they
underspent on advertising.
The study of advertising elasticity and price elasticity 3. The increased productivity of advertising for large
in this article has led to the following five conclu- strong brands is also confirmed by their greater average
sions: payback in response to television advertising than is the
case with small weak brands (see Table XIII).
4. An important manifestation of the long-term
TABLE XI effect of advertising is that it reduces a brand’s price
Price Elasticity Compared with Advertising Expenditure: 18 Typical elasticity because the advertising contributes to making
MMA Brands the brand unique in the estimation of consumers and
thereby impedes the ability of competitive brands to be
Average annual Price substituted for the advertised brand if its price is in-
gross rating points elasticity
creased. Over time, successful advertising brings about
Total (18 brands) 2300 1.2 a gradual reduction in the brand’s price elasticity.
Nine brands with high advertising 3400 1.0 5. Because large strong brands are less price elastic
Nine brands with low advertising 1200 1.4 than small weak ones, the manufacturers of big brands
can control consumer price more efficiently. This means
Advertising and Promotion 15

TABLE XIII See Also the Following Articles

Large and Small Brands: Payback Differences (30 brands)
CZECH REPUBLIC, SLOVAKIA, AND HUNGARY, STATUS OF
MEDIA IN . FRANCE, STATUS OF MEDIA IN . FREEDOM OF
Average Average
THE PRESS IN WESTERN EUROPE . GERMANY, STATUS OF
share of television
MEDIA IN . ITALY, STATUS OF MEDIA IN . NETHERLANDS,
Number market productivity
BELGIUM, AND LUXEMBOURG, STATUS OF MEDIA IN .
Share of market of brands (percentage) (cents per dollar)a
POLAND, STATUS OF MEDIA IN . YUGOSLAVIA (FORMER),
Total 30 32.0 50.6 STATUS OF MEDIA IN
Larger than average 13 61.6 56.0
Smaller than average 17 9.4 46.5 Bibliography
a Assmus, G., Farlet, J. U., and Lehmann, D. R. (1984). How advertis-
Value of directly attributable sales for each dollar of advertising
ing affects sales: Meta analysis of econometric results. Journal of
investment on television.
Marketing Research, pp. 65–74.
Jenkins, E., and Timms, C. (1987). The Andrex story: A soft, strong,
and very long-term success. In Advertising Works, Vol. 4: Papers
that because large brands are, to some extent, protected from the Institute of Practitioners in Advertising (IPA) Advertis-
from competitors, they can command a higher price ing Effectiveness Awards (Channon, C., ed.), pp. 183–187.
Cassell, London.
than can small brands. This is manifestly a description
Jones, J. P. (1989). Does It Pay to Advertise? Cases Illustrating
of the real world, as can be seen in Table XIV. Successful Brand Advertising. Lexington Books, Lexington, MA.
Jones, J. P. (1990). The double jeopardy of sales promotions. Harvard
Business Review, September–October, pp. 145–152.
TABLE XIV Jones, J. P. (1999). Trends in promotions. In The Advertising Busi-
Marketplace Prices of Brands in 12 Product Categories, 1991: ness: Operations, Creativity, Media Planning, Integrated Com-
Indexes Compared with Category Average munications (Jones, J. P., ed.). Sage, Thousand Oaks, CA.
Jones, J. P. (2002). The Ultimate Secrets of Advertising. Sage, Thou-
All brands 100 sand Oaks, CA.
Largest 10 brands 114 Tellis, G. J. (1988). The price elasticity of selective demand: A meta-
analysis of econometric models of sales. Journal of Marketing
Second-largest 10 brands 110
Research, November, pp. 331–341.
Remaining 58 advertised brands 99 Tellis, G. J. (1989). Point of view: Interpreting advertising and price
64 unadvertised brands 97 elasticities. Journal of Advertising Research, August–September,
pp. 40–43.
Books
Murray Seeger
George Washington University, USA

5000 of those years. Early man told stories, illustrated

I. Origins of Books
with marks in dirt or sand, but these records did not
II. Clay to Papyrus
survive. Even today, there exist primitive groups who
III. Printing and Modern Books
keep no written records. A journalist in 1999, at-
IV. American Publishing
tempting to trace an ancient fleet that sailed from China
V. A New Era
to Africa, talked with a senior member of a local
VI. Coming of Age
tribe who related what he had been told by his great-
VII. New Challenges
grandfather: Chinese sailors had been shipwrecked 600
VIII. Future of Books
years before on the island of Pate, offshore from Kenya.
Some of those sailors married local women and pro-
duced descendants who had Asian features and lighter
GLOSSARY skins than residents of the island. But there was no
CD-ROM Compact disc, read-only memory for large computer physical record; the Chinese emperor had destroyed
programs and storage. any reports Captain Zheng made of his 15th century
codex Concept for binding edge of book pages to single binding, voyages.
traced to early Hebrews and Egyptians.
The concept of the book is connected to the develop-
floppy disk Small magnetic disk used for computer programs,
storage, and transferring electronic materials. ment of writing, using symbols for objects or sounds to
Gutenberg, Johann (1400–1468) Of Mainz, Germany, inventor of record information, and the development of materials
movable type and the printing press. to produce records that would survive. The first books
hieroglyphics Picture-writing of Egyptians. were produced in Mesopotamia, modern Iraq and Iran,
lithography Offset, cold type printing from a flat surface. and Egypt, the cradles of modern civilization. The Su-
paper First produced from bark and hemp by Chinese and improved merian people developed the first form of writing, small
by Europeans using wood pulp. pictures of everyday items such as body parts, animals,
papyrus Writing material made from a reed along Nile River. and geographic elements, and metaphysical concepts
Sumerians Ancient residents of Tigris–Euphrates region who made such as God and heaven. They combined two pictures
the first books of clay. to make a verb, such as ‘‘to eat’’ or ‘‘to drink,’’ and
scratched them on flat stones or clay tablets. The Su-
merians also developed more sophisticated written
O nce a form of communication reserved to the highest
and most privileged elements of society, books are
now accessible to nearly everyone in developed coun-
symbols known as cuneiform that have survived since
about 3500 BC.
Other ancient people developed pictographic writing
tries. Books are the foundation for all other com-
in the last centuries before the beginning of the modern
munication; they are warehouses of knowledge and
era. Chinese writing, for instance, has been traced to
information, conveyers of culture, and a medium of
2000 BC with inscriptions on bone dated to 1400 BC.
entertainment, easily available and portable.
Historians believe concepts of writing were carried to
China from the Middle East and were adapted by local
I. ORIGINS OF BOOKS scholars into a language that is still in use.
The Sumerians, who disappeared as a people, built
Of the millions of years that humans have inhabited the the first civilization with a government, taxation, irri-
earth, there is a record or history of no more than some gation, and architecture, as well as writing, literature,

Encyclopedia of International Media and Communications, Volume 1

Copyright 2003, Elsevier Science (USA). All rights reserved. 87
88 Books

and libraries. In the mid-19th century, archeologists in for their next life. These writings were later com-
Mesopotamia uncovered 500,000 clay tablets includ- piled by historians as the Book of the Dead. The
ing some of the earliest Sumerian books. They consisted Egyptians also wrote texts for instruction in math-
of several tablets, labeled, indexed, numbered, and ematics and astronomy and recorded many myths and
stacked on shelves including agricultural and economic collections of folk wisdom speculations on the creation
records, histories, legal and mathematics texts, diction- of man, but no comprehensive histories have been
aries, maps, and grammars. Some ‘‘pages,’’ as in the found.
Epic of Creation, were a yard long. In addition to Starting with stone, wood, leather, and linen as
Sumeria’s central libraries, each palace also appeared writing material, the Egyptians made a major advance
to have a library. by developing a superior material from a reed that grew
The Babylonians absorbed Sumerian stories into new along the shores of the Nile River. The Greek word for
versions. In particular, the Babylonians wrote the Gil- this reed, papyros, with small changes, has become a
gamesh Epic, a heroic poem covering 12 tablets that part of many languages. Splitting papyrus stems and
included a description of The Deluge and suggested peeling the layers produced long sheets of material that
that God formed man from clay. King Hammurabi could be dried in the sun. The long leaves were glued
encouraged writing and scientific study during his reign together in two layers to make sheets of crude paper,
in the 18th century BC. His Code of Laws, which sometimes 50-feet long or longer, suitable for rolling
included rules of conduct from the Sumerians, was around wooden rods.
written in the Babylonian language on an eight foot The government shipped bales of papyrus to other
high block of diorite stone set in the city of Babylon. countries that made their own papers, sometimes in
The Assyrians, who conquered Babylonia, collected, different grades and shapes. Some Greek and Roman
copied, and translated historic tablets and stored them classics were apparently written first on papyrus. This
in a library at Nineveh. Under the second Babylonian invention was complemented by the development of
Empire in 625 BC, the knowledge of bookmaking, black and red stains as writing fluids. Even the best
writing, and learning was spread throughout the qualities of papyrus were fragile, but they were pre-
Middle East and Asia Minor. served remarkably well for millennia because of the
A newer culture started its ascent around 1500 BC in hot, dry climate of Egypt and because many of them
what is now Syria. The Ugarit Library at Ras esh- were buried in airless tombs with historical figures.
Shamrah, discovered in 1929, revealed a treasure of Papyrus was reinforced as the preferred medium for
stone tablets written in the first known alphabet, a recording history and literature after Alexander the
series of wedge-shaped signs that has been compared Great conquered Egypt in 331 BC and established a
to ancient Phoenician and Hebrew. The development of city in his name. A year later, scholars founded two
alphabetic languages, especially Aramaic from the east- libraries that collected more than 700,000 scrolls and
ern end of the Mediterranean, and the invention of new attracted such great thinkers as Euclid, the founder of
writing materials ended the writing of books on clay modern geometry, Ptolemy, the astronomer, and Philo,
tablets about 500 BC. the philosopher. Alexandria was the primary intellec-
tual hub of Greek, Hebrew, and Christian studies until
the libraries were destroyed by fire and Egypt was
II. CLAY TO PAPYRUS conquered by Arab invaders in 640 AD.

Egyptian writing, or hieroglyphics, used pictures and

A. Parchment and Vellum
letters unique to their authors. This language was more
accessible to scholars than other ancient writings be- While papyrus was still popular in the entire Mediterra-
cause of the 1799 discovery in Egypt of the Rosetta nean region, scholars also experimented with animal
Stone, a slab of basalt that contained the same script skins as an alternative writing material. Scribes dis-
written in three vocabularies, hieroglyphic, demotic, covered that if they scraped fur from animal hides they
and Greek. With this key, scholars were able to open could produce a thin, flexible material that accepted
the treasure of Egyptian culture and, especially, its ink. The better skins could be used on two sides and
literature. treated with chemicals to help the material endure in
Egyptian records were less concerned with battles climates that were not well-suited to papyrus. A scribe
and conquests than with writing for pleasure and en- could also erase errors and reuse a skin. When leather
lightenment. Egyptian writing on sarcophagi and pyra- was treated to produce very thin, durable sheets, it was
mid walls around 3000 BC gave the dead guidance called parchment. The finest skins—usually from
Books 89

young animals—produced an even lighter material and impractical because the language required the use
called vellum. of thousands of characters. Koreans also invented a
Librarians and other scholars sought these alterna- separate movable type in the 14th century, but aban-
tives to papyrus to make volumes with tied or bound doned the scheme since its language also required
pages, similar to modern books, for easier handling several thousand characters.
than the long rolls of papyrus. The development of Following the development of books in China is
parchment was spurred by early laws issued in Israel complicated by the fact that different emperors des-
that required religious documents to be written on troyed the written work of predecessors. The first bibli-
parchment, a practice still followed today. A sect of ography of books in the first century BC listed 677
monks, the Essenes, put their treasured, parchment works written on wooden tablets and silk. The early
documents into jars and hid them in caves above use of opened bamboo sticks is considered the reason
the Dead Sea sometime between 150 BC and 68 AD. Chinese script is written in vertical columns from right
These Dead Sea Scrolls, including Old Testament chap- to left, the opposite of Western-style writing.
ters, were found between 1947 and 1956. Europeans, meantime, also carved pictures into
Very few documents have survived the centuries be- wooden blocks that were inked and hammered onto
cause of the poor materials used and because few copies single pages of parchment or vellum to decorate the
were made of texts. Monks hand-copied manuscripts handwriting of scribes. Still, the great texts remained
for distribution from religious centers, especially after in a few libraries at centers of learning while teachers
Constantine the Great declared Christianity to be the taught from lectures. This history was changed with the
state religion of the Roman Empire. There are no invention of movable type by German printers, espe-
manuscripts from Homer, the greatest of Greek writers, cially Johann Gensfleisch zum Gutenberg of Mainz
and it is not known if his stories were ever written down in 1450.
during his lifetime or if they were simply repeated
orally over the years. In Persia, India, China, and
other countries to the east, precious texts such as the III. PRINTING AND MODERN BOOKS
teachings of Confucius and the Buddha were written
on local materials such as palm leaves, bark, leather, In 1456, Gutenberg published the Mazarin Bible, the
and silk. only printed work that carries his name. He had
The production of books changed in the early Chris- borrowed money to develop his invention, but was
tian era as scribes adopted different languages. The bankrupt by 1455; his shop and most of his equipment
Western alphabets, especially Latin and Greek, were were seized. He apparently saved the type in a smaller
made more cursive. Books to teach and guide spread size for another Bible and the Catholicon, a popular
to all continents, following the great explorers and encyclopedia that had been assembled in Genoa in the
missionaries armed with such works as the Koran, 13th century by Johannes Balbus. In this book, printed
Bible, Talmud, Old Narratives of Hinduism, and scrip- in 1460, Gutenberg wrote it was ‘‘accomplished with-
tures of the Buddha. out the help of reed, stylus or pen and by the wondrous
agreement, proportion and harmony of punches and
types . . . .’’
B. China Contributes
Gutenberg also invented an ink that clung to type
The Chinese brought about the next major change in and reproduced on paper on the hand-operated press he
mass communication through the invention of paper adapted from a wine press used by Rhineland vintners.
around 105 AD. Made from bark and hemp, this su- The creation of the press meant that books could be
perior material spread east to Japan and west to Sam- printed in smaller sizes and in greater numbers, which
arkand, where traders took it to Egypt and Spain and made them available to large audiences for the first
the greatest library of the Arabic world in Cordova. In time. Textual changes were made by replacing single
addition, the Chinese developed printing from wooden letters of metal type. Scribes no longer had to spend
blocks in the middle of the first modern century. The their days laboriously copying individual texts and in-
spread of Buddhism into China encouraged the reprint- dividuals no longer had to travel long distances to seek
ing of prayers on the new crude paper that was superior permission to examine books in the few libraries.
to papyrus for duplication. The Chinese made copies by Gutenberg copied Gothic-style writing to make his
laying the paper on top of the blocks. They also de- typeface, but other printers developed their own,
veloped a form of movable type in the first modern more legible types based on the Latin alphabet. Guten-
century, but the process was found to be awkward berg also made pieces of type the same length so
90 Books

