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Edited by
Advances in Artificial
Intelligence Methods
Applications in Industrial
Control Systems
Emanuele Carpanzano
Printed Edition of the Special Issue Published in Applied Sciences
www.mdpi.com/journal/applsci

Advances in Artiﬁcial Intelligence
Methods Applications in Industrial
Control Systems

Control Systems
Editor
Emanuele Carpanzano
MDPI • Basel • Beijing • Wuhan • Barcelona • Belgrade • Manchester • Tokyo • Cluj • Tianjin

Editor
Emanuele Carpanzano
University of Applied Sciences and Arts of Southern Switzerland
Switzerland
Editorial Ofﬁce
MDPI
St. Alban-Anlage 66
4052 Basel, Switzerland
This is a reprint of articles from the Special Issue published online in the open access journal
Applied Sciences (ISSN 2076-3417) (available at: https://www.mdpi.com/journal/applsci/special
issues/ai industrial control systems).
For citation purposes, cite each article independently as indicated on the article page online and as
indicated below:
LastName, A.A.; LastName, B.B.; LastName, C.C. Article Title. Journal Name Year, Volume Number,
Page Range.
ISBN 978-3-0365-6808-9 (Hbk)
ISBN 978-3-0365-6809-6 (PDF)
Cover image courtesy of Laboratory of Automation, Robotics and Machines (ARM-Lab) of the
University of Applied Sciences and Arts of Southern Switzerland (SUPSI).
© 2023 by the authors. Articles in this book are Open Access and distributed under the Creative
Commons Attribution (CC BY) license, which allows users to download, copy and build upon
published articles, as long as the author and publisher are properly credited, which ensures maximum
dissemination and a wider impact of our publications.
The book as a whole is distributed by MDPI under the terms and conditions of the Creative Commons
license CC BY-NC-ND.

Contents
About the Editor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii
Preface to ”Advances in Artificial Intelligence Methods Applications in Industrial Control
Systems” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix
Emanuele Carpanzano
Editorial of the Special Issue “Advances in Artificial Intelligence Methods Applications in
Industrial Control Systems”
Reprinted from: Appl. Sci. 2023, 13, 16, doi:10.3390/app13010016 . . . . . . . . . . . . . . . . . . . 1
Emanuele Carpanzano and Daniel Knüttel
Advances in Artificial Intelligence Methods Applications in Industrial Control Systems:
Towards Cognitive Self-Optimizing Manufacturing Systems
Reprinted from: Appl. Sci. 2022, 12, 10962, doi:10.3390/app122110962 . . . . . . . . . . . . . . . . 5
Dengguo Xu, Qinglin Wang and Yuan Li
Adaptive Optimal Robust Control for Uncertain Nonlinear Systems Using Neural Network
Approximation inPolicy Iteration
Reprinted from: Appl. Sci. 2021, 11, 2312, doi:10.3390/app11052312 . . . . . . . . . . . . . . . . . 25
Niki Kousi, Christos Gkournelos, Sotiris Aivaliotis, Konstantinos Lotsaris, Angelos Christos
Bavelos, Panagiotis Baris, George Michalos, et al.
Digital Twin for Designing and Reconfiguring Human–Robot Collaborative Assembly Lines
Richárd Beregi, Gianfranco Pedone, Borbála Háy and József Váncza
Manufacturing Execution System Integration through the Standardization of a Common Service
Model for Cyber-Physical Production Systems
Asad Ali Shahid, Jorge Said Vidal Sesin, Damjan Pecioski, Francesco Braghin, Dario Piga
and Loris Roveda
Decentralized Multi-Agent Control of a Manipulator in Continuous Task Learning
Reprinted from: Appl. Sci. 2021, 11, 10227, doi:10.3390/app112110227 . . . . . . . . . . . . . . . . 85
Yuzhan Wu, Chenlong Li, Changshun Yuan, Meng Li and Hao Li
Predictive Control for Small Unmanned Ground Vehicles via a Multi-Dimensional Taylor
Network
Reprinted from: Appl. Sci. 2022, 12, 682, doi:10.3390/app12020682 . . . . . . . . . . . . . . . . . . 103
Ybrain Hernandez-Lopez, Raul Rivas-Perez and Vicente Feliu-Batlle
Design of a NARX-ANN-Based SP Controller for Control of an Irrigation Main Canal Pool
v

About the Editor
Emanuele Carpanzano
Emanuele Carpanzano is Director of Research, Development, and Knowledge Transfer at the
University of Applied Sciences and Arts of Southern Switzerland. He has managed numerous
R&D initiatives at international, national and regional level in addition to industrial research
and knowledge transfer projects. He is active in different federal and international associations
and institutions dedicated to education, research, and innovation programs and initiatives. At
international level, he is member of CIRP (The International Academy for Production Engineering)
and of EIT (European Institute of Technology) Manufacturing. At federal level, he is a member of
SATW (Schweizerische Akademie der Technischen Wissenschaften), of the board of directors of FTAL
(Fachkonferenz Technik, Architektur und Life Sciences), of Euresearch, and of the AM-TTC Alliance
(Advanced Manufacturing Technology Transfer Centers Alliance). At regional level, he is a member
of the boards of the Lifestyle Tech Competence Center and of SDBC, Swiss Drone Base Camp, both
part of Innovation Park Ticino. As a scientific expert, he supervises, acting also as reviewer and
independent scientist, research and innovation activities and projects at local, national, and European
level. His research interests and activities are focused on industrial control and automation systems
as well as on the digitalization of production systems and value chains, including evolution of related
human aspects. He is Professor of industrial plants at SUPSI and author of more than 140 scientific
papers as well as of different industrial patents in his applied research fields.”
vii

Preface to ”Advances in Artiﬁcial Intelligence
Methods Applications in Industrial Control Systems”
Artiﬁcial intelligence methods are being increasingly applied at different industrial control
systems levels, from single automation devices up to the real-time control of complex machines,
production processes, and overall factories in terms of supervision and optimization. Such innovative
solutions are being exploited with reference to different industrial control applications from sensor
fusion methods to novel model predictive control techniques, from self-optimizing machines to
collaborative robots, and from factory adaptive automation systems to production supervisory
control systems. The aim of this Special Issue is to provide an overview of novel applications of
AI methods to industrial control systems, so as to improve the production systems self-learning
capacities, their overall performance, the related process and product quality, the optimal use
of resources, and industrial systems safety and resilience to varying boundary conditions and
production requests.
Emanuele Carpanzano
Editor
ix

Citation: Carpanzano, E. Editorial of
the Special Issue “Advances in
Artificial Intelligence Methods
Applications in Industrial Control
Systems”. Appl. Sci. 2023, 13, 16.
https://doi.org/10.3390/
app13010016
Received: 14 December 2022
Accepted: 19 December 2022
Published: 20 December 2022
Copyright: © 2022 by the author.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
applied
sciences
Editorial
Editorial of the Special Issue “Advances in Artificial
Intelligence Methods Applications in Industrial
Control Systems”
Emanuele Carpanzano
Department of Innovative Technologies, University of Applied Sciences and Arts of Southern Switzerland,
6928 Manno, Switzerland; emanuele.carpanzano@supsi.ch
1. Motivation for the Special Issue
Today, Artificial Intelligence (AI) applications are considered to be of increasing
relevance for the future of industrial control systems [1–3]. AI methods are increasingly
being applied at different industrial control systems levels, from single automation devices
up to the real-time control of complex machines, production processes and overall factories
supervision and optimization.
AI solutions are exploited with reference to different industrial control applications,
from sensor fusion methods to novel model predictive control techniques, from self-
optimizing machines to collaborative robots, and from factory adaptive automation systems
to production supervisory control systems [1,4–13].
The motivation for the present Special Issue is to provide an overview of novel
applications of AI methods to industrial control systems by means of selected best practices,
to highlight how such methodologies can be used to improve the production systems
self-learning capacities, their overall performance, the related process and product quality,
the optimal use of resources and the industrial systems safety, and resilience to varying
boundary conditions and production requests [1,4,12,13].
2. Summary of the Special Issue Contents
This Special Issue includes seven papers: a perspective paper to frame the ongoing
advances in AI methods applications in Industrial Control Systems to realize self-optimizing
manufacturing systems [1], and six papers presenting novel applications of AI methods
with reference to specific control problems and different application sectors [5–10]. Further
details about the seven articles are provided in the following.
The perspective paper “Advances in Artificial Intelligence Methods Applications in In-
dustrial Control Systems: Towards Cognitive Self-Optimizing Manufacturing Systems”, by
Emanuele Carpanzano and Daniel Knüttel [1], provides an overview of the recent progress
on different hierarchic and functional levels of industrial control solutions, discussing how
AI-based methods enable further enhancements in many applications and sectors. Promis-
ing algorithms and methods are presented and discussed for every control level following a
bottom-up approach, starting from the sensor level and data fusion to more complex appli-
cations such as self-optimizing machines. It is outlined how the combination of advanced
monitoring, modeling, control and scheduling methods will, in the future, allow for the
development of self-optimizing machines, leading to production machine improvements
in terms of product quality, productivity and resource efficiency, and representing a crucial
point for the next generation of human-centric manufacturing systems.
The article “Adaptive Optimal Robust Control for Uncertain Nonlinear Systems Using Neural
Network Approximation in Policy Iteration”, by Dengguo Xu, Qinglin Wang and Yuan Li [5],
presents an optimal adaptive control approach to solve the robust control problems of
nonlinear systems with internal and input uncertainties, based on the policy iteration
Appl. Sci. 2023, 13, 16. https://doi.org/10.3390/app13010016 https://www.mdpi.com/journal/applsci
1