craftsmen could more easily put them into words and copies were printed in Germany, the Netherlands, or
sentences. France.
Historians consider the inventions attributed to Gu- The English printers evaded official orders and issued
tenberg as among the greatest technological events in books outside official channels, setting a tradition of
modern history, the first of many that revolutionized publishers resisting efforts by arbitrary governments to
and democratized mass communications. Movable impose prior restraint, the banning of publication in
type and the printing press made possible the wide advance of release, and censorship, the selective expur-
diffusion of knowledge to men and women who previ- gation of text. Caxton extended his influence by pub-
ously had little incentive to learn to read or write. The lishing in the London dialect, thus speeding the decline
development led to the Christian Reformation and laid of other English dialects. Similarly, the dialect Luther
the groundwork for the development of democratic chose became the dominant form of German and
systems worldwide. printed Tuscan ascended in Italy. Paris printers set the
German printers spread the new art rapidly across standard for French in the 1530s.
Europe so that by 1483 printing presses were in oper- In 1586, The English Star Chamber, the king’s coun-
ation as far north as Stockholm, as far south and west cillors, restricted printing to London except for the
as Valencia and Seville, and as far east as Venice. Soon, great universities at Oxford and Cambridge, which
printers were turning out different versions of the Bible were allowed one press each. Although another press
and the Koran. In Rome, two printers in 1472 boasted was allowed at York in 1662, these restrictions gener-
they had published 46 volumes, some in different edi- ally held until 1695. English printers did publish poor
tions, and in as many as 275 copies each. Venice had copies of the King James’s Bible, the folios of William
some 150 presses operating by the end of the century, Shakespeare, Bacon’s Essays, Milton’s Paradise Lost,
including the most famous press of Aldus Mantius, who Bunyan’s Pilgrim’s Progress, and Izaak Walton’s The
was the pioneer in training printers to set type in Greek Compleat Angler, but the finest books of the 16th and
and to distribute the Greek classics across Europe. Ital- 17th centuries were published in continental Europe.
ian printers produced the first books in Hebrew in Printers developed more styles of type, seeking clarity
1475. Two fine illuminated manuscripts from this as well as beauty, and book sales soared. Gothic writing
period, a prayer book and the Cornaro Missal, were faded and the Latin alphabet became predominant
sold at auction in 1999 for $13.3 and $4.4 million, except for printing in Asia, the Middle East, and East-
respectively. ern Europe. Some typefaces created in that era survive
Print shops became centers for philosophical and in artistic shops that use metal type and in the electronic
political discussion since printers, with their machines forms of computer writing programs.
and special skills, were also publishers. Their products, The functions of author, publisher, and printer began
translated into local languages, challenged the monop- to diverge, especially in Europe with its established
oly that palaces and monasteries held on writing and literary institution. First, the writer was separated from
storing manuscripts in Greek or Latin. In 1476, Wil- the printing trade. Then the demand for books encour-
liam Caxton of Westminster, England, who learned his aged the formation of separate companies in publishing
trade in Germany, became the first printer to publish and distribution. In 1709, Great Britain issued a Copy-
books in English. In 1517 a group of religious reformers right Act that protected a writer’s work from uncon-
associated with Martin Luther published his inflamma- trolled copying. This protection, which soon spread
tory works in German. By 1522, the Bible had been around the world, also secured the investments that
translated into every European language. publishers and printers made in agreeing to produce
written works.
A. English Literature
B. Leaps of Technology
Caxton was also the first English bookseller, finding a
ready market for popular literature as well as transla- The rapid expansion of the demand for books put
tions of the classics. In 1478, he published the first pressure on the industry to find ways to speed produc-
edition of Chaucer’s Canterbury Tales. When King tion. In France, in 1803, Nicholas Louis Robert de-
Henry VIII was in conflict with the Roman Catholic veloped a machine to make paper in rolls and specific
Church, the crown issued a list of forbidden books sizes, increasing daily production 10 times over paper
and required printers to have a royal license to practice produced by hand. In 1805, Earl Stanhope of Oxford
their trade. Church authorities barred the printing adopted stereotyping, in which plaster casts of type
of the whole Bible in English, so the first vernacular were used on presses so that new casts only had to be
Books 91

made to replace worn type instead of resetting type; by Linotype, and Monotype machines that cast letters in
1829, cheaper paper-maché mats replaced the plaster. lines that were adjusted for the different shapes of
Earl Stanhope also designed the first press made of individual letters and the width of page columns. The
iron and Friedrich Koenig, a German, adapted the press laborsaving advantages of the new machines frightened
to steam power in 1810, increasing output to 1100 workers who saw their livelihood disappearing as
sheets an hour compared with 300 by its predecessor. the machines were installed. Soon, the typographers,
By 1868, the development of rotary and web-fed presses engravers, and stereotypers learned new skills and were
pushed production to 20,000 sheets per hour. The inven- employed in the industry in large numbers until the
tion of the letter-founding machine by William Church 1960s when they were displaced in large numbers by
in 1822 raised the production of type characters by the widespread adoption of computer-generated type-
400%. At the same time, publishers developed cheaper setting, page composition, and reproduction from
methods to bind the covers of books with cloth, re- photographic images on high-speed presses.
placing the loose stitching or expensive leather that had
been used. In 1843, another German, Friedrich Gottlob
Keller, produced paper made from wood pulp, which is IV. AMERICAN PUBLISHING
still the basis for the basic printing material. The sum of
these technological advances was to make possible the In 1638, 18 years after the Puritans landed at Plymouth
inexpensive production of all printed goods, especially Rock, the first American press was established in Cam-
books. In the early 19th century it was possible to reach a bridge, Massachusetts, residence of the British gov-
mass audience for books of all kinds for the first time. ernor and location of the new Harvard College.
In Asia, Chinese culture was left behind by these Joseph Glover imported the press and three printers
developments. Chinese society exalted scholarship from Cambridge, England, but Glover died on the
and admired literature of all types, but the mass distri- voyage. The immigrants, Stephen Daye and his sons,
bution of writing was hampered by the complexities of Stephen and Mathew, published an ‘‘Oath of Allegiance
language and by the strict controls over the dissemin- to the King’’ in 1639 and The Whole Booke of Psalmes
ation of new ideas by autocratic governments. Japan in 1640. A second press was imported from England in
and Korea suffered the same handicaps. 1659, also to Harvard, which had obtained the exclu-
In other parts of Asia, Africa, and Latin America, sive right of printing in the colonies.
early native examples of writing and illustrating were In 1663, John Eliot, an immigrant from England,
overwhelmed by the invasion of European languages made a translation of the Bible into the Indian language
brought by explorers and missionaries. and had it printed by Marmaduke Johnson, the first
full-time, master printer in the colonies. Johnson broke
the Cambridge monopoly on printing by moving his
C. Lithography
press to Boston. William Bradford, a Quaker from
In 1814, Alois Senefelder of Munich invented the London, opened a press in Philadelphia in 1685 and
second form of printing, lithography. In lithography, then in New York in 1693. Other presses were estab-
drawings were made with crayons on flat stone surfaces lished along the East Coast, but did not arrive in Geor-
and then covered with water. Ink adhered to the waxed gia, the last colony to be formed, until 1763.
image but not the wet stone. Successive layers of differ- The most famous printer in American history, Benja-
ent colors produced glowing images unequaled in letter min Franklin, who went from Boston to England to
press printing. This led to cold type, which 150 years learn his trade, set up shop in Philadelphia in 1723.
later started to displace cast hot metal type. Following He published the Pennsylvania Gazette, the most suc-
the invention of lithography, Europeans designed more cessful newspaper in the colonies, and Poor Richard’s
forms of reproduction including engraving and in- Almanack, a collection of aphorisms and commentaries
taglio, which uses wooden or metal plates in which of his own and others’ inventions. Still, most of the
letters and pictures are carved or etched in reverse to books in the early libraries and those sold in shops were
produce sharp, distinctive images when pressed onto imports from Europe.
paper. These forms made it possible to illustrate Books were the first products of the early printers,
modern books with images as handsome as the hand- followed by newspapers and magazines. Most early
painted images used in books written by scribes. books were collections of sermons, prayers, and poetry
The American inventions that increased the mass such as the popular The Day of Doom, by Michael
production of all printed media even more came in the Wigglesworth. The most influential writers, William
last decade of the 19th century with the Intertype, Bradford (Of Plymouth Plantation, 1620–1647) and
92 Books

Cotton Mather, helped to establish the New England government, science, agriculture, and architecture.
style as the American dialect of English. A century later, These included works by the English and Scottish
Jonathan Edwards wrote influential moral statements thinkers John Locke, Adam Smith, Edmund Burke,
including the Treatise on Religious Affections (1746). David Hume, and Isaac Newton; Laurence Sterne, his
In 1770, the Rev. Isaiah Thomas operated a print favorite novelist; and Greek and Latin thinkers he read
shop, bindery, and paper mill and started publishing in their native languages. Jefferson created another
The Massachusetts Spy, a magazine that continued library that was sold at his death in 1826 with more
until 1904. Thomas, a bold advocate of American in- copies going to the Library of Congress. ‘‘I have given
dependence, was forced to move his press to Worcester, up newspapers in exchange for Tacitus and Thucydi-
where he published 400 books including the first des, for Newton and Euclid; and I find myself much the
American Bibles. Using type and pages set in England, happier,’’ he wrote in 1812. More than 2000 of his
Thomas also published the first American dictionary in volumes and a Gutenberg Bible are among the greatest
1785, organized by William Perry. treasures housed in the monumental library building in
Washington, D.C. that bears his name.
A. Revolution
B. First American Literature
As tensions rose in colonial America, many printers’
shops became centers for political discussion and op- The first true American literature came from the Con-
position to the British rulers. Agitators such as Thomas cord, Massachusetts circle of Ralph Waldo Emerson,
Paine took their writings to friendly printers for rapid Henry David Thoreau, Amos Alcott, and Margaret
dissemination. To generate support for the new Consti- Fuller who sponsored the country’s first literary quar-
tution after the long, difficult Revolutionary War, terly, Dial. In 1836, Emerson, a preacher, heralded a
James Madison, Alexander Hamilton, and John Jay, new age by encouraging the publishing of stories and
gave printers 85 of their letters that were compiled as poems for enjoyment instead of sermons and guides for
The Federalist, a classic in American political literature. good conduct. This movement produced works by
With the strong incentive of independence to develop Edgar Allen Poe, Nathaniel Hawthorne, and Herman
domestic commerce and culture, American publishers Melville, and poetry by Henry Wadsworth Longfellow,
organized their businesses along English lines. Mathew Walt Whitman, and Emily Dickinson. Hawthorne, in
Carey, an Irish immigrant, set up the first comprehen- the preface to The Scarlet Letter (1850), imagines one
sive publishing business in Philadelphia in 1799. He of his Puritan ancestors criticizing, ‘‘What is he? . . . A
published a heroic Life of Washington, by Parson writer of storybooks! What kind of business in life—
Mason Weems, one of the first American books to what mode of glorifying God, or being serviceable to
outsell English imports. The ensuing years produced a mankind in his day and generation—may that be?’’
streak of historical stories and examinations of frontier Carey was followed into publishing by Harper &
life and the lives of native American people, especially Brothers in 1817, John Wiley & Sons in 1828, Little,
the Leatherstocking Tales of James Fenimore Cooper, Brown & Company in 1837, Charles Scribner’s Sons in
which were set in New York State and published be- 1846, and Houghton Mifflin Company in 1849. Their
tween 1823 and 1841. early output was sold mostly in the large cities of
The free, public library was a notable mark of the Boston, New York, and Philadelphia, but their works
new American culture that provided books to the were also sold by peddlers traveling with horse carts
widest possible audience. Starting in Boston in 1653, from town to town. Many of the first books were
the movement moved south with the formation in 1732 cheap, pirated copies of popular English titles that
of the Library Company of Philadelphia under the in- could be freely printed because the United States at that
stigation of Franklin. The new U.S. Congress set up its time did not recognize foreign copyrights.
own research library in 1800, but its 3000 books were Book publishing had become a substantial business
burned by British troops in 1814. Congress restored the by the beginning of the Civil War with a large market
Library of Congress in 1815 by buying the unique for romantic novels joining the lists of popular histor-
collection of 6487 American and European books as- ical and religious books done in cheap forms. After
sembled by Thomas Jefferson, who said, ‘‘I could not 1845, the Post Office refused to allow dime novels to
live without books.’’ be mailed at low rates, but sales continued to rise,
This was Jefferson’s second collection; his first was particularly among soldiers. Between 1860 and 1861,
destroyed in a house fire in 1770. His rebuilt library Beadle Brothers sold 4 million copies of cheap books
included books that reflected interests in politics and that could be carried in a soldier’s pack.
Books 93

V. A NEW ERA of the greatest American novels and is one of the best-
selling books of all time.
Publishers broke new intellectual ground by examining In his wake came Willa Cather, a native of Virginia
political and social issues, seeking new voices, and who wrote of the Middle West, and Joel Chandler
publishing the first classics of African-American litera- Harris, who collected folk stories from West Africa that
ture, Narrative of the Life of an American Slave (1845) had been retold as Uncle Remus’ tales among slaves in
by Frederick Douglass and Incidents in the Life of the South. Just before the Great War of 1914–1918,
a Slave Girl (1861) by Harriet Jacobs. The volume Stephen Crane published Red Badge of Courage
of publishing expanded as publishers divided their (1895), a story of the Civil War. Born in poverty in
audiences between readers of inexpensive, popular ma- San Francisco, Jack London found a huge audience
terial and an intellectual audience drawn to the new for his stories of the Alaska frontier including his most
literature. famous, White Fang (1906).
The four Harper brothers discovered that publishing
Harper’s New Monthly Magazine occupied unused
A. Market Expansion
time on their new, steam-powered presses. The monthly
was a success—printing stories and promoting the com- The American mass market was fascinated by the
pany’s books. It was followed by Harper’s Weekly and uplifting tales of Horatio Alger, a preacher whose name
Harper’s Bazaar and Scribner’s, the Dial, the Century, has become synonymous with anyone who succeeds in
American Mercury, Atlantic Monthly, and Smart Set life against great odds. Popular publishers used low
from other publishers. Only Harper’s and the Atlantic postal rates to distribute pamphlet books that told stor-
survive. One serial in National Era, ‘‘Uncle Tom’s ies of the new class of Americans working in factories.
Cabin,’’ was published as a book that sold 300,000 These books of detectives and Wild West stories were
copies by 1853, the first mass-market book in America. often produced by fiction factories where the publishers
The author, Harriet Beecher Stowe, earned $10,000 in cast the outlines of the stories and anonymous authors
royalties, the most paid any author in the world at that filled in the blanks. However, the Post Office cracked
time. When Stowe met President Lincoln in 1862, her down again in 1901 and barred book publishers from
family claimed that he remarked, ‘‘So, this is the little using the lower rates given to magazines.
lady who made this big war.’’ The first best-sellers were recorded in the 1890s when
While America was torn by Civil War, Europe was Publishers Weekly began to report sales figures. Do-
erupting in revolutionary unrest. Karl Marx, a German mestic publishers gained strength following Washing-
immigrant, caught the fever with The Condition of the ton’s approval of international copyrights in 1891 that
Working Class in England (1844), which was followed closed many houses that profited on reprints of Euro-
by The Communist Manifesto (1848) and Das Kapital, pean books. With this new protection for the rights of
which took nearly 30 years to finish. These works authors and publishers, American intellectuals gained
initiated a new, more scientific approach to economics the confidence to publish nonfiction books outside the
and launched a political movement that survived for confines of academia.
nearly 150 years. In the last part of the 20th century, the
world was torn by competition between followers of
Marx and Adam Smith, the Scottish economist who VI. COMING OF AGE
wrote The Wealth of Nations (1776).
Following the Civil War, Congress passed the land- William James, a Harvard professor, wrote The Prin-
mark Homestead Act that stimulated settlement to the ciples of Psychology in 1890 and Thorstein Veblen
west and created land-grant colleges in every state that from the University of Chicago stirred wide interest
dramatically increased the number of students and in- with his critical essays, The Theory of the Leisure Class
creased the demand for books of all kinds. The trend in (1899) and The Theory of Business Enterprise (1904).
books matured over the next 50 years, with the novels Another Harvard professor, Henry Adams, set the
of William Dean Howells, Henry James, Theodore standard for American historians with a series of books
Dreiser, and Edith Wharton, classics that form the core culminating in the autobiographical The Education of
of American literary studies. They were joined in the Henry Adams (1907), which has been listed as one of
pantheon of American writers by Samuel Clemens, the greatest nonfiction books of the 20th century (see
who, writing as Mark Twain, elevated the status of Table I). A new major black voice was heard in the
Midwestern regional writing to literature. His Adven- works of W. E. B. DuBois, especially his The Souls of
tures of Huckleberry Finn (1885) is classified as one Black Folks (1903).
94 Books

TABLE I
The Most Important Nonfiction English-Language Books Published in the 20th Centurya

1. The Education of Henry Adams, Henry Adams 44. Children of Crisis, Robert Coles
2. The Varieties of Religious Experience, William James 45. A Study of History, Arnold J. Toynbee
3. Up from Slavery, Booker T. Washington 46. The Affluent Society, J. K. Galbraith
4. A Room of One’s Own, Virginia Woolf 47. Present at the Creation, Dean Acheson
5. Silent Spring, Rachel Carson 48. The Great Bridge, David McCullough
6. Selected Essays, 1917–1932, T.S. Eliot 49. Patriotic Gore, Edmund Wilson
7. The Double Helix, James D. Watson 50. Samuel Johnson, Walter Jackson Bate
8. Speak, Memory, Vladimir Nabokov 51. The Autobiography of Malcolm X, Alex Haley and Malcolm X
9. The American Language, H. L. Mencken 52. The Right Stuff, Tom Wolfe
10. The General Theory of Employment, Interest and Money, John 53. Eminent Victorians, Lytton Strachey
Maynard Keynes 54. Working, Studs Terkel
11. The Lives of the Cell, Lewis Thomas 55. Darkness Visible, William Styron
12. The Frontier in American History, Frederick Jackson Turner 56. The Liberal Imagination, Lionel Trilling
13. Black Boy, Richard Wright 57. The Second World War, Winston Churchill
14. Aspects of the Novel, E.M. Forster 58. Out of Africa, Isak Dinesen
15. The Civil War, Shelby Foote 59. Jefferson and His Time, Dumas Malone
16. The Guns of August, Barbara Tuchman 60. In the American Grain, William Carlos Williams
17. The Proper Study of Mankind, Stuart Chase 61. Cadillac Desert, Marc Reisner
18. The Nature and Destiny of Man, Reinhold Niebuhr 62. The House of Morgan, Ron Chernow
19. Notes of a Native Son, James Baldwin 63. The Sweet Science, A. J. Liebling
20. The Autobiography of Alice B. Toklas, Gertrude Stein 64. The Open Society and Its Enemies, Karl Popper
21. The Elements of Style, William Strunk and E. B. White 65. The Art of Memory, Frances A. Yates
22. An American Dilemma, Gunnar Myrdal 66. Religion and the Rise of Capitalism, Richard Henry Tawney
23. Principia Mathematica, Alfred North Whitehead and Bertrand 67. A Preface to Morals, Walter Lippmann
Russell
68. The Gate of Heavenly Peace, Jonathan D. Spence
24. The Mismeasure of Man, Stephen Jay Gould
69. The Structure of Scientific Revolutions, Thomas S. Kuhn
25. The Mirror and the Lamp, Meyer Howard Abrams
70. The Strange Career of Jim Crow, C. Vann Woodward
26. The Art of the Soluble, Peter B. Medawar
71. The Rise of the West, William H. McNeill
27. The Ants, Bert Hoelldobler and Edward O. Wilson
72. The Gnostic Gospels, Elaine Pagels
28. A Theory of Justice, John Rawls
73. James Joyce, Richard Ellmann
29. Art and Illusion, Ernest H. Gombrich
74. Florence Nightingale, Cecil Woodham-Smith
30. The Making of the English Social Class, E. P. Thompson
75. The Great War and Modern Memory, Paul Fussell
31. The Souls of Black Folk, W. E. B. DuBois
76. The City in History, Lewis Mumford
32. Principia Ethica, G. E. Moore
77. Battle Cry of Freedom, James M. McPherson
33. Philosophy and Civilization, John Dewey
78. Why We Can’t Wait, Martin Luther King, Jr.
34. On Growth and Form, D’Arcy Thompson
79. The Rise of Theodore Roosevelt, Edmund Morris
35. Ideas and Opinions, Albert Einstein
80. Studies in Iconology, Erwin Panofsky
36. The Age of Jackson, Arthur Schlesinger, Jr.
81. The Face of Battle, John Keegan
37. The Making of the Atomic Bomb, Richard Rhodes
82. The Strange Death of Liberal England, George Dangerfield
38. Black Lamb and Grey Falcon, Rebecca West
83. Vermeer, Lawrence Gowing
39. Autobiographies, W. B. Yeats
84. A Bright and Shining Lie, Neil Sheehan
40. Science and Civilization in China, Joseph Needham
85. West With the Night, Beryl Markham
41. Goodbye to All That, Robert Graves
86. This Boy’s Life, Tobias Wolff
42. Homage to Catalonia, George Orwell
87. A Mathematician’s Apology, G. H. Hardy
43. The Autobiography of Mark Twain, Mark Twain
88. Six Easy Pieces, Richard P. Feynman

continues
Books 95

TABLE I continued
89. Pilgrim at Tinker Creek, Annie Dillard 95. The Promise of American Life, Herbert Croly
90. The Golden Bough, James G. Frazer 96. In Cold Blood, Truman Capote
91. Shadow and Act, Ralph Ellison 97. The Journalist and the Murderer, Janet Malcolm
92. The Power Broker, Robert A. Caro 98. The Taming of Chance, Ian Hacking
93. The American Political Tradition, Richard Hofstadter 99. Operating Instructions, Anne Lamott
94. The Contours of American History, William Appleman Williams 100. Melbourne, Lord David Cecil
a
This list was created by the scholar’s committee that chooses selections for Random House’s Modern Library Series.

Henry James, a year younger than William, set a Sinclair Lewis, remain among the most studied and
standard for American fiction writing from England, best-read American authors.
where he lived from 1875 and took citizenship in 1915. The federal government helped make more books
Among his many novels are The Portrait of a Lady and available at lower prices in 1914 when the Post Office
Washington Square, both published in 1881, The Bos- established a separate, low rate for sending books
tonians (1886), The Ambassadors (1903), The Golden through the mail. This action encouraged the formation
Bowl (1904), and the shorter The Turn of the Screw of the Book-of-the-Month Club in 1926 and the Liter-
(1898), an early supernatural tale. These and many ary Guild in 1927. These developments made books
others of James’ books are fixtures in any academic the only nationally circulated form of mass communi-
study of American literature. cation until the development of broadcast radio and
In 1906, Upton Sinclair revealed how books could popular magazines. Although the clubs increased book
perform bold journalism and be a tool for social reform sales through the 1920s, the depression slowed that
with The Jungle, his acidic attack on conditions in the growth.
meat-packing industry. His use of muckraking estab- During the depression, authors turned their fears into
lished a permanent feature of book publishing that the first novels that talked frankly about the difficult
continues today. A gentler version of this genre, The lives of blue-collar workers and farmers. Tom Kromer’s
Sea around Us (1952) by Rachel Carson, became an- Waiting for Nothing and Edward Anderson’s Hungry
other landmark that mobilized the environmental Men, both published in 1935, were called proletarian
movement and became one of the great nonfiction novels. For the first time, workers were cast as heroes
books of the century. and big businessmen were villains. The mean lives of
Free public education and the expanded opportun- immigrants and farm workers were etched in Studs
ities for higher education in America increased literacy Lonigan, a trilogy by James T. Farrell; USA, a huge,
and accelerated the assimilation of the massive influx of three-volume set by John Dos Passos; Tobacco Road,
European immigrants throughout the 19th century. At by Erskine Caldwell; and Tortilla Flat, In Dubious
the beginning of the 20th century, Andrew Carnegie, Battle, and The Grapes of Wrath by John Steinbeck.
who made his fortune in the new steel industry, initi- On Broadway, audiences cheered for the workers in
ated one of the greatest and most effective examples of Clifford Odets’ play Waiting for Lefty.
philanthropy by distributing $40 million to encourage The antidepression policies of President Franklin D.
the building of 2300 libraries across the country and Roosevelt included direct government spending to en-
vastly expanding the market for books. In 1999, to courage artists, including writers. A detailed set of
mark the centennial of this largesse, the Carnegie Cor- guidebooks about the United States was subsidized by
poration gave $15 million dollars to 25 libraries. the government along with other studies that became
popular books; the program helped many writers main-
tain their careers and helped Americans learn more
A. Postwar Changes
about their country. The Farm Security Administration
Following World War I, a new generation of writers hired some of the country’s greatest photographers to
published novels that were more worldly and sophisti- record the rural devastation including Walker Evans,
cated, reflecting their experiences in the war, travels who later collaborated with James Agee in the land-
abroad, and general disillusionment with America. mark book Let Us Now Praise Famous Men.
This cynicism was deepened by the shock of the Great Western novels provided escapism from bad eco-
Depression. The leaders of this movement, Ernest nomic times and become a fixture in publishing, par-
Hemingway, John Dos Passos, F. Scott Fitzgerald, and ticularly following the huge success of Zane Grey who
96 Books

wrote 80 books, including Riders of the Purple Sage. the Soviet Union, and Japan. Books offered alternative
Pearl Buck’s The Good Earth, a sentimental story of information and diversions that dictators could not
poor farmers that helped engender American sympathy accept. In Germany, the source of some of the greatest
toward China, where she was born to missionaries, sold scientific achievements of the age—books by black-
2 million copies between 1931 and 1937. But the cham- listed authors, particulary Jews—were burned publicly.
pion author of the depression was Margaret Mitchell, Intellectuals such as Albert Einstein and writers such
whose solo product, Gone with the Wind, sold 1 million as Thomas Mann, who was not Jewish, were forced
copies in the year following its 1936 publication. into exile.
Other authors who gained great stature in this In the Soviet Union, Stalin held control of all publish-
troubled time included Sherwood Anderson and Wil- ing into the early postwar era and his successors
liam Faulkner; poets Robert Frost, T. S. Eliot, William extended control well until the 1980s. Thus, Alexander
Carlos Williams, Hart Crane, Edgar Lee Masters, Wal- Solzhenitsyn and Boris Pasternak received Nobel Prizes
lace Stevens, Marianne Moore, Ezra Pound, and Carl for literature published first in the West and largely
Sandburg; and playwright Eugene O’Neill. A renais- unread by their contemporary compatriots. In China,
sance among African-American writers, mostly living literature and scientific publishing suffered an arrested
in Harlem, produced works by Langston Hughes, development by the complexities of language and his-
James Weldon Johnson, Countee Cullen, and Claude toric resistance to ideas from outside the Middle
McKay. In 1936, John Maynard Keynes, an English Kingdom.
economist, published The General Theory of Employ- In the United States, the Ulysses decision encour-
ment, Interest and Money, which became an essential aged a new trend to reprint classic literature in well-
element in the study of the ‘‘dismal science’’ and created bound paperback editions. Following a German
a new field of study, macroeconomics. Since then, example, the British published Penguin paperback edi-
economists have been elevated from senior advisors tions of international classics, shipping many to the
to political policymakers. Although Keynes’ ‘‘general United States where they sold for low prices. Simon &
theory’’ has been both attacked and modified, the work Schuster started its Pocket Book series in 1939 and Avon
offered a viable alternative to the attractions of Marxist followed in 1941. Soon, every mainstream publisher
theory at a time of deep concern for the future of the had a line of paperbacks to reprint best-sellers at low
free economy. prices or to offer books slumbering on their backlists of
Because of the size of the American economy, the previously published works. They also established new
mass marketing of books developed rapidly, while in mass-market paperback originals, especially detective
Europe books were purchased by a narrower intellec- and romance novels. Hardback fiction, however, was
tual and social constituency. Before World War II, most rarely a profitable product—a novel could be a best-
of the influential texts and theoretical books used by seller with only 50,000 copies in print. Most pub-
American scholars came from Europe. lishers made more money on textbooks and special
publications such as Bibles and other religious pub-
lications.
B. Attacks on Books
Although American writers and publishers enjoyed the
C. Recognition
rights of a free press under the First Amendment of the
Constitution, local vigilante groups often attacked Even after Americans published large volumes of fic-
some books as obscene or irreligious, getting them tion and nonfiction, international recognition in the
banned from schools or removed from library and form of the Nobel Prize for Literature, first awarded
store shelves. The U.S. Customs Service generated a in 1901, did not come until Sinclair Lewis was selected
landmark case that defined pornography by banning to receive the award in 1930. In just one decade, Lewis
importation of Ulysses, a novel by James Joyce pub- published Main Street, Babbitt, Arrowsmith, Elmer
lished in Europe in 1922. Although the book was rec- Gantry, and Dodsworth. Since 1930, the Nobel has
ognized as a classic by those who had an opportunity been awarded to O’Neill (1936), Buck (1938), Faul-
obtain a copy and read it, it was only in 1936 that the kner (1949), Hemingway (1954), Steinbeck (1962),
U.S. Supreme Court rescinded the ban and set the pre- Saul Bellow (1976), Isaac B. Singer (1978), Czeslaw
cedent that a work of art had to be judged in its totality, Milosz (1980), Joseph Brodsky (1987), and Toni Mor-
not by excerpts. rison (1993).
Censorship gained great notoriety in the 1930s with The number of new titles published during World
the rise of totalitarian governments in Germany, Italy, War II was small, but sales were strong as people sought
Books 97