Appl. Sci. 2023, 13, 16
(PI) in reinforcement learning (RL). First, the robust control is converted into solving an
optimal control containing a nominal or auxiliary system with a predefined performance
index. It is demonstrated that the optimal control law enables the considered system to
become globally asymptotically stable for all admissible uncertainties. Second, based on
the Bellman optimality principle, online PI algorithms are proposed to calculate robust
controllers for the matched and mismatched uncertain systems. The approximate structure
of the robust control law is obtained by approximating the optimal cost function with
the neural network in PI algorithms. Finally, to illustrate the availability of the proposed
algorithm and theoretical results, some numerical examples are provided.
The paper “Digital Twin for Designing and Reconfiguring Human–Robot Collaborative
Assembly Lines”, by Niki Kousi, Christos Gkournelos, Sotiris Aivaliotis, Konstantinos
Lotsaris, Angelos Christos Bavelos, Panagiotis Baris, George Michalos and Sotiris Makris [6],
discusses the use of DTs (Digital Twins) for designing and redesigning flexible production
systems. These systems employ mobile dual arm robots that move across the factory
undertaking multiple tasks, assisting humans. Exploiting this hardware ability, the DT
based re-design system generates optimal configurations in terms of layout and task plans.
The solution allows for online reconfiguration of the system by (a) dynamically re-assigning
the tasks when unexpected events occur, and (b) making real-time adjustments of robots’
behavior to ensure collision-free trajectories generation in unstructured environments.
These are achieved in addition to the sensor-based real-time scene reconstruction that is
provided by the Digital Twin by synthesizing multiple sensor data. The discussed DT-based
system was deployed, tested and validated in a case study from the automotive sector.
The contribution “Manufacturing Execution System Integration through the Standard-
ization of a Common Service Model for Cyber-Physical Production Systems”, by Richárd
Beregi, Gianfranco Pedone, Borbála Háy and József Váncza [7], proposes a generalized
common service model and architecture of CPS (Cyber Physical Systems)-based manufac-
turing execution systems. The core model is minimalist as far as its underlying assumptions
are concerned. Hence, it does not constrain the decision autonomy of collaborating cyber-
physical entities and “only” provides channels for transferring and synchronizing the
information that ensues from their decisions. The proposed approach identified the elemen-
tary concepts, such as functions, calls, variables, and reports, as the basis for modeling and
providing I4.0-compliant, CPS-based services in a manufacturing environment. They were
developed via standardized technologies enabling semantic interoperability and openness
(OPC UA, MQTT). The universal CPS-based service integration mechanism was validated
in an experimental pilot production and logistics system that included a variety of het-
erogeneous and autonomous resources, such as manufacturing cells, AGVs, robots, and
human–robot collaborative cells. These CPS components were connected and controlled
via the plug and collaborate mechanism of a MES system in a number of complex scenarios.
The manuscript “Decentralized Multi-Agent Control of a Manipulator in Continuous
Task Learning”, by Asad Ali Shahid, Jorge Said Vidal Sesin, Damjan Pecioski, Francesco
Braghin, Dario Piga and Loris Roveda [8], formulates a decentralized and multi-agent
approach in the form of an RL (Reinforcement Learning) problem, demonstrating the
possibility of decentralizing a single manipulator controller by applying multiple agents in
learning continuous actions. The purpose of this paper was to compare the feasibility of
decentralization for a single robot to show the modularity in the joints, as well as to make a
comparison between the centralized and decentralized approach. The results show that it
is possible to decentralize the control action on the robot. Using multiple agents shows the
stagnation of the learning process when using the same reward function that is used for a
single agent. It is believed that this is due to the lack of communication between the agents
and the generality of the reward when considering two agents.
The paper “Predictive Control for Small Unmanned Ground Vehicles via a Multi-Dimensional
Taylor Network”, by Yuzhan Wu, Chenlong Li, Changshun Yuan, Meng Li and Hao Li [9],
presents an improved predictive control scheme based on the MTN (multi-dimensional
Taylor network) for tracking the control of SUGVs (Small Unmanned Ground Vehicles).
2

Appl. Sci. 2023, 13, 16
The traditional objective function was improved to obtain a predictive objective function
with the differential term. The optimal control quantity was given in real time through
iterative optimization. A tracking control experiment was carried out on an SUGV to verify
the effectiveness of the proposed scheme. The results show that the proposed scheme
is effective and has good a real-time, robustness, and convergence performance, which
ensure that the vehicle can quickly and accurately track the desired yaw velocity signal
and that it is superior to the traditional MTN and RBF (Radial Basis Function) predictive
control schemes.
The article “Design of a NARX-ANN-Based SP Controller for Control of an Irrigation Main
Canal Pool”, by Ybrain Hernandez-Lopez, Raul Rivas-Perez and Vicente Feliu-Batlle [10],
proposes a modification of the well-known Smith predictor controller, in which the internal
linear model was substituted by the combination of a NARX-ANN-based model and a
TD-NARX-ANN-based model, in order to take into account the dynamic nonlinearities
in the effective control of water distribution in an irrigation main canal pool. By the
application of system identification procedures, NARX-ANN and a TD-NARX-ANN with
recurrent architectures were obtained which describe with high accuracy the non-linear
dynamic behavior of the water distribution in the studied canal pool. The NARX-ANN
structure with an input layer with 13 memory blocks for the input and output signals, three
neurons in the hidden layer and one neuron in the output layer, provided the best model
performance. A third model—which was linear and represented by a time-delay first-order
transfer function—was obtained using an identification procedure. The validation results
of the three models illustrate that the FIT performance indexes of the NARX-ANN-based
models are higher than that of the linear model.
3. Discussion and Concluding Remarks
By means of its seven scientific papers, the present Special Issue clearly illustrates the
increasing added value of the introduction of AI methods to improve the performance of
control solutions with reference to different control and automation problems in different
industrial applications and sectors [1,4–10], ranging from single manipulators [8] or small
unmanned ground vehicles [9], up to complex manufacturing plants [7] or irrigation sys-
tems [10]. Additionally, the role of AI to improve the performance of relevant engineering
methodologies and digital instruments, such as Cyber Physical Systems [7], Digital Twins
and Human-Robot Collaboration [6], are also effectively addressed in the contributions to
the Special Issue.
Even if many research initiatives are ongoing, such as those discussed in the present
Special Issue, many relevant challenges remain to be faced in the near future to exploit
the high potential of AI methods for industrial control applications. In particular, it is of
major importance to support the adoption of such novel solutions in real-world industrial
applications, as well as by small- and medium-sized companies [2,3,11], and to integrate
AI-based techniques to steer the co-evolution of human workers’ tasks and manufacturing
systems frameworks, in order to improve production systems’ performance, as well as
human workers’ safety and well-being [12,13].
Funding: This research received no external funding.
Conflicts of Interest: The authors declare no conflict of interest.
References
1. Carpanzano, E.; Knüttel, D. Advances in Artificial Intelligence Methods Applications in Industrial Control Systems: Towards
Cognitive Self-Optimizing Manufacturing Systems. Appl. Sci. 2022, 12, 10962. [CrossRef]
2. Carpanzano, E.; Jovane, F. Advanced Automation Solutions for Future Adaptive Factories. CIRP Ann. Manuf. Technol. 2007, 56,
435–438. [CrossRef]
3. Brusaferri, A.; Ballarino, A.; Carpanzano, E. Reconfigurable knowledge-based control solutions for responsive manufacturing
systems. Stud. Inform. Control. 2011, 20, 32–41. [CrossRef]
4. Carpanzano, E.; Cesta, A.; Orlandini, A.; Rasconi, R.A. Valente, Intelligent dynamic part routing policies in Plug&Produce
Reconfigurable Transportation Systems. CIRP Ann. Manuf. Technol. 2014, 63, 425–428. [CrossRef]
3

Appl. Sci. 2023, 13, 16
5. Xu, D.; Wang, Q.; Li, Y. Adaptive Optimal Robust Control for Uncertain Nonlinear Systems Using Neural Network Approximation
in Policy Iteration. Appl. Sci. 2021, 11, 2312. [CrossRef]
6. Kousi, N.; Gkournelos, C.; Aivaliotis, S.; Lotsaris, K.; Bavelos, A.C.; Baris, P.; Michalos, G.; Makris, S. Digital Twin for Designing
and Reconﬁguring Human–Robot Collaborative Assembly Lines. Appl. Sci. 2021, 11, 4620. [CrossRef]
7. Beregi, R.; Pedone, G.; Háy, B.; Váncza, J. Manufacturing Execution System Integration through the Standardization of a Common
Service Model for Cyber-Physical Production Systems. Appl. Sci. 2021, 11, 7581. [CrossRef]
8. Shahid, A.A.; Sesin, J.S.V.; Pecioski, D.; Braghin, F.; Piga, D.; Roveda, L. Decentralized Multi-Agent Control of a Manipulator in
Continuous Task Learning. Appl. Sci. 2021, 11, 10227. [CrossRef]
9. Wu, Y.; Li, C.; Yuan, C.; Li, M.; Li, H. Predictive Control for Small Unmanned Ground Vehicles via a Multi-Dimensional Taylor
Network. Appl. Sci. 2022, 12, 682. [CrossRef]
10. Hernandez-Lopez, Y.; Rivas-Perez, R.; Feliu-Batlle, V. Design of a NARX-ANN-Based SP Controller for Control of an Irrigation
Main Canal Pool. Appl. Sci. 2022, 12, 9180. [CrossRef]
11. Bettoni, A.; Matteri, D.; Montini, E.; Gladysz, B.; Carpanzano, E. An AI adoption model for SMEs: A conceptual framework.
IFAC-Pap. 2021, 54, 702–708. [CrossRef]
12. Bracco, F.; Bruzzone, A.A.; Carpanzano, E. Transfactory: Towards a New Technology-Human Manufacturing Co-evolution
Framework. In Advances in System-Integrated Intelligence; Valle, M., Lehmhus, D., Gianoglio, C., Ragusa, E., Seminara, L., Bosse, S.,
Ibrahim, A., Thoben, K.-D., Eds.; Springer International Publishing: Cham, Switzerland, 2023; pp. 636–645.
13. Bettoni, A.; Montini, E.; Righi, M.; Villani, V.; Tsvetanov, R.; Borgia, S.; Secchi, C.; Carpanzano, E. Mutualistic and Adaptive
Human-Machine Collaboration Based on Machine Learning in an Injection Moulding Manufacturing Line. In Procedia CIRP—53rd
CIRP Conference on Manufacturing Systems; Elsevier: Amsterdam, The Netherlands, 2020; Volume 93, pp. 395–400. [CrossRef]
Disclaimer/Publisher’s Note: The statements, opinions and data contained in all publications are solely those of the individual
author(s) and contributor(s) and not of MDPI and/or the editor(s). MDPI and/or the editor(s) disclaim responsibility for any injury to
people or property resulting from any ideas, methods, instructions or products referred to in the content.
4

Citation: Carpanzano, E.; Knüttel, D.
Control Systems: Towards Cognitive
Self-Optimizing Manufacturing
Systems. Appl. Sci. 2022, 12, 10962.
https://doi.org/10.3390/
app122110962
Academic Editor: Alessandro
Gasparetto
Received: 29 September 2022
Accepted: 24 October 2022
Published: 29 October 2022
Publisher’s Note: MDPI stays neutral
with regard to jurisdictional claims in
published maps and institutional affil-
iations.
Copyright: © 2022 by the authors.
Licensee MDPI, Basel, Switzerland.
This article is an open access article
distributed under the terms and
conditions of the Creative Commons
Attribution (CC BY) license (https://
creativecommons.org/licenses/by/
4.0/).
applied
sciences
Perspective
Advances in Artificial Intelligence Methods Applications in
Industrial Control Systems: Towards Cognitive
Self-Optimizing Manufacturing Systems
Emanuele Carpanzano 1,* and Daniel Knüttel 2,3
1 SUPSI, University of Applied Sciences and Arts of Southern Switzerland, Via Pobiette 11,
6928 Manno, Switzerland
2 Intelligent Production Machines, Inspire AG, Via la Santa 1, 6962 Viganello, Switzerland
3 Institute for Machine Tools and Manufacturing (IWF), ETH Zürich, Leonhardstrasse 21,
8092 Zurich, Switzerland
* Correspondence: emanuele.carpanzano@supsi.ch
Abstract: Industrial control systems play a central role in today’s manufacturing systems. Ongoing
trends towards more flexibility and sustainability, while maintaining and improving production
capacities and productivity, increase the complexity of production systems drastically. To cope
with these challenges, advanced control algorithms and further developments are required. In
recent years, developments in Artificial Intelligence (AI)-based methods have gained significantly
attention and relevance in research and the industry for future industrial control systems. AI-based
approaches are increasingly explored at various industrial control systems levels ranging from
single automation devices to the real-time control of complex machines, production processes and
overall factories supervision and optimization. Thereby, AI solutions are exploited with reference
to different industrial control applications from sensor fusion methods to novel model predictive
control techniques, from self-optimizing machines to collaborative robots, from factory adaptive
automation systems to production supervisory control systems. The aim of the present perspective
paper is to provide an overview of novel applications of AI methods to industrial control systems
on different levels, so as to improve the production systems’ self-learning capacities, their overall
performance, the related process and product quality, the optimal use of resources and the industrial
systems safety, and resilience to varying boundary conditions and production requests. Finally, major
open challenges and future perspectives are addressed.
Keywords: control systems; industrial automation; artificial intelligence; machine learning;
self-learning machine tools; adaptive production systems
1. Introduction
Currently, manufacturing companies have to deal with many challenges in order
to remain competitive within the rapidly changing market dynamics and framework
conditions, including socio-economic, environmental and cultural aspects.
Short delivery times and customization along with comparable production costs and
high-quality parts are order-winning properties and therefore vital for business. Addi-
tionally, accelerated product developments and industrializations are important attributes
to quickly cover market developments with brief time to markets. Moreover, upcoming
regulations as well as growing social and environmental requirements represent additional
challenges to be faced by the industry. Key enabling factors to face such challenges are
production machines, whose developments are crucial to meet the cited and constantly
growing demands of modern manufacturing companies.
To keep pace with these ongoing evolutions and master upcoming challenges, indus-
trial control systems are a key factor for advanced production machines and industrial
Appl. Sci. 2022, 12, 10962. https://doi.org/10.3390/app122110962 https://www.mdpi.com/journal/applsci
5

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is regarded as quite as much a sacred duty as the former.29 Ethics,
therefore, while a powerfully associative element in the one direction,
becomes dispersive or segregating in others, unless the sense of duty
is taught as a universal and not as a class or national conception.
The sentiment of modesty is developed by man in society, and he alone
among animals possesses it. Whatever has been said to the contrary, it
is never absent. Frequently, indeed, its manifestation is not according
to our usages, and is thus overlooked. Women with us expose their
faces, which a Moorish lady would think most indelicate. The Bedawin
women consider it immodest to have the back of the head uncovered;
the Siamese think nothing of displaying nude limbs, but on no account
would show the uncovered sole of the foot. In certain African courts,
the men wear long robes while the women appear nude. The
necessary functions of the body are everywhere veiled by retirement,
and in the most savage tribes, a regard for decency is constantly
noted.
The second chief associative principle is
2. Language.
Unlike the elements of affection which I have been tracing, language is
not a legacy from a brute ancestor. It is the peculiar property of the
genus Man, and no tribe has ever been known without a developed
grammatical articulate speech, with abundance of expressions for all its
ideas. The stories of savages so rude that they were forced to eke out
their words with gestures, and could not make themselves intelligible in
the dark, are fables. The languages of the most barbarous communities
are always ample in forms, and often surprisingly flexible, rich and
sonorous.

We must indeed suppose a time when the speech of primeval man had
a feeble, imperfect beginning. “The origin of language” has been a
favorite theme for philologists to speculate about, with sparse fruit for
their readers. We can, indeed, picture to ourselves something like what
it must have been in its very early stages, by studying a number of
very simple languages, and noting what parts of the grammar and
dictionary they dispense with. Following this plan, I once undertook to
show what might have been the language of man far back in
palæolithic times. It probably had no “parts of speech,” such as nouns,
pronouns, prepositions or adjectives; it had no gender, number nor
case, no numerals and no conjugations. The different sounds, vowels
or consonants, conveyed specific significations, and each phrase was
summed up in a single word.30
In some such way language began. But remember that this is quite
another question from the origin of languages, or, to use the proper
term, of linguistic stocks. They are very numerous, and many of
comparatively late birth. Those convolutions of the brain which preside
over speech once developed, man did not have to repeat his long and
toilsome task of acquiring linguistic facility. Children are always
originating new words and expressions, and if two or three infants are
left much together, they will soon have a tongue of their own, unlike
anything they hear around them. Numerous examples of this character
have been collected by Horatio Hale, and upon them he has based an
entirely satisfactory theory of the source of that multiplicity of
languages which we find in various parts of the globe.31 In the
unstable life of barbarous epochs, very young children were often left
without parents or protectors, or wandered off and were lost. Most of
them doubtless perished, but those who survived developed a tongue
of their own, nearly all whose radicals would be totally different from
those of the language of their parents. Thus in early times numerous
dialects, numerous independent tongues, came to be spoken within
limited areas by the same ethnic stock.
It is a common error to suppose that there was once but one or a few
languages, from which all others have been derived. The reverse is the
case. Within the historic period, the number of languages has been