diversion. Publishers created paperbound ‘‘Armed D. Small World

Forces editions’’ of popular works that were distributed
Book publishing was a clubby, relatively small portion
worldwide and volunteers collected books for sailors
of mass communications. In the realm of trade books,
and military hospital patients, helping to enlarge the
those sold to the largest public, there was a triangular
reading audience. The war produced popular, well-
arrangement: writers proposed or prepared works;
written books by Kurt Vonnegut, Joseph Heller, James
agents sought buyers; and the publishers bought,
Jones, James Gould Cozzens, and Norman Mailer that
edited, and distributed the products. If a book sold well
appealed both to returning veterans and to those who
in hardback, it would be reissued in paperback. A few
never left the home front.
books could be sold for big money to movies. Reader’s
Richard Wright, the first African-American writer
Digest, the most popular magazine in the United States,
who hit the best-seller lists, published Native Son in
carried a condensed book each month and then col-
1940 and Black Boy in 1945, but emigrated to France
lected them into volumes. The two big book clubs
and never returned. His successors included James
distributed tens of thousands of copies, but the majority
Baldwin and Ralph Ellison, who produced the enduring
of books were sold over the counter in specialty and
classic Invisible Man.
department stores. Still, most writers had to struggle to
Book clubs proliferated after World War II, deliver-
make a living as full-time artists. Some, like Faulkner
ing books by new authors as well as filling shelves with
and Fitzgerald, turned to Hollywood to generate
such works as Will and Ariel Durant’s History of Civil-
income and many others depended on teaching.
ization, Winston Churchill’s The Second World War
New technology continued to stimulate changes in
and History of the English Speaking People, dictionar-
the book industry. Shortly after the end of the war, new,
ies, and encyclopedias. Publishers found a new demand
high-speed presses with improved printing plates and
for American books in overseas markets, especially for
binding materials lowered the cost of long print runs,
scientific and technical literature reflecting academic
encouraging more publishers to turn to paperbacks and
advances in the United States. This was the result of
to expand distribution along with magazines to such
an increased use of the English language and the accu-
untraditional outlets as drugstores and news counters.
mulated physical and intellectual damage to the war-
The dominant publishing companies were still largely
torn countries of Europe and Asia.
family-owned; a few publishers, such as Alfred Knopf
In 1947, a public commission headed by Robert M.
and Bennett Cerf, and editors, such as Maxwell Per-
Hutchins, president of the University of Chicago, issued
kins, gained personal fame. Perkins worked with some
a report, ‘‘A Free and Responsible Press,’’ that found
of the leading writers and became a character in the
there were 200 publishing houses that distributed 90%
popular, romantic novels of one by Thomas Wolfe.
of the books published in the United States. Entry into
In addition to running Random House, Cerf created
the business by new companies was relatively easy and
Modern Library, a series of classic books published in a
some new publishers quickly gained financial success.
lower priced format. To celebrate its 50th anniversary
About a quarter of the books published came from 10
in 1999, Modern Library issued a controversial list of
houses, with Doubleday–Doran the largest with an
the best books of the century that put Ulysses at the top
income of $30 million in 1945. The other largest houses
of the fiction list (Table II) and The Education of Henry
were Macmillan, Pocket Books, William Wise, and
Adams atop the nonfiction group (Table I).
Harper’s.
The commission found that ‘‘professional standards
[in book publishing] are certainly no lower—perhaps
they are higher—than in other branches of the commu- VII. NEW CHALLENGES
nications industry.’’ There was a tradition of book
reviewing and criticism ‘‘more active and intelligent’’ The book industry, like other elements of the old media,
than the criticism of movies or radio that acted as a self- saw television as a medium that would distract the
regulating mechanism on book publishing. public from the habit and comfort of reading books.
One of Hutchins’ colleagues, Mortimer Adler, Fiction, especially, faced insurmountable competition
spurred reading by advocating a theory of education with the diversions of storytelling on the tube. It turned
based on the study of what he called the ‘‘great books,’’ out that the new media actually whetted the public’s
including the writings of such ancient thinkers as Aris- appetite for more information that could only be pro-
totle and Plato. Across America, reading clubs dedi- vided by books. The publishing industry reacted by
cated to these classics sprang up and sales of the developing specialty products for people seeking
books increased dramatically. guidance for fulfilling practical chores—the how-to
98 Books

TABLE II
One Hundred Best Novels

Experts Readers

1. Ulysses, James Joyce Atlas Shrugged, Ayn Rand

2. The Great Gatsby, F. Scott Fitzgerald The Fountainhead, Ayn Rand
3. A Portrait of the Artist as a Young Man, James Joyce Battlefield Earth, L. Ron Hubbard
4. Lolita, Vladimir Nabokov The Lord of the Rings, J.R.R. Tolkien
5. Brave New World, Aldous Huxley To Kill a Mockingbird, Harper Lee
6. The Sound and the Fury, William Faulkner 1984, George Orwell
7. Catch-22, Joseph Heller Anthem, Ayn Rand
8. Darkness at Noon, Arthur Koestler We the Living, Ayn Rand
9. Sons and Lovers, D. H. Lawrence Mission Earth, L. Ron Hubbard
10. The Grapes of Wrath, John Steinbeck Fear, L. Ron Hubbard
11. Under the Volcano, Malcolm Lowry Ulysses, James Joyce
12. The Way of All Flesh, Samuel Butler Catch-22, Joseph Heller
13. 1984, George Orwell The Great Gatsby, F. Scott Fitzgerald
14. I, Claudius, Robert Graves Dune, Frank Herbert
15. To the Lighthouse, Virginia Woolf The Moon Is a Harsh Mistress, Robert Heinlein
16. An American Tragedy, Theodore Dreiser Stranger in a Strange Land, Robert Heinlein
17. The Heart Is a Lonely Hunter, Carson McCullers A Town Like Alice, Nevil Shute
18. Slaughterhouse-Five, Kurt Vonnegut Brave New World, Aldous Huxley
19. Invisible Man, Ralph Ellison The Catcher in the Rye, J. D. Salinger
20. Native Son, Richard Wright Animal Farm, George Orwell
21. Henderson the Rain King, Saul Bellow Gravity’s Rainbow, Thomas Pynchon
22. Appointment in Samarra, John O’Hara The Grapes of Wrath, John Steinbeck
23. U.S.A. (trilogy), John Dos Passos Slaughterhouse-Five, Kurt Vonnegut
24. Winesburg, Ohio, Sherwood Anderson Gone with the Wind, Margaret Mitchell
25. A Passage to India, E.M. Forester Lord of the Flies, William Golding
26. The Wings of the Dove, Henry James Shane, Jack Schaefer
27. The Ambassadors, Henry James Trustee from the Toolroom, Nevil Shute
28. Tender Is the Night, F. Scott Fitzgerald A Prayer for Owen Meany, John Irving
29. The Studs Lonigan Trilogy, James T. Farrell The Stand, Stephen King
30. The Good Soldier, Ford Madox Ford The French Lieutenant’s Woman, John Fowles
31. Animal Farm, George Orwell Beloved, Toni Morrison
32. The Golden Bowl, Henry James The Worm Ouroboros, E. R. Eddison
33. Sister Carrie, Theodore Dreiser The Sound and the Fury, William Faulkner
34. A Handful of Dust, Evelyn Waugh Lolita, Vladimir Nabokov
35. As I Lay Dying, William Faulkner Moonheart, Charles deLint
36. All the King’s Men, Robert Penn Warren Absalom, Absalom, William Faulkner
37. The Bridge of San Luis Rey, Thornton Wilder Of Human Bondage, W. Somerset Maugham
38. Howards End, E.M. Forester Wise Blood, Flannery O’Connor
39. Go Tell It on the Mountain, James Baldwin Under the Volcano, Malcolm Lowry
40. The Heart of the Matter, Graham Greene Fifth Business, Robertson Davies
41. Lord of the Flies, William Golding Someplace to Be Flying, Charles deLint
42. Deliverance, James Dickey On the Road, Jack Kerouac
43. A Dance to the Music of Time (series), Anthony Powell Heart of Darkness, Joseph Conrad
44. Point Counterpoint, Aldous Huxley Yarrow, Charles deLint

continues
Books 99

TABLE II continued
45. The Sun Also Rises, Ernest Hemingway At the Mountains of Madness, H. P. Lovecraft
46. The Secret Agent, Joseph Conrad One Lonely Night, Mickey Spillane
47. Nostromo, Joseph Conrad Memory and Dream, Charles deLint
48. The Rainbow, D.H. Lawrence To the Lighthouse, Virginia Woolf
49. Women in Love, D.H. Lawrence The Moviegoer, Walker Percy
50. Tropic of Cancer, Henry Miller Trader, Charles deLint
51. The Naked and the Dead, Norman Mailer The Hitchhiker’s Guide to the Galaxy, Douglas Adams
52. Portnoy’s Complaint, Philip Roth The Heart Is a Lonely Hunter, Carson McCullers
53. Pale Fire, Vladimir Nabokov The Handmaid’s Tale, Margaret Atwood
54. Light in August, William Faulkner Blood Meridian, Cormac McCarthy
55. On the Road, Jack Kerouac A Clockwork Orange, Anthony Burgess
56. The Maltese Falcon, Dashiell Hammett On the Beach, Nevil Shute
57. Parade’s End, Ford Madox Ford A Portrait of the Artist as a Young Man, James Joyce
58. The Age of Innocence, Edith Wharton Greenmantle, Charles deLint
59. Zuleika Dobson, Max Beerbohm Ender’s Game, Orson Scott Lord
60. The Moviegoer, Walker Percy The Little Country, Charles deLint
61. Death Comes for the Archbishop, Willa Cather The Recognitions, William Gaddis
62. From Here to Eternity, James Jones Starship Trooper, Robert Heinlein
63. The Wapshot Chronicle, John Cheerer The Sun Also Rises, Ernest Hemingway
64. The Catcher in the Rye, J.D. Salinger The World According to Garp, John Irving
65. A Clockwork Orange, Anthony Burgess Something Wicked This Way Comes, Ray Bradbury
66. Of Human Bondage, W. Somerset Maugham The Haunting of Hill House, Shirley Jackson
67. Heart of Darkness, Joseph Conrad As I Lay Dying, William Faulkner
68. Main Street, Sinclair Lewis Tropic of Cancer, Henry Miller
69. The House of Mirth, Edith Wharton Invisible Man, Ralph Ellison
70. The Alexandria Quartet, Laurence Durrell The Wood Wife, Terri Windling
71. A High Wind in Jamaica, Richard Hughes The Magus, John Fowles
72. A House for Mr. Biswas, V.S. Naipul The Door into Summer, Robert Heinlein
73. The Day of the Locust, Nathaniel West Zen and the Art of Motorcycle Maintenance, Robert Pirsig
74. A Farewell to Arms, Ernest Hemingway I, Claudius, Robert Graves
75. Scoop, Evelyn Waugh The Call of the Wild, Jack London
76. The Prime of Miss Brodie, Muriel Spark At Swim-Two-Birds, Flann O’Brien
77. Finnegans Wake, James Joyce Farenheit 451, Ray Bradbury
78. Kim, Rudyard Kipling Arrowsmith, Sinclair Lewis
79. A Room with a View, E.M. Forster Watership Down, Richard Adams
80. Brideshead Revisited, Evelyn Waugh Naked Lunch, William S. Burroughs
81. The Adventures of Augie March, Saul Bellow The Hunt for Red October, Tom Clancy
82. Angle of Repose, Wallace Stegner Guilty Pleasures, Laurell K. Hamilton
83. A Bend in the River, V.S. Naipul The Puppet Masters, Robert Heinlein
84. The Death of the Heart, Elizabeth Bowen It, Stephen King
85. Lord Jim, Joseph Conrad V. Thomas Pynchon
86. Ragtime, E. L. Doctorow Double Star, Robert Heinlein
87. The Old Wives’ Tale, Arnold Bennett Citizen of the Galaxy, Robert Heinlein
88. The Call of the Wild, Jack London Brideshead Revisited, Evelyn Waugh
89. Loving, Henry Green Light in August, William Faulkner
90. Midnight’s Children, Salman Rushdie One Flew over the Cuckoo’s Nest, Ken Kesey
91. Tobacco Road, Erskine Caldwell A Farewell to Arms, Ernest Hemingway
continues
100 Books

TABLE II continued
92. Ironweed, William Kennedy The Sheltering Sky, Paul Bowles
93. The Magus, John Fowles Sometimes a Great Notion, Ken Kesey
94. Wide Sargasso Sea, Jean Rhys My Antonia, Willa Cather
95. Under the Net, Iris Murdoch Mulengro, Charles deLint
96. Sophie’s Choice, William Styron Suttree, Cormac McCarthy
97. The Sheltering Sky, William Bowles Mythago Wood, Robert Holdstock
98. The Postman Always Rings Twice, James M. Cain Illusions, Richard Bach
99. The Ginger Man, J. P. Donleavy The Cunning Man, Robertson Davies
100. The Magnificent Ambersons, Booth Tarkington The Satanic Verses, Salman Rushdie

Source: Random House.

books—and exploring new worlds of technology and and B. Dalton to compete with traditional booksellers.
science that opened with the exploration of outer space. While department stories phased out their book depart-
Just as the Homestead Act accelerated demand for ments, a new trend exploded in the 1990s with super-
books following the Civil War, the GI Bill of Rights at stores, virtual warehouses of books operated most
the end of World War II stimulated a massive new prominently by Barnes & Noble, Borders, and Books-
enrollment of college and university students with a a-Million. These stores, usually outfitted with coffee
need for books. Publishers elevated the quality of pa- lounges, carried a vast array of books and offered dis-
perbound books that could be sold alongside hardback counts for best-sellers and remainders, unsold editions
editions and used in classrooms. Enrollment in insti- from their own shelves and copies that publishers re-
tutions of higher education, which had been about one leased at low prices.
million before the war, hit 12 million by the 1960s and
1970s. The federal government gave money to local
B. New World of Books
schools for books for the first time in the 1960s. Many
more universities published titles overlooked or dis- Book publishing became a mass-marketing phenom-
dained by the commercial presses. enon within the technologically transformed world of
mass communications. The superstore trend led to sell-
ing books through the Internet. Spurred by a new retailer
A. Literacy Rises
that existed only on the Internet, Amazon.com, every
The demand for books rose sharply with the increase in major seller took orders from individual computers and
an educated population. In 1950, just over 34% of all delivered them within days. Prices were sometimes
Americans had finished 4 years of high school and only lower than those charged at the superstores, although
6% had completed 4 years of college. By the end of the shipping and handling costs narrowed the differences.
century, over 80% of Americans had completed high Books offer a perfect product for electronic selling—
school and 25%had finished college. There were pre- readers know exactly what they are receiving based on
dictions for greater growth of book publishing as reviews, advertisements, and recommendations of
Americans had more leisure time and as higher educa- friends or celebrities such as television host Oprah
tion continued to expand. Publishers, notorious for Winfrey, who started her own book club. Publishers
being poor at marketing to a general audience, sought also discovered more African-American novelists: Alice
new financing through mergers with larger companies. Walker, the first black American to win a Pulitzer Prize
With the collapse of Communism in Eastern Europe, for fiction, Toni Morrison and John Edgar Wideman,
and the end of fascism in Germany, Spain, Japan, and playwright August Wilson, who won two Pulitzers, and
Italy, a new generation of authors was free to write as poets Gwendolyn Brooks and Rita Dove, who also won
they chose, producing a wave of new books that a Pulitzer.
appealed to readers around the world. Americans dis- The sales of books rose from $435 million in 1947 to
covered writers newly introduced in English transla- more than $24 billion in 1999 (see Table III). In the
tion, including many from Latin America. 1950s, publishers distributed about 10,000 titles in a
More new bookstores opened in the 1970s than in year; in 1996, the industry set a record with 68,175
any previous period, a trend accelerated by major re- titles. In 1999, more than 2% of the more than 1 billion
tailers that opened chains of bookstores such as Walden books sold were sold over the Internet, four times as
Books 101

TABLE III James Waller, an unknown professor of business at a

Sales of New Books in the United Statesa small university in Iowa. Purchased by Warner for a
small advance fee, the small book was published in
Sales (in millions) Percent of
computed
April 1992, with a promotion campaign directed at
1987 1999 growth independent bookstores. In September, the book made
the best-seller lists where it remained for 161 weeks.
Total 12,190.3 24,024.2 5.8 The author and book received strong publicity: a set of
Trade 2,712.8 6,513.9 7.6 romantic songs tied to the title was recorded for audio
Adult hardback 1,350.6 2,823.9 6.3 and video release, a travel video was produced, a maga-
Adult paperback 727.1 1,969.1 8.7 zine article was published about rural Iowa, and a
Juvenile hardback 478.5 1,060.1 6.9 movie was made with Hollywood stars. By 1996, sales
Juvenile paperback 156.6 660.8 12.7 of the book passed $6 million, the first novel to outsell
Religious 638.8 1,216.9 5.5 Gone with the Wind in such a short time.
Professional 2,207.3 4,717.4 6.5 The new conglomerate publishers gave priority to
Book clubs 678.7 1,254.4 5.3
blockbuster authors such as Tom Clancy, Stephen King
and John Grisham; quick turnover books by celebrities;
Mail order publications 657.6 412.8 3.8
and diet, advice, and cookbook varieties of how-to
Mass-market publications 913.7 1,403.2 3.6
books. Smaller publishers found niches by picking up
Education (K–12) 1,695.6 3,415.9 6.0
old titles and authors ignored or dropped by the big
University presses 170.9 411.7 7.6 houses. In 1997, 53,479 independent publishers put out
Higher education 1,549.5 3,128.80 6.0 more than 1 million titles, or nearly fourth-fifths of the
a books in print that year. These companies ranged from
Association of American Publishers.
home-based artistic printers who received $100,000 for
their work to substantial firms with incomes of $10
million or more. The small industry’s total revenue in
many as in 1997. The big chain stores sold 25% of all 1997 was over $14 billion, more than half of all book
books, small chains and independent stores sold 17%, publishing. In contrast, the Association of American
and book clubs sold 18%. There were 28,000 book- Publishers, which includes the largest companies, had
stores. In 1998, dealers in used and antiquarian books only 200 members in 1999.
reported that 10% of their sales came over the Internet. Publishers also sell large numbers of books that do
From a personal computer, an individual could list a not appear on the best-seller lists, such as The Catcher
wanted book and within seconds receive offers from in the Rye (1951) by J. D. Salinger that sold 60 million
up to 5000 dealers. copies in the 40 years after its first publication; Getting
By the 1980s, the clubby, intellectual book publish- to Yes, a guide to negotiating by Professor Roger Fisher
ing industry was transformed by wide mergers with of Harvard Law School that sold more than 1 million
corporations engaged in all forms of mass communica- copies between 1981 and 1994; and The Elements of
tions.The merger trend turned international with Ber- Style, by William Strunk, Jr., and E. B. White, the most
telsmann of Germany, owner of Random House, taking popular book ever written about writing, that sold 10
first place among American publishers, followed by million copies between 1959 and 1999.
News Corporation, with large British and Australian
interests owning HarperCollins, Avon, and William
Morris. Corporations seeking growth through combin- VIII. FUTURE OF BOOKS
ing different forms of mass communication were epit-
omized by Time Warner, a combination of magazine At the end of the second millennium, there were more
publisher Time, Inc; Warner Books and Little, Brown books of more different types within reach of more
& Co.; the Book-of-the-Month Club; and movie, music, people than at any previous time in history. Books came
and television production companies including the in the form of cheap paperbacks sold in big drugstores
Turner enterprises. and airline terminals and luxurious, leather-bound
volumes sold in very small editions. Popular books
were recorded on audiotape and sold or rented to be
C. Book Synergy
listened to in automobiles or on public transportation;
Warner Books turned its synergy on The Bridges of arcane academic titles, law journals, and other spe-
Madison County, a romantic first novel by Robert cialty books were recorded for distribution to blind
102 Books

students or professionals who prefer the audio versions Cervantes in Spain; Prince Genji in Japan; and Confu-
to books printed in the raised characters of Braille. cius in China.
Books were distributed over the Internet to be read The use of books was inhibited, however, by wide-
from computer screens or printed out to paper. They spread illiteracy and poverty in less-developed parts of
were also reproduced on compact discs and read on the world. Even in the United States, where official
computer screens or transmitted to handheld devices statistics suggest less than 1% of adults was illiterate,
that allow a person to read from even smaller screens. a better measure—functional illiteracy—suggested that
To avoid reading long texts from screens, scholars 30% of Americans struggled to read what they needed
downloaded specific texts, including encyclopedias, for daily living. The cost of books was a major deterrent
into their computers to be used as needed. Lawyers for poor families and school districts to introduce chil-
obtained research from the Internet and from CD- dren to the pleasures and rewards of reading. Studies
ROMS as they needed it, saving the high cost of pur- also suggested that young American adults were read-
chasing full volumes. There was also the technology ing fewer books, while older people read more; reader-
that permitted a person, or library, to download a book ship among minorities was also low. Access to the
text into a machine that would cut and paste pages into marvels of the Internet was unlikely to reach below
a paperback book, saving the cost of printing and dis- the middle income sector of the population.
tribution.
In 1999, the American Library Association reported
B. Challenges
that 84% of 15,718 public libraries were connected to
the Internet and that 73% offered access to the public. Censorship still plagued the book industry in the form
In 1998, the New York Public Library circulated of bans in many authoritarian states and in community
50,000 books a month from its Fifth Avenue location actions against school boards and librarians. Publishers
and its Internet Web site received 10 million hits. The were subject to libel and defamation suits as well as
Library of Congress received 22,000 items each day attacks for printing pornography. In addition, all elem-
and kept 10,000 for its collection; its Web site received ents of the industry were anxious to extend inter-
nearly 3 million hits a day. national copyright protection to the newest forms of
international distribution of books through electronic
channels and to countries that did not enforce copy-
A. Books by Wire
right laws. Sending texts through the Internet made
New computer technology has further reduced the per- them especially vulnerable to piracy; new technology
page cost of printing so that a publisher could offer made it easier to copy texts without paying proper
reprints of classics such as The Gallic War, Julius Cae- royalties to publishers or authors.
sar’s commentaries published in the last century before The dawn of a new century saw a market of books
the modern era. The Internet enabled buyers to find the that included leftover, unsold volumes from first-class
complete Principia Mathematica by Alfred North writers that could be purchased at a fraction of their
Whitehead and Bertrand Russell, an immense compen- original cost. In supermarkets, drugstores, and airport
dium of theories published at the beginning of the 20th lounges, new, popular books could be purchased for
century that was read by only a handful of experts. only a few dollars more. A new novel by a major author
Additional technology made it possible for the Walters might cost $30, but a new novella by Stephen King, one
Art Gallery of Baltimore to restore and make perman- of the most popular writers, could be downloaded from
ent copies of treatises of Archimedes, the great Greek the Internet for $2.50. One connoisseur bought a medi-
mathematician who died in 212 BC, as other scholars eval, illuminated prayer book for $13.3 million and a
have preserved and copied the Dead Sea Scrolls. Cornaro Missal, published in 1503, for $4.4 million at
Others studied the texts of William Shakespeare to a Christie’s auction.
challenge his authorship, with little success. Low-cost A new generation of experts predicted the end of
books make the bard of Stratford available in all parts printed books, as well as newspapers and magazines,
of the world, translated into many languages, per- against the insurmountable competition of electronic
formed in traditional or eccentric styles, and adapted publishing and distribution over the Internet. As usual,
for television and motion picture audiences. Every the most pessimistic view was challenged by more cau-
modern culture could enjoy their heroes because their tious foresight. Certainly, the marvel of electronic com-
works were available in mass-produced forms: Pushkin munication changes how information is disseminated
in Russia; Goethe in Germany; Virgil and Dante in and collected, but the end of the printed book is un-
Italy; Sophocles, Homer, Socrates, and Plato in Greece; likely. The market for books, along with other forms
Books 103

mass communication, will divide into ever smaller seg- PUBLIC . LITERACY, CURRENT STATUS OF . LITERACY,
ments with some readers opting for content over the HISTORIC DEVELOPMENT OF . LITERARY JOURNALISM
AND THE MEDIA . POETRY, DRAMA, AND
Internet, from disks, and from other new devices, and FICTION . REFERENCE WORKS (ENCYCLOPEDIAS,
others wanting it the old-fashioned way, from the port- DICTIONARIES, ETC.)
able, comforting, permanent printed page. Perhaps an
expanded audience will share the feelings of the histor-
ian Barbara Tuchman: Bibliography
Without books, history is silent, literature dumb, sci- Cole, J. Y. (1987). Books in Our Future. Library of Congress, Wash-
ence crippled, thought and speculation at a standstill. ington, DC.
Without books, the development of civilization would Dessauer, J. (1981). Book Publishing: What It Is, What It Does.
R. R. Bowker, New York.
have been impossible. They are engines of change . . . . Diringer, D. (1982). The Book before Printing. Dover, New York.
They are companions, teachers, magicians, bankers of Folkerts, J., Lacy, S., and Davenport, L. (1998). The Media in Your
the treasures of the mind. Books are humanity in print. Life. Allyn and Bacon, Boston.
Steinberg, S. H. (1996). Five Hundred Years of Printing. Oak Knoll
Press, New Castle, DE.
See Also the Following Articles Wilson, D. L. (1986). Jefferson’s Books. Jefferson Memorial Founda-
tion, Monticello, VA.
BOOKS, FUTURE ROLE OF . COMMUNICATION
CONGLOMERATES . INFORMATION SOCIETY . LIBRARIES,
Computers, Overview
Sharon S. Kleinman
Quinnipiac University, USA

modem Device that connects a computer to the Internet by

I. Introduction converting digital data to analog signals for transmission over analog
II. Computers and New Media networks such as public telephone networks.
III. Media Industries Using Computers new media Emerging technology platforms that deliver messages to
IV. Social Issues of Computer Media audiences in an interactive manner. New media is a relative term;
examples of ‘‘old’’ new media are motion pictures, radio, and
V. Future Trends in Computer Media
television. Examples of ‘‘new’’ new media are the World Wide Web
and DVDs.
online interactive services Services such as America Online (AOL)
that offer information and e-mail capabilities and provide a menu of
GLOSSARY news and information materials that are accessible via a personal
ARPANET (Advanced Research Projects Agency Network) Computer computer.
network funded by the U.S. Department of Defense founded in 1969 peripherals Devices used with computers, including monitors,
with four host computers. Predecessor to the Internet. keyboards, mice, printers, and scanners.
CD-ROM (compact disc-read only memory) A small, prerecorded, personal data assistant (PDA) Pocket-sized computer with multiple
nonerasable disk that stores 650 or 700 megabytes of digital functions, such as address books, calculators, spreadsheets, text
data. memo applications, appointment calendars, and in some cases fax
computer Programmable machine used for data storage and software, e-mail, and a cellular telephone modem.
retrieval, computation, and communication. search engine Web service designed to search computer networks
for specific information; for example, Excite and Lycos.
computer network Computers that are connected by
communications lines or via wireless connections. Web site A set of hypermedia pages linked to each other that contain
desktop publishing Term coined in 1985 to refer to the editing and information about a common topic.
layout of publications using specialized software on personal World Wide Web User-friendly, graphics-rich segment of the Internet
computers, enabling individuals to produce professional quality comprised of hypertext and multimedia files that is accessed by
publications. Commonly used peripherals in desktop publishing using a Web browser such as Netscape Navigator or Internet Explorer.
include laser printers, scanners, and modems.
e-book Electronic version of a book that can be read using a
computer or a special portable device.
electronic commerce (e-commerce) Selling goods, products, and
services online.
T his article discusses the history, present, and future
applications and implications of computers in the
media. Computers have become integral to the oper-
electronic publishing Using computers rather than paper to deliver ations of all traditional mass media. In addition, they
textual and graphical information to computer screens. have led to the convergence of various media formats
hypertext Type of electronic document that has links to other and have become an information medium in their own
documents or to various parts of the same document. right.
interactive Interactive systems involve two-way communication.
Internet Global network of computer networks linking millions of
people on commercial, private, academic, nonprofit, and
governmental computer networks. I. INTRODUCTION
media convergence Combination of two or more communication
forms into a single process or the merging of mass-media From the 1600s until the mid 1940s, the word ‘‘com-
organizations, as in the case of MSNBC, a joint venture of Microsoft puter’’ referred to a person employed to make calcula-
and NBC News. This digital news service is comprised of a 24-hour
cable television network and an online news and information service
tions by hand or with a calculating machine. During
that are linked so that information can be retrieved either via the World War II, for example, nearly 200 young women,
television or over the Internet. both civilian and military, were employed by the U.S.