steadily diminishing. We know of scores which have become extinct, as
many American tongues; others, like the Celtic, are in plain process of
disappearance. We can almost predict the time when the work and the
thought of the world will be carried on in less than half a dozen
tongues, if indeed that many survive as really active.
If we take a comprehensive survey of the grammatical structure of all
known tongues, we are cheered by the discovery that they can be
divided into a few great classes or groups. The similarities of each
group are not in words or sounds, but in the plan of “expressing the
proposition,” or placing words together in a phrase to convey an idea.
This may be accomplished in one of four ways:
1. By isolation. The words representing the parts of the phrase may be
ranged one after another without any change. This is the case in the
Chinese and the languages of Farther India.
2. By agglutination. The principal word in the phrase may have added
to it or placed before it a number of syllables expressing the relations
to it of the other ideas. Most African and North Asian tongues are
agglutinative.
3. By incorporation. The accessory words are either inserted within the
verbal members of the sentence, or attached to it in abbreviated forms,
so that the phrase has the appearance of one word. Most American
languages belong to this type.
4. By inflection. Each word of the sentence indicates by its own form its
relation to the main proposition. All Aryan and Semitic idioms are more
or less inflected.
These distinctions have great ethnographic interest. They almost
deserve to be called racial traits. Thus, the inflected languages
belonged originally solely to the European race; the isolating languages
are still confined wholly to the Sinitic branch of the Asian race; the
incorporative languages are found nowhere of such pure type and so

numerous as in the American race; while the agglutinative type is that
alone which is found in independent examples in every race.
Scheme of Languages.
1. Isolating
Chinese, Thibetan, Sifan, Tai.
Siamese, Annamite, Burmese, Assamese.
2. Agglutinative
1. By reduplication and
prefixes
Polynesian, Papuan,
Bantu.
2. By suffixes
Sibiric tongues, (Ural-
altaic), Basque.
Japanese, Korean,
Dravidian.
3. Incorporative
1. With synthetic
tendency
Algonkin, Nahuatl.
Quichua, Guarani.
2. With analytic tendency. Otomi, Maya, Sahaptin.
4. Inflectional
1. By annexing
grammatical elements.
Egyptian.
2. By inner changes of
stem.
Libyan, Semitic.
3. By addition of suffixes. Aryac tongues.
The principles on which languages should be compared are frequently
misunderstood, and this is one of the reasons why the value of
linguistics to ethnography has so often been underrated.
The first rule which should be observed is to rank grammatical
structure far above verbal coincidences. The neglect of this rule will
condemn any effort at comparison. For example, there have been

writers who have sought to derive the Polynesian, an agglutinative,
from the Sanscrit, an inflected tongue; or an American from a Semitic
stock. Such attempts reveal an ignorance of the nature of language.
A second rule is that in tracing the etymology of words, the phonetic
laws of the special group to which they belong must be followed. This
is an even more frequent source of error than the former. Writers of
high reputation will trace variations in African or American or Semitic
names by the phonetic laws of the Aryac dialects—an absurd error, as
the phonetic changes are not at all the same in different linguistic
stocks.
Yet a third rule is to appraise correctly the value of verbal identities.
Generally, it is placed too high. All developed tongues include many
“loan words,” borrowed from a variety of sources. They are not prima
facie evidence of ethnic relation; they have frequently been transmitted
through other nations, as is the case with thousands of English words.
An absolute verbal identity is always suspicious; or rather it is of no
ethnic value. There must be a series of words in the languages
compared of the same or similar meanings, but whose forms have
been altered by the phonetic laws peculiar to the group, for such lists
of words to merit the attention of a scientific linguist.
The question how far languages can be accepted as indicating the
relationships of peoples has been a bone of contention. One principle
we may lay down, with unimportant exceptions—No nation has ever
willingly adopted a foreign tongue. Whenever such a change has taken
place, it has been under stress of sovereignty, vi coactum, as the
lawyers say. Hence in the savage state, where prolonged domination of
one tribe by another rarely occurs, language is an excellent ethnic
guide, as in America and ancient Europe.
Another principle is that in a conflict of tongues, as after conquest, that
tongue prevails which belongs to the more cultured people, whether
this be conqueror or conquered. This is well illustrated by the survival
of the Romance languages after the inroads of the Teutonic hordes at
the Fall of the Western Empire.

A third maxim in linguistic ethnography is that mixture of languages,
especially in grammatical structure, indicates mixture of blood. When,
for instance, we find the Maltese a dialect partly Arabic, partly
Romance, we may correctly infer that the people of the island are
descended from both these stocks. This holds good even of loan
words, when they are numerous; for though such have no influence on
the grammatical structure of a tongue, they testify to some relations
between nations, which we may be sure corresponded to others of a
sexual nature.
The “American citizens of African descent” speak English only; and
though they have been in contact with the white race for but three or
four generations, the majority of those now living are related to it by
blood, that is, are mulattoes.
The mental aptitude of a nation is closely dependent on the type of its
idiom. The mind is profoundly influenced by its current modes of vocal
expression. When the form of the phrase is such that each idea is kept
clear and apart, as it is in nature, and yet its relations to other ideas in
the phrase and the sentence are properly indicated by the grammatical
construction, the intellect is stimulated by wider variety in images and
a nicer precision in their outlines and relations. This is the case in the
highest degree with the languages of inflection, and it is no mere
coincidence that those peoples who have ever borne the banner in the
van of civilization have always spoken inflected tongues. The world will
be better off when all others are extinguished, and it is only in deep
ignorance of linguistic ethnography that such a language as Volapük—
agglutinative in type—could have been offered for adoption as a world-
language.
I have said that alone of all animals, man has articulate speech; I now
add that also alone of all animals, he is capable of
3. Religion.
Not only is he capable of it; he has never been known to be devoid of
it. All statements that tribes have been discovered without any kind of

religion are erroneous. Not one of them has borne the test of close
investigation.32 The usual mistake has been to suppose that this or
that belief, this or that moral observance, constitutes religion. In fact,
there are plenty of immoral religions, and some which are atheistic.
The notion of a God or gods is not essential to religion; for that matter,
some of the most advanced religious teachers assert that such a notion
is incompatible with the highest religion. Religion is simply the
recognition of the Unknown as a controlling element in the destiny of
man and the world about him. This we shall find in the cult of every
nation, and in the heart of every man.
Some nations identified this unknown controlling power with one real
or supposed existence, some with another. Those in whom the family
sentiment was well developed believed themselves still under the
control of their deceased parents, giving rise to “ancestral worship;”
more frequently the change from light to darkness, day to night,
impressed the children of nature, and led to light and sun worship; in
some localities the terrific force displayed in the cyclone or the thunder-
storm seemed the mightiest revelation of the Unknown, and we have
the Lightning and Storm Myths; elsewhere, any odd or strange object,
any unexplained motion, was attributed to the divine, the super-
natural. The last mentioned mental state gave rise to those low cults
called “fetichism” and “animism,” while the former are supposed to be
somewhat higher and are distinguished as “polytheisms.” In all of
them, the prevailing sentiment is fear of the Unknown; the spirit of
worship is propitiatory, the gods being regarded as jealous and inclined
to malevolence; the cult is of the nature of sorcery, certain formulas,
rites and sacrifices being held to placate or neutralize the ill-will or bad
temper of the divinities. In its lowest forms this is called “shamanism;”
in its highest, it is seen in all dogmatic religions.
In early conditions, each tribe has its own gods, which are not
supposed to be superior, except in force, to the gods of neighboring
tribes. No attempt is made to extend their worship beyond the tribe,
and in their images they are liable to be captured, as are their votaries.
Special prisons for such captive gods were constructed in ancient Rome
and Cuzco.