Encyclopedia of International Media and Communications, Volume 1

Copyright 2003, Elsevier Science (USA). All rights reserved. 295
296 Computers, Overview

government as computers to calculate ballistics trajec- commonplace commodities found in millions of homes,
tories. After 1945, the word computer referred to a schools, and businesses worldwide. Workstation com-
programmable machine, and the former human com- puters typically run Unix, Windows NT, or Linux oper-
puters became known as operators. In 1943, the British ating systems; have leading-edge processor power, a
built an electronic computer called the Colossus for large graphics display, and more memory and disk
decoding German radio messages. The first general space than other desktop computers; are used for scien-
purpose electronic computer, ENIAC (electronic nu- tific research, computer-aided design (CAD), real-time
merical integrator and calculator), was developed simulations, and animation; and cost more than most
under a U.S. Army contract during World War II by high-end desktop personal computers.
two American engineers, J. Presper Eckert and John W.
Mauchly, at the Moore School of Electrical Engineering
at the University of Pennsylvania, for the purpose of II. COMPUTERS AND NEW MEDIA
automating complicated and time-consuming ballistics
calculations. ENIAC was two stories tall, weighted Computers can bring together text, data, audio,
30 tons, and contained 18,000 vacuum tubes. By 1951, graphics, and video. Because of this capability, they
six electronic computers were operational and com- have influenced and augmented the media landscapes
panies in the United States and England began produ- worldwide. Computers have become integral to the
cing them for commercial use. The first commercial operations of all of the traditional mass media (radio,
electronic computer, UNIVAC (universal automatic television, newspapers, magazines, and books), and
computer), was produced in the United States by the they have led to the convergence of various media
Eckert–Mauchly Computer Corporation in 1951. That formats (for example, Internet radio and online news-
year it was used in compiling the U.S. census. It received papers). Computers have also become an information
wide exposure the following year when it correctly medium in their own right. Technological advance-
predicted the electoral vote of the U.S. presidential ments in computers and the global diffusion of com-
election within 0.9% when only 7% of the returns were puters have greatly increased the speed that
available. By the late 1950s, the International Business information is received and disseminated by traditional
Machines Corporation (IBM) had built 1800 com- mass media and over the Internet, a global network of
puters for use in business and science. By 1970, IBM computer networks used for information exchange and
had sold 35,000 computers. communication.
During the second half of the 20th century, advance- The development of increasingly fast and powerful
ments in computer hardware (the machinery and computers catalyzed an explosion of new media during
attached peripheral devices) and software (the instruc- the second half of the 20th century. New media is a
tions computers need to operate) led to the production relative term that refers both to the technology of deliv-
of increasingly powerful, flexible, efficient, and user- ery and the actual content delivered. Today’s new
friendly computers that were equipped with progres- media differ from older mass media in that they are
sively miniaturized components. While the earliest instantaneous and interactive; merge text, data, audio,
vacuum tube electronic computers each took up an and visuals; and allow users to control their own access
entire large room, modern desktop computers fit con- to content while also affording the media greater audi-
veniently onto a desk, while laptop computers fit ence reach. Additionally, new media can be pro-
comfortably on a person’s lap and weigh just a few grammed for personalization. This allows for each
pounds, and palmtop computers (or personal data as- user or site visitor to have a unique experience with
sistants (PDAs)) fit in the palm of a hand and weigh just the product. Today’s new media coexist with older
a few ounces. media just as previous generations of new media coex-
Mainframe computers are large, powerful, expensive isted with older media, for example motion pictures
computers with extensive memory capacities used by and television. The Internet, World Wide Web, CD-
corporations and government agencies. Supercom- ROMs (compact disc-read only memory), and DVDs
puters are very large, expensive, high-speed computers (digital versatile disks) are examples of new media, and
with tremendous amounts of memory that are used for they are discussed in more detail below.
scientific applications such as weather forecasting. Per-
sonal computers (PCs) are designed for use by indi-
A. The Internet
viduals. PCs emerged in the 1970s and have evolved
since then from esoteric machines that hobbyists built The Internet is a global network linking millions of
from do-it-yourself kits into mass-produced and people worldwide on commercial, private, academic,
Computers, Overview 297

nonprofit, and governmental computer networks. The access information. The growing popularity of the
Internet is a hybrid interpersonal mass medium. Unlike Internet has dramatically increased the everyday use
other mass media such as radio and television, and of personal computers by people of all ages and from
interpersonal media such as the telephone and face-to- all walks of life. People use the Internet to send and read
face communication, the Internet can be used by indi- e-mail; read the news; browse for fun; comparison shop
viduals to broadcast, narrowcast, and receive messages and make online purchases; play or download online
conveniently and inexpensively. Unlike broadcast games; download and listen to music; converse in chat
media such as television, radio, or newspapers, which rooms; visit Web sites for clubs, groups, businesses, and
are one-way media involving passive receipt of in- government agencies; trade and sell things; conduct
formation, the Internet supports interactive two-way research; and express themselves via their own Web
communication. sites, which are destinations on the World Wide Web
The Internet enables people to remotely access infor- that can contain text, graphics, audio, and video clips.
mation on computers at different locations as well as People access the Internet using Internet service pro-
to communicate with others and form communities of viders (ISPs), which provide Internet connections and,
interest that are not specific to geographic location. in some cases such as America Online (AOL), also offer
Communities of interest, such as invisible colleges and users a wide menu of content available through links on
fan clubs, existed before the advent of the Internet, but their homepage. Internet service providers typically
the Internet allows these types of groups to coalesce and charge a monthly fee to their customers for Internet
communicate more easily than ever before. accounts, although there are some free ISPs. The free
Networked computer systems that were forerunners ISPs earn their revenues through the sale of advertising
to the Internet have existed in the United States since rather than through subscription fees. Many of the free
the 1950s. American Airlines used a telex system for ISPs are not succeeding financially.
sharing airline reservation information in 1952. The
U.S. military’s SAGE (Semi-Automatic Group Environ-
B. World Wide Web
ment) system linking radar and computer centers was
operational in 1963. However, it was the U.S. Depart- The World Wide Web (Web) was developed in 1990 by
ment of Defense-funded ARPANET (Advanced Re- Tim Berners-Lee and other programmers at CERN, the
search Projects Agency Network) that first used a European Particle Physics Laboratory in Switzerland,
decentralized packet-switching architecture to link to- as a flexible, user-friendly means for physicists around
gether different computer systems. Packet-switching the world to share scientific papers and data, without
divides messages into data packets that are sent over a regard for the type of computer used. The Web uses an
network via the most efficient route and reassembled addressing system called uniform resource locators
at the destination. Packet-switching allows a vast (URLs) to reference all textual, graphical, and video
amount of data to be transmitted through a limited documents on the Web. Each URL contains a suffix
bandwidth. that indicates the domain to which it belongs. Common
The ARPANET was operational with four host com- domains in the U.S. include .edu for colleges and uni-
puters connected via Interface Message Processors versities, .gov for government agencies, .org for
(IMPs) in 1969. It was developed so that scientists nongovernmental, not-for-profit organizations, .mil
working on U.S. military-funded research projects for military organizations, .net for Internet service pro-
could share scarce computing resources. The network viders, and .com for commercial organizations. For
was subsequently used for social communication as countries other than the United States, the domain
well as for sharing computer resources. It grew expo- suffix indicates the country of origin, for example, .it
nentially as more computers came online. The ARPA- for Italy and .fr for France. Web browsers such as
NET led to the Internet in 1986, when TCP/IP Netscape Navigator and Internet Explorer are used to
(transmission control protocol/Internet protocol) was navigate the Web. Search engines such as Lycos and
introduced, which changed the network typology. The Excite are used to search computer networks for spe-
Internet was opened to commercial users in 1991 and cific information. The Web uses HyperText Mark-Up
has evolved since then into an international network of Language (HTML) to create links to different parts
networks. Unlike the early ARPANET with its arcane of the same document or different documents. By the
commands familiar only to a subset of research scien- late 1990s, many types of organizations, businesses,
tists and engineers, today’s Internet is relatively easy to schools, governments, libraries, and museums had de-
navigate. Non-computer experts, including very young veloped Web sites as a means for disseminating infor-
children, use the Internet routinely to communicate and mation to their constituencies. Approximately 85% of
298 Computers, Overview

the Web sites on the Web are in English, Japanese, E. DVD

French, or German, reflecting the fact that most Web
A DVD is a high capacity, newer generation of CD-
users are located in industrialized countries. Web sites
ROM that can hold a full-length movie, software, and
vary in design, complexity, function, and degree of
graphics in a digital format that can be read by DVD
interactivity. They can be categorized into the fol-
players and personal computers with DVD drives. A
lowing seven types: Information sites (libraries, scien-
DVD has the capacity to store up to 20 times as much
tific organizations, government agencies); corporate
information as a CD, and it uses both sides of the disk.
sites (corporate information); commercial sites (prod-
DVDs are increasing in popularity and are superceding
uct information, e-commerce transactions); news and
videotapes for movie playback because they provide
entertainment sites; search and directory sites (such as
clearer images, multichannel sound, and are search-
Yahoo); communication sites (chat, bulletin boards);
able. DVD drives are replacing CD-ROM drives as
and personal Web sites.
routine equipment in new personal computers. A
DVD drive can read CD-ROMs and DVDs. Newer
C. E-mail, Internet Relay Chat, and generations of higher capacity DVDs called DVD-
Instant Messaging RAMs that can be used for recording as well as
playback are available now, but they may be cost pro-
E-mail is asynchronous person-to-person computer-
hibitive for home or small-business users.
mediated communication; a sender transmits a message
at one point in time to one or more receivers and the
receiver downloads and reads the message at a later F. Streaming Media
time when it is convenient. E-mail is the most popular
Internet application because it is an inexpensive and Thousands of radio stations and many television news
efficient means for people to keep in touch with those programs have Web sites offering information that
whom they know and for contacting those whom they complements their on-air broadcasts. Some of the tele-
do not know. Individuals worldwide are increasingly vision news programs’ Web sites broadcast streaming
using e-mail to supplement communication in other audio and video for people to listen to and view on their
contexts. People who know each other use e-mail to fill computers. Many of the radio stations’ Web sites offer
gaps between face-to-face meetings, arrange for future streaming audio of the radio broadcasts. Radio pro-
meetings, and continue conversations started in other grams, songs, or speeches can be uploaded in a con-
contexts, such as face-to-face or on the telephone. tinuous stream of audio files to the Internet and
E-mail messages are text messages that can also contain subsequently listened to by computer users worldwide
attachments, which are attached files of graphics, in close to real time. The radio signals travel by wire
spreadsheets, music, or text documents. Approxi- instead of through the air. In addition, there are
mately 500 million e-mail messages are transmitted Internet-only stations that target audiences that listen
over the Internet daily. In contrast to e-mail, Internet to radio at work via their computers. These Web broad-
relay chat (IRC) and instant messaging (IM) are syn- casters offer listeners music from a wide variety of
chronous person-to-person computer-mediated com- musical genres as well as talk radio, access to chat
munication in which two or more people send and rooms, and e-commerce transactions. Internet Talk
receive e-mail messages in real time. Radio (ITR), modeled on National Public Radio, was
the first regularly scheduled radio station on the
Internet.
D. CD-ROM
A CD-ROM is a prerecorded, nonerasable, thin plas-
tic disk with a spiral track where a vast amount of III. MEDIA INDUSTRIES USING COMPUTERS
digital information can be encoded. The content on a
CD-ROM can be text, audio, or graphics. CD-ROMs Since the 1960s, computers have greatly impacted all of
were introduced in 1988. In the 1990s, CD-ROMs the processes and products of the media. Some of the
were increasingly available at libraries and sold as media processes that computers have affected include
software packages with new computers. By the late animation, typesetting, record keeping, research, word
1990s, personal computers were routinely equipped processing, page layout, illustration, and content deliv-
with CD-ROM drives. Compact disc-recordables ery. Word processing was invented in 1971 by An
(CD-Rs) are newer generations of CD-ROMs that can Wang, a Chinese immigrant to the United States. It
be used for recording as well as playback. began with an automatic typewriter that had limited
Exploring the Variety of Random
Documents with Different Content
 PEARL HARBOR ATTACK 537 or provoking undue curiosity
of newspapers or alien agents. Suggest maneuver basis. Maintain
alert until further orders. Instructions for secret communication
direct with Chief of Staff will be furnished you shortly. Acknowledge.
No United States official then regarded this action as an overt act
against Japan. Moreover, when in this 1940 case Washington
authorities were worried about hostile Japanese action, they ordered
the commanding general at Hawaii to an immediate "complete
defense organization to deal with possible trans-Pacific raid" in
language that was crystal clear. The fact is that the War Department
and Navy Deioartment did not instruct General Short and Admiral
Kimmel to put into effect an all-out war alert, and the War
Department was informed by General Short that he had actually put
into effect the alert against sabotage. Furthermore, the actions of
the War Department in instructing General Short in November and
December as the Army Pearl Harbor Board correctly stated, showed
"a lack of adequate procedure under which to advise the Hawaiian
Department and to control its actions" (APHB, p. 240). The War
Department failed to reply to General Short's antisabotage report. It
failed to give him further instructions for a stronger alert. These
failures, it is reasonable to say, contributed heavily to the
unpreparedness existing at Pearl Harbor when the Japanese struck.
It could reasonably follow from this failure that the Army airplanes,
instead of being scattered, were bunched together wing to wing ;
ammunition, except that near the fixed antiaircraft guns, was in
storehouses ; antiaircraft artillery and two combat divisions were in
their permanent quarters and not in combat positions. As the Army
Pearl Harbor Board stated : Everything was concentrated in close
confines by reason of the antisabotage alert No. 1. This made them
easy targets for an air attack. In short, everything that was done
made the situation perfect for an air attack, and the Japanese took
full advantage of it (APHB, Report, pp. 193-94). This was known to
the War Department by General Short's reply to the message of
November 27, but the Department took no action. The President's
lack of power under the Constitution to meet the Japanese menace
by an attack without a declaration of war by Congress increased the
responsibility of high authorities in Washington to use the utmost
care in putting the commanders at Pearl Harbor on a full alert for
defensive actions before the Japanese attack on December 7, 1941.
This they did not do. H. nigh authorities in Washington failed in
giving proper weight to the, evidence before them respecting
Japanese designs and operations which indicated that an attack on
Pearl Earhor was highly probable and they failed also to emphasize
this probability in messages to the Hawaiian commanders.
Washington authorities had before them prior to December 7
conclusive evidence that the Japanese Government and its agents
were giving minute attention to American military and naval
installations, ship movements, and preparedness in the Hawaiian
area, as well as in other areas. But despite their knowledge of this
fact, those authorities failed to emphasize, in orders to the Hawaiian
commanders, the perils of an attack on Pearl Harbor. They did worse
than fail in this respect. With poor judgment as to the effect of their
own words upon the com 
 538 PEARL HARBOR ATTACK manders, they went out of
their way to emphasize the probability of attack elsewhere. The
following passage in the war-warning message of November 27 from
the Navy Department to Admiral Kimmel reflected the loose thinking
that prevailed widely in Washington : Japan is exi)ected to make an
aggressive move vpithin the next few days. An amphibious
expedition against either the Philippines, Thai, or Kra Peninsula, or
jwssibly Borneo, is indicated by the number and equipment of
Japanese troops and by the organization of tlieir naval forces. These
words not only displayed the apparent ignorance of Washington
authorities respecting Japanese designs on Pearl Harbor but also
gratuitously conveyed to Admiral Kimmel a false impression.
Although the message of the War Department to General Short on
the same day did not contain these misleading words, General Short,
in conferring with Admiral Kimmel on "the meaning and intent" of
their messages learned about this expectation that the Japanese
attack would occur in the Far East. Notwithstanding their apparent
ignorance of the full meaning of Japanese movements in the
Southeastern Pacific, Washington authorities knew or should have
known from their understandings of parallel action with the British
and Dutch, that a Japanese attack on the Philippines, Thai, or the
Kra Peninsula meant war with America. It also meant, in view of the
strategic principle that the flank of an advancing force must be
guarded, that Japan would not leave the strong fleet at Hawaii on its
left flank without doing something about it. This was the meaning to
Washington of the Japanese move in the Southeastern Pacific.^
Without having the benefit of these diplomatic understandings, it did
not have the same meaning to Admiral Kimmel and General Short.
Testimony and documents before the Committee lend support to —
in no way traverse — the Sixteenth Conclusion of the President's
Commission which found : "The opinion prevalent in diplomatic,
military, and naval circles, and in the public press," was "that any
immediate attack by Japan would be in the Far East." [Italics
supplied.] IS. The failure of Washington authorities to act promptly
and consistently in translating intercepts., evaluating information.,
and sending appropriate instructions to the Hawaiian commanders
was in considerable measure due to delays., mismanagement,
noncooperation, unpreparedness, confusion, and negligence on the
part of officers in Washington. The record before this Committee is
crowded with items of evidence which sustains this conclusion. As to
delays, take for example section B of Japanese Messages Concerning
Military Installations, Ship Movements, Etc. [Exhibit 2]. Pages 16-29
give "messages translated after December 7, 1941." Here are
messages exchanged by the Japanese Government and its agents 1
Meanwhile we are exchanging views with the British Government in
regard to the entire situation and the tremendous problems which
are presented, with a view to effective coordinating of efforts in the
most practicable way possible. * » * Indirectly influencing that
situation : American military and naval defensive forces in the
Philippine Islands, which are being steadily increased, and the
United States Fleet at Hawaii, lying as they do along the flank of any
Japanese military movement into China from Indo-china, are ever
present and significant factors in the whole situation, as are the
increasing British and Dutch defensive preparations in their
territories to the south (Exhibit 16, State Department message,
approved by President Roosevelt and transmitted through
Ambassador Hu Shih to Chiang Kai-shek).
 PEARL HARBOR ATTACK 539 which were intercepted by
American intelligence services before December 7, hut not translated
until after December 7. Special attention should be drawn to the
message from a Japanese agent in Honolulu to Tokyo on December
6, 1941, listing the ships at anchor in Pearl Harbor on that day and
reporting to Tokyo : It appears that no air reconnaissance is being
conducted by tlie fleet air arm — a fact with which high authorities
in Washington were not acquainted, if the testimony before this
Committee is accepted as accurate and comprehensive. One of the
great tragedies was that a message sent from Honolulu to Tokyo
Deceinber 6, 1941, was not translated until December 8, 1941, after
the attack. The following appeared in the message "at the present
time there are no signs of barrage balloon equipment. I imagine that
in all probability there is considerable opportunity left to take
advantage for a surprise attack against these places" (Exhibit 2, p.
27). Another message intercepted and translated in the rough and
available on the desk of a responsible officer in the Naval
Intelligence on the afternoon of December 6, 1941, provided for
land-sea signals at Hawaii. These signals were intended to disclose
to Japanese the location of our ships in Pearl Harbor — apparently
nothing was done about the message either in evaluating it in
Washington or transmitting it to the commanders in Hawaii (Exhibit
2, p. 22). As to mismanagement, noncooperation, unpreparedness,
and negligence, the evidence cited in the following pages is
sufficient (Conclusions 8, 10, and 16). Since President Koosevelt was
convinced as early as the middle of August that a clash with Japan
was a matter of a few weeks, the responsible officers of his
administration had ample time to strengthen, organize, and
consolidate the agencies in Washington, especially the Army and
Navy communication and intelligence services, in such a manner to
assure the speedy translations of intercepts, prompt distribution to
the appropriate officials, swift evaluation, and proper decisions
based on such information and evaluation. Lack of time cannot be
pleaded as an excuse for this failure, despite the difficulties involved
in securing competent and reliable specialists. General Miles
admitted at the hearing on December 3, 1945, that there had been
no meeting of the joint Army-Navy Intelligence Committee between
October 11 and December 8 or 9, 1941, and declared: I regret to
say, Mr. Congressman, there were still discussions and difficulties
going on between the War and Navy Departments as to just what
the functions of that committee would be, where it would sit, what
rooms it would have, what secretary it would be allowed, et cetra.
There was lack of cooperation between the Army and the Navy
regarding the fourteen parts of the Japanese final message between
9 :30 p. m. on December 6 and the morning of December 7 about
10 :30. The existence of the first thirteen parts of this Japanese
message, which President Roosevelt received between 9 and 10
o'clock on Saturday evening and interpreted as meaning war, was
known more or less accidentally to certain high Army and Navy
authorities about the same time. But Admiral Stark testified before
this Committee at the hearing on January 1, 1946, that the first
thirteen parts and the di 
 540 PEARL HARBOR ATTACK rective for delivery to
Secretary Hull at one o'clock Sunday, did not come to his attention
until late on the morning of December 7. Admiral Stark thought that
he went to his office between 10 :30 and 11 o'clock that morning
and that as nearly as he could remember he did not see the directive
message for one o'clock delivery until about 10 :40 that morning. It
was the final part of the Japanese message, and the one o'clock
directive that convinced General Marshall that war was immediately
at hand and led him to send the warning dispatch which reached
General Short after the Japanese attack. For this noncooperation and
mismanagement, high authorities in Washington were fully
responsible. The President, the Secretary of State, the Secretary of
War, the Secretary of the Navy, General Marshall, and Admiral Stark
were all in Washington or environs. It is true that General Marshall
and Admiral Stark — when they appeared before this Committee —
could not remember where they were during the evening and night
of December 6 but they were at least accessible to officers of the
Army and Navy Departments, or should have been ; hence, there
was no excuse for the failure of these high authorities to assemble
on the evening of December 6, inquire into the defensive
preparedness of outpost Commanders, and send peremptory
directives to them. The setting up of so many councils and
committees, and the intermeddling of so many men created such a
state of confusion in Washington that the high principle of individual
responsibility was apparently lost to sight. The result was that no
one among the President's chief subordinates was enough
concerned on the night of December 6 to do anything about the 13
parts which indicated a crucial stage in Japanese- American
relations. (See Conclusion No. 10.) In the lower, operating echelons
of the Army and Navy, on the other hand, men seemed to see or to
sense the gathering crisis and even the immediate danger to Hawaii.
They tried to take steps to meet it but were discouraged by their
superiors. This was notably evident in the testimony of Captain
Arthur McCollum, Chief of the Far Eastern Section of Naval
Intelligence. Alarmed by conditions on December 4, 1941, he
prepared a dispatch to fully alert the fleets in the Pacific. He tried to
get permission to send this dispatch at a meeting attended by
Admiral Stark, Ingersol, Turner, and Wilkinson but was discouraged
from doing so on the ground that the messages of November 24 and
27 to Admiral Kimmel was sufficient. He protested that it was not
sufficient and that he would like to send his December 4 dispatch
anyway. The dispatch he prepared and wanted to send was never
sent, and the result was tragic. (See testimony of Captain McCollum,
Tr., Vol. No. 49, p. 9132 ff.) Finally, there is no excuse for the failure
of General Marshall and Admiral Stark to be on the alert early
Sunday morning or for their failure, after they did meet near the
middle of the morning, to reach the outpost Commanders with a
definite war- warning message before the Japanese attack came at
Pearl Harbor. This failure was all the more inexcusable for the reason
that some time in July 1941, the practice of sending intercepts to
General Short and Admiral Kimmel had been abandoned. 16. The
President of the United States was responsible for the failure to
enforce continuous^ efficient^ and appropriate cooperation among
the Secretary of War^ the Secretary of the Navy^ the Chief of Staffs
 PEARL HARBOR ATTACK 541 and the Chief of Naval
Operations^ in evaliiating information and dispatching clear and
positive orders to the Hawaiian commanders as events indicated the
growing imminence of war; for the Constitution and luws of the
United States vested in the President full .poioer, as Chief Executive
and Commander in Chiefs to compel such cooperation and vested,
this power in him alone with a view to establishing his responsibility
to the people of the United States. As to the power, and therefore of
necessity, the responsibility of the President in relation to the chain
of events leading to the catastrophe at Pearl Harbor, there can be no
doubt. The terms of the Constitution and the laws in this respect are
clear beyond all cavil. The Constitution vests in the President the
whole and indivisible Executive power subject to provisions for the
approval of appointments and treaties by the Senate. The President,
by and with the advice and consent of the Senate, appoints high
officers, civil and military. He is Chief Magistrate in all civil affairs,
including those related to the maintenance and operation of the
Military and Naval Establishment's. Under the law he conducts all
diplomatic negotiations on behalf of the United States, assigning to
his appointee, the Secretary of State, such duties connected
therewith as he sees fit, always subject to his own instructions and
authorizations. Under the Constitution the President is Commander
in Chief of the armed forces of the United States, and with the
approval of the Senate he appoints all high military and naval
officers. He assigns them to their duties in his discretion except in
the case of the Chief of Staff and Chief of Naval Operations — these
appointments must be approved by the Senate. And why did the
framers of the Constitution vest these immense powers in one
magistrate — not in a directory or a single official checked by a
council, as was proposed in the Conveni:ion of 1787 ? The answer to
this question is to be found in No. 70 of The Federalist. The purpose
of establishing a single rather than a plural Executive was to assure
"energy in the Executive," "a due dependence on the people," and
"a due responsibility." A plural Executive, it is there argued, "tends to
deprive the people of the two greatest securities they can have for
the faithful exercise of any delegated power, first., the restraints of
public opinion * * *; and, secondly^ the opportunity of discovering
with facility and clearness the misconduct of persons they trust * *
*," The acts of Congress providing for the organization, operations,
powers, and duties of the Military Establishments under the
President particularized the powers and duties of the President in
relation to them ; in brief, they empowered him to issue orders and
instructions to the civil Secretaries and also directly to the Chief of
Staff and the Chief of Naval Operations. Such are the terms of the
Constitution and the laws relative to the Chief Executive. From March
4, 1933, to December 7, 1941, Fi-anklin D. Roosevelt was President
and Commander in Chief of the armed forces of the United States
and in him was vested all Executive powers under the Constitution
and the laws.
 542 PEARL HARBOR ATTACK He appointed Cordell Hull as
Secretary of State in 1933 and retained him in that office during this
period. He appointed all the Secretaries of War and of the Navy
during this period. He selected, or approved the choice of, all Chiefs
of Staff and Chiefs of Naval Operations during this period. He
selected, or approved the choice of, all the men who served as
military and naval commanders in charge of the Hawaiian area and
he assigned them to their posts of duty. In support of the doctrine
that the President is entrusted with supreme Executive responsibility
and cannot divest himself of it, we have more recent authority.
Speaking at a press conference on December 20, 1940, on a subject
of administrative actions. President Roosevelt said : "There were two
or three cardinal principles ; and one of them is the fact that you
cannot, under the Constitution, set up a second President of the
United States. In other words, the Constitution states one man is
responsible. Now that man can delegate, surely, but in the
delegation he does not delegate away any part of the responsibility
from the ultimate responsibility that rests on him" {Public Papers,
1940 volume, p. 623). * * * Although there were two departments
for the administration of military and naval affairs during this period,
they were both under the supreme direction of the President as
Chief Executive and Commander in Chief in all matters relative to
separate and joint planning for defense and war, to disposition of
forces and materiel, to preparednesr. for operation in case of an
attack. In respect of the President's power, the two departments
were one agency for over-all planning and operational purposes. Tile
President had power to issue directions and orders to the Secre,tary
of War and the Secretary of the Navy and also directly and indirectly
to the Chief of Staff and the Chief of Naval Operations and on
occasions used this power. Furthermore, under the Reorganization
Act of 1939, President Roosevelt had enjoyed the power, by grant of