These “tribal religions” prevailed everywhere in early historic times. The
religion of the ancient Israelites, such as we find it portrayed in the
Pentateuch, was of this character. In later days, profoundly religious
minds of philosophic cast perceived that tribal cults do not satisfy the
loftiest aspirations of the religious sentiment. The conceptions of the
highest truths must be universal conceptions, and in obedience to this
the Universal or World-religions were formed.
The earliest of these was preached by Sakya Muni, Prince of
Kapilavastu, in India, about 500 B. C. It is known as Buddhism, and has
now the largest number of believers of any one faith. The second was
that taught by Christ, and the third is Islam, introduced by Mohammed
in the seventh century. It is noteworthy that all these world-religions
were framed by members of the white race. None has been devised by
members of the other races, for the doctrines advanced by Confutse
and Laotse in China are philosophic systems rather than religions.
The three World-religions named have rapidly extinguished the various
tribal religions, and it is easy to foresee that in a few generations they
will virtually embrace the religious sentiments of all mankind. They are
all three on the increase, Christianity the most rapidly by the extension
of the nations adhering to it, but Mohammedanism can claim in the
present century the greater number of proselytes, its fields being in
Central Asia, India, and Central Africa.
In the ethnographic study of religions for the purpose of estimating
their influence on the life and character of nations, we must take notice
especially of three points: 1. The ethical contents of a faith; 2. The
philosophic “theory of things” on which it is based (cosmogony,
theosophy, etc.), and 3. Its power over the emotions, as upon this rests
its practical potency.
As currently taught, no one of the three world-religions named is fully
adequate on all these points. The cosmogony of Christianity is a series
of Assyrian and Hebrew myths contradicted by modern science, and its
ethical purity has been often sullied by efforts to place faith in dogmas
above the law of conscience. Mohammedanism, a more genuine
monotheism than Christianity, in some respects higher in practical

morality (temperance, charity, equality), and certainly superior in power
over the emotions, is weak in its doctrine of fatalism and in its
degradation of woman. Buddhism is tainted by a profound distrust of
the value of the individual life, by a false theory of the universe, and by
its borrowed doctrine of metempsychosis; but rises high in its appeals
to the sense of justice and right within the mind.
A religion tends to elevate its votaries in the proportion that it
withdraws their minds from merely material aims, and sets before them
stimulating ideals. This is the distinction between “material” and “ideal”
cults. Where the rites are directed mainly to conjuration, where the
prayers are for good luck in life, where the myths are mere stories of
exaggerated human shapes, there the faith is material. Such were all
the religions of the African blacks and of the Eastern and Northern
Asiatic tribes. They have never developed any thing higher. Among the
whites, however, and in a less degree among the American Indians,
there were mythical ideal figures, ranked among the gods, who
embodied grand ideal conceptions of the possible perfectibility of man,
and served as examples and models for the religious sentiment.33
The associative influence of a religion, whether tribal or universal in
theory, is singularly powerful. The Mohammedan who looks toward
Mecca, the Christian who turns toward Rome, feels a like bond of
sympathy with his fellow worshippers of every race and color, as did
the Israelite who wended his way to Jerusalem, or the Nahuatl who
travelled to the sacred city of Cholula. The pilgrimages, the Crusades,
the ecclesiastical Councils of past ages, have collected nations together
under the control of ideas stronger than any which practical life can
offer.
Other bonds of union are those derived from the practice of
4. The Arts of Life.
Unquestionably the earliest of these to exert such an influence was the
construction of a shelter, in other words architecture. We know that
even glacial man had learned enough to make himself a house, though

it was probably inferior to that of the muskrat. In early conditions one
structure sheltered several families. Such are called “communal
houses,” and some ethnologists have argued that they are well nigh
universal down to a very late day in the evolution of domestic
architecture. The temple, the fortified refuge, the city with its grouped
homes shut in by a common wall of defence—all these illustrate how
architecture has ever tended to bring men together, and strengthen
their instincts of association.
Later in time but wider in its influence in the same direction was the
growth of agriculture. This art completely revolutionized the habits of
life, and rendered possible the advent of civilization. The tribe,
dependent on hunting and fishing or on natural products for a
livelihood, is necessarily migratory and separative in its habits. The
tillage of the ground with equal necessity demands a stable residence
and a centralization of individuals. The areas of primitive culture, the
sites of the earliest cities, were always in situations favorable to
agricultural pursuits.
Along with the cultivation of food-plants went hand-in-hand the
domestication of animals. The horse was trained independently in both
Europe and Asia, some species of the dog in all continents, the ox for
draft and the cow for milk principally in Asia, and the camel for the
deserts of Arabia and Africa. These humble aids brought together
distant tribes, and assimilated their characters.
The prosecution of the various special arts, as pottery, metal work,
textile-fabrics, etc., led to the formation of guilds and the association of
workers in particular localities favorable to obtaining and utilizing the
raw products. Each such conquest of the inventive faculties drew men
into closer bonds of harmonious labor, and opened for them new
avenues of joint industry. The pre-historic past of the race is measured
by archæologists by the rise and extension of new arts, not because of
themselves, but because they are indicative of improved social
conditions, greater aggregations of men, more potent actions in
history. The fine arts, in crowning the useful arts with the iridescent

glory of the ideal, impart to the handiwork of men that universality of
motive which unites all into one brotherhood.
The second class of psychic traits are:
II. The Dispersive Elements.
These have been of the utmost moment in the history of the species,
and a controlling factor in the records of every people. They are
derived from two quite different impulses in human nature; the one, a
natural propensity to roam, the other, a predisposition to contest.
Both have been favored by the ability of the species to adapt itself to
its surroundings, far surpassing that of any other animal. There is no
zone and no altitude offering the necessary food supplies that man
does not inhabit. The cat, with its traditional “nine lives,” perishes in
the upper Andes, where men live in populous cities. No one breed of
dogs can follow man to all latitudes. His powers of locomotion are
equally surprising. He can walk the swift horse to death, and his steady
and tireless gait will in the long-run leave every competitor behind. An
Indian will track a deer for days and capture it through its utter fatigue.
A Tebu thinks little of passing three days under the sun of the Sahara
without drinking. Such powers as these endow man with the highest
migratory faculties of any animal, and give rise to or have been
developed from
1. The Migratory Instincts.
Many species of animals, especially birds, change their habitat with the
seasons, the object usually being to obtain a better food supply. So do
most hunting and fishing tribes, and for the same reason. Often these
periodical journeys extend hundred of miles and embrace the whole
tribe.

This must also have been the case with primeval man when he
occupied the world in “palæolithic” time. His home was along the
shores of seas and the banks of streams. Up and down these natural
highways he pursued his wanderings, until he had extended his
roamings over most of the habitable land.
What prompted him and all savage tribes is not always the search for
food. The desire for a more genial climate, the pressure of foes, and
often mere causeless restlessness, act as motive forces in the
movements of an unstable population. Certain peoples, as the Gypsies,
seem endowed with an hereditary instinct for vagabondage. The
nomadic hordes of the Asiatic steppes and the wastes of the Sahara
transmit a restlessness to their descendants which in itself is an
obstacle to a sedentary life.
Such vagrant tribes became the colporteurs and commercial travellers
of early society. They invented means or transportation, and conveyed
the products of one region to another. Only of late have we learned to
appreciate the wide extent of pre-historic commerce. Long before
Abraham settled in Ur of the Chaldees (say 2000 B. C.), a well-travelled
commercial road stretched from the cities of Mesopotamia, through
Egypt to the Pillars of Hercules, and thence into Europe.34 When
Hendrick Hudson sailed into the bay of New York, the commercial
relations of the tribes who lived on its shores had already extended to
the coast of the Pacific.35
These lines of early traffic were also the lines of the migrations of
nations. They were fixed by the physical geography of regions, and
have rightly attracted the careful attention of ethnographers. Along
them, nation has blended into nation, race fused with race. The
conviction that early man was not sedentary, but mobile, by nature a
migratory species, wandering widely over the face of the earth, is one
which has been brought home to the ethnologist by the science of
prehistoric archæology, and it is full of significance.
2. The Combative Instinct.

The philosopher Hobbes taught that the natural condition of man in
society is one of perpetual warfare with his neighbors. This grim theory
is sadly attested by a study of savage life. The wretched Fuegians, the
miserable Australians, with really nothing worth living for, let alone
dying for, fall to cutting each other’s throats the moment that tribe
encounters tribe. So it has been in all ages, so it has been in all stages
of culture. The warrior, the hero, is the one who wins the hearts of
women by his fame, and the devotion of men by his prowess.
Civilization helps not at all. In no century of the world’s history have
such destructive battles been fought as in the nineteenth; at no former
period have the powers of the earth collected such gigantic armies and
navies as to-day.
This love of combat at once separates and unites nations. To destroy
the common foe, the bonds of national or tribal unity are drawn the
tighter; and the aversion to the enemy tends to the preservation of the
ethnic type.
In spite of the countless miseries which follow in its train, war has
probably been the highest stimulus to racial progress. It is the most
potent excitant known of all the faculties. The intense instinct of self-
preservation will prompt to an intellectual energy which nothing else
can awake. The grandest works of imagination, the immortal outbursts
of the poets, from Homer to Whitman, have been under the stimulus of
the war-cry ringing in their ears.
The world-conquerors and the holy wars, Alexander and Napoleon, the
Crusades and the Mohammedan invasions, have been landmarks in
history, a destruction of the effete, an introduction of the new and the
viable. Guizot’s bold statement that in the decisive battles of the world
it has been, not the strongest battalions, but the truest idea which has
conquered, may be a profound ethnologic truth. Certain it is that in
weighing the psychical elements of man’s nature and their influence on
the past history of the species, we must assign to his combative
instincts a most prominent place as stimulants, and we must recognize,
amid all the miseries which they have brought upon him, the part they
have played in his development. That they have always resulted in

promoting the “survival of the fittest,” it is hard to believe, and there is
much to make us doubt; but that a great deal of the unfit has thus
been destroyed, we may reasonably accept.
What has been true always, is true to-day. It is force, might, which
forever exercises “the right of eminent domain;” and this principle is as
necessary as it is indestructible. Proudhon was logical, when, in his
treatise on War and Peace, he placed war and the duty of waging war
at the basis of all society, and defended it as the necessary condition of
civilization, inasmuch as it alone is the highest form of judicial action,
the last appeal of the oppressed. Never, we may be sure, will the
human species be ready or willing to forego this, the greatest of all
their privileges.

LECTURE III.
THE BEGINNINGS AND SUBDIVISIONS OF
RACES.
Contents.—The origin of Man. Theories of monogenism and
polygenism; of evolution; heterogenesis. Identities point to one
origin. Birthplace of the species. The oldest human relics.
Remains of the highest apes. Question of climate. Negative
arguments. Darwin’s belief that the species originated in Africa
confirmed; but with modifications. Quaternary geography of
Europe and Africa. Northern Africa united with Southern
Europe. Former shore lines. The Sahara Sea. The quaternary
continents of “Eurafrica,” and “Austafrica.” Relics of man in
them. Man in pre-glacial times. The Glacial Age. Effect on man.
Scheme of geologic time during the Age of Man. His
development into races. Approximate date of this. Localities
where it occurred. The “areas of characterization.” Relations of
continents to races. Theory of Linnaeus; of modern
ethnography. Classification of races. General ethnographic
scheme. Sub-divisions of races; branches; stocks; groups;
peoples; tribes; nations. Other terms; ethnos and ethnic;
culture; civilization. Stadia of culture.
In the rapid survey contained in the previous lectures you have seen in
how many points the races differ. No wonder that the question has
often been seriously mooted by scientific men, Could they all have
been derived from one common ancestral stock? This is the old debate
about “the unity of the human race,” still surviving under the more
learned terms of monogenism or polygenism.

As to that other question, whether man came into being as such by a
gradual development, evolution, or transformation, from some lower
mammal, this may be regarded as the only hypothesis now known to
science, and must, therefore, be accepted, at least provisionally, until
some better is proposed. It is the only theory consistent with man’s
place in the zoölogical world, and is borne out by numerous anatomical
analogies, which have been referred to in my first lecture.
In fact, we are driven to it by necessity. No other origin of species than
by transformation of earlier forms has been suggested, even by those
who reject it. I do not speak of specific creation, for that supposition
does not belong to science, but to an obscurant mysticism, which is the
negative of all true knowledge.
But within the limits of the transformation theory there is more than
one method by which varying forms are produced, and one of these
may prove applicable to man, in whose earliest remains we have so far
found no positive indications of a lower physical character than he now
has.36 So far, the “missing link” is as much out of sight as ever it was;
so far, man appears to have been always what he is to-day.
May he not, as a species, have come into being through a short series
of well-marked varieties, each produced by what is called
“heterogenesis,” that is, the birth of children unlike their parents? All
children are unlike their parents, more or less; and though at present
this unlikeness is strictly within the limits of the several races, it is the
opinion of some who have studied the matter, that in earlier geologic
epochs changes in organic forms were more rapid and more profound
than at present.
I am aware that this suggestion of heterogenesis looks like a return to
the ancient doctrine called generatio equivoca, which, in its old form, is
certainly obsolete. But there is no question that in many existing plants
and animals we find singular evidence that from a given form another
may arise, widely different in structure, and perpetuate itself
indefinitely. I am convinced that the importance of these facts has
never been properly appreciated by students of the origin of species,
and of the origin of men in particular.

This, or any hypothesis of evolution, renders the supposition quite
needless that the various races had distinct ancestral origins. Any
evolutionist who accepts the view that man is but a differentiation from
some anthropoid ape, is straining at a gnat after swallowing the camel,
if he hesitates to believe that the comparatively slight differences
between the races may not have originated from like influences.
Furthermore, the resemblances between the various races are
altogether too numerous and exact to render it likely that they could
have been acquired through several ancestries running back to various
lower zoological forms; a consideration greatly strengthened by the fact
that man is the only species of his genus, and there is even no genus
of his class closely related to himself. The chances that such a
perfected animal should have been twice or oftener developed from the
apes, monkeys or lemurs—his nearest cousins—are so small that we
must dismiss the supposition.
It seems to me, indeed, that any one who will patiently study the
parallelisms of growth in the arts and sciences, in poetry and objects of
utility, throughout the various races of men, cannot doubt of their
psychical identity. Still more, if he will acquaint himself with the modern
science of Folk-lore, and will note how the very same tales, customs,
proverbs, superstitions, games, habits, and so on, recur spontaneously
in tribes severed by thousands of leagues, he will not think it possible
that creatures so wholly identical could have been produced by
independent lines of evolution.
The Birthplace of the Species.—Accepting the theories therefore of the
evolutionists and the monogenists as the most plausible in the present
state of science, it is quite proper to inquire where primeval man first
appeared, and what were his social conditions and personal
appearance.
To some it may seem premature to put such questions. They are
needlessly timid. It is never too soon to propound any question in
science; always too soon to declare that any has been finally and
irrevocably answered.

Beginning our search for the birthplace of the species, we may consider
that it will be indicated by the cumulative evidence of three conditions.
We may look for it, (1) where the oldest relics of man or his industries
have been found; (2) where the remains of the highest of the lower
mammals, especially the man-like apes, have been exhumed, as it is
assumed that man himself descended from some such form; and (3)
where we know from palæontologic evidence a climate prevailed suited
to man’s unprotected early conditions.
The first of these lines of investigation leads us to the science of “pre-
historic archæology.” We shall discover that a study of this branch of
learning is indispensable not only in this connection, but to solve many
other questions in ethnography. Here its answer is unexpected. We
have been taught by long tradition and venerable documents to look
for the first home of primeval man “somewhere in Asia,” as Professor
Max Müller generously puts it. He is inclined to think that from the
highlands of that continent the tribes dispersed in various directions,
some going to the extreme north, and then southward into Europe.
Others would have it that the species itself came into life in the boreal
regions, in that epoch when a mild climate prevailed there.
Such dreams meet no countenance from pre-historic archæology. The
oldest remains of man’s arts, the first rude flints which he shaped into
utensils and weapons, have not been discovered in Asia, and do not
occur at all in the northern latitudes of either continent. They have
been exhumed from the late tertiary or early quaternary deposits of
southern England, of France, of the Iberian peninsula, and of the
valleys of the Atlas in northern Africa. They have been searched for
most diligently but in vain in Scandinavia, Germany, Russia, Siberia,
and Canada. Not any of the older types of so-called “palæolithic”
implements have been reported in early deposits in those countries.37
But in the “river drift” of the Thames, the Somme, the Garonne, and
the Tagus, quantities of rough stone implements have been disinterred,
proving that in a remote epoch, at a time when the hippopotamus and
rhinoceros, the African elephant and the extinct apes, found a
congenial home near the present sites of London, Paris and Lisbon,
man also was there. These relics, especially those found in Portugal,

Central Spain and Southern France, are the very oldest proofs of the
presence of man on the earth yet brought to light.
Where, now, do we find the remains of the highest of the lower
animals? By a remarkable coincidence, in the same region. Of all the
anthropoid apes yet known to the palæontologist, that most closely
simulating man is the so-called Dryopithecus fontani, whose bones
have been disinterred in the upper valleys of the Garonne, in Southern
France. Its height was about that of a man, its teeth strongly
resembled those of the Australians, and its food was chiefly vegetables
and fruits. Other remains of a similar character have been found in
Italy.38
It is well known to geologists that the apes and monkeys or Simiadæ
were abundant and highly developed in Southern Europe in the
pliocene and early pleistocene, just the time, as near as we can fix it,
that man first appeared there. These facts answer the third of our
inquiries—that for a climate suitable to man in an unprotected early
condition, when he had to contend with the elements and the
parsimony of nature, ill-provided as he is with many of the natural
advantages possessed by other animals. At that date Southern Europe
and Northern Africa were under what are called sub-tropical conditions,
possessing a climate not wholly tropical, but yet singularly mild and
equable. This we know from the remains, both animal and vegetable,
preserved in the deposits of that epoch.
A series of negative arguments strengthens this conclusion. Where we
find no remains of apes or monkeys of the higher class, we cannot
place the scene of man’s ancestral evolution. This excludes America,
where no tailless and no narrow-nosed (catarhine) monkeys and no
large apes have been found; it excludes Australia, and all portions of
the Old World north of the Alps and the Himalayas.
In view of such facts, Darwin reached the conclusion that it is most
probable that our earliest progenitors lived on the African continent.
There to this day we find on the one hand the human beings most
closely allied to the lower animals, and the two species of these, the