Congress, to reorganize the Department of War and the Department
of the Navy if he deemed it necessary in the interest of efficiency
and more effective cooperation between the Departments. Since he
did not reorganize the two Departments under that act, he must
have deemed them properly constructed as they were. By virtue of
the powers vested in him the President had, during this period, the
responsibility for determining the reciprocal relations of diplomatic
decisions and war plans. In fine. Secretary Hull, Secretary Stimson,
Secretary Knox, General Marshall, Admiral Stark, General Short, and
Admiral Kimmel were all men of President Roosevelt's own choice —
not hang-over appointees from another administration to which
incompetence may be ascribed— and the President had ample
power to direct them, coordinate their activities, and bring about a
concentration of their talents and energies in the defense of the
United States. Thus endowed with power and in full charge of
diplomatic negotiations, the President decided long before December
7, at least as early as the Atlantic Conference in August, that war
with Japan was a
 PEARL HARBOR ATTACK 543 matter of a few weeks or
months, was so highly probable and so imminent as to warrant a
dedication of his abilities to preparation for that war. Having decided
against an appeal to Congress for a declaration of war and having
resolved that he would avoid even the appearance of an overt act
against Japan, the President chose the alternative of waiting for an
overt act by Japan — an attack on territory of the United States.
Possessing full power to prepare for meeting attack and for
countering it with the armed forces under his command, he had
supreme responsibility for making sure that the measures, plans,
orders, and dispositions necessary to that end were taken. During
the weeks and days preceding the Japanese attack on December 7,
1941, the President and his chief subordinates held many meetings,
discussed the practical certainty of an attack, and, jointly or
severally, made decisions and plans in relation to the coming of that
attack — or overt act. Yet when the Japanese attack came at Pearl
Harbor the armed forces of the United States failed to cope with the
attack effectively. In view of all the evidence cited in support of the
preceding conclusions and more of the sam.e kind that could be
cited, this failure cannot all be ascribed to General Short and Admiral
Kimmel, nor to their immediate superiors, civil and military. Those
authorities had their powers and corresponding responsibilities but
the ultimate power and responsibility under the Constitution and the
laws were vested in the President of the United States. This does
demonstrate the weakness of depending on the political head of the
Government to bring about the necessary coordination of the
operating activities of the military branches, particularly in the areas
of intelligence. The major lesson to be learned is that this
coordination should be done in advance of a crisis. 17. High
authorities in Washington failed to allocate to the Hawaiian
commanders the material which the latter often declared to he
necessary to defence and often requested^ and no requirements of
defense or war in the Atlantic did or could excuse these authorities
for their failures in this respect. The first part of this conclusion calls
for no special citations of authority. In reports of the President's
Commission, of the Army Pearl Harbor Board, and of the Navy Court
of Inquiry, three points in this respect are accepted as plain facts :
(1) The ultimate power to allocate arms, ammunition, implements of
war, and other supplies was vested in the President and his aide,
Harry Hopkins, subject to the advice of General Marshall and Admiral
Stark; (2) General Short and Admiral Kimmel made repeated
demands upon their respective Departments for additional material,
which they represented as necessary to the effective defense of
Pearl Harbor; and (3) Washington authorities, having full discretion
in this regard, made decisions against General Short and Admiral
Kimmel and allocated to the Atlantic theater, where the United
States was at least nominally at peace, materiel, especially bombing
and reconnaissance planes, which were known to be absolutely
indispensable to efficient defense of Pearl Harbor. (See Exhibits 106
and 53, request for materials.) The decision to base the fleet at Pearl
Harbor was made by the President in March 1940, over the protest
of Admiral Richardson.
 544 PEARL HARBOR ATTACK The second part of this
conclusion may be arguable from the point of view of some high
world strategy, but it is not arguable under the Constitution and laws
of the United States. The President, it is true, had powers and
obligations under the Lease-Lend Act of March 1941. But his first
and inescapable duty under the Constitution and laws was to care
for the defense and security of the United States against a Japanese
attack, which he knew was imminent; and, in the allocations of
materiel, especially bombing and reconnaissance planes, he made or
authorized decisions which deprived the Hawaiian commanders of
indispensable materiel they could otherwise have had and thus
reduced their defensive forces to a degree known to be dangerous
by high officials in Washington and Hawaii. When this decision to
base the fleet at Pearl Harbor was made, certain definite facts in
relation to such base must be presumed to have been fully known
and appreciated by the responsible command at Washington. The
base is a shallow-water base with limited base mobility, with no
chance for concealment or camouflage and without enough air
beaches to properly park the necessary defensive air equipment.
Entrance to the base is by a narrow winding channel requiring
sorties at reduced speed, and in single file, and presenting the
possibility of a blockade of the base by an air or submarine attack on
the entrance. The base is surrounded by high land immediately
adjacent to the city of Honolulu, thereby affording full public
familiarity with installations and movements within the base at all
times. The base is located on an island where the population was
heavily Japanese, and where, as was well known, Japanese
espionage was rampant, and making it probable that any defensive
insufficiency of any kind or nature would be open to Japanese
information. All of the fuel for the base must be transported, by
tanker, from the mainland more than 2,000 miles away, thus
intensifying the necessity for complete defensive equipment and
supplies for the base. The waters about Oahu are of a depth
facilitating the concealed movement of submarines, and the near
approach of submarines to the shore, thereby favoring such
methods of hostile attack. The approaches to Oahu cover a full circle
of 360°, with open sea available on all sides. The situation thus
confronting the Pacific Fleet upon reaching its Pearl Harbor base
seems entirely clear. Before the base could be a safe base, it must
be supplied with adequate defense facilities, which facilities must be
in kind and amount in relation to the physical characteristics of the
base above referred to. An absence of adequate defensive facilities
directly increased the peril of the fleet. Since the decision to base
the fleet at Pearl Harbor was made at Washington, the responsibility
for providing proper base defense for the fleet rested primarily upon
Washington. (See Stark letter, November 22, 1940, Tr., Vol. 5, p. 706
ff.) It becomes important, therefore, to consider what defensive
equipment was essential to protect the Pearl Harbor base, whether
such defensive equipment was supplied, and, if not, the reasons for
such failure. The character of the defensive equipment necessary for
the defense of the Pearl Harbor base is not seriously in dispute. The
base most essential, being located on an island, approachable from
all directions,
 PEARL HARBOR ATTACK 545 the first protective equipment
necessary was a sufficient number of longdistance patrol planes to
permit proper distance reconnaissance covering a 360° perimeter.
The evidence indicates that to supply such a reconnaissance
program would require approximately 200 patrol planes, with a
sufficient supply of spare parts to keep the planes in operation, and
a suflGicient number of available crews to permit a continuous
patrol. Base defense also required sufficient fighter planes to meet
any attack which might be considered possible. This would require
approximately 175 planes. The second class of essential defense
equipment was a suitable number of antiaircraft batteries with
suitable and sufficient ammunition and sufficient experienced crews
for ready operation. The third class of defense equipment were
torpedo nets and bafiles. It would be necessary for a considerable
portion of the fleet to be in Pearl Harbor at all times, fueling and
relaxation of men together with ship repairs requiring the ships in
the fleet to have constant recourse to the base at more or less
regular intervals. The mobility of the Pearl Harbor base was limited,
and ships using the base were in a more or less deferiseless
situation except for the defense power of their own ship batteries.
The British attack on the Italian Fleet at Taranto, Italy, brought the
question of torpedo bomber defense to the fore. Admiral Stark wrote
on November 22, 1940 — expressing fear of a "sudden attack in
Hawaiian waters" on the fleet, and asking about torpedo net
protection. (Tr., Vol. 5, p. 707.) Admiral Richardson, then in
command, expressed no enxiety about the security of the fleet, and
thought torpedo nets unnecessary, but thought security to the fleet
must be carried out, even at the expense of fleet training and extra
discomfort. Approximately four-fifths of the damage to the fleet
upon the attack was the result of torpedoes fired by torpedo-
bombing planes attacking the base at low altitudes. Against such an
attack, antitorpedo baffles and nets would have been of
extraordinary value. The fourth class of defense equipment for the
base lay in the newly discovered device known as radar, which
before December 7 had been sufiiciently perfected to permit the
discovery of approaching planes more than 100 miles away. It seems
to be agreed that it is not the duty of the fleet, ordinarily, to furnish
its own base defense. That duty is supposed to be performed by the
base defense itself, usually in the hands of the Army. The fleet,
however, is always to be expected to furnish every available
defensive effort it has, in event of an attack upon a base. The record
discloses that with full knowledge of the defense necessities inherent
in the defense of the Pearl Harbor base, and with full knowledge of
the dangers and peril imposed upon the fleet while based at the
Pearl Harbor base, and with full knowledge of the equipment
essential to a proper protection of the fleet at such base, it was
decided by President Roosevelt to remove the fleet from the
mainland bases and base it at Pearl Harbor. The record discloses that
from the time the fleet arrived at Pearl Harbor until the attack on
December 7, the high command at Hawaii, both in the Army and the
Navy, frequently advised the military authorities at Washington of
the particular defense equipment needs at the Pearl Harbor base
(Exhibits 53 and 106). Nowhere in the record
 546 PEARL HARBOR ATTACK does any dissent appear as to
the reasonableness, or the propriety, of the requests for defense
equipment made by the high command in Hawaii. On the contrary,
the necessity for such equipment was expressly recognized and the
only explanation given for a failure to provide the equipment was
that by reason of unavoidable shortages, the requested defense
equipment at Hawaii could not be supplied. It was asserted that
more equipment had been provided for Hawaii than for any other
base, and this is probably correct. The trouble with such an
explanation is that Hawaii was the only nonmainland base charged
with the defense of a major part of our Pacific Fleet, and the
equipment supplied to Hawaii was admittedly insufficient. The
Philippines received much equipment which might well have gone to
Hawaii, because Hawaii could have been defended, whereas no one
expected the Philippines to be able to stand a direct Japanese
onslaught. General IVIarshall reported to the President in March
1941 (Exhibit 59) that "Oahu was believed to be the strongest
fortress in the world" and practically invulnerable to attack and that
sabotage was considered the first danger and might cause great
damage. The Government made the Atlantic theater the primary
theater and the Pacific theater a secondary and a defense theater.
We raise no issue as to the propriety of such decision, but we cannot
fail to point out that such decision resulted in the failure of the
military authorities in Washington to supply the Pearl Harbor base
with military defense equipment which everyone agreed was
essential and necessary for the defense of the base and the Heet
while in the base. As we have said, such a more or less defenseless
condition imposed increased peril upon the Pacific Fleet, so long as it
was based at Pearl Harbor. We are forced to conclude, therefore,
that in view of the obligations assumed by the Government in other
military theaters, and to which we have just referred, and the
consequent inability of the Government to properly contribute to the
safety of the fleet at Pearl Harbor, that the only alternative left which
might have relieved the fleet from the resultant peril would have
been to have changed the original decision to base the fleet at Pearl
Harbor, and thereupon return the -fleet to its several mainland
hases. It appears obvious that the safety of the fleet would have
been helped by such removal. The perimeter of a defense at a
mainland base would only be 180° instead of 360°, thus permitting
distant patrol reconnaissance by one-half as many planes. The
transportation and supply facilities to the mainland base would be
immensely improved, as would all necessary communication
facilities. The mobility of the fleet at a mainland base would have
been improved and the concentration of the fleet in a single limited
base would have been avoided. We therefore are of the opinion that
the fleet should not have been based at Pearl Harbor unless proper
base defenses were assu/red. Since no such change in policy was
approved, and the fleet remained based at Pearl Harbor without the
necessary defense equipment to which we have referred — plus the
fact that the precise status of the defense weakness must be
assumed to have been open to the unusual Japanese espionage
operating in Hawaii, and therefore that the Tokyo war office must
b(} assumed to have been cognizant of the status of affairs at Pearl
Harbor, we are forced to conclude that the failure to remove the fleet
from Pearl Harbor to the mainland must be viewed
 PEARL HARBOR ATTACK 547 as an important relevant
factor necessarily involved in the success of the Japanese attack on
December 7. The record discloses that the Army and Navy had
available, between February 1 and December 1, 1941, an abundance
of longdistance patrol planes suitable for reconnaissance purposes.
Exhibit 172 shows that the Army received between February 1 and
December 1, 1941, approximately 600 long-distance bombers
capable of flying, loaded, missions, of 1,250 miles or more. Of these
12 went to Hawaii and 35 went to the Philippines. During the same
period the Navy received approximately 560 similar long-distance
bombers, of which approximately 175 were assigned to carriers in
the Pacific. During the same period the Army received approximately
5,500 antiaircraft guns, of which 7 went to Hawaii and 100 to the
Philippines. If it be true that it was found necessary to send this
equipment elsewhere, as we assume, still it would seem that Hawaii
instead of having high priority, occupied a subordinate position. We
have referred to the unavoidable vulnerabilities of the Pearl Harbor
base, together with the identification of the essential defense
equipment necessary for its proper defense. We likewise noted the
demands made by the high command at Hawaii for such equipment,
the agreement that such equipment was proper and necessary, and
the continued and increased peril imposed upon the fleet by the
failure to provide such equipment. It seems proper here to note the
extent to which the Pearl Harbor base was deprived of needed and
essential equipment. ( 1 ) We have pointed out that the perimeter of
Oahu defense covered 360°. Full defense reconnaissance would
likewise be required for the full 360°. The evidence discloses that it
would take approximately 200 patrol planes to furnish such
reconnaissance. Such reconnaissance would require flights of not
less than 750 miles from Oahu. The evidence shows that the wear
and tear upon patrol planes engaged in such distant operations
would be heavy, that a certain proportion of available planes would
have to be under repair and adjustment, and that only about one-
third of the assigned planes would be available for a particular day's
patrol. In a similar way, in connection with the overhaul and repair of
planes, a proper store of repair parts would be essential and of even
greater importance, spare crews for the operation of the planes
would be required, since the same crew could not fly such patrol
missions daily. The record seems to establish that there were
available at Pearl Harbor on December 7, approximately 85 patrol
planes suitable for distant patrol, of which not to exceed 55 were in
operable condition. The supply of spare parts was not ample, nor
were there sufficient extra crews for a continuous operation. With
reference to fighter planes, the situation was not so acute. An
estimate appears in the record that 185 fighter planes would be
necessary to defend the base, and there were, on December 7, 105
available fighter planes, which, if propertly alerted, would have been
available for base defense. The fleet itself had been depleted by
assignments to the Atlantic theater, and the man supply for plane
service had likewise been used as a reservoir from which to supply
reserve demands for that theater.
 548 PEARL HARBOR ATTACK We agree that Admiral Kimmel
was faced with a sharp dilemma. He was the commander in chief of
the Pacific Fleet. Under WPL 46 he was given specific duties which
required him to have his fleet ready for action promptly upon the
breaking out of war. He had available 50 or 60 patrol planes, and he
would need these j^lanes in aid of fleet movements if his fleet was
to take the offensive against the enemy. If he used these patrol
planes for base defense, such heavy duty would reduce their
efficiency and ultimately put them up for repair in event the distance
patrol duty should cover an extended period. In such an event his
fleet could not sail against tlie enemy as required by WPL 46
because his patrol planes would be out of commission. He had
therefore to make a choice between fleet training and preparation
and base defense. He says his decision not to carry on distant
reconnaissance was based upon his belief, in common with his staff,
that Pearl Harbor was not in danger from a Japanese attack. W;e
think in making such a decision Admiral Kimmel was unjustified in
concluding, first, that there was no danger of attack at Pearl Harbor,
and, second, that such a decision did not violate the fundamental
proposition tliat no disposition should be taken which unnecessarily
increased fleet peril. The absence of distant reconnaissance
immediately imperiled fleet safety. We therefore think the
abandonment of distance reconnaissance was unjustified. (2) The
fuel reserves were insufficient, limiting full use of the fleet at sea,
required constant augmentation from the mainland, and the location
of such fuel supplies was such as to make them vulnerable to any
raiding attack. The fleet was required to come into the base at
frequent intervals to refuel. The facilities at the base made such
refueling slow. The fleet was without a sufficient supply of fast
tankers to permit refueling at sea, and there was ever present the
inescapable fact that a destruction of the fuel supply would
necessarily immobilize the entire fleet. (3) It is difficult to reach a
conclusion with respect to the sufficiency of the antiaircraft batteries
and supplies available at Pearl Harbor on December 7. General Short
testified as to the number of guns available on December 7, 1941, as
compared with the number available in December 1942. It is
apparent that the antiaircraft gun equipment had been much
augmented during the year following the Pearl Harbor attack. The
difficulty we have with respect to the antiaircraft batteries situation,
as with the available force of fighter planes, is that practically none
of these guns were alerted on December 7, and ammunition was not
readily available, the crews serving them were not in attendance,
and the only seeming excuse for such conditions was the common
belief that there was no danger of an attack on Pearl Harbor and
therefore no reason for any battery alert. Even if there had been
twice as many batteries (or fighter planes) available, there is no
reason to believe the condition of alert would have been different.
The ships in the harbor were not provided with proper torpedo
protection. The letter of June 13, 1941, with respect to the use of
aerial torpedoes, seems to demonstrate the responsibility of the high
command at Washington to provide a torpedo defense. Such a
defense was well known and could have been provided and, if
provided,
 PEARL HARBOR ATTACK 549 might have obviated the
greatest source of damage suffered by the fleet during the raid,
even though Admiral Richardson in 1940 thought such defense
unnecessary. But it could not have been provided at Hawaii; it had to
come from Washington. Washington's advices on the subject did
more harm than good, because they intimated that an attack was
possible even in shallow water, but at the same time, negatived the
probability of attack.^ (See letter of June 13, 1941, Ex. No. 116,
letter from Chief of Naval Operations (R. E. Ingersoll) to the
Commandant, Fourteenth Naval District, among others.) The
installation of the radar in Hawaii was inexcusably delayed. It was a
method of defense peculiarly essential in Hawaii. It was known that
there were insufficient planes and insufficient guns to protect the
base, and this made the availability of radar all the more necessary.
It seems we could have priority for radar protection in New York and
other mainland points, where no attack was probable, but none in
Hawaii, where radar information was essential. The result was that
fixed radio installations were not accomplished at all prior to the
Pearl Harbor attack, and such fixed installations would have
furnished the most distant services. The mobile sets available had,
b}^ reason of the delay, been operating only on a short
experimental basis. There was a scarcity of trained operators. The
operators were trying to learn and operate at the same time. The
selected hours of operation, which proved of vast importance, were
not wisely fixed. Service stopped at 7 a. m., the very time when the
danger was acute. No suitable information center had been
established, and it is conceded that such a center was essential to
radar information. This was particularly true at Hawaii, because
radar had not yet been developed to the point where the nationality
of approaching planes could be ascer•tained. The information as to
whether approaching planes were, therefore, friendly or enemy,
depended upon the constant presence at an information center of
representatives of the military services who could instantly advise as
to location of friendly planes. No such information center was
established, and no assignment of trained operators to such stations
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