gorilla and the chimpanzee, now man’s nearest relations among the
brutes.39
Darwin was disturbed in this conclusion by the presence of the large
apes to whom I have referred in Southern Europe in late tertiary times.
This, however, merely requires a modification in his conclusion, the
general tenor of which, to the effect that man was first developed in
the warm regions of the western or Atlantic portion of the Old World,
somewhere within the present or ancient area of Africa, and not in
Asia, has been steadily strengthened since the great evolutionist wrote
his remarkable work on the Descent of Man.
Quaternary Geography of Europe and Africa.—The modification which I
refer to is the obvious fact that since the late tertiary epoch, and
especially during and after the glacial epoch, some material changes
have taken place in the physical geography of Europe and Africa. To
these I must now ask your particular attention, as they controlled not
only the scene of man’s origin, but the lines of his early migrations.
When primal man, with no weapon or tool but one chipped from a
stone flake, roamed over France, England and the Iberian peninsula,
along with the rhinoceros, the hippopotamus and the elephant, the
coast lines of Europe and North Africa were quite unlike those of to-
day. England and Ireland were united to the mainland, and neither the
Straits of Dover nor St. George’s Channel had been furrowed by the
waves. Huge forests, such as can yet be traced near Cromer, covered
the plains which are now the bottom of the German Ocean. In the
broad shallow sea to the north, the mountainous regions of
Scandinavia rose as islands, and between them and the Ural Mountains
its waters spread uninterruptedly.
To the south, Northern Africa was united to Southern Europe by two
wide land-bridges, one at the Straits of Gibraltar, one connecting Tunis
with Sicily and Italy. The eastern portion of the Mediterranean was a
contracted fresh-water lake, pouring its waters into a broad stream
which connected the Atlantic with the Indian Oceans. This stream
covered most of the present desert of the Sahara, the delta of Egypt,
and a large portion of Arabia and Southern Asia. Its northern beach

extended along the southern base of the Atlas Mountains from the
River Dra on the Atlantic to the Gulf of Gabes in the Mediterranean;
thence northward between Malta and Sicily to the Straits of Otranto; by
the Ionian islands easterly till it intersected the present coast-line near
the mouth of the Orontes; northeasterly to about Diarbekir, whence it
trended south and east along the foot of the Zagros mountains to the
Persian Gulf. From that point it followed the present coast-line to the
mouth of the Indus, and thence pursued the base of the great northern
mountain range to the mouth of the Ganges, covering the north of
Hindustan, while the southern elevations of that spacious peninsula, as
well as a large part of southern and western Arabia, rose as extensive
irregular islands above the water. Toward them the mainland of
equatorial Africa extended much nearer than at present. It included in
its area the island of Madagascar, and reached far beyond into the
Indian Ocean. Toward the north, peninsulas and chains of islands, now
the summits of the plateaus and mountains of the central Sahara,
reached nearly or quite to the present shore-line of the Mediterranean,
about Tripolis.40
This disposition of the water left two great land areas in the old world,
probably not actually united though separated only by narrow straits,
one between the modern Tripolis and Tunis, and another on the
northern Syrian coast. I represent these areas on the accompanying
map, not indeed minutely, but approximately.
The general accuracy of the contours delineated are now fully
recognized by geologists. They are attested by the remaining beach-
lines of this primitive ocean, by the geographical distribution of its
contemporary fauna and flora, and by the proofs of elevation and
submergence along the shores and in the bottom of the adjacent seas
and oceans. The “great sink” of the western Sahara, the vast “schotts,”
or shallow saltwater ponds south of the Atlas, the salt Dead Sea at the
bottom of a profound depression, prove that the drying up of the
ancient ocean is scarcely yet complete.

Outlines of the Eastern Hemisphere in the Early Quaternary.
So familiar have these ancient continental areas become to geological
students that they have been named like a newly-discovered island or
cape. The northern continent has been called Eurasia, compounded of
the words Europe and Asia, and the southern Indo-Africa, from a
supposed union of India and Africa.41
Neither of these names is quite acceptable. The former leaves out of
account the connection of Europe with Africa, which is of the first
importance in the study of early man; and the latter assumes a
geographic union between India and Africa, which is not likely to have
existed in the period of man’s life on earth. I prefer the two names
which I have inserted on the map; Eurafrica, indicating the connection
between Europe and Africa, and Austafrica, designating the whole of
the continent south of the ancient dividing sea. The name Asia should
be confined to the Central Asian plateau and the regions watered by
the countless streams which flow from it toward the north, east and
south.

Relics of Man.—Such was the configuration of land in the Eastern
hemisphere when man first appeared. We know he was there at that
time. I have referred to his rude stone (palæolithic) implements
exhumed from the river-drift of the Thames and the Somme, a deposit
which dates from a time when the hippopotamus bathed in those
rivers; still older seem some rough implements discovered in gravel
layers near Madrid, Spain, deposited by some large river in early
quaternary times. The worked flints near Lisbon were manufactured
when a wide fresh-water lake existed where now not a trace of it is
visible on the surface, and according to some archæologists, are the
most ancient manufactured products yet discovered.42
In numerous parts of North Africa, as near Tlemcen in the province of
Oran, and in Tunisia, the oldest forms of stone implements have been
found in place beneath massive layers of quaternary travertin,43 and in
some of the most barren portions of the Libyan desert, now utterly
sterile, the travertin contains abundant remains of leaves and grasses,
along with chipped flints, proving that at the recession of this diluvial
sea not only was the vegetation luxuriant, but man was then on the
spot, as a hunter and fisher.44
Not less certain is it that he was a most ancient occupant of Austafrica.
Chert implements of the true “river-drift” type have been discovered “in
place” in quaternary stratified gravels near Thebes, and elsewhere in
the Nile valley; and in the diamond field of the Cape of Good Hope,
palæolithic forms have been exhumed from diluvial strata forty or fifty
feet below the surface of the soil.45
From similar evidence we know that man spread widely over the
habitable earth in that remote time. It is known to archæologists as the
earliest period of the Stone Age, and the implements attributed to it
are singularly alike in size and form. They seem to indicate a race of
beings who were unprogressive, lacking perchance the stimulus of
necessity in their mild climate and with their few needs.
The Glacial Age.—But a wonderful change took place in their conditions
of life. Slowly, from some yet unexplained cause, mighty ice-sheets,
thousands of feet in thickness, gathered around the poles, and

collected on the flanks of the northern mountains. With silent but
irresistible might they advanced over land and sea, crushing beneath
them all animal and vegetable life, changing the perennial summer of
Eurafrica to an Arctic winter, or at best to an Alpine climate. The
tropical animals fled, the plants perished, and under the enormous
weight of the ice-mass, the ocean bottom in the north was depressed a
thousand feet or more. This in turn brought about material oscillations
in the land levels to the south. The bed of the Mediterranean sank, that
of the Sahara Sea slightly rose, leaving the latter little more than a
swamp, while the former assumed the shape which we now see.
These alterations in the land areas and climatic conditions exerted the
profoundest influence on the destiny of man. When with the increasing
cold the other animals native to warm regions had fled or perished, he
remained to encounter with undaunted mind the rigors of the boreal
climate. Instead of depressing or extinguishing him, these very
obstacles seem to have been the spurs to his intellectual progress.
Men were still in the lower stages of culture, with no knowledge of
metal, not capable of polishing stones, without a domestic animal or
trace of agriculture. Yet everywhere these artisans possessed skill and
sentiments far above that of the highest anthropoid ape described by
the zoölogist. They knew the use of fire, they constructed shelters,
they dwelt together in bands, they possessed some means of
navigating streams, they ate both vegetable and animal food, they
decorated themselves with colored earth and ornaments, they wielded
a club, they twisted fibres into ropes and strings, if occasion required
they fastened together skins for clothing. All this is proved by a careful
study of what tools and implements they have left us.
Development into Races.—Whatever may have been the physical type
of men at their beginning, in culture they were upon the same level for
a long while after they had dispersed over the globe.
When, where and how did they develop into the several distinct races
that we now know?
We can answer these questions, not fully, but to some extent.

Man developed into certain strongly marked sub-species or races long
before the dawn of history. More than six thousand years ago the racial
traits of the black, the white, and the yellow races, and even of their
subdivisions, were as pronounced and as ineffaceable as they are to-
day. This we know from the representations on the Egyptian
monuments of the third and sixth dynasties, from the comparative
study of ancient skulls, and from the uniform testimony of the earliest
writings, wherever we find them.
This permanent fixation of traits, this profound impression of peculiar
features, was probably no rapid process, but a very slow one. It took
place between the close of the glacial epoch and the proto-historic
period. This interim gives time enough; at the lowest calculation, it was
twenty thousand years, while others have placed it at a hundred
thousand. The division of the species into races unquestionably was
completed long before the present geologic period, and under
conditions widely diverse from those now existing.46
As within these wide limits of time we can reply to the question when
the races became such, so within similar broad boundaries of space we
can answer where their peculiar types were developed.
At the dawn of history, all the clearly marked sub-species of man bore
distinct relations in number and distribution to the great continental
areas into which the habitable land of the globe is divided. Nearly the
whole of Europe and its geographical appendix, North Africa, were in
the possession of the white race; the true negro type was limited to
Central and Southern Africa and its appended islands; the yellow or
Mongolian type was scarcely found outside of Asia; and the American
sub-species was absolutely confined to that continent.
The “Areas of Characterization.”—In claiming that each sub-species had
its origin and developed its physical peculiarities in the land areas here
assigned to it, the ethnographer is supported by the unanimous verdict
of modern zoölogical science. “Whatever be the cause,” writes the Rev.
Samuel Haughton, “the distribution of fauna shows clearly that forces
have been at work, developing in each great continent animal forms

peculiar to itself, and differing from the animal forms developed by
other continents.”47
In ethnography, those geographical areas whose physical conditions
have left a durable impress on their human inhabitants have been
called either “geographical provinces” (Bastian) or “areas of
characterization” (de Quatrefages). I prefer and shall adopt the latter
as more indicative of the meaning of the term. It signifies that like
physio-geographical conditions prevailing over a given area inhabited
for many generations by the same peoples have impressed upon them
certain traits, physical and psychical, which have become hereditary
and continue indeterminately, even under changed conditions of
existence.
This general law is the recognized basis of modern scientific
ethnography.48 It is open to numerous limitations, and its application
must never be made without the consideration of accessory and
modifying circumstances. For instance, certain areas are much more
potent than others in the influence they exert on man: some act more
powerfully on his mind than on his body, or the reverse; some peoples
are more susceptible to physical influences of a given class than
others; and the length of time required is variable.
Scheme of Geologic Time during the Age of Man
in the Eastern Hemisphere.
Quaternary,
Diluvial
or
Pleistocene
Epoch.
1. Pre-glacial. Europe
connected
with Africa.
Man
homogeneous.
Temperature
mild.
Industry
palæolithic with
simple
implements.

African
elephant in
England.
Migrations
extensive.
Tropical animals
abundant.
Language
rudimentary.
2. Glacial.
Europe severed
from Africa.
Man dividing into
races.
Temperature
low.
Industry
palæolithic with
compound
implements.
Reindeer in
France.
Cave dwellings.
Arctic animals
abundant.
Migrations
limited; races in
fixed areas.
3. Post-glacial.
Continents
assume
present
forms.
Races completely
established.
Temperature
rising.
Industry neolithic.
Temperate
zones
established.
Beginning of
sedentary life.
Languages
developed in
classes.
Present
or
Alluvial
Epoch.
1. Pre-historic. Geographic
conditions
undisturbed.
Races develop
into contact.

Wild animals
not
diminished.
Industry of stone
and copper.
2. Proto-historic.
Conditions
altered by
agriculture.
Great migrations
begin.
Wild animals
slain or
tamed.
Industry of
bronze and
iron.
3. Historic.
Geographic
conditions
greatly
modified by
man.
Extensive
mingling of
races.
All lower
animals
subjugated.
Development of
nations.
According to the analogy of other organic beings, man would have
been more impressible to his surroundings in the early history of his
existence as a species, the young, either as an individual or a genus,
being more plastic than the old. Furthermore, in his then condition of
culture, or absence of culture, he had less to oppose to the assaults of
his environment.
Classification of Races.—It is not possible in the present status of the
science of man to point out precisely how the various conditions of the
great continental areas reacted on the homogeneous primitive type to
develop the races as we know them. The same difficulty encounters us
with other animals and with plants. We know, however, that at the
dawn of history each of these areas was peopled by nations resembling
each other much more than they resembled nations of any of the other
areas.

In addition to the great continents there were many lesser regions,
peninsulas and islands, usually on the borders of the main areas of
characterization, where intermingling of types was sure to arise, and
other types be formed, who in turn received some particular impress
from their environment.
These considerations prompt me to offer the following as the most
appropriate scheme in the present condition of science for the
subdivision of the species Man into its several races or varieties.
I. The Eurafrican Race.—Traits.—Color white, hair wavy, nose narrow,
jaws straight, skull variable, languages inflectional, religions ideal.
II. The Austafrican Race.—Traits.—Color black, hair woolly, nose flat,
jaws protruding, skull long, languages agglutinative, religions material.
III. The Asian Race.—Traits.—Color yellowish or brownish, hair straight,
nose flat or medium, jaws straight, skull broad and high, languages
isolating or agglutinative, religions material.
IV. The American Race.—Traits.—Color coppery, hair straight, nose
narrow, jaws straight, skull variable, languages incorporating, religions
ideal.
V. Insular or Litoral Peoples.—Traits.—Color dark, hair lank or wavy,
languages agglutinative.
In this scheme the more prominent and permanent traits are named
first. While individuals of pure blood can easily be found in all the races
who do not correspond in all particulars to these descriptions, I do not
hesitate to assert that ninety-five per cent. of the whole of the pure
blood of any of the races here classified will correspond to the
standards given.
Subdivisions of Races.—The further subdivisions of ethnography follow
to some extent the important doctrine of the “areas of
characterization,” that is, they are geographical; but as the
classification of men advances in minuteness, other considerations

become paramount, notably, language and government. These
elements allow us to subdivide a race into its branches; a branch into
its stocks; a stock into its groups, and these again into tribes, peoples,
or nations.
Classified in this manner, the human species presents the subdivisions
shown on the adjacent scheme:
General Ethnographic Scheme.
Race. Traits. Branches. Stocks.
Groups or
Peoples.
Eurafrican.
Color
white.
I. South
Mediterranean.
1. Hamitic.
1. Libyan.
2. Egyptian.
3. East
African.
Hair wavy. 2. Semitic.
1. Arabian.
2.
Abyssynian.
3. Chaldean.
Nose
narrow.
II. North
Mediterranean.
1. Euskaric. 1. Euskarian.
2. Aryac.
Indo-
Germanic
or Celtindic
peoples.
3. Caucasic.
Peoples of
the
Caucasus.
Austafrican. Color
black or
dark.
I. Negrillo. 1. Central
African.
Dwarfs of the
Congo.

2. South
African.
Bushmen,
Hottentots.
Hair frizzly. II. Negro.
1. Nilotic. Nubian.
2. Soudanese.
3.
Senegambian.
4. Guinean.
Nose
broad.
III. Negroid. 1. Bantu.
Caffres and
Congo
tribes.
Asian.
Color
yellow
or olive.
I. Sinitic.
1. Chinese. Chinese.
2. Thibetan.
Natives of
Thibet.
3. Indo-
Chinese.
Burmese,
Siamese.
Hair
straight.
II. Sibiric.
1. Tungusic.
Manchus,
Tungus.
2. Mongolic.
Mongols,
Kalmucks.
3. Tataric.
Turks,
Cossacks.
Nose
medium.
4. Finnic.
Finns,
Magyars.
5. Arctic.
Chukchis,
Ainos.
6. Japanic.
Japanese,
Koreans.
American. Color
coppery.
I. Northern. 1. Arctic. Eskimos.
2. Atlantic.
Tinneh,
Algonkins,
Iroquois.

3. Pacific.
Chinooks,
Kolosh, etc.
Hair
straight
or wavy.
II. Central.
1. Mexican.
Nahuas,
Tarascos.
2. Isthmian.
Mayas,
Chapanecs.
Nose
medium.
III. Southern.
1. Atlantic.
Caribs,
Arawaks,
Tupis.
2. Pacific.
Chibehas,
Qquichuas.
Insular and
Litoral
Peoples.
Color dark. I. Negritic.
1. Negrito.
Mincopies,
Aetas.
2. Papuan.
New
Guineans.
Hair wavy
or
frizzly.
II. Malayic.
3. Melanesian.
Feejeeans,
etc.
1. Malayan.
Malays,
Tagalas.
2. Polynesian.
Pacific
Islanders.
Nose
medium
or
narrow.
III. Australic.
1. Australian. Australians.
2. Dravidian.
Dravidas,
Mundas.
That these distinctions may be plain I append definitions of the
ethnographic terms employed.
Race.—A variety or sub-species of the species Man, presenting a
number of distinct and permanent (hereditary) traits of the character
above described.

Branch.—A portion of a race separated geographically, linguistically, or
otherwise, from other portions of the race.
Stock.—A portion of a branch united by some prominent trait,
especially language, offering presumptive evidence of demonstrable
relationship. The individual elements of a stock are its peoples.
A group consists of a number of these peoples who are connected
together by a closer tie, geographical, linguistic, or physical, than that
which unites the members of the stock.
A tribe is a body of men collected under one government. They are
presumably of the same race and dialect.
A nation, on the other hand, is a body of men under one government,
frequently of different languages and races. Its members have no
presumed relationship further than that they belong to the same
species.
There are some other terms the precise meaning of which should be
defined before we proceed, the more so as there is not that uniformity
in their use among ethnographers which were desirable.
This very word ethnos, with its adjective ethnic, is an example. What is
an ethnos? I know no better word for it in English than a people, as I
have already explained this word,—one of the elements of a stock all
whose members, there is reason to believe, have a demonstrable
relationship. Thus we should speak of the Aryan stock, made up of the
Latin, Greek, Celtic and other peoples. The relationship among the
members of a people is closer than that between the members of a
stock. People corresponds to the Old English folk (German Volk), but
folk in the modern English scientific terms “folk-lore,” “folk-medicine,”
has acquired a different signification.
Culture and civilization are other terms not always correctly employed.
The former is the broader, the generic word. All forms of human society
show more or less culture; but civilization is a certain stage of culture,
and a rather high one, when men unite under settled governments to

